1、December 2016 English price group 14No part of this translation may be reproduced without prior permission ofDIN Deutsches Institut fr Normung e. V., Berlin. Beuth Verlag GmbH, 10772 Berlin, Germany,has the exclusive right of sale for German Standards (DIN-Normen).ICS 35.030!%Z“2599155www.din.deDIN
2、EN ISO/IEC 27041Information technology Security techniques Guidance on assuring suitability and adequacy of incident investigative method (ISO/IEC 27041:2015);English version EN ISO/IEC 27041:2016,English translation of DIN EN ISO/IEC 27041:2016-12Informationstechnik ITSicherheitsverfahren Leitfaden
3、 zur Sicherung der Eignung und Angemessenheit von VorfallUntersuchungsmethoden (ISO/IEC 27041:2015);Englische Fassung EN ISO/IEC 27041:2016,Englische bersetzung von DIN EN ISO/IEC 27041:2016-12Technologies de linformation Techniques de scurit Directives sur la faon dassurer laptitude lemploi et ladq
4、uation dune mthode dinvestigation dincident (ISO/IEC 27041:2015);Version anglaise EN ISO/IEC 27041:2016,Traduction anglaise de DIN EN ISO/IEC 27041:2016-12www.beuth.deDocument comprises 28 pagesDTranslation by DIN-Sprachendienst.In case of doubt, the German-language original shall be considered auth
5、oritative.01.17 DIN EN ISO/IEC 27041:2016-12 2 A comma is used as the decimal marker. National foreword This document (EN ISO/IEC 27041:2016) has been prepared by Joint Technical Committee ISO/IEC JTC 1 “Information technology”, Subcommittee SC 27 “IT Security techniques” (Secretariat: DIN, Germany)
6、. Based on a decision of CEN/BT, ISO/IEC 27041:2015 has been submitted to the Unique Acceptance Procedure (UAP) and taken over as EN ISO/IEC 27041:2016 without any modification. The responsible German body involved in its preparation was DIN-Normenausschuss Informationstechnik und Anwendungen (DIN S
7、tandards Committee Information Technology and selected IT Applications), Working Committee NA 043-01-27-04 AK IT-Sicherheitsmanahmen und Dienste. EUROPEAN STANDARD NORME EUROPENNE EUROPISCHE NORM EN ISO/IEC 27041 August 2016 ICS 35.040 English Version Information technology - Security techniques - G
8、uidance 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) Informationstechnik - IT-
9、Sicherheitsverfahren - Leitfaden zur Sicherung der Eignung und Angemessenheit 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 which stipulate the co
10、nditions 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 member. This European
11、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 official versions. CEN and
12、 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, Netherlands, Norway, P
13、oland, 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 and CENELEC All rights
14、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 European foreword .3Introduction 51 Scope . 92 Normative references 93 Terms and definitions . 94 Symbols and abbreviated terms 125 Method development and assurance
15、125.1 Overview . 125.2 General principles . 125.3 General development and deployment model 125.4 Assurance stages 135.5 Requirements capture and analysis . 145.5.1 General principles of requirements 145.5.2 Functional Requirements 155.5.3 Verification of requirements . 155.6 Process Design . 155.6.1
16、 Overview 155.6.2 Tool Selection . 155.6.3 Uncertainty and risk evaluation 155.7 Process Implementation 165.7.1 Overview 165.7.2 Tool choice guidance for deployment 165.8 Process Verification . 165.8.1 General principles of verification . 165.8.2 Verification of processes 175.8.3 Verification of too
17、ls . 175.9 Process Validation . 175.9.1 General principles of validation . 175.9.2 Comprehensive validation 175.9.3 Sufficient validation . 175.9.4 Fully validated processes . 185.9.5 Failed validation 185.10 Confirmation 185.11 Deployment . 185.11.1 Tool choice 185.12 Review and Maintenance 186 Ass
18、urance Models .196.1 Overview . 196.2 In-house assurance 196.3 External assurance . 196.4 Mixed assurance . 197 Production of evidence for assurance .207.1 Overview . 207.2 Pre-validation preparation 207.3 Producing Evidence of Validation 207.4 Maintenance of Validation 207.5 Validation of Examinati
19、ons 207.6 Validation of Investigations . 21Annex A (informative) Examples .22Bibliography .26Contents PageForeword .4DIN EN ISO/IEC 27041:2016-12EN ISO/IEC 27041:2016 (E)2 European foreword The text of ISO/IEC 27041:2015 has been prepared by Technical Committee Committee ISO/IEC JTC 1 “Information t
20、echnology” 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 publication of an identical text or by e
21、ndorsement, 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 shall not be held responsible for
22、 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, Denmark, Estonia, Finland, Former
23、 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 notice The text of ISO/IEC 2704
24、1:2015 has been approved by CEN as EN ISO/IEC 27041:2016 without any modification. DIN EN ISO/IEC 27041:2016-12EN ISO/IEC 27041:2016 (E)3 ForewordISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide
25、 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 collaborate in fie
26、lds 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 develop this d
27、ocument 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/IEC Directives
28、, 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 during the deve
29、lopment 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
30、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) see the following URL: Foreword - Supplementary informationThe committee responsible for this document is ISO/IEC JTC 1, Informa
31、tion technology, SC 27, IT Security techniques.DIN EN ISO/IEC 27041:2016-12EN ISO/IEC 27041:2016 (E)4 IntroductionAbout this International StandardThis International Standard is concerned with providing assurance that the investigative process used is appropriate for the incident under investigation
32、 and the results which are required. It also describes, at an abstract level, the concept of breaking seemingly complex processes into a series of smaller atomic parts, which should aid in the development of simple, yet robust, investigation methods. It should be considered by any person authorising
33、, giving instruction for, managing, or conducting an investigation. It should be applied prior to any investigation, in the context of principles and 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
34、applied in the investigative processes described in ISO/IEC 27037:2012 and ISO/IEC 27042:2015.Relationship to other standardsThis International Standard is intended to complement other standards and documents which give guidance on the investigation of, and preparation to investigate, information se
35、curity incidents. It is not a comprehensive guide, but lays down certain fundamental principles which are intended to ensure that tools, techniques, and methods can be selected appropriately and shown to be fit for purpose should the need arise.This International Standard also intends to inform deci
36、sion-makers that need to determine the reliability of digital evidence presented to them. It is applicable to organizations needing to protect, analyse, and present potential digital evidence. It is relevant to policy-making bodies that create and evaluate procedures relating to digital evidence, of
37、ten as part of a larger body of evidence.This International Standard describes part of a comprehensive investigative process which includes, but is not limited to, the following topic areas: incident management, including preparation and planning for investigations; handling of digital evidence; use
38、 of, and issues caused by, redaction; intrusion prevention and detection systems, including information which can be obtained from these systems; security of storage, including sanitization of storage; ensuring that investigative methods are fit for purpose; carrying out analysis and interpretation
39、of digital evidence; understanding principles and processes of digital evidence investigations; security incident event management, including derivation of evidence from systems involved in security incident event management; relationship between electronic discovery and other investigative methods,
40、 as well as the use of electronic discovery techniques in other investigations; governance of investigations, including forensic investigations.These topic areas are addressed, in part, by the following ISO/IEC standards: ISO/IEC 27037:20121) To be published.DIN EN ISO/IEC 27041:2016-12EN ISO/IEC 27
41、041:2016 (E)5 This International Standard describes the means by which those involved in the early stages of an investigation, including initial response, can ensure that sufficient potential digital evidence is captured to allow the investigation to proceed appropriately. ISO/IEC 27038:2014Some doc
42、uments can contain information that must not be disclosed to some communities. Modified documents can be released to these communities after an appropriate processing of the original document. The process of removing information that is not to be disclosed is called “redaction”.The digital redaction
43、 of documents is a relatively new area of document management practice, raising unique issues and potential risks. Where digital documents are redacted, removed information must not be recoverable. Hence, care needs to be taken so that redacted information is permanently removed from the digital doc
44、ument (e.g. it must not be simply hidden within non-displayable portions of the document).ISO/IEC 27038:2014 specifies methods for digital redaction of digital documents. It also specifies requirements for software that can be used for redaction. ISO/IEC 27040:2015This International Standard provide
45、s detailed technical guidance on how organizations can define an appropriate level of risk mitigation by employing a well-proven and consistent approach to the planning, design, documentation, and implementation of data storage security. Storage security applies to the protection (security) of infor
46、mation where it is stored and to the security of the information being transferred across the communication links associated with storage. Storage security includes the security of devices and media, the security of management activities related to the devices and media, the security of applications
47、 and services, and security relevant to end-users during the lifetime of devices and media and after end of use.Security mechanisms like encryption and sanitization can affect ones ability to investigate by introducing obfuscation mechanisms. They have to be considered prior to and during the conduc
48、t of an investigation. They can also be important in ensuring that storage of evidential material during and after an investigation is adequately prepared and secured. ISO/IEC 27042:2015This International Standard describes how methods and processes to be used during an investigation can be designed and implemented in order to allow correct evaluation of potential digital evidence, interpretation of digital evidence, and eff
