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数据治理应用》.pdf

1、BS ISO/IEC 38505-1:2017Information technology Governance of IT Governance of data Part 1: Application of ISO/IEC 38500 to the governance of dataBSI Standards PublicationWB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06BS ISO/IEC 38505-1:2017 BRITISH STANDARDNational forewordThis British Stand

2、ard 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 does not

3、 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 2017ISBN 978 0 580 92321 0 ICS 35.020 Compliance with a British Standard cannot confer immunity from legal obli

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

5、ion of ISO/IEC 38500 to the governance of dataTechnologies de linformation Gouvernance des technologies de linformation Gouvernance des donnes Partie 1: Application de lISO/IEC 38500 la gouvernance des donnesINTERNATIONAL STANDARDISO/IEC38505-1Reference numberISO/IEC 38505-1:2017(E)First edition2017

6、-04 ISO/IEC 2017BS ISO/IEC 38505-1:2017ii ISO/IEC 2017 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO/IEC 2017, Published in SwitzerlandAll rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or

7、 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 officeCh. de Blandonnet 8 CP 401CH-1214 Vernier, Geneva

8、, SwitzerlandTel. +41 22 749 01 11Fax +41 22 749 09 47copyrightiso.orgwww.iso.orgISO/IEC 38505-1:2017(E)BS ISO/IEC 38505-1:2017ISO/IEC 38505-1:2017(E)Foreword vIntroduction vi1 Scope . 12 Normative references 13 Terms and definitions . 24 Good governance of data 44.1 Benefits of good governance of d

9、ata 44.2 Responsibilities of the governing body 54.3 Governing body and oversight mechanisms 55 Principles, model and aspects for good governance of data . 56 Data accountability 66.1 General . 66.2 Collect . 76.3 Store . 86.4 Report . 86.5 Decide . 96.6 Distribute . 96.7 Dispose 107 Guidance for th

10、e governance of data Principles 107.1 General 107.2 Principle 1 Responsibility . 107.3 Principle 2 Strategy 117.4 Principle 3 Acquisition . 117.5 Principle 4 Performance . 117.6 Principle 5 Conformance 117.7 Principle 6 Human behaviour 128 Guidance for the governance of data Model 128.1 Applying the

11、 model 128.2 Internal requirements . 138.3 External pressures 138.4 Evaluate 138.5 Direct 148.6 Monitor . 149 Guidance for the governance of data Data-specific aspects 159.1 General 159.2 Value 159.2.1 General. 159.2.2 Quality 159.2.3 Timeliness. 169.2.4 Context . 169.2.5 Volume . 169.3 Risk . 169.3

12、.1 General. 169.3.2 Management . 169.3.3 Data classification schemes . 179.3.4 Security . 179.4 Constraints 179.4.1 General. 179.4.2 Regulation and legislation 179.4.3 Societal 179.4.4 Organizational policy 18 ISO/IEC 2017 All rights reserved iiiContents PageBS ISO/IEC 38505-1:2017ISO/IEC 38505-1:20

13、17(E)10 Application of the data accountability map 18Bibliography .20iv ISO/IEC 2017 All rights reservedBS ISO/IEC 38505-1:2017ISO/IEC 38505-1:2017(E)ForewordISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system f

14、or 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 particular fields of technical activity. ISO and IEC technical committees collab

15、orate 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 established a joint technical committee, ISO/IEC JTC 1.The procedures used to de

16、velop 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. This document was drafted in accordance with the editorial rules of the ISO/I

17、EC 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 identifying any or all such patent rights. Details of any patent rights identified

18、 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 convenience of users and does not constitute an endorsement.For an explanation on

19、the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL: www .iso .org/ iso/ foreword .html.This document was prepar

20、ed 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)IntroductionThe objective of this document is to provide principles, definitions and a model f

21、or 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 providing broad guidance on the role of a governing body, it encourages organizations to use appr

22、opriate 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 realization of the potential of the “internet of things” and the increasing use of “big data” a

23、nalytics, 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 valuable opportunities are leveraged and sensitive data is protected and secured.This document

24、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 associated with this data. ISO/IEC 38500 provides principles and model for the governing bodies

25、 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 primarily to the governing body of an organization, and will equally apply regardless of the si

26、ze 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 storing, retrieving or managing the data. That being said, an understanding of some data manageme

27、nt 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 technology Governance of IT Governance of data Part 1: Application of ISO/IEC 38500 to the gover

28、nance of data1 ScopeThis document provides guiding principles for members of governing bodies of organizations (which can comprise owners, directors, partners, executive managers, or similar) on the effective, efficient, and acceptable use of data within their organizations by applying the governanc

29、e 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 organizations governance of data, informing and guiding governing bodies in the use and protection of

30、 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 technical specialists, such as legal or accounting specialists, retail or industrial associations,

31、 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 the implementation arrangement for the effective governance of IT in general is found in ISO/IEC/

32、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.This document applies to the governance of the current and future use of data that is created, coll

33、ected, 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, which itself is a subset or domain of organizational, or in the case of a corporation, corporate

34、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 of all sizes from the smallest to the largest, regardless of the extent of their dependence on data

35、.2 Normative referencesThe 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 edition cited applies. For undated references, the latest edition of the referenced document (including

36、 any amendments) applies.ISO/IEC 38500, Information technology Governance of IT for the organizationINTERNATIONAL STANDARD ISO/IEC 38505-1:2017(E) ISO/IEC 2017 All rights reserved 1BS ISO/IEC 38505-1:2017ISO/IEC 38505-1:2017(E)3 Terms and definitionsFor the purposes of this document, the terms and d

37、efinitions 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 h t t p :/ www .electropedia .org/ ISO Online browsing platform: available at h t t p :/ www .iso .org/ obp3.1

38、anonymizationprocess 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, either by the PII controller alone or in collaboration with any other partySOURCE: ISO/IEC 29100:2011, 2.23.2big data

39、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 processed using current/existing/established/traditional technologies and techniques in order to extract valueNote 1 to e

40、ntry: 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 20546:1), 3.2.13.3cloud computingparadigm for enabling network access to a scalable and elastic pool of shareable physical or

41、 virtual resources with self-service provisioning and administration on-demandNote 1 to entry: Examples of resources include servers, operating systems, networks, software, applications, and storage equipment.SOURCE: ISO/IEC 17788:2014, 3.2.53.4data accountabilityaccountability for data and its useN

42、ote 1 to entry: The “use” of data includes all activities associated with data.3.5de-identificationgeneral term for any process of removing the association between a set of identifying data and the data subjectSOURCE: ISO/TS 25237:2008, 3.181) Under preparation. 2 ISO/IEC 2017 All rights reservedBS

43、ISO/IEC 38505-1:2017ISO/IEC 38505-1:2017(E)3.6internet of thingsIoTglobal infrastructure for the information society, enabling advanced services by interconnecting (physical and virtual) things based on, existing and evolving, interoperable information and communication technologiesNote 1 to entry:

44、Through the exploitation of identification, data capture, processing and communication capabilities, the IoT makes full use of things to offer services to all kinds of applications, whilst ensuring that security and privacy requirements are fulfilled.Note 2 to entry: In a broad perspective, the IoT

45、can be perceived as a vision with technological and societal implications.SOURCE: Rec. ITU-T Y.20603.7machine learningprocess using algorithms rather than procedural coding that enables learning from existing data in order to predict future outcomes3.8pseudonymizationprocess applied to personally id

46、entifiable information (PII) which replaces identifying information with an aliasNote 1 to entry: Pseudonymization can be performed either by PII principals themselves or by PII controllers. Pseudonymization can be used by PII principals to consistently use a resource or service without disclosing t

47、heir identity to this resource or service (or between services), while still being held accountable for that use.Note 2 to entry: Pseudonymization 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

48、which are able to determine the PII principals identity based on the alias and data linked to it.SOURCE: ISO/IEC 29100:2011, 2.243.9personally identifiable informationPIIany information that (a) can be used to identify the PII principal to whom such information relates, or (b) is or might be directl

49、y or indirectly linked to a PII principalNote 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 other party, to identify that natural person.SOURCE: ISO/IEC 29100:2011, 2.93.10PII principalnatural person to whom the personally identifiable information (PII) relatesNote 1 to entry: Depending on the jurisdiction and the particular data protection