1、 Reference number ISO/IEC 29187-1:2013(E) ISO/IEC 2013INTERNATIONAL STANDARD ISO/IEC 29187-1 First edition 2013-02-15 Information technology Identification of privacy protection requirements pertaining to learning, education and training (LET) Part 1: Framework and reference model Technologies de li
2、nformation Identification des exigences de protection prive concernant lapprentissage, lducation et la formation (AF) Partie 1: Cadre gnral et modle de rfrence ISO/IEC 29187-1:2013(E) COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2013 All rights reserved. Unless otherwise specified, no part of this publicati
3、on 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 ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20
4、 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ii ISO/IEC 2013 All rights reservedISO/IEC 29187-1:2013(E) ISO/IEC 2013 All rights reserved iiiContents Page Foreword . vii 0 Introduction . ix 0.1 Purpose and overview . ix 0.2 Benefits of
5、 using a multipart ISO/IEC 29187 standard approach ix 0.3 Informed consent and learning transaction . x 0.4 Use of “jurisdictional domain“, jurisdiction, country . xi 0.5 Use of “Person”, “individual”, “organization”, “public administration” and “person” in the context of a learning transaction xii
6、0.6 Importance of definitions and terms xiii 0.7 Standard based on rules and guidelines . xiv 0.8 Size of document and role of “Part 1 Framework and Reference Model” xiv 0.9 Use of “identifier” (in a learning transaction) xv 0.10 Use of “privacy protection” in the context of a commitment exchange an
7、d learning transaction . xv 0.11 Organization and description of document xv 1 Scope 1 1.1 Statement of scope ISO/IEC 29187 multipart standard 1 1.2 Statement of scope part 1: Framework and Reference Model 1 1.3 Exclusions 1 1.3.1 Functional services view (FSV) 1 1.3.2 Overlap of and/or conflict amo
8、ng jurisdictional domains as sources of privacy protection requirements 2 1.3.3 Publicly available personal information 2 1.4 Aspects currently not addressed 3 1.5 IT-systems environment neutrality 6 2 Normative references 7 2.1 ISO/IEC, ISO and ITU . 7 2.2 Referenced specifications 9 3 Terms and de
9、finitions . 9 4 Symbols and acronyms 39 5 Fundamental principles and assumptions governing privacy protection requirements in learning transactions involving individual learners (external constraints perspective) . 41 5.1 Introduction and sources of requirements . 41 5.2 Exceptions to the applicatio
10、n of the privacy protection principles . 43 5.3 Fundamental Privacy Protection Principles . 44 5.3.1 Privacy Protection Principle 1: Preventing Harm 44 5.3.2 Privacy Protection Principle 2: Accountability 44 5.3.3 Privacy Protection Principle 3: Identifying Purposes 48 5.3.4 Privacy Protection Princ
11、iple 4: Informed Consent 48 5.3.5 Privacy Protection Principle 5: Limiting Collection . 50 5.3.6 Privacy Protection Principle 6: Limiting Use, Disclosure and Retention 51 5.3.7 Privacy Principle 7: Accuracy 55 5.3.8 Privacy Protection Principle 8: Safeguards 56 5.3.9 Privacy Protection Principle 9:
12、Openness 57 5.3.10 Principle 10: Individual Access 57 5.3.11 Privacy Protection Principle 11: Challenging Compliance . 59 5.4 Requirement for tagging (or labelling) data elements in support of privacy protection requirements 60 6 Collaboration space and privacy protection 63 ISO/IEC 29187-1:2013(E)
13、iv ISO/IEC 2013 All rights reserved6.1 Introduction 63 6.2 Privacy collaboration space: Role of individual learner, LET provider and regulator .63 6.3 Learning collaboration space (of a learning transaction) .65 7 Public policy requirements of jurisdictional domains .67 7.1 Introduction 67 7.2 Juris
14、dictional domains and public policy requirements .67 7.2.1 Privacy protection68 7.2.2 Consumer protection 69 7.2.3 Individual accessibility 70 7.2.4 Human rights 71 7.2.5 Privacy as a right of an “individual” and not right of an organization or public administration 72 7.2.6 Need to differentiate be
15、tween “privacy protection” and “confidentiality”, “security”, etc. 72 8 Principles and rules governing the establishment, management and use of identities of an individual (and “individual learner”) 73 8.1 Introduction 73 8.2 Rules governing the establishment of personae, identifiers and signatures
16、of an individual 74 8.3 Rules governing the assignment of unique identifiers to an individual by Registration Authorities (RAs) .80 8.4 Rules governing individual identity (ies), authentication, recognition, and use 80 8.5 Legally recognized individual identity(ies) (LRIIs) .85 9 Person component in
17、dividual sub-type .87 9.1 Introduction 87 9.2 Role qualification of a Person as an individual (learner).87 9.3 Persona and legally recognized names (LRNs) of an individual 88 9.4 Truncation and transliteration of legally recognized names of individuals 88 9.5 Rules governing anonymization of individ
18、uals in a learning transaction .89 9.6 Rules governing pseudonymization of personal information in a learning transaction 91 10 Process component 93 10.1 Introduction 93 10.2 Planning 93 10.3 Identification .94 10.4 Negotiation .94 10.5 Actualization .94 10.6 Post-Actualization 95 11 Data (element)
19、component of a learning transaction .97 11.1 Introduction 97 11.2 Rules governing the role of Learning Transaction Identifier (LTI) in support of privacy protection requirements .97 11.3 Rules governing state of change management of learning transactions in support of privacy protection requirements
20、 98 11.4 Rules governing records retention of personal information in a learning transaction 99 11.5 Rules governing time/date referencing of personal information in a learning transaction .99 12 Conformance statement . 101 12.1 Introduction . 101 12.2 Conformance to the ISO/IEC 29187-1 Reference Mo
21、del . 102 12.3 Conformance to ISO/IEC 29187-2+ parts 102 Annex A (normative) Consolidated list of terms and definitions with cultural adaptability: ISO English and ISO French language equivalency . 103 A.1 Introduction . 103 A.2 ISO English and ISO French 103 A.3 Cultural adaptability and quality co
22、ntrol 103 A.4 Organization of Annex A - Consolidated list of definitions in matrix form 104 A.5 Consolidated list of ISO/IEC 29187-1 Definitions and associated terms 105 Annex B (normative) Learning Transaction Model (LTM): classes of constraints 149 ISO/IEC 29187-1:2013(E) ISO/IEC 2013 All rights r
23、eserved vB.1 Introduction 149 B.2 Fundamental components of a learning transaction . 149 B.3 Learning Transaction Model (LTM) and its two classes of constraints . 152 Annex C (normative) Integrated set of information life cycle management (ilcm) principles in support of information law compliance 15
24、5 C.1 Introduction 155 C.2 Purpose 155 C.3 Approach 156 C.4 Integrated set of information life cycle management (ILCM) principles 156 Annex D (normative) Coded domains for specifying state change and record retention management in support of privacy protection requirements . 159 D.1 Introduction 159
25、 D.2 State Changes 161 D.2.1 Introduction 161 D.2.2 Specification of state changes allowed to personal information . 161 D.2.3 Store Change Type 163 D.3 Records retention 164 D.4 Records Destruction . 168 Annex E (informative) Use and adaptation of the ISO/IEC 14662 Open-edi Reference Model 171 E.1
26、Introduction 171 E.2 Relevance of Open-edi Reference Model 172 E.3 Basic aspects of Open-edi collaboration space: Buyer and seller 174 Annex F (informative) Potential parts 2+ for ISO/IEC 29187 based on results of the ISO/IEC JTC1/SC 36 Ad-Hoc on Privacy (AHP) 177 F.1 Introduction 177 F.2 Purpose 17
27、7 F.3 User requirements and issues identified by the SC36/AHP of sub-types of data in a LET context requiring privacy protection standard(s) 178 F.4 User requirements of specific LET needs pertaining to privacy issues 179 F.5 User requirements for ISO/IEC 29187-1 resulting from JTC1/SC36 resolution.
28、 179 F.6 User requirements for Parts 2+ resulting from responses to JTC1/SC36/WG3 N360 179 Bibliography 181 1) ISO and ISO/IEC international standards 181 2) Other . 181 Figures Figure 1 Learning Transaction - Privacy Protection Framework and Reference Model xi Figure 2 Primary Sources for Privacy P
29、rotection Principles 42 Figure 3 Privacy collaboration space (of a learning transaction) including the role of a regulator 65 Figure 4 Learning collaboration space (of a learning transaction) including the role of a regulator (as well as “collective learner and/or LET provider “consortium(s)” 66 Fig
30、ure 5 Common public policy requirements, i.e., external constraints, applying to a learning transaction where the “buyer” is an “individual learner” . 68 Figure 6 Illustration of relationships of links of a (real world) individual learner to (its) persona (e) to identification schemas and resulting
31、identifiers to associated Person signatures in the context of different learning transactions and governing rules . 75 Figure 7 Illustration of range of links between personae and identifiers of an individual identity (ies) of a learner 81 Figure 8 Illustration of two basic options for establishment
32、 of a recognized individual identity (rii) 84 ISO/IEC 29187-1:2013(E) vi ISO/IEC 2013 All rights reservedFigure B.1 Learning Transaction Model Fundamental components 150 Figure B.2 UML-based Representation of Figure B.1 Learning Transaction Model . 151 Figure B.3 Learning Transaction Model: Classes
33、of constraints 154 Figure E.1 Open-edi environment Open-edi Reference Model . 171 Figure E.2 Learning Transaction Privacy Protection Framework Model 172 Figure E.3 Summary of 3 key roles in a learning transaction 173 Figure E.4 Concept of a Business Collaboration 175 Tables Table D.1 ISO/IEC 15944-5
34、:05 Codes for specifying state changes allowed for the values of Information Bundles and Semantic Components 162 Table D.2 ISO/IEC 15944-5:06 Codes representing store change type for Information . 164 Table D.3 ISO/IEC 15944-5:02 Codes Representing Specification of Records Retention Responsibility .
35、 166 Table D.4 ISO/IEC 15944-5:04 Codes representing retention triggers . 167 Table D.5 ISO/IEC 15944-5:03 Codes representing disposition of recorded information . 169 ISO/IEC 29187-1:2013(E) ISO/IEC 2013 All rights reserved viiForeword ISO (the International Organization for Standardization) and IE
36、C (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 p
37、articular 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 e
38、stablished 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 te
39、chnical 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
40、 shall not be held responsible for identifying any or all such patent rights. ISO/IEC 29187-1 was prepared by Joint Technical Committee ISO/IEC JTC1, Information technology, Subcommittee SC 36, Information technology for learning, education, and training. ISO/IEC 29187 consists of the following part
41、s, under the general title Information technology Identification of privacy protection requirements pertaining to learning, education and training (LET): Part 1: Framework and reference model Further parts may be added in the future. ISO/IEC 29187-1:2013(E) viii ISO/IEC 2013 All rights reservedTHIS
42、PAGE IS INTENTIONALLY LEFT BLANK ISO/IEC 29187-1:2013(E) ISO/IEC 2013 All rights reserved ix0 Introduction 0.1 Purpose and overview For the purposes of this standard, the use of LET covers learning, education and training. In order to determine the need and focus of LET standards in support of priva
43、cy protection requirements applicable to personal information of an individual learner, ISO/IEC JTC1/SC36 established an “Ad-Hoc on Privacy (AHP)” 1) The results of this detailed preparatory work and survey by this JTC1/SC36 AHP the identified user requirements and serve as the basis for the need fo
44、r this multipart standard 2) See further Annex F below ISO/IEC JTC1/SC36 considers it important that international standards which facilitate the use of information and communication technologies (ICT) be structured to be able to support legal requirements of the jurisdictional domains in which they
45、 are to be implemented and used. This is particularly so where such standards are used to capture and manage recorded information for decision-making about individuals. Common legal and regulatory requirements of this nature, which impact the development of ICT-based standards, include those of a pu
46、blic policy nature such as those pertaining to consumer protection, privacy protection, individual accessibility, human rights, etc. The role of ISO/IEC JTC1/SC36 is to develop ICT-based standards in the fields of learning, education and training (LET). Since the application and use of a majority of
47、 JTC1/SC36 standards involve the role of an individual as “learner”, i.e. as an “individual learner”, this means that any recorded information on or about an identifiable individual as a “learner” is subject to applicable privacy/data protection a requirement. ISO/IEC 29187-1 serves as a “Framework
48、and Reference Model”. Based on a set of (primary) principles, the “Framework and Reference Model” is composed of a number of conceptual and structural models. These are represented via “illustrative” figures and associated lexical models 3) in the form of rules. More specific and detailed “typical m
49、odels” are to be developed in Parts 2+ of this multipart standard. These Part 2+ will focus on more detailed specifications of particular components of the Framework and Reference Model. 0.2 Benefits of using a multipart ISO/IEC 29187 standard approach There are several benefits from taking an integrated approach: First, a multipart standard approach provides for a systematic, cost-efficient and effective approach to the creation of robust, (re-)useable components in s
