ISO/IEC 38505-1:2017
(Main)Information technology — Governance of IT — Governance of data — Part 1: Application of ISO/IEC 38500 to the governance of data
Information technology — Governance of IT — Governance of data — Part 1: Application of ISO/IEC 38500 to the governance of data
ISO/IEC 38505-1:2017 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 governance 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 organization's governance of data, - informing and guiding governing bodies in the use and protection of data in their organization, and - establishing a vocabulary for the governance of data. ISO/IEC 38505-1:2017 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, 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/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. ISO/IEC 38505-1:2017 applies to the governance of the current and future use of data that is created, collected, stored or controlled by IT systems, and impacts the management processes and decisions relating to data. ISO/IEC 38505-1:2017 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 governance. ISO/IEC 38505-1:2017 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.
Technologies de l'information — Gouvernance des technologies de l'information — Gouvernance des données — Partie 1: Application de l'ISO/IEC 38500 à la gouvernance des données
General Information
Standards Content (Sample)
INTERNATIONAL ISO/IEC
STANDARD 38505-1
First edition
2017-04
Information technology — Governance
of IT — Governance of data —
Part 1:
Application of ISO/IEC 38500 to the
governance of data
Technologies de l’information — Gouvernance des technologies de
l’information — Gouvernance des données —
Partie 1: Application de l’ISO/IEC 38500 à la gouvernance des données
Reference number
ISO/IEC 38505-1:2017(E)
©
ISO/IEC 2017
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ISO/IEC 38505-1:2017(E)
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ISO/IEC 38505-1:2017(E)
Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 2
4 Good governance of data . 4
4.1 Benefits of good governance of data . 4
4.2 Responsibilities of the governing body . 5
4.3 Governing body and oversight mechanisms. 5
5 Principles, model and aspects for good governance of data . 5
6 Data accountability . 6
6.1 General . 6
6.2 Collect . 7
6.3 Store . 8
6.4 Report . 8
6.5 Decide . 9
6.6 Distribute . 9
6.7 Dispose .10
7 Guidance for the governance of data — Principles .10
7.1 General .10
7.2 Principle 1 — Responsibility .10
7.3 Principle 2 — Strategy .11
7.4 Principle 3 — Acquisition .11
7.5 Principle 4 — Performance .11
7.6 Principle 5 — Conformance .11
7.7 Principle 6 — Human behaviour .12
8 Guidance for the governance of data — Model .12
8.1 Applying the model .12
8.2 Internal requirements .13
8.3 External pressures .13
8.4 Evaluate .13
8.5 Direct .14
8.6 Monitor .14
9 Guidance for the governance of data — Data-specific aspects .15
9.1 General .15
9.2 Value .15
9.2.1 General.15
9.2.2 Quality .15
9.2.3 Timeliness.16
9.2.4 Context .16
9.2.5 Volume .16
9.3 Risk .16
9.3.1 General.16
9.3.2 Management .16
9.3.3 Data classification schemes .17
9.3.4 Security .17
9.4 Constraints .17
9.4.1 General.17
9.4.2 Regulation and legislation .17
9.4.3 Societal .17
9.4.4 Organizational policy .18
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ISO/IEC 38505-1:2017(E)
10 Application of the data accountability map .18
Bibliography .20
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ISO/IEC 38505-1:2017(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 . i so .org/ iso/ foreword .html.
This document was prepared by Technical Committee ISO/IEC/JTC 1, Information technology,
Subcommittee SC 40, IT Service Management and IT Governance.
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ISO/IEC 38505-1:2017(E)
Introduction
The objective of this document is to provide principles, definitions and a model for 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 appropriate 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” analytics, 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 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 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 size 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 management and techniques is outlined in order to enunciate the possible
strategies and policies that could be directed by the governing body.
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INTERNATIONAL STANDARD ISO/IEC 38505-1:2017(E)
Information technology — Governance of IT — Governance
of data —
Part 1:
Application of ISO/IEC 38500 to the governance of data
1 Scope
This 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 governance 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 organization’s governance of data,
— informing and guiding governing bodies in the use and protection of 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, 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/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, collected,
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 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.
2 Normative references
The 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 any amendments) applies.
ISO/IEC 38500, Information technology — Governance of IT for the organization
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ISO/IEC 38505-1:2017(E)
3 Terms and definitions
For the purposes of this document, the terms and definitions 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 http:// www .electropedia .org/
— ISO Online browsing platform: available at http:// www .iso .org/ obp
3.1
anonymization
process 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 party
[SOURCE: ISO/IEC 29100:2011, 2.2]
3.2
big data
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 value
Note 1 to entry: 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.
1)
[SOURCE: ISO/IEC 20546:— , 3.2.1]
3.3
cloud computing
paradigm for enabling network access to a scalable and elastic pool of shareable physical or virtual
resources with self-service provisioning and administration on-demand
Note 1 to entry: Examples of resources include servers, operating systems, networks, software, applications, and
storage equipment.
[SOURCE: ISO/IEC 17788:2014, 3.2.5]
3.4
data accountability
accountability for data and its use
Note 1 to entry: The “use” of data includes all activities associated with data.
3.5
de-identification
general term for any process of removing the association between a set of identifying data and the
data subject
[SOURCE: ISO/TS 25237:2008, 3.18]
1) Under preparation.
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ISO/IEC 38505-1:2017(E)
3.6
internet of things
IoT
global infrastructure for the information society, enabling advanced services by interconnecting
(physical and virtual) things based on, existing and evolving, interoperable information and
communication technologies
Note 1 to entry: 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 can be perceived as a vision with technological and societal
implications.
[SOURCE: Rec. ITU-T Y.2060]
3.7
machine learning
process using algorithms rather than procedural coding that enables learning from existing data in
order to predict future outcomes
3.8
pseudonymization
process applied to personally identifiable information (PII) which replaces identifying information
with an alias
Note 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 their
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 which are able to determine the PII
principal’s identity based on the alias and data linked to it.
[SOURCE: ISO/IEC 29100:2011, 2.24]
3.9
personally identifiable information
PII
any information that (a) can be used to identify the PII principal to whom such information relates, or
(b) is or might be directly or indirectly linked to a PII principal
Note 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, 2.9]
3.10
PII principal
natural person to whom the personally identifiable information (PII) relates
Note 1 to entry: Depending on the jurisdiction and the particular data protection and privacy legislation, the
synonym “data subject” can also be used instead of the term “PII principal”.
[SOURCE: ISO/IEC 29100:2011, 2.11]
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ISO/IEC 38505-1:2017(E)
4 Good governance of data
4.1 Benefits of good governance of data
Good governance of data assists governing bodies in ensuring that the use of data throughout an
organization contributes positively to the performance of the organization through:
— innovation in services, markets and business;
— appropriate implementation and operation of data assets;
— clarity of responsibility and accountability for both the protection and potential to add value;
— minimization of adverse or unintended consequences.
Organizations with good governance of data should be expected to be:
— trustworthy organizations for data owners and data users to transact with;
— able to provide reliable data for sharing;
— protectors of intellectual property and other value derived from data;
— organizations with policy and practice in place to deter hackers and fraudulent activity;
— prepared to minimize the impact of data breaches;
— aware of when and how data can be reused;
— able to demonstrate good data handling practices.
This document establishes principles for the effective, efficient and acceptable use of data. Governing
bodies, by ensuring that their organizations follow these principles, will be assisted in managing
risks and encouraging the exploitation of opportunities arising from the safe handling and accurate
interpretation of quality data.
Good governance of data also assists governing bodies in assuring conformance with obligations
(regulatory, legislation, contractual) concerning the acceptable use and handling of data.
This document establishes a model for the governance of data. The risk of governing bodies not
fulfilling their obligation is mitigated by giving due attention to the model in appropriately applying the
principles.
Inadequate provision for the governance of data can expose an organization to several risks including:
— penalties of not complying with legislation, especially legislation relating to required privacy
measures;
— loss of confidentiality of business data, e.g. recipes or design specifications;
— loss of trust from stakeholders, including business partners, customers and the public;
— inability to carry out critical organizational functions due to lack of trustworthy or business-
relevant data;
— increased competition through the strategic use of data by competitors.
Governing bodies can be held accountable for:
— breaches of privacy, spam, health and safety, record keeping legislation and regulations;
— non-compliance with mandated standards relating to security, social responsibility;
— matters relating to intellectual property rights.
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ISO/IEC 38505-1:2017(E)
4.2 Responsibilities of the governing body
Members of the governing body are responsible for the governance of data and are accountable for the
effective, efficient and acceptable use of data by the organization.
The governing body’s authority, responsibility and accountability for the effective, efficient and
acceptable use of data arise from its overall responsibility for governance of the organization, and its
obligations to its external stakeholders, including regulators.
The key focus of the governing body’s role in the governance of data is to ensure that the organization
obtains value from investments in data and associated IT, while managing risk and taking constraints
into account.
Additionally, the governing body should ensure that there is a clear understanding of what data are
being used by the organization and for what purpose, and that there is an effective management system
in place to ensure the obligations, such as data protection, privacy and respect for intellectual property,
can be met.
4.3 Governing body and oversight mechanisms
The governing body should establish oversight mechanisms for governance of data that are appropriate
to the level of business dependency on data.
The governing body should have a clear understanding of the importance of data to the organization’s
business strategies as well as the potential strategic risk to the organization from the use of that data.
The level of attention that a governing body gives to data should be based on these factors.
The governing body should ensure that its members and associated governance mechanisms (such as
audit, risk management and related committees) as well as managers have the requisite knowledge and
understanding of the importance of data.
The governing body may establish a subcommittee to assist the governing body in overseeing the
organization’s use of data from a strategic point of view. The need for a subcommittee will depend on
the importance of data to the organization and its size.
The governing body should ensure that an appropriate governance framework is established for the
governance and management of data.
The governing body should monitor the effectiveness of the mechanisms for the governance and
management of data by requiring processes such as audit and independent assessments to gain
assurance that governance is effective.
5 Principles, model and aspects for good governance of data
As ISO/IEC 38500 highlights, the governance of IT is a subset or domain of organizational governance, or
in the case of a corporation, corporate governance. This standard builds on and extends ISO/IEC 38500
to specifically examine data and its use by the organization.
ISO/IEC 38500 outlines six principles for good governance of IT, as follows:
a) responsibility;
b) strategy;
c) acquisition;
d) performance;
e) conformance;
f) human behaviour.
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ISO/IEC 38505-1:2017(E)
ISO/IEC 38500 also introduces a model for the governance of IT that establishes a cycle of “Evaluate-
Direct-Monitor”. This “EDM” model describes the three main tasks for governing IT and reminds us that
“Authority for specific aspects of IT may be delegated to managers within the organization. However,
accountability for the effective, efficient and acceptable use of IT by an organization remains with the
governing body and cannot be delegated.”
The broad areas of accountability as they
...
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