ISO/IEC 27050-1:2016
(Main)Information technology — Security techniques — Electronic discovery — Part 1: Overview and concepts
Information technology — Security techniques — Electronic discovery — Part 1: Overview and concepts
Electronic discovery is the process of discovering pertinent Electronically Stored Information (ESI) or data by one or more parties involved in an investigation or litigation, or similar proceeding. ISO/IEC 27050:2016 provides an overview of electronic discovery. In addition, it defines related terms and describes the concepts, including, but not limited to, identification, preservation, collection, processing, review, analysis, and production of ESI. This document also identifies other relevant standards (e.g. ISO/IEC 27037) and how they relate to, and interact with, electronic discovery activities. ISO/IEC 27050-1:2016 is relevant to both non-technical and technical personnel involved in some or all of the electronic discovery activities, and it is not intended to contradict or supersede local jurisdictional laws and regulations, so exercise care to ensure compliance with the prevailing jurisdictional requirements.
Technologies de l'information — Techniques de sécurité — Découverte électronique — Partie 1: Aperçu général et concepts
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INTERNATIONAL ISO/IEC
STANDARD 27050-1
First edition
2016-11-01
Information technology — Security
techniques — Electronic discovery —
Part 1:
Overview and concepts
Technologies de l’information — Techniques de sécurité —
Découverte électronique —
Partie 1: Aperçu général et concepts
Reference number
ISO/IEC 27050-1:2016(E)
©
ISO/IEC 2016
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ISO/IEC 27050-1:2016(E)
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ISO/IEC 27050-1:2016(E)
Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Symbols and abbreviated terms . 4
5 Overall ISO/IEC 27050 structure and overview . 5
5.1 Purpose and structure . 5
5.2 Overview of ISO/IEC 27050-1: Overview and concepts . 5
5.3 Overview of ISO/IEC 27050-2: Guidance for governance and management of
electronic discovery . 5
5.4 Overview of ISO/IEC 27050-3: Code of practice for electronic discovery . 6
5.5 Overview of ISO/IEC 27050-4: ICT readiness for electronic discovery . 6
6 Overview of electronic discovery . 6
6.1 Background . 6
6.2 Basic concepts . 6
6.3 Objectives of electronic discovery . 7
6.4 Electronic discovery foundation . 8
6.4.1 General. 8
6.4.2 Competency . 8
6.4.3 Candour . 8
6.4.4 Cooperation . 8
6.4.5 Completeness . 8
6.4.6 Proportionality . 8
6.5 Governance and electronic discovery . 9
6.5.1 General. 9
6.5.2 Risk and environmental factors . 9
6.5.3 Compliance and review . 9
6.5.4 Privacy and data protection . 9
6.6 ICT readiness for electronic discovery .10
6.6.1 General.10
6.6.2 Long-term retention of ESI .10
6.6.3 Maintaining ESI confidentiality .10
6.6.4 Destruction of ESI .10
6.7 Planning and budgeting an electronic discovery project .10
7 Electronically Stored Information (ESI) .11
7.1 Background .11
7.2 Common types of ESI .12
7.2.1 General.12
7.2.2 Active data .12
7.2.3 Inactive data . .12
7.2.4 Residual data .12
7.2.5 Legacy data .13
7.3 Common sources of ESI .13
7.3.1 General.13
7.3.2 Custodian data sources .13
7.3.3 Non-custodian data sources .13
7.3.4 Potentially excluded sources of ESI .14
7.4 ESI representations .14
7.4.1 General.14
7.4.2 Native formats .14
7.4.3 Near-native formats .15
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ISO/IEC 27050-1:2016(E)
7.4.4 Image (near-paper) formats .15
7.4.5 Hardcopy .15
7.5 Non-ESI as part of discovery .15
8 Electronic discovery process.16
8.1 Overview .16
8.2 ESI identification .18
8.3 ESI preservation .18
8.4 ESI collection .18
8.5 ESI processing .19
8.6 ESI review .19
8.7 ESI analysis .19
8.8 ESI production .19
9 Additional considerations .20
9.1 Presentation of ESI .20
9.2 Chain of custody and provenance .20
Bibliography .21
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ISO/IEC 27050-1:2016(E)
Foreword
ISO (the International Organization 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 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 information 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 different 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 shall 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 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 ISO’s 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.
The committee responsible for this document is ISO/IEC JTC 1, Information technology, Subcommittee
SC 27, IT Security techniques.
A list of all parts in the ISO/IEC 27050 series can be found on the ISO website.
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ISO/IEC 27050-1:2016(E)
Introduction
This document provides an overview of electronic discovery and describes related terminology,
concepts, and processes that are intended to be leveraged by other parts of ISO/IEC 27050.
Electronic discovery often serves as a driver for investigations as well as evidence acquisition and
handling activities (covered in ISO/IEC 27037). In addition, the sensitivity and criticality of the data
sometimes necessitate protections like storage security to guard against data breaches (covered in
ISO/IEC 27040).
This document is not a reference or normative document for regulatory and legislative security
requirements. Although it emphasizes the importance of these influences, it cannot state them
specifically, since they are dependent on the country, the type of business, etc.
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INTERNATIONAL STANDARD ISO/IEC 27050-1:2016(E)
Information technology — Security techniques —
Electronic discovery —
Part 1:
Overview and concepts
1 Scope
Electronic discovery is the process of discovering pertinent Electronically Stored Information (ESI)
or data by one or more parties involved in an investigation or litigation, or similar proceeding. This
document provides an overview of electronic discovery. In addition, it defines related terms and
describes the concepts, including, but not limited to, identification, preservation, collection, processing,
review, analysis, and production of ESI. This document also identifies other relevant standards (e.g.
ISO/IEC 27037) and how they relate to, and interact with, electronic discovery activities.
This document is relevant to both non-technical and technical personnel involved in some or all of the
electronic discovery activities, and it is not intended to contradict or supersede local jurisdictional laws
and regulations, so exercise care to ensure compliance with the prevailing jurisdictional requirements.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 27000 and the
following 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 browsing platform: available at http://www.iso.org.obp
3.1
chain of custody
demonstrable possession, movement, handling, and location of material from one point in time
until another
3.2
custodian
person or entity that has custody, control or possession of Electronically Stored Information (3.9)
3.3
data breach
compromise of security that leads to the accidental or unlawful destruction, loss, alteration,
unauthorized disclosure of, or access to protected data transmitted, stored (3.26) or otherwise
processed
[SOURCE: ISO/IEC 27040:2015, 3.7]
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ISO/IEC 27050-1:2016(E)
3.4
discovery
process by which each party obtains information held by another party or non-party concerning a matter
Note 1 to entry: Discovery is applicable more broadly than to parties in adversarial disputes.
Note 2 to entry: Discovery is also the disclosure of hardcopy documents, Electronically Stored Information (3.9)
and tangible objects by an adverse party.
Note 3 to entry: In some jurisdictions, the term disclosure is used interchangeably with discovery.
3.5
disposition
range of processes associated with implementing records retention, destruction or transfer decisions
which are documented in disposition authorities (3.6) or other instruments
[SOURCE: ISO 15489-1:2016, 3.8]
3.6
disposition authority
instrument that defines the disposition (3.5) actions that are authorized for specified records
[SOURCE: ISO 15489-1:2016, 3.9]
3.7
electronic archive
long-term repository of Electronically Stored Information (3.9)
Note 1 to entry: Electronic archives can be online, and therefore accessible, or off-line and not easily accessible.
Note 2 to entry: Backup systems (e.g. tape, virtual tape, etc.) are not intended to be electronic archives, but rather
data protection systems (i.e. recovery mechanisms for disaster recovery and business continuity).
3.8
electronic discovery
discovery (3.4) that includes the identification, preservation, collection, processing, review, analysis, or
production of Electronically Stored Information (3.9)
Note 1 to entry: Although electronic discovery is often considered a legal process, its use is not limited to the
legal domain.
3.9
Electronically Stored Information
ESI
data or information of any kind and from any source, whose temporal existence is evidenced by being
stored (3.26) in or on any electronic medium
Note 1 to entry: ESI includes traditional e-mail, memos, letters, spreadsheets, databases, office documents,
presentations and other electronic formats commonly found on a computer. ESI also includes system, application
and file-associated metadata (3.19) such as timestamps, revision history, file type, etc.
Note 2 to entry: Electronic medium can take the form of, but is not limited to, storage devices and storage
elements.
[SOURCE: ISO/IEC 27040:2015, 3.16]
3.10
ESI analysis
element of an electronic discovery (3.8) process focused on evaluating Electronically Stored Information
(3.9) for content and context to identify facts, relationships, key patterns, and other features that can
lead to improved understanding of an ESI (3.9) corpus
Note 1 to entry: Content and context can include key patterns, topics, people and discussions.
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3.11
ESI collection
element of an electronic discovery (3.8) process focused on gathering Electronically Stored Information
(3.9) and other related material
3.12
ESI identification
element of an electronic discovery (3.8) process focused on locating potential sources and the criteria
for selecting potentially relevant Electronically Stored Information (3.9)
3.13
ESI preservation
element of an electronic discovery (3.8) process focused on maintaining Electronically Stored Information
(3.9) in its original or existing state
Note 1 to entry: In some matters or jurisdictions, there can be requirements to prevent spoliation (3.24) of
Electronically Stored Information (3.9).
3.14
ESI processing
element of an electronic discovery (3.8) process focused on extracting Electronically Stored Information
(3.9) and converting it, if necessary, to forms more suitable for ESI review (3.16) and ESI analysis (3.10)
3.15
ESI production
element of an electronic discovery (3.8) process focused on delivering or making available Electronically
Stored Information (3.9)
Note 1 to entry: ESI production can also include getting Electronically Stored Information (3.9) in appropriate
forms and using appropriate delivery mechanisms.
Note 2 to entry: ESI production can be to any person or organization.
3.16
ESI review
element of an electronic discovery (3.8) process focused on screening Electronically Stored Information
(3.9) based on specific criteria
Note 1 to entry: In some matters or jurisdictions, Electronically Stored Information (3.9) that is considered
privileged can be excluded from production.
3.17
investigation
systematic or formal process of inquiring into or researching, and examining facts or materials
associated with a matter
Note 1 to entry: Materials can take the form of hardcopy documents or Electronically Stored Information (3.9).
3.18
legal hold
process of suspending the normal disposition (3.5) or processing of records and Electronically Stored
Information (3.9) as a result of current or anticipated litigation, audit, government investigation or
other such matters
Note 1 to entry: The issued communication that implements the legal hold can also be called a “hold,”
“preservation order,” “preservation notice,” “suspension order,” “freeze notice,” “hold order,” or “hold notice.”
3.19
metadata
data that defines and describes other data
[SOURCE: ISO/IEC 11179-1:2015, 3.2.16]
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ISO/IEC 27050-1:2016(E)
3.20
non-volatile storage
storage (3.25) that retains its contents even after power is removed
[SOURCE: ISO/IEC 27040:2015, 3.30]
3.21
production file format
organization and representation of data and metadata (3.19) that is presented to a requesting party
3.22
provenance
information that documents the origin or source of Electronically Stored Information (3.9), any changes
that have taken place since it was originated, and who has had custody of it since it was originated
3.23
sanitize
process to remove information from media such that data recovery is not possible at a given level of effort
[SOURCE: ISO/IEC 27040:2015, 3.38, modified]
Note 1 to entry: Clear, purge, and destruct are actions that can be taken to sanitize storage media.
3.24
spoliation
act of making or allowing a change to or destruction of Electronically Stored Information (3.9) where
there is a requirement to keep it intact
Note 1 to entry: Spoliation can take the form of ESI (3.9) destruction, corruption, or alteration of the ESI (3.9) or
associated metadata (3.19) as well as rendering ESI (3.9) unavailable (e.g. due to encryption with no access to the
decryption key, loss of media, under the control of a third party, etc.).
3.25
storage
device, function, or service supporting data entry and retrieval
[SOURCE: ISO/IEC 27040:2015, 3.43]
3.26
store
record data on volatile storage (3.27) or non-volatile storage (3.20)
[SOURCE: ISO/IEC 27040:2015, 3.50]
3.27
volatile storage
storage (3.25) that fails to retain its contents after power is removed
[SOURCE: ISO/IEC 27040:2015, 3.53]
4 Symbols and abbreviated terms
CD compact disc
DVD digital versatile disc
EDMS electronic document management system
ERMS electronic records management system
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ISO/IEC 27050-1:2016(E)
ICT information and communications technology
NAS network attached storage
OCR optical character recognition
PII personally identifiable information
RAM random access memory
5 Overall ISO/IEC 27050 structure and overview
5.1 Purpose and structure
ISO/IEC 27050 (all parts) provides requirements and guidance for the process of discovering pertinent
Electronically Stored Information (ESI) or data by one or more parties involved in an investigation or
litigation, or similar proceeding. Figure 1 provides a notional architecture of ISO/IEC 27050 (all parts).
Figure 1 — ISO/IEC 27050 architecture
5.2 Overview of ISO/IEC 27050-1: Overview and concepts
This document provides an overview of electronic discovery, introducing relevant terminology,
concepts, and processes. This document is an informative document.
5.3 Overview of ISO/IEC 27050-2: Guidance for governance and management of
electronic discovery
This document addresses how personnel at senior levels within an organization can identify and take
ownership of risks related to electronic discovery, set policy relating to electronic discovery and achieve
compliance with external and internal requirements relating to electronic discovery.
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ISO/IEC 27050-1:2016(E)
5.4 Overview of ISO/IEC 27050-3: Code of practice for electronic discovery
This document considers each of the distinct elements of the electronic discovery process (ESI
identification, ESI preservation, ESI collection, ESI processing, ESI review, ESI analysis, and ESI
production) and, for each process element, identifies (i) the objectives, (ii) considerations to avoid
failures, and (iii) the specific requirements and guidance for adherence to ISO/IEC 27050 (all parts).
5.5 Overview of ISO/IEC 27050-4: ICT readiness for electronic discovery
This document provides guidance on the ways an organization can be better prepared to address
electronic discovery from the perspective of both technology and processes.
6 Overview of electronic discovery
6.1 Background
Electronic discovery is increasingly important, both within organizations and in the legal systems
of some jurisdictions. This trend is expected to continue as more and more electronic records and
information (or ESI) are created, modified, manipulated, used, and ultimately destroyed without ever
taking on a physical form (e.g. a printed document). The emergence of ESI as the preferred representation
of information is introducing new challenges associated with locating the ESI, handling massive
quantities of data, preservation and retention of ESI, authenticity, data integrity, data confidentiality,
data or media sanitization, etc. While electronic discovery needs and responses vary by matter, failure
to appropriately handle the electronic discovery process in view of the context of a particular matter
can result in rework, unnecessary costs, possible sanctions, and legal liabilities.
ISO/IEC 27050 (all parts) addresses these challenges by
— promoting a common approach, understanding, and language for electronic discovery,
— encouraging practical and cost-effective discovery by those tasked with managing ESI through the
process,
— identifying competency areas for those involved in electronic discovery,
— promoting consideration of the proactive use of technology,
...
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