1、BS ISO/IEC 27004:2016 Information technology Security techniques Information security management Monitoring, measurement, analysis and evaluation BSI Standards Publication WB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06BS ISO/IEC 27004:2016 BRITISH STANDARD National foreword This British St
2、andard is the UK implementation of ISO/IEC 27004:2016. It supersedes BS ISO/IEC 27004:2009 which is withdrawn. The UK participation in its preparation was entrusted to Technical Committee IST/33/1, Information Security Management. A list of organizations represented on this committee can be obtained
3、 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. The British Standards Institution 2016. Published by BSI Standards Limited 2016 ISBN 978 0 580 83513 1 ICS 35.030 Compliance with
4、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 31 December 2016. Amendments/corrigenda issued since publication Date T e x t a f f e c t e dBS ISO/IEC 27004:2016 Information t
5、echnology Security techniques Information security management Monitoring, measurement, analysis and evaluation Technologies de linformation Techniques de scurit Management de la scurit de linformation Surveillance, mesurage, analyse et valuation INTERNATIONAL STANDARD ISO/IEC 27004 Reference number
6、ISO/IEC 27004:2016(E) Second edition 2016-12-15 ISO/IEC 2016 BS ISO/IEC 27004:2016ii ISO/IEC 2016 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2016, Published in Switzerland All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwi
7、se 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 either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Ch
8、. de Blandonnet 8 CP 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 27004:2016(E)BS ISO/IEC 27004:2016ISO/IEC 27004:2016(E)Foreword iv Introduction v 1 Scope . 1 2 Normative references 1 3 T erms and definitions . 1 4 Structur
9、e and overview . 1 5 Rationale . 2 5.1 The need for measurement 2 5.2 Fulfilling the ISO/IEC 27001 requirements . 3 5.3 Validity of results 3 5.4 Benefits 3 6 Characteristics 4 6.1 General . 4 6.2 What to monitor. 4 6.3 What to measure . 5 6.4 When to monitor, measure, analyse and evaluate 6 6.5 Who
10、 will monitor, measure, analyse and evaluate . 6 7 Types of measures 7 7.1 General . 7 7.2 Performance measures 7 7.3 Effectiveness measures 8 8 Processes 9 8.1 General . 9 8.2 Identify information needs 10 8.3 Create and maintain measures .11 8.3.1 General.11 8.3.2 Identify current security practic
11、es that can support information needs .11 8.3.3 Develop or update measures 12 8.3.4 Document measures and prioritize for implementation .13 8.3.5 Keep management informed and engaged .13 8.4 Establish procedures 14 8.5 Monitor and measure .14 8.6 Analyse results .15 8.7 Evaluate information security
12、 performance and ISMS effectiveness .15 8.8 Review and improve monitoring, measurement, analysis and evaluation processes 15 8.9 Retain and communicate documented information 15 Annex A (informative) An information security measurement model 17 Annex B (informative) Measurement construct examples .1
13、9 Annex C (informative) An example of free-text form measurement construction 57 Bibliography .58 ISO/IEC 2016 All rights reserved iii Contents PageBS ISO/IEC 27004:2016ISO/IEC 27004:2016(E) Foreword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
14、 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 particular fields of technical activit
15、y. 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 established a joint technical committe
16、e, 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. This document was drafted in accord
17、ance 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 identifying any or all such patent rights.
18、 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
19、 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) see the following URL: www.iso.org/iso/for
20、eword.html. The committee responsible for this document is ISO/IEC JTC 1, Information technology, Subcommittee SC 27, IT Security techniques. This second edition of ISO/IEC 27004 cancels and replaces the first edition (ISO/IEC 27004:2009), which has been technically revised. This edition includes th
21、e following significant changes with respect to the previous edition: A total restructuring of the document because it has a new purpose to provide guidance on ISO/IEC 27001:2013, 9.1 which, at the time of the previous edition, did not exist. The concepts and processes have been modified and expande
22、d. However, the theoretical foundation (ISO/IEC 15939) remains the same and several of the examples given in the previous edition are preserved, albeit updated.iv ISO/IEC 2016 All rights reservedBS ISO/IEC 27004:2016ISO/IEC 27004:2016(E) Introduction This document is intended to assist organizations
23、 to evaluate the information security performance and the effectiveness of an information security management system in order to fulfil the requirements of ISO/IEC 27001:2013, 9.1: monitoring, measurement, analysis and evaluation. The results of monitoring and measurement of an information security
24、management system (ISMS) can be supportive of decisions relating to ISMS governance, management, operational effectiveness and continual improvement. As with other ISO/IEC 27000 documents, this document should be considered, interpreted and adapted to suit each organizations specific situation. The
25、concepts and approaches are intended to be broadly applicable but the particular measures that any particular organization requires depend on contextual factors (such as its size, sector, maturity, information security risks, compliance obligations and management style) that vary widely in practice.
26、 This document is recommended for organizations implementing an ISMS that meets the requirements of ISO/IEC 27001. However, it does not establish any new requirements for ISMS which conform to ISO/IEC 27001 or impose any obligations upon organizations to observe the guidelines presented. ISO/IEC 201
27、6 All rights reserved vBS ISO/IEC 27004:2016BS ISO/IEC 27004:2016Information technology Security techniques Information security management Monitoring, measurement, analysis and evaluation 1 Scope This document provides guidelines intended to assist organizations in evaluating the information securi
28、ty performance and the effectiveness of an information security management system in order to fulfil the requirements of ISO/IEC 27001:2013, 9.1. It establishes: a) the monitoring and measurement of information security performance; b) the monitoring and measurement of the effectiveness of an inform
29、ation security management system (ISMS) including its processes and controls; c) the analysis and evaluation of the results of monitoring and measurement. This document is applicable to all types and sizes of organizations. 2 Normative references The following documents are referred to in the text i
30、n 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 any amendments) applies. There are no normative references in this document
31、. 3 T erms a nd definiti ons For the purposes of this document, the terms and definitions given in ISO/IEC 27000 apply. ISO and IEC maintain terminological databases for use in standardization at the following addresses: IEC Electropedia: available at http:/ /www.electropedia.org/ ISO Online browsin
32、g platform: available at http:/ /www.iso.org/obp 4 Structure and overview This document is structured as follows: a) Rationale (Clause 5); b) Characteristics (Clause 6); c) Types of measures (Clause 7); d) Processes (Clause 8). The ordering of these clauses is intended to aid understanding and map t
33、o ISO/IEC 27001:2013, 9.1 requirements, as is illustrated in Figure 1. Starting with the information needed to fulfil that requirement, referred to as information needs, the organization determines the measures that it will use to fulfil those information needs. The process INTERNATIONAL ST ANDARD I
34、SO/IEC 27004:2016(E) ISO/IEC 2016 All rights reserved 1BS ISO/IEC 27004:2016ISO/IEC 27004:2016(E) of monitoring and measurement produces data which is then analysed. The results of analysis are evaluated in fulfilment of the organizations information needs. In addition, Annex A describes a measureme
35、nt model for information security, including the relationship between the components of the measurement model and the requirements of ISO/IEC 27001:2013, 9.1. Annex B provides a wide range of examples. These examples are intended to provide practical guidance on how organizations can monitor, measur
36、e, analyse and evaluate their chosen ISMS processes and areas of information security performance. These examples use the suggested template given in Table 1. Annex C provides a further example using an alternative free-form text-based format. Figure 1 Mapping to ISO/IEC 27001:2013, 9.1 requirements
37、 5 Rationale 5.1 The need for measurement The overall objective of an ISMS is the preservation of confidentiality, integrity and availability of information within its scope. There are ISMS activities that concern the planning of how to do this, and the implementation of those plans. However, by the
38、mselves, these activities cannot guarantee that the realisation of those plans fulfil the information security objectives. Therefore, in the ISMS as defined by ISO/IEC 27001, there are several requirements to evaluate if the plans and activities ensure the fulfilment of the information security obje
39、ctives.2 ISO/IEC 2016 All rights reservedBS ISO/IEC 27004:2016ISO/IEC 27004:2016(E) 5.2 F ulfilling the ISO/I E C 27001 r equir ements ISO/IEC 27001:2013, 9.1 requires the organization to evaluate the information security performance and the effectiveness of the ISMS. Measure types able to fulfil th
40、ese requirements can be found in Clause 7. ISO/IEC 27001:2013, 9.1 further requires the organization to determine: a) what needs to be monitored and measured, including information security processes and controls; b) the methods for monitoring, measurement, analysis and evaluation, as applicable, to
41、 ensure valid results; c) when the monitoring and measuring shall be performed; d) who shall monitor and measure; e) when the results from monitoring and measurement shall be analysed and evaluated; and f) who shall analyse and evaluate these results. The mapping of these requirements is provided in
42、 Figure 1. Finally, ISO/IEC 27001:2013, 9.1 requires the organization to retain appropriate documented information as evidence of the monitoring and measurement results (See 8.9). ISO/IEC 27001:2013, 9.1 also notes that methods selected should produce comparable and reproducible results in order for
43、 them to be considered valid (See 6.4). 5.3 Validity of results ISO/IEC 27001:2013, 9.1 b) requires that organizations choose methods for measurement, monitoring, analysis and evaluation to ensure valid results. The clause notes that to be valid, results should be comparable and reproducible. To ach
44、ieve this, organizations should collect, analyse, and report measures, taking the following points into consideration: a) in order to get comparable results on measures that are based on monitoring at different points in times, it is important to ensure that scope and context of the ISMS are not cha
45、nged; b) changes in the methods or techniques used for measuring and monitoring do not generally lead to comparable results. In order to retain comparability, specific tests such as parallel application of the original as well as the changed methods can be required; c) if subjective elements are par
46、t of the methods or techniques used for measuring and monitoring, specific steps can be needed to obtain reproducible results. As an example, questionnaire results should be evaluated against defined criteria; and d) in some situations, reproducibility can only be given in specific circumstances. Fo
47、r example, there are situations where results are non-reproducible, but are valid when aggregated. 5.4 Benefits Fulfilling ISMS processes and controls and ensuring information security performance can provide a number of organizational and financial benefits. Major benefits can include: a) Increased
48、 accountability: Monitoring, measurement, analysis and evaluation can increase accountability for information security by helping to identify specific information security processes or controls that are implemented incorrectly, are not implemented, or are ineffective. b) Improved information securit
49、y performance and ISMS processes: Monitoring, measurement, analysis and evaluation can enable organizations to quantify improvements in securing information ISO/IEC 2016 All rights reserved 3BS ISO/IEC 27004:2016ISO/IEC 27004:2016(E) within the scope of their ISMS and demonstrate quantifiable progress in accomplishing the organizations information security objectives. c) Evidence of meeting requirements: Monitoring, measurement, analysis and evaluation can provide documented
