ISO_IEC_29100_2011信息技术安全技术隐私框架.pdf

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1 Scope

2 Terms and definitions

3 Symbols and abbreviated terms

4 Basic elements of the privacy framework

4.1 Overview of the privacy framework

4.2 Actors and roles

4.2.1 PII principals

4.2.2 PII controllers

4.2.3 PII processors

4.2.4 Third parties

4.3 Interactions

4.4 Recognizing PII

4.4.1 Identifiers

4.4.2 Other distinguishing characteristics

4.4.3 Information which is or might be linked to a PII principal

4.4.4 Pseudonymous data

4.4.5 Metadata

4.4.6 Unsolicited PII

4.4.7 Sensitive PII

4.5 Privacy safeguarding requirements

4.5.1 Legal and regulatory factors

4.5.2 Contractual factors

4.5.3 Business factors

4.5.4 Other factors

4.6 Privacy policies

4.7 Privacy controls

5 The privacy principles of ISO/IEC 29100

5.1 Overview of privacy principles

5.2 Consent and choice

5.3 Purpose legitimacy and specification

5.4 Collection limitation

5.5 Data minimization

5.6 Use, retention and disclosure limitation

5.7 Accuracy and quality

5.8 Openness, transparency and notice

5.9 Individual participation and access

5.10 Accountability

5.11 Information security

5.12 Privacy compliance

INTERNATIONAL STANDARD ISO/IEC 29100 First edition 2011-12-15 Information technology — Security techniques — Privacy framework Technologies de l'information — Techniques de sécurité — Cadre privé Reference number ISO/IEC 29100:2011(E) © ISO/IEC 2011

ISO/IEC 29100:2011(E) COPYRIGHT PROTECTED DOCUMENT © ISO/IEC 2011 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISO's member body in the country of the requester. ISO copyright office Case postale 56  CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyright@iso.org Web www.iso.org Published in Switzerland ii © ISO/IEC 2011 – All rights reserved

ISO/IEC 29100:2011(E) Contents Page Foreword ............................................................................................................................................................. v Introduction ........................................................................................................................................................ vi Scope ...................................................................................................................................................... 1 1 2 Terms and definitions ........................................................................................................................... 1 Symbols and abbreviated terms .......................................................................................................... 4 3 Basic elements of the privacy framework ........................................................................................... 5 4 4.1 Overview of the privacy framework ..................................................................................................... 5 4.2 Actors and roles .................................................................................................................................... 5 4.2.1 PII principals .......................................................................................................................................... 5 4.2.2 PII controllers ......................................................................................................................................... 5 4.2.3 PII processors ........................................................................................................................................ 5 4.2.4 Third parties ........................................................................................................................................... 6 Interactions ............................................................................................................................................ 6 4.3 Recognizing PII ...................................................................................................................................... 7 4.4 4.4.1 Identifiers ............................................................................................................................................... 7 4.4.2 Other distinguishing characteristics ................................................................................................... 7 4.4.3 Information which is or might be linked to a PII principal ................................................................ 8 4.4.4 Pseudonymous data ............................................................................................................................. 9 4.4.5 Metadata ................................................................................................................................................. 9 4.4.6 Unsolicited PII ........................................................................................................................................ 9 4.4.7 Sensitive PII ........................................................................................................................................... 9 4.5 Privacy safeguarding requirements .................................................................................................. 10 4.5.1 Legal and regulatory factors .............................................................................................................. 11 4.5.2 Contractual factors .............................................................................................................................. 11 4.5.3 Business factors .................................................................................................................................. 12 4.5.4 Other factors ........................................................................................................................................ 12 Privacy policies ................................................................................................................................... 13 4.6 Privacy controls ................................................................................................................................... 13 4.7 5 The privacy principles of ISO/IEC 29100 ........................................................................................... 14 Overview of privacy principles .......................................................................................................... 14 5.1 Consent and choice ............................................................................................................................ 14 5.2 Purpose legitimacy and specification ............................................................................................... 15 5.3 5.4 Collection limitation ............................................................................................................................ 15 Data minimization ................................................................................................................................ 16 5.5 Use, retention and disclosure limitation ........................................................................................... 16 5.6 Accuracy and quality .......................................................................................................................... 16 5.7 5.8 Openness, transparency and notice ................................................................................................. 17 5.9 Individual participation and access ................................................................................................... 17 5.10 Accountability ...................................................................................................................................... 18 Information security ............................................................................................................................ 18 5.11 5.12 Privacy compliance ............................................................................................................................. 19 Annex A (informative) Correspondence between ISO/IEC 29100 concepts and ISO/IEC 27000 concepts ............................................................................................................................................... 20 Bibliography ...................................................................................................................................................... 21 © ISO/IEC 2011 – All rights reserved iii

ISO/IEC 29100:2011(E) Figures Figure 1 – Factors influencing privacy risk management .................................................................................. 11 Tables Table 1 – Possible flows of PII among the PII principal, PII controller, PII processor and a third party and their 7 roles Table 2 – Example of attributes that can be used to identify natural persons Table 3 – The privacy principles of ISO/IEC 29100 Table A.1 – Matching ISO/IEC 29100 concepts to ISO/IEC 27000 concepts 8 14 20 iv © ISO/IEC 2011 – All rights reserved

ISO/IEC 29100:2011(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. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of the joint technical committee is to prepare International Standards. Draft International Standards adopted by the joint technical committee are circulated to national bodies for voting. Publication as an International Standard requires approval by at least 75 % of the national bodies casting a vote. 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. ISO/IEC 29100 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology, Subcommittee SC 27, IT Security techniques. © ISO/IEC 2011 – All rights reserved v

ISO/IEC 29100:2011(E) Introduction This International Standard provides a high-level framework for the protection of personally identifiable information (PII) within information and communication technology (ICT) systems. It is general in nature and places organizational, technical, and procedural aspects in an overall privacy framework. The privacy requirements related to PII within an ICT environment by: framework is intended to help organizations define their privacy safeguarding - - - - specifying a common privacy terminology; defining the actors and their roles in processing PII; describing privacy safeguarding requirements; and referencing known privacy principles. In some jurisdictions, this International Standard’s references to privacy safeguarding requirements might be understood as being complementary to legal requirements for the protection of PII. Due to the increasing number of information and communication technologies that process PII, it is important to have international information security standards that provide a common understanding for the protection of PII. This International Standard is intended to enhance existing security standards by adding a focus relevant to the processing of PII. The increasing commercial use and value of PII, the sharing of PII across legal jurisdictions, and the growing complexity of ICT systems, can make it difficult for an organization to ensure privacy and to achieve compliance with the various applicable laws. Privacy stakeholders can prevent uncertainty and distrust from arising by handling privacy matters properly and avoiding cases of PII misuse. Use of this International Standard will: - - - aid in the design, implementation, operation, and maintenance of ICT systems that handle and protect PII; spur innovative solutions to enable the protection of PII within ICT systems; and improve organizations’ privacy programs through the use of best practices. The privacy framework provided within this International Standard can serve as a basis for additional privacy standardization initiatives, such as for: - - - - - a technical reference architecture; the implementation and use of specific privacy technologies and overall privacy management; privacy controls for outsourced data processes; privacy risk assessments; or specific engineering specifications. Some jurisdictions might require compliance with one or more of the documents referenced in ISO/IEC JTC 1/SC 27 WG 5 Standing Document 2 (WG 5 SD2) — Official Privacy Documents References [3] or with other applicable laws and regulations, but this International Standard is not intended to be a global model policy, nor a legislative framework. vi © ISO/IEC 2011 – All rights reserved

INTERNATIONAL STANDARD ISO/IEC 29100:2011(E) Information technology — Security techniques — Privacy framework 1 Scope This International Standard provides a privacy framework which - - - - specifies a common privacy terminology; defines the actors and their roles in processing personally identifiable information (PII); describes privacy safeguarding considerations; and provides references to known privacy principles for information technology. This International Standard is applicable to natural persons and organizations involved in specifying, procuring, architecting, designing, developing, testing, maintaining, administering, and operating information and communication technology systems or services where privacy controls are required for the processing of PII. 2 Terms and definitions For the purposes of this document, the following terms and definitions apply. NOTE In order to make it easier to use the ISO/IEC 27000 family of International Standards in the specific context of privacy and to integrate privacy concepts in the ISO/IEC 27000 context, the table in Annex A provides the ISO/IEC 27000 concepts that correspond with the ISO/IEC 29100 concepts used in this International Standard. 2.1 anonymity characteristic of information that does not permit a personally identifiable information principal to be identified directly or indirectly 2.2 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 2.3 anonymized data data that has been produced as the output of a personally identifiable information anonymization process 2.4 consent personally identifiable information (PII) principal’s freely given, specific and informed agreement to the processing of their PII © ISO/IEC 2011 – All rights reserved 1

ISO/IEC 29100:2011(E) 2.5 identifiability condition which results in a personally identifiable information (PII) principal being identified, directly or indirectly, on the basis of a given set of PII 2.6 identify establish the link between a personally identifiable information (PII) principal and PII or a set of PII 2.7 identity set of attributes which make it possible to identify the personally identifiable information principal 2.8 opt-in process or type of policy whereby the personally identifiable information (PII) principal is required to take an action to express explicit, prior consent for their PII to be processed for a particular purpose NOTE A different term that is often used with the privacy principle ‘consent and choice’ is “opt-out”. It describes a process or type of policy whereby the PII principal is required to take a separate action in order to withhold or withdraw consent, or oppose a specific type of processing. The use of an opt-out policy presumes that the PII controller has the right to process the PII in the intended way. This right can be implied by some action of the PII principal different from consent (e.g., placing an order in an online shop). 2.9 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 reasonably be used by the privacy stakeholder holding the data, or by any other party, to identify that natural person. To determine whether a PII principal is identifiable, account should be taken of all the means which can 2.10 PII controller privacy stakeholder (or privacy stakeholders) that determines the purposes and means for processing personally identifiable information (PII) other than natural persons who use data for personal purposes NOTE responsibility for the processing remains with the PII controller. A PII controller sometimes instructs others (e.g., PII processors) to process PII on its behalf while the 2.11 PII principal natural person to whom the personally identifiable information (PII) relates NOTE subject” can also be used instead of the term “PII principal”. Depending on the jurisdiction and the particular data protection and privacy legislation, the synonym “data 2.12 PII processor privacy stakeholder that processes personally identifiable information (PII) on behalf of and in accordance with the instructions of a PII controller 2.13 privacy breach situation where personally identifiable information is processed in violation of one or more relevant privacy safeguarding requirements 2 © ISO/IEC 2011 – All rights reserved

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