EN ISO IEC 27041-2016 en Information technology - Security techniques - Guidance on assuring suitability and adequacy of incident investigative method《信息技术-安全技术在保证事件调查方法的适宜性和充分性指南(.pdf

1、BS ISO/IEC 27041:2015Information technology Security techniques Guidance on assuringsuitability and adequacy ofincident investigative methodBS EN ISO/IEC 27041:2016(ISO/IEC 27041:2015)BSI Standards PublicationWB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06BS EN ISO/IEC 27041:2016 BRITISH ST

2、ANDARDNational forewordThis British Standard is the UK implementation of EN ISO/IEC 27041:2016. It is identical to ISO/IEC 27041:2015. It supersedes BS ISO/IEC 27041:2015 which is withdrawn.The UK participation in its preparation was entrusted by Technical Committee IST/33, IT - Security techniques,

3、 to Subcommittee IST/33/4, Security Controls and Services.A list of organizations represented on this subcommittee can be obtained on request to its secretary.This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. T

4、he British Standards Institution 2016. Published by BSI Standards Limited 2016ISBN 978 0 580 83393 9ICS 35.040Compliance with a British Standard cannot confer immunity from legal obligations.This British Standard was published under the authority of the Standards Policy and Strategy Committee on 30

5、June 2015.Amendments/corrigenda issued since publicationDate Text affected30 September 2016 This corrigendum renumbers BS ISO/IEC 27041:2015 as BS EN ISO/IEC 27041:2016.EUROPEAN STANDARD NORME EUROPENNE EUROPISCHE NORM EN ISO/IEC 27041 August 2016 ICS 35.040 English Version Information technology -

6、Security techniques - Guidance on assuring suitability and adequacy of incident investigative method (ISO/IEC 27041:2015) Technologies de linformation - Techniques de scurit - Directives sur la faon dassurer laptitude lemploi et ladquation dune mthode dinvestigation dincident (ISO/IEC 27041:2015) In

7、formationstechnik - IT-Sicherheitsverfahren - Leitfaden zur Sicherung der Tauglichkeit und Eignung von Vorfall-Untersuchungsmethoden (ISO/IEC 27041:2015) This European Standard was approved by CEN on 19 June 2016. CEN and CENELEC members are bound to comply with the CEN/CENELEC Internal Regulations

8、which stipulate the conditions for giving this European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN and CENELEC

9、member. This European Standard exists in three official versions (English, French, German). A version in any other language made by translation under the responsibility of a CEN and CENELEC member into its own language and notified to the CEN-CENELEC Management Centre has the same status as the offi

10、cial versions. CEN and CENELEC members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta,

11、Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION C OMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2016 CEN a

12、nd CENELEC All rights of exploitation in any form and by any means reserved worldwide for CEN and CENELEC national Members. Ref. No. EN ISO/IEC 27041:2016 E BS ISO/IEC 27041:2015ISO/IEC 27041:2015(E)Foreword ivIntroduction v1 Scope . 12 Normative references 13 Terms and definitions . 14 Symbols and

13、abbreviated terms . 45 Method development and assurance . 45.1 Overview 45.2 General principles 45.3 General development and deployment model . 45.4 Assurance stages . 55.5 Requirements capture and analysis 65.5.1 General principles of requirements . 65.5.2 Functional Requirements . 75.5.3 Verificat

14、ion of requirements 75.6 Process Design 75.6.1 Overview . 75.6.2 Tool Selection 75.6.3 Uncertainty and risk evaluation . 75.7 Process Implementation . 85.7.1 Overview . 85.7.2 Tool choice guidance for deployment . 85.8 Process Verification 85.8.1 General principles of verification 85.8.2 Verificatio

15、n of processes . 95.8.3 Verification of tools 95.9 Process Validation 95.9.1 General principles of validation 95.9.2 Comprehensive validation . 95.9.3 Sufficient validation 95.9.4 Fully validated processes . 105.9.5 Failed validation 105.10 Confirmation 105.11 Deployment . 105.11.1 Tool choice 105.1

16、2 Review and Maintenance 106 Assurance Models .116.1 Overview . 116.2 In-house assurance 116.3 External assurance . 116.4 Mixed assurance . 117 Production of evidence for assurance .117.1 Overview . 117.2 Pre-validation preparation 127.3 Producing Evidence of Validation 127.4 Maintenance of Validati

17、on 127.5 Validation of Examinations 127.6 Validation of Investigations . 13Annex A (informative) Examples .14Bibliography .18 ISO/IEC 2015 All rights reserved iiiContents PageEN ISO/IEC 27041:2016 (E) 3 European foreword The text of ISO/IEC 27041:2015 has been prepared by Technical Committee Committ

18、ee ISO/IEC JTC 1 “Information technology” of the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC) and has been taken over as EN ISO/IEC 27041:2016. This European Standard shall be given the status of a national standard, either by publicati

19、on of an identical text or by endorsement, at the latest by February 2017, and conflicting national standards shall be withdrawn at the latest by February 2017. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN and/or CENELEC sh

20、all not be held responsible for identifying any or all such patent rights. According to the CEN-CENELEC Internal Regulations, the national standards organizations of the following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, De

21、nmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. Endorsement

22、notice The text of ISO/IEC 27041:2015 has been approved by CEN as EN ISO/IEC 27041:2016 without any modification. BS EN ISO/IEC 27041:2016EN ISO/IEC 27041:2016 (E)BS ISO/IEC 27041:2015ISO/IEC 27041:2015(E)Foreword ivIntroduction v1 Scope . 12 Normative references 13 Terms and definitions . 14 Symbol

23、s and abbreviated terms . 45 Method development and assurance . 45.1 Overview 45.2 General principles 45.3 General development and deployment model . 45.4 Assurance stages . 55.5 Requirements capture and analysis 65.5.1 General principles of requirements . 65.5.2 Functional Requirements . 75.5.3 Ver

24、ification of requirements 75.6 Process Design 75.6.1 Overview . 75.6.2 Tool Selection 75.6.3 Uncertainty and risk evaluation . 75.7 Process Implementation . 85.7.1 Overview . 85.7.2 Tool choice guidance for deployment . 85.8 Process Verification 85.8.1 General principles of verification 85.8.2 Verif

25、ication of processes . 95.8.3 Verification of tools 95.9 Process Validation 95.9.1 General principles of validation 95.9.2 Comprehensive validation . 95.9.3 Sufficient validation 95.9.4 Fully validated processes . 105.9.5 Failed validation 105.10 Confirmation 105.11 Deployment . 105.11.1 Tool choice

26、 105.12 Review and Maintenance 106 Assurance Models .116.1 Overview . 116.2 In-house assurance 116.3 External assurance . 116.4 Mixed assurance . 117 Production of evidence for assurance .117.1 Overview . 117.2 Pre-validation preparation 127.3 Producing Evidence of Validation 127.4 Maintenance of Va

27、lidation 127.5 Validation of Examinations 127.6 Validation of Investigations . 13Annex A (informative) Examples .14Bibliography .18 ISO/IEC 2015 All rights reserved iiiContents PageBS EN ISO/IEC 27041:2016ISO/IEC 27041:2015(E)BS ISO/IEC 27041:2015ISO/IEC 27041:2015(E)ForewordISO (the International O

28、rganization 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 the

29、 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 inf

30、ormation 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 diffe

31、rent 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 IEC sh

32、all 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 document

33、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 Trade (TBT

34、) see the following URL: Foreword - Supplementary informationThe committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 27, IT Security techniques.iv ISO/IEC 2015 All rights reservedBS ISO/IEC 27041:2015ISO/IEC 27041:2015(E)IntroductionAbout this International StandardT

35、his International Standard is concerned with providing assurance that the investigative process used is appropriate for the incident under investigation and the results which are required. It also describes, at an abstract level, the concept of breaking seemingly complex processes into a series of s

36、maller atomic parts, which should aid in the development of simple, yet robust, investigation methods. It should be considered by any person authorising, giving instruction for, managing, or conducting an investigation. It should be applied prior to any investigation, in the context of principles an

37、d processes (defined in ISO/IEC 27043:2015) and sound preparation and planning (defined in ISO/IEC 27035-21) to ensure the suitability of methods to be applied in the investigative processes described in ISO/IEC 27037:2012 and ISO/IEC 27042:2015.Relationship to other standardsThis International Stan

38、dard is intended to complement other standards and documents which give guidance on the investigation of, and preparation to investigate, information security incidents. It is not a comprehensive guide, but lays down certain fundamental principles which are intended to ensure that tools, techniques,

39、 and methods can be selected appropriately and shown to be fit for purpose should the need arise.This International Standard also intends to inform decision-makers that need to determine the reliability of digital evidence presented to them. It is applicable to organizations needing to protect, anal

40、yse, and present potential digital evidence. It is relevant to policy-making bodies that create and evaluate procedures relating to digital evidence, often as part of a larger body of evidence.This International Standard describes part of a comprehensive investigative process which includes, but is

41、not limited to, the following topic areas: incident management, including preparation and planning for investigations; handling of digital evidence; use of, and issues caused by, redaction; intrusion prevention and detection systems, including information which can be obtained from these systems; se

42、curity of storage, including sanitization of storage; ensuring that investigative methods are fit for purpose; carrying out analysis and interpretation of digital evidence; understanding principles and processes of digital evidence investigations; security incident event management, including deriva

43、tion of evidence from systems involved in security incident event management; relationship between electronic discovery and other investigative methods, as well as the use of electronic discovery techniques in other investigations; governance of investigations, including forensic investigations.Thes

44、e topic areas are addressed, in part, by the following ISO/IEC standards: ISO/IEC 27037:20121) To be published. ISO/IEC 2015 All rights reserved vBS EN ISO/IEC 27041:2016ISO/IEC 27041:2015(E)BS ISO/IEC 27041:2015ISO/IEC 27041:2015(E)ForewordISO (the International Organization for Standardization) an

45、d 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 the respective organization to deal wi

46、th 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 information technology, ISO and IEC ha

47、ve 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 different types of document should be no

48、ted. 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 ide

49、ntifying 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 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 Tech