CERT Resilience Management Model, Version 1.0

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GG2.GP2 reminds you that you need to plan the activities related to identifying, documenting,and managing assets throughout their life cycle. Thus, the application of this generic practiceimproves the institutionalization of the Asset Definition and Management process area byinstilling a planning discipline.In some cases, the application of a generic practice to the specific goals in a process area willseem recursive. For example, consider the application of generic practice GG2.GP2 to a processarea that already includes a specific goal directed at planning. In the Incident Management andControl process area, planning for incident management is a major aspect of the process. Theapplication of the generic practice GG2.GP2 in this case reminds you that you must plan theactivities involved in creating the plan for managing incidents.5.6 Process Areas That Support Generic PracticesWhile generic goals and generic practices are the model components that directly address processinstitutionalization, some process areas also address institutionalization by supporting theimplementation of the generic practices. Thus, implementing the specific practices in someprocess areas may also help with the implementation of a generic practice.Table 8 shows the relationship between CERT-RMM process areas and generic practices.Table 8:CERT-RMM Generic Practices Supported by Process AreasGeneric Practice Related Process Area How the Process Area Helps toImplement the Generic PracticeGG2.GP1Establish processgovernanceEnterprise FocusEnterprise Focus addresses thegovernance aspect of managingoperational resilience. Mastery of theEnterprise Focus process area can helpto achieve GG2.GP1 in other processareas.GG2.GP3Provide resourcesHuman Resource ManagementFinancial Resource ManagementHuman Resource Management ensuresthat resources have the proper skill setsand their performance is consistent overtime. Financial Resource Managementaddresses the provision of otherresources to the process, such asfinancial capital.GG2.GP4Train peopleOrganizational Training andAwarenessOrganizational Training and Awarenessensures that resources are properlytrained.58 | CMU/SEI-2010-TR-012
Generic Practice Related Process Area How the Process Area Helps toImplement the Generic PracticeGG2.GP8Monitor and control theprocessMonitoringMeasurement and AnalysisMonitoring provides the structure andprocess for identifying and collectingrelevant information for controllingprocesses. Measurement and analysisprovides general guidance aboutmeasuring, analyzing, and recordinginformation that can be used inestablishing measures for monitoringactual performance of the process [CMMI2007].GG2.GP10Review status with higherlevel managersEnterprise FocusAs part of the governance process,Enterprise Focus requires oversight ofthe resilience process includingidentifying corrective actions.GG3.GP1Establish a defined processOrganizational Process DefinitionOrganizational Process Definitionestablishes the organizational processassets necessary to implement thegeneric practice [CMMI 2007].GG3.GP2Collect improvementinformationOrganizational Process DefinitionOrganizational Process FocusOrganizational Process Definitionestablishes the organizational processassets. Organizational Process Focusaddresses the incorporation ofexperiences into the organizationalprocess assets [CMMI 2007].59 | CMU/SEI-2010-TR-012
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CERT ® Resilience Management Model
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Table of ContentsPrefaceAbstractvix
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List of FiguresFigure 1: The Three
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List of TablesTable 1: Process Area
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AcknowledgementsThis report is the
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The effect of increased levels of c
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Part One: About the CERT ® Resilie
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1 IntroductionOperational resilienc
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experience, organizations often ask
Page 19 and 20: continuity management, and IT opera
Page 21 and 22: As a descriptive model, CERT-RMM fo
Page 23 and 24: Table 1:Process Areas in CERT-RMM a
Page 25 and 26: their ability to transform the way
Page 27 and 28: 2 Understanding Key Concepts in CER
Page 29 and 30: Historically and often still today,
Page 31 and 32: Operational resilience addresses th
Page 33 and 34: esilience of services is key for mi
Page 35 and 36: Figure 7: Impact of Disrupted Asset
Page 37 and 38: owners are responsible for ensuring
Page 39 and 40: into the “security” function bu
Page 41 and 42: Figure 12: Software/System Asset Li
Page 43 and 44: 3 Model ComponentsThis chapter intr
Page 45 and 46: Table 4:CERT-RMM Components by Cate
Page 47 and 48: Figure 15: A Specific Goal and Spec
Page 49 and 50: Figure 19: Summary of Major Model C
Page 51 and 52: Figure 20: Format of Model Componen
Page 53 and 54: 4 Model RelationshipsSuccessful pro
Page 55 and 56: Figure 21: Relationships That Drive
Page 57 and 58: Asset Resilience ManagementEnvironm
Page 63 and 64: Part Two: Process Institutionalizat
Page 65 and 66: To reach a particular level, an org
Page 67 and 68: perform in the future. In CERT-RMM,
Page 69: names of the generic goals, except
Page 73 and 74: Such objectives may be high-level a
Page 75 and 76: These four questions can be directl
Page 77 and 78: The purpose of the establishing pha
Page 79 and 80: CERT-RMM has a strong enterprise un
Page 81 and 82: Communications (COMM)—to institut
Page 83 and 84: Figure 31: Model Scope Options6.3.3
Page 85 and 86: Figure 33: CERT-RMM Targeted Improv
Page 87 and 88: Figure 34: Capability Level Ratings
Page 89 and 90: If the immediate or long-term impro
Page 91 and 92: ASSET DEFINITION AND MANAGEMENTEngi
Page 93 and 94: Specific Practices by GoalADM:SG1 E
Page 95 and 96: Facilities are any physical plant a
Page 97 and 98: Information AssetsBecause informati
Page 99 and 100: Ownership of assets typically varie
Page 101 and 102: ADM:SG2.SP2 Analyze Asset-Service D
Page 103 and 104: Organizational and operational cond
Page 105 and 106: Subpractices1. Establish governance
Page 107 and 108: ADM:GG2.GP3 Provide ResourcesProvid
Page 109 and 110: Refer to the Human Resource Managem
Page 111 and 112: ADM:GG2.GP6 Manage Work Product Con
Page 113 and 114: ADM:GG2.GP8 Monitor and Control the
Page 115 and 116: ADM:GG2.GP9 Objectively Evaluate Ad
Page 117 and 118: ADM:GG3.GP2 Collect Improvement Inf
Page 119 and 120: access controls current and reflect
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COMMUNICATIONSEnterprisePurposeThe
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COMM:SG2 Prepare for Communications
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Related Process AreasA primary comp
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CONTROLS MANAGEMENTEngineeringPurpo
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The identification and implementati
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ENVIRONMENTAL CONTROLOperationsPurp
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EC:SG2 Protect Facility AssetsAdmin
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The relationship between services a
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EXTERNAL DEPENDENCIES MANAGEMENTOpe
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Related Process AreasThe establishm
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EXD:SG4 Manage External Entity Perf
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Related Process AreasVisible and ac
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HUMAN RESOURCE MANAGEMENTEnterprise
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Specific Practices by GoalHRM:SG1 E
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IDENTITY MANAGEMENTOperationsPurpos
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Summary of Specific Goals and Pract
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and associated services and require
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IMC:SG2.SP4 Analyze and Triage Even
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KNOWLEDGE AND INFORMATION MANAGEMEN
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Specific Practices by GoalKIM:SG1 E
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MEASUREMENT AND ANALYSISProcessPurp
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MA:SG1.SP4 Specify Analysis Procedu
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supports and enables its monitoring
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ORGANIZATIONAL PROCESS DEFINITIONPr
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ORGANIZATIONAL PROCESS FOCUSProcess
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OPF:SG2.SP2 Implement Process Actio
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awareness program. Conduct Awarenes
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OTA:SG3.SP3 Establish Training Capa
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a steady stream of effective staff
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RISK MANAGEMENTEnterprisePurposeThe
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RISK:SG2 Establish Risk Parameters
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RESILIENCE REQUIREMENTS DEVELOPMENT
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egularly analyzing the requirements
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RESILIENCE REQUIREMENTS MANAGEMENTE
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RRM:SG1.SP4 Maintain Traceability o
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The functional aspects of software
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Monitoring for events, incidents, a
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SERVICE CONTINUITYEngineeringPurpos
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Summary of Specific Goals and Pract
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SC:SG5 Exercise Service Continuity
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organization, the organization must
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TM:SG4.SP3 Perform Change Control a
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them to determine if breakdowns in
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Appendix A: Generic Goals and Pract
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Subpractices1. Establish governance
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GG2.GP3 Provide ResourcesProvide ad
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Subpractices1. Identify process ski
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GG2.GP8 Monitor and Control the Pro
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performing of the process can be ma
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Appendix B: Targeted Improvement Ro
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Required CERT-RMM Process AreasCate
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Process AreasRisk ManagementResilie
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Glossary of TermsThis document cont
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Asset-level resilience requirements
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Communications stakeholderA person
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Critical success factorsThe key are
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External dependencyAn external depe
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Identity registrationThe process of
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Key control indicatorsOrganizationa
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Operational riskThe potential impac
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PeopleAll staff, both internal and
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ProvisioningThe process of assignin
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Resilient Technical Solution Engine
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SensitivityA measure of the degree
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Technical controlA type of technica
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Acronyms and InitialismsADMAsset De
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EUDPDEuropean Union Data Protection
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OPFOrganizational Process Focus (pr
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ReferencesURLs are valid as of the
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REPORT DOCUMENTATION PAGEForm Appro
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