BS ISO IEC 38505-1-2017 Information technology Governance of IT Governance of data Application of ISO IEC 38500 to the governance of data《信息技术 IT规制 数据治理 ISO IEC 38500数据治理应.pdf

1、BS ISO/IEC 38505-1:2017 Information technology Governance of IT Governance of data Part 1: Application of ISO/IEC 38500 to the governance of data BSI Standards Publication WB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06BS ISO/IEC 38505-1:2017 BRITISH STANDARD National foreword This British

2、Standard is the UK implementation of ISO/IEC 38505-1:2017. The UK participation in its preparation was entrusted to Technical Committee 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

3、does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2017. Published by BSI Standards Limited 2017 ISBN 978 0 580 92321 0 ICS 35.020 Compliance with a British Standard cannot confer immunity from

4、legal obligations. This British Standard was published under the authority of the Standards Policy and Strategy Committee on 30 April 2017. Amendments/corrigenda issued since publication Date T e x t a f f e c t e dBS ISO/IEC 38505-1:2017 Information technology Governance of IT Governance of data Pa

5、rt 1: Application of ISO/IEC 38500 to the governance of data Technologies de linformation Gouvernance des technologies de linformation Gouvernance des donnes Partie 1: Application de lISO/IEC 38500 la gouvernance des donnes INTERNATIONAL STANDARD ISO/IEC 38505-1 Reference number ISO/IEC 38505-1:2017

6、(E) First edition 2017-04 ISO/IEC 2017 BS ISO/IEC 38505-1:2017ii ISO/IEC 2017 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2017, Published in Switzerland All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by

7、 any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonnet 8 CP

8、 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO/IEC 38505-1:2017(E)BS ISO/IEC 38505-1:2017ISO/IEC 38505-1:2017(E)Foreword v Introduction vi 1 Scope . 1 2 Normative references 1 3 T erms and definitions . 2 4 Good governance of dat

9、a 4 4.1 Benefits of good governance of data 4 4.2 Responsibilities of the governing body 5 4.3 Governing body and oversight mechanisms 5 5 Principles, model and aspects for good governance of data . 5 6 Data accountability 6 6.1 General . 6 6.2 Collect . 7 6.3 Store . 8 6.4 Report . 8 6.5 Decide . 9

10、 6.6 Distribute . 9 6.7 Dispose 10 7 Guidance for the governance of data Principles 10 7.1 General 10 7.2 Principle 1 Responsibility .10 7.3 Principle 2 Strategy 11 7.4 Principle 3 Acquisition .11 7.5 Principle 4 Performance .11 7.6 Principle 5 Conformance 11 7.7 Principle 6 Human behaviour 12 8 Gui

11、dance for the governance of data Model 12 8.1 Applying the model 12 8.2 Internal requirements .13 8.3 External pressures 13 8.4 Evaluate 13 8.5 Direct 14 8.6 Monitor .14 9 Guidanc e for the go v ernanc e of data Data-specific aspects 15 9.1 General 15 9.2 Value 15 9.2.1 General.15 9.2.2 Quality 15 9

12、.2.3 Timeliness.16 9.2.4 Context .16 9.2.5 Volume .16 9.3 Risk .16 9.3.1 General.16 9.3.2 Management .16 9.3.3 Data classification schemes .17 9.3.4 Security .17 9.4 Constraints 17 9.4.1 General.17 9.4.2 Regulation and legislation 17 9.4.3 Societal 17 9.4.4 Organizational policy 18 ISO/IEC 2017 All

13、rights reserved iii Contents PageBS ISO/IEC 38505-1:2017ISO/IEC 38505-1:2017(E)10 Application of the data accountability map 18 Bibliography .20 iv ISO/IEC 2017 All rights reservedBS ISO/IEC 38505-1:2017ISO/IEC 38505-1:2017(E) Foreword ISO (the International Organization for Standardization) and IEC

14、 (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 the respective organization to deal with pa

15、rticular 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 information technology, ISO and IEC have es

16、tablished 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 different types of document should be noted

17、. 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 IEC shall not be held responsible for id

18、entifying 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 document is information given for the c

19、onvenience of users and does not constitute an endorsement. For an explanation on the meaning of ISO specific terms and expressions related to conformit y assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT)

20、 see the following URL: www . i s o .org/ iso/ foreword .html. This document was prepared by Technical Committee ISO/IEC/JTC 1, Information technology, Subcommittee SC 40, IT Service Management and IT Governance. ISO/IEC 2017 All rights reserved vBS ISO/IEC 38505-1:2017ISO/IEC 38505-1:2017(E) Introd

21、uction The objective of this document is to provide principles, definitions and a model for governing bodies to use when evaluating, directing and monitoring the handling and use of data in their organizations. This document is a high level, principles-based advisory standard. In addition to providi

22、ng broad guidance on the role of a governing body, it encourages organizations to use appropriate standards to underpin their governance of data. All organizations use data, and the major proportion of this data is stored electronically across IT systems. With the advent of cloud computing, the real

23、ization of the potential of the “internet of things” and the increasing use of “big data” analytics, data is becoming easier to generate, gather, store and mine for useful information. This flood of data brings with it an urgent requirement and responsibility for governing bodies to ensure that valu

24、able opportunities are leveraged and sensitive data is protected and secured. This document has been prepared to provide guidelines to the members of governing bodies to apply a principles-based approach to the governance of data so as to increase the value of the data while decreasing the risks ass

25、ociated with this data. ISO/IEC 38500 provides principles and model for the governing bodies of organizations to guide their current use and to plan for their future use of Information technology (IT), and it is that document that is applied here. As with ISO/IEC 38500, this document is addressed pr

26、imarily to the governing body of an organization, and will equally apply regardless of the size of the organization or its industry or sector. Governance is distinct from management and thus we are concerned with evaluating, directing and monitoring the use of data, rather than the mechanics of stor

27、ing, retrieving or managing the data. That being said, an understanding of some data management and techniques is outlined in order to enunciate the possible strategies and policies that could be directed by the governing body.vi ISO/IEC 2017 All rights reservedBS ISO/IEC 38505-1:2017Information tec

28、hnology Governance of IT Governance of data Part 1: Application of ISO/IEC 38500 to the governance of data 1 Scope This document provides guiding principles for members of governing bodies of organizations (which can comprise owners, directors, partners, executive managers, or similar) on the effect

29、ive, efficient, and acceptable use of data within their organizations by applying the governance principles and model of ISO/IEC 38500 to the governance of data, assuring stakeholders that, if the principles and practices proposed by this document are followed, they can have confidence in the organi

30、zations governance of data, informing and guiding governing bodies in the use and protection of data in their organization, and establishing a vocabulary for the governance of data. This document can also provide guidance to a wider community, including: executive managers, external businesses or te

31、chnical specialists, such as legal or accounting specialists, retail or industrial associations, or professional bodies, internal and external service providers (including consultants), and auditors. While this document looks at the governance of data and its use within an organization, guidance on

32、the implementation arrangement for the effective governance of IT in general is found in ISO/IEC/TS 38501. The constructs in ISO/IEC/TS 38501 can help to identify internal and external factors relating to the governance of IT and help to define beneficial outcomes and identify evidence of success. T

33、his document applies to the governance of the current and future use of data that is created, collected, stored or controlled by IT systems, and impacts the management processes and decisions relating to data. This document defines the governance of data as a subset or domain of the governance of IT

34、, which itself is a subset or domain of organizational, or in the case of a corporation, corporate governance. This document is applicable to all organizations, including public and private companies, government entities, and not-for-profit organizations. This document is applicable to organizations

35、 of all sizes from the smallest to the largest, regardless of the extent of their dependence on data. 2 Normative references The following documents are referred to in the text in such a way that some or all of their content constitutes requirements of this document. For dated references, only the e

36、dition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO/IEC 38500, Information technology Governance of IT for the organization INTERNATIONAL ST ANDARD ISO/IEC 38505-1:2017(E) ISO/IEC 2017 All rights reserved 1BS ISO/IEC 385

37、05-1:2017ISO/IEC 38505-1:2017(E) 3 T erms a nd definiti ons For the purposes of this document, the terms and definitions given in ISO/IEC 38500 and the following apply. ISO and IEC maintain terminological databases for use in standardization at the following addresses: IEC Electropedia: available at

38、 h t t p :/ www .electropedia .org/ ISO Online browsing platform: available at h t t p :/ www .iso .org/ obp 3.1 anonymization process by which personally identifiable information (PII) is irreversibly altered in such a way that a PII principal can no longer be identified directly or indirectly, eit

39、her by the PII controller alone or in collaboration with any other party SOURCE: ISO/IEC 29100:2011, 2.2 3.2 big data data set(s) with characteristics (e.g. volume, velocity, variety, variability, veracity, etc.) that for a particular problem domain at a given point in time cannot be efficiently pro

40、cessed using current/existing/established/traditional technologies and techniques in order to extract value Note 1 to entry: The term Big Data is commonly used in many different ways, for example as the name of the scalable technology used to handle big data extensive datasets. SOURCE: ISO/IEC 20546

41、: 1) , 3.2.1 3.3 cloud computing paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual resources with self-service provisioning and administration on-demand Note 1 to entry: Examples of resources include servers, operating systems, networks, software, a

42、pplications, and storage equipment. SOURCE: ISO/IEC 17788:2014, 3.2.5 3.4 data accountability accountability for data and its use Note 1 to entry: The “use” of data includes all activities associated with data. 3.5 de -ide nt i f ic at ion general term for any process of removing the association bet

43、ween a set of identifying data and the data subject SOURCE: ISO/TS 25237:2008, 3.18 1) Under preparation. 2 ISO/IEC 2017 All rights reservedBS ISO/IEC 38505-1:2017ISO/IEC 38505-1:2017(E) 3.6 internet of things IoT global infrastructure for the information society, enabling advanced services by inter

44、connecting (physical and virtual) things based on, existing and evolving, interoperable information and communication technologies Note 1 to entry: Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services

45、to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled. Note 2 to entry: In a broad perspective, the IoT can be perceived as a vision with technological and societal implications. SOURCE: Rec. ITU-T Y.2060 3.7 machine learning process using algorithms rath

46、er than procedural coding that enables learning from existing data in order to predict future outcomes 3.8 pseudonymization process applied to personally identifiable information (PII) which replaces identifying information with an alias Note 1 to entry: Pseudonymization can be performed either by P

47、II principals themselves or by PII controllers. Pseudonymization can be used by PII principals to consistently use a resource or service without disclosing their identity to this resource or service (or between services), while still being held accountable for that use. Note 2 to entry: Pseudonymiza

48、tion does not rule out the possibility that there might be (a restricted set of) privacy stakeholders other than the PII controller of the pseudonymized data which are able to determine the PII principals identity based on the alias and data linked to it. SOURCE: ISO/IEC 29100:2011, 2.24 3.9 p e r s

49、 o n a l l y i d e n t i f i a b l e i n f o r m a t i o n PII any information that (a) can be used to identify the PII principal to whom such information relates, or (b) is or might be directly or indirectly linked to a PII principal Note 1 to entry: To determine whether a PII principal is identifiable, account should be taken of all the means which can reasonably be used by the privacy stakeholder holding the data, or by any othe