BS ISO IEC 38500-2015 Information technology Governance of IT for the organization《信息技术 组织的IT治理》.pdf

1、BSI Standards Publication Information technology Governance of IT for the organization BS ISO/IEC 38500:2015National foreword This British Standard is the UK implementation of ISO/IEC 38500:2015. It supersedes BS ISO/IEC 38500:2008 which is withdrawn. The UK participation in its preparation was entr

2、usted by Technical Committee IST/60, IT Service Management and IT Governance, to Subcommittee IST/60/1, Governance of Information Technology. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necess

3、ary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2015. Published by BSI Standards Limited 2015 ISBN 978 0 580 80795 4 ICS 03.100.99; 35.020; 35.080 Compliance with a British Standard cannot confer immunity from legal obligations. This

4、 British Standard was published under the authority of the Standards Policy and Strategy Committee on 28 February 2015. Amendments issued since publication Amd. No. Date Text affected BRITISH STANDARD BS ISO/IEC 38500:2015Information technology Governance of IT for the organization Technologies de l

5、information Gouvernance des technologies de linformation pour lentreprise INTERNATIONAL STANDARD ISO/IEC 38500 Reference number ISO/IEC 38500:2015(E) Second edition 2015-02-15 ISO/IEC 2015 BS ISO/IEC 38500:2015 ii ISO/IEC 2015 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2015 All rights

6、reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from eithe

7、r ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ISO/IEC 38500:2015(E) BS ISO/IEC 38500:2015 ISO/IEC 385

8、00:2015(E)Contents Page Foreword iv Introduction v 1 Scope . 1 2 T erms and definitions . 1 3 Benefits of Good Go v ernanc e of IT . 4 4 Principles and Model for Good Governance of IT . 5 4.1 Principles . 5 4.2 Model . 6 5 Guidance for the Governance of IT 8 5.1 General . 8 5.2 Principle 1: Responsi

9、bility 8 5.3 Principle 2: Strategy . 8 5.4 Principle 3: Acquisition . 9 5.5 Principle 4: Performance 9 5.6 Principle 5: Conformance .10 5.7 Principle 6: Human Behaviour .10 Bibliography .12 ISO/IEC 2015 All rights reserved iii BS ISO/IEC 38500:2015 ISO/IEC 38500:2015(E) Foreword ISO (the Internation

10、al Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bodies that are members of ISO or IEC participate in the development of International Standards through technical committees established by

11、 the respective organization to deal with particular fields of technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of

12、 information technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1. The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the

13、different types of document should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives). Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO and

14、IEC shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents). Any trade name used in this do

15、cument is information given for the convenience of users and does not constitute an endorsement. For an explanation on the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers to Tr

16、ade (TBT) see the following URL: Foreword - Supplementary information ISO/IEC 38500 was prepared by Joint Technical Committee ISO/IEC JTC1, Information technology, SC40, IT Service Management and IT Governance. This second edition cancels and replaces the first edition (ISO/IEC 38500:2008), clauses,

17、 sub-clauses, and figures of which have been technically revised.iv ISO/IEC 2015 All rights reserved BS ISO/IEC 38500:2015 ISO/IEC 38500:2015(E) Introduction The objective of this International Standard is to provide principles, definitions, and a model for governing bodies to use when evaluating, d

18、irecting, and monitoring the use of information technology (IT) in their organizations. This International Standard is a high level, principles-based advisory standard. In addition to providing broad guidance on the role of a governing body, it encourages organizations to use appropriate standards t

19、o underpin their governance of IT. Most organizations use IT as a fundamental business tool and few can function effectively without it. IT is also a significant factor in the future business plans of many organizations. Expenditure on IT can represent a significant proportion of an organizations ex

20、penditure of financial and human resources. However, a return on this investment is often not realized fully and the adverse effects on organizations can be significant. The main reasons for these negative outcomes are the emphasis on the technical, financial, and scheduling aspects of IT activities

21、 rather than emphasis on the whole business context of use of IT. This International Standard provides principles, definitions, and a model for good governance of IT, to assist those at the highest level of organizations to understand and fulfil their legal, regulatory, and ethical obligations in re

22、spect of their organizations use of IT. This International Standard is aligned with the definition of corporate governance that was published as a Report of the Committee on the Financial Aspects of Corporate Governance (the Cadbury Report) in 1992. The Cadbury Report also provided the foundation de

23、finition of corporate governance in the OECD Principles of Corporate Governance in 1999 (revised in 2004). Governance is distinct from management, and for the avoidance of confusion, the two concepts are defined in this International Standard and elaborated in ISO/IEC TR 38502. This International St

24、andard is addressed primarily to the governing body. In some (typically smaller) organizations, the members of the governing body can also be executive managers. This International Standard is applicable for all organizations, from the smallest to the largest, regardless of purpose, design, and owne

25、rship structure. The implementation of governance of IT is covered by ISO/IEC TS 38501. ISO/IEC 2015 All rights reserved v BS ISO/IEC 38500:2015 Information technology Governance of IT for the organization 1 Scope This International Standard provides guiding principles for members of governing bodie

26、s of organizations (which can comprise owners, directors, partners, executive managers, or similar) on the effective, efficient, and acceptable use of information technology (IT) within their organizations. It also provides guidance to those advising, informing, or assisting governing bodies. They i

27、nclude the following: executive managers; members of groups monitoring the resources within the organization; external business or technical specialists, such as legal or accounting specialists, retail or industrial associations, or professional bodies; internal and external service providers (inclu

28、ding consultants); auditors. This International Standard applies to the governance of the organizations current and future use of IT including management processes and decisions related to the current and future use of IT. These processes can be controlled by IT specialists within the organization,

29、external service providers, or business units within the organization. This International Standard defines the governance of IT as a subset or domain of organizational governance, or in the case of a corporation, corporate governance. This International Standard is applicable to all organizations, i

30、ncluding public and private companies, government entities, and not-for-profit organizations. This International Standard is applicable to organizations of all sizes from the smallest to the largest, regardless of the extent of their use of IT. The purpose of this International Standard is to promot

31、e effective, efficient, and acceptable use of IT in all organizations by assuring stakeholders that, if the principles and practices proposed by the standard are followed, they can have confidence in the organizations governance of IT, informing and guiding governing bodies in governing the use of I

32、T in their organization, and establishing a vocabulary for the governance of IT. 2 T erms a nd definiti ons For the purposes of this document, the following terms and definitions apply. 2.1 acceptable meets stakeholder expectations that are capable of being shown as reasonable or merited 2.2 account

33、able answerable for actions, decisions, and performance INTERNATIONAL ST ANDARD ISO/IEC 38500:2015(E) ISO/IEC 2015 All rights reserved 1 BS ISO/IEC 38500:2015 ISO/IEC 38500:2015(E) 2.3 accountability state of being accountable Note 1 to entry: Accountability relates to an allocated responsibility. T

34、he responsibility can be based on regulation or agreement or through assignment as part of delegation. 2.4 corporate governance system by which corporations are directed and controlled Note 1 to entry: Corporate governance is organizational governance applied to corporations. Note 2 to entry: From C

35、adbury 1992 and OECD 1999. Note 3 to entry: Definition is included to clarify evolution in terminology from previous edition. 2.5 direct communicate desired purposes and outcomes to Note 1 to entry: In the context of governance of IT, direct involves setting objectives, strategies, and policies to b

36、e adopted by the members of the organization to ensure that use of IT meets business objectives. Note 2 to entry: Objectives, strategies, and policies can be set by managers if they have authority delegated by the governing body. 2.6 evaluate consider and make informed judgements Note 1 to entry: In

37、 the context of governance of IT, evaluate involves judgements about the internal and external, current and future circumstances and opportunities relating to the organizations current and future use of IT. 2.7 executive manager person who has authority delegated from the governing body for implemen

38、tation of strategies and policies to fulfil the purpose of the organization Note 1 to entry: Executive managers can include roles which report to the governing body or the head of the organization or have overall accountability for major reporting function, for example Chief Executive Officers (CEOs

39、), Heads of Government Organizations, Chief Financial Officers (CFOs), Chief Operating Officers (COOs), Chief Information Officers (CIOs), and similar roles. Note 2 to entry: In management standards, executive managers can be referred to as top management. 2.8 governance system of directing and cont

40、rolling 2.9 governing body person or group of people who are accountable for the performance and conformance of the organization 2.10 governance of IT system by which the current and future use of IT is directed and controlled Note 1 to entry: Governance of IT is a component or a subset of organizat

41、ional governance. Note 2 to entry: The term governance of IT is equivalent to the terms corporate governance of IT, enterprise governance of IT, and organizational governance of IT.2 ISO/IEC 2015 All rights reserved BS ISO/IEC 38500:2015 ISO/IEC 38500:2015(E) 2.11 human behaviour interaction among h

42、umans and other elements of the system Note 1 to entry: Human behaviour includes culture, needs, and aspirations of people as individuals and as groups. Note 2 to entry: In respect of IT, there are numerous groups or communities of humans, each with their own needs, aspirations, and behaviours. For

43、example, people who use information systems might exhibit needs relating to accessibility and ergonomics, as well as availability and performance. People whose job roles are changing because of the use of IT might exhibit needs relating to communication, training, and reassurance. People involved in

44、 building and operating IT capabilities might exhibit needs relating to working conditions and development of skills. 2.12 information technology (IT) resources used to acquire, process, store, and disseminate information Note 1 to entry: This term also includes “communications technology (CT)” and

45、the composite term “information and communications technology (ICT)”. 2.13 investment allocation of resources to achieve defined objectives and other benefits 2.14 management exercise of control and supervision within the authority and accountability established by governance Note 1 to entry: The te

46、rm management is often used as a collective term for those with responsibility for controlling an organization or par t s of an organization. The term managers is used to avoid confusion with management systems. 2.15 managers group of people responsible for control and supervision of an organization

47、 or parts of an organization Note 1 to entry: Executive managers are a category of managers. 2.16 monitor review as a basis for appropriate decisions and adjustments Note 1 to entry: Monitor involves routinely obtaining information about progress against plans as well as the periodic examination of

48、overall achievements against agreed strategies and outcomes to provide a basis for decision making and adjustments to plans. Note 2 to entry: Monitor includes reviewing compliance with relevant legislation, regulations, and organizational policies. 2.17 organization person or group of people that ha

49、s its own functions with responsibilities, authorities, and relationships to achieve its objectives Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation, firm, enterprise, authority, partnership, charity, or institution, or part or combination thereof, whether incorporated or not, public, or private. SOURCE: Consolidated ISO Supplement 2013- Procedures specific to ISO, Annex XL, Appendix 2. The note has been added in this International Standard. 2.18 organizati