1、A Referencenumbe r ISO/TR12037:1998 (E) TECHNICAL REPORT ISO/TR 12037 Firstedition 19981215 ElectronicimagingRecommendations fortheexpungementofinformation recordedonwriteonceopticalmedia ImagerielectroniqueRecommendationspourlliminationdes informationsenregistressurdisqueoptiqueWORMISO/TR12037:1998
2、E) ISO1998 Allrightsreserved.Unlessotherwisespecified,nopartofthispublicationmaybereproduced orutilizedinanyformorbyanymeans,electronicormechanical,includingphotocopyingand microfilm,withoutpermissioninwritingfromthepublisher. InternationalOrganizationforStandardization Casepostale56 CH1211Genve20
3、Switzerland Internet isoiso.ch PrintedinSwitzerland ii Contents 1Scope 1 2Reference 1 3Termsanddefinitions .1 4Fileintegrityrecommendations . 3 5Index 4 6Copies. 4 AnnexA (informative) Changenotice .5 AnnexB (informative) Commentstothecourtadministrator.6ISO ISO/TR12037:1998(E) iii Foreword ISO(theI
4、nternationalOrganizationforStandardization)isaworldwidefederationofnationalstandardsbodies(ISO memberbodies).TheworkofpreparingInternationalStandardsisnormallycarriedoutthroughISOtechnical committees.Eachmemberbodyinterestedinasubjectforwhichatechnicalcommitteehasbeenestablishedhas therighttoberepre
5、sentedonthatcommittee.Internationalorganizations,governmentalandnongovernmental,in liaisonwithISO,alsotakepartinthework.ISOcollaboratescloselywiththeInternationalElectrotechnical Commission(IEC)onallmattersofelectrotechnicalstandardization. ThemaintaskofTechnicalCommitteesistoprepareInternationalSta
6、ndards,butinexceptionalcircumstancesa technicalcommitteemayproposethepublicationofaTechnicalReportofoneofthefollowingtypes: type1,whentherequiredsupportcannotbeobtainedforthepublicationofaninternationalstandard,despite repeatedefforts; type2,whenthesubjectisstillundertechnicaldevelopmentorwhereforan
7、yotherreasonthereisthefuture butnotimmediatepossibilityofanagreementonaninternationalstandard; type3,whenatechnicalcommitteehascollecteddataofadifferentkindfromthatwhichisnormallypublished asaninternationalstandard(“stateoftheart”,forexample). TechnicalReportsoftypes1and2aresubjecttoreviewwithinthre
8、eyearsofpublication,todecidewhetherthey canbetransformedintoInternationalStandards.TechnicalReportsoftype3donotnecessarilyhavetobe revieweduntilthedatatheyprovideareconsideredtobenolongervalidoruseful. ISO/TR 12037,whichisaTechnicalReportoftype 3,waspreparedbyTechnicalCommitteeISO/TC 171 , Documenti
9、magingapplications, SubcommitteeSC3 ,Generalissues. AnnexesAandBareforinformationonly.ISO/TR12037:1998(E) ISO iv Introduction ThisTechnicalReportdescribesproceduresforcourtorderedexpungementofinformationrecordedonwriteonce mediaincludingthefollowingtechnologies:WriteOnceReadMany(WORM),MagnetoOptical
10、Recording(MO), CompactDiskReadOnlyMemory(CDROM),CDROMRecordable(CDR)andopticaltape.Thisreporthasbeen preparedforpublicofficessuchascourts,clerksofthecourt,lawenforcement,socialservices,probationandparole, juvenileservices,schools,archives,andvitalrecordscentres. Itisrecognizedthat,unlikemagneticorma
11、gnetoopticalstoragemedia,writeoncemediaisinherentlydifficulttoalter. ThisTechnicalReporthasbeenpreparedtoprovideguidelinestoensurethatuniformproceduresarebeingfollowed, inordertominimizethepossibilityofhavinginformationrecordedonwriteoncemediarejectedinacourtoflaw.For example,alegallyorderedexpungem
12、ent,orexpungementduringfilemaintenance,mayjeopardizetheadmissibilityof theentiresetofrecordsasevidenceinacourtoflawiftheexpungementisnotdocumentedandperformedaccording toproperprocedures. Organizationsthataresubjectedtoexpungementrulingsshouldworkwiththemanufacturerandmanufacturers engineeringstaffo
13、rsuppliertoobtainasatisfactorymethodtoeliminateexpungeddata.Writeoncemediasystem usersshouldaddressexpungementpriortosystemimplementation,infact,asearlyaspossibleinthesystemdesign phase.Writeonceopticalmediasystemusersshouldfurtherrequirevendorstodemonstratetheirexpungement proceduresandprepareacert
14、ificationassuringthatindexdatarecoveryandimagerecoverycannotbeperformed followingexpungement.Inaddition,certificationanddemonstrationshouldalsoberequiredwhenimplementingwrite onceopticalmediasystemhardwareorsoftwareupgrades. Somewriteonceopticalmediasystemshavebeenimplementedinsuchawaythatmakesexpun
15、gingdifficultor impossible.Unlesstheinformationtobeexpungedcanberendereduninterpretiblethroughhardwareand/orsoftware processes,expungementcanonlytakeplacebycopyingacceptablerecords(i.e.,recordsthatarenotexpunged)from onedisktoanother,destroyingthefirstdiskthatcontainsnegatedrecord(s),andensuringthat
16、allappropriateindex entrieshavebeenupdatedtoreflecttheexpungement.UpdateofIndexentriesmustensurethatnosideeffectsrelated tounexpungedrecordsoccur.Theissueofindexupdateiscriticalbecause,accordingtotherulesofanexpungement, onceanexpungementhasoccurred,thenitmustbeimpossibletodiscernthattheexpungementh
17、asoccurred. Onemethodofexpungementthatcanbeusedincludesarrangingacontrolledsoftwaremodulethatwouldpermit wipingoutarecordandanycomputerbasedindicesidentifyingtherecord.Itisrecommendedthatsuchasoftware moduleprovideadoubleoverwriteoftheselectedrecordstolessenthepossibilityofthedestroyedinformationbei
18、ng reconstructed.Doubleoverwriteproceduresmayvarybetweenwriteoncemediasystemmanufacturersandsuppliers duetodifferentimplementationmethods.TECHNICALREPORT ISO ISO/TR12037:1998(E) 1 ElectronicimagingRecommendationsfortheexpungementof informationrecordedonwriteonceopticalmedia 1Scope ThisTechnicalRepor
19、tappliestotheremovalofinformationrecordedonwriteonceopticalmediasystemswhen expungementisorderedbythecourtoradministrativeauthority.Expungementrequiresspecificremovalactionsto occur. Thisreportestablishesproceduresforbothinformationremovalanddocumentationoftheactionstakenduring removal.Followingther
20、ecommendationscontainedinthisTechnicalReportwillensurethattheexpungementsare performedconsistently. 2Reference ISO/TR12654:1997, ElectronicimagingRecommendationsforthemanagementofelectronicrecordingsystems fortherecordingofdocumentsthatmayberequiredasevidence,onWORMopticaldisk. 3 Termsanddefinitions
21、 ForthepurposeofthisTechnicalReportthefollowingdefinitionsapply. 3.1 amendment correctionorrevision 3.2 bitmap methodofrepresentingimagesbyassigninganindividualmemorylocationforeachpictureelement 3.3 capture recordingofdatainaformforitsentryintoacomputersystem 3.4 compactdiskreadonlymemory CDROM(abb
22、reviation) opticaldiskcontainingprerecordeddataandusedonlyforreading 3.5 compactdiskwriteoncereadmany CDWORM(abbreviation) opticaldiskthatisuserwrittenandthenisonlyavailableforreadingISO/TR12037:1998(E) ISO 2 3.6 compactdiskrecordable CDR(abbreviation) opticaldiskconformingtothespecificationofacompa
23、ctdisk,whichcanbewrittentoonlyonce(orinmultisession disksonlyoncepersession)byauserwritesystem 3.8 document anywriting,drawing,photographorotherinstrumentusedforthecommunicationofinformation NOTE Adocumentmayconsistofasinglepageormultiplepages. 3.9 expungement processofremovingadocumentfromasysteman
24、dleavingnoevidenceofthedocumenteverhavingappearedon thesystem 3.10 file,noun collectionofrecords 3.11 image pictorialrepresentationofadocumentpage,whetherstoredincodedorbitmappedform(alsosee3.20below) 3.12 index systematicguidethatallowsaccesstospecificitemscontainedwithinabodyofinformation NOTE Ind
25、exesmayormaynotberesidentonthewriteonceopticalmedia,dependinguponspecificsofan implementation.Indexesforrecordsmayexistinmanualand/orautomatedformats. 3.13 information datathathasbeenanalyzed,interpreted,orcompiledinameaningfulform 3.14 magnetoopticrecording techniqueforrecordingdataonarewritablemed
26、iumusingopticalmeanstochangethepolarityofamagneticfield intherecordingmedium 3.15 media materialsusedtostoreorpresentinformationanddata 3.16 multifunctiondrivesystem opticaldiskdrivewhichcanusebothwriteoncereadmanyandrewritableopticalmedia 3.17 obliteration withinthecontextofexpungement,renderingare
27、corduninterpretible 3.18 opticaldisk diskthatwillacceptandretaininformationintheformofmarksinarecordinglayerthatcanbereadwithanoptical beam 3.19 opticaltape opticalmemoryintapeformISO ISO/TR12037:1998(E) 3 3.20 page 3.20.1 Page(Documentmanagement) graphicand/ortextpresentedononesideofapieceofpaper 3
28、20.2 Page(Electronicdata) informationstoredbetweenpagebreakswhetherelectronicallygeneratedordigitizedfromhardcopy 3.20.3 Page(visualdisplayunit) informationdisplayedonthescreenwhichmayormaynotcorrespondtoaphysicalpage 3.21 record recordedinformation,regardlessofmediaorcharacteristics,madeorreceived
29、andmaintainedbyanorganization orinstitutioninpursuanceofitslegalobligationsorinthetransactionofbusiness 3.22 rewritableopticaldisk opticalmediathatcanbewritten,erased,andrewritten 3.23 writeoncereadmanyopticaldisk WORM(abbreviation)opticaldisk opticaldisksonwhicheachlogicalsectorcanbewrittenonlyonce
30、butreadmanytimes 3.24 writeoncereadmanysystem informationsystemthatuseswriteonceopticalmediafordatastorage 4 Fileintegrityrecommendations Whileexpunginginformation,itisessentialtoensuretheaccuracy,completeness,andlegalacceptanceofboththe expungementandtheremaininginformationstoredwithwriteonceoptica
31、lmediatechnology.Asexpungementmust becertifiedinanofficialrecord,theintegrityofafilecanbebestdemonstratedbyfollowingroutineoperating proceduresandestablishinganaudittrail(seeISO/TR12654).Theaudittrailforexpungementiscreatedby documentingexpungementproceduresandbypreparingdocumentationdescribingthepu
32、rposeandscopeforeach expungement. 4.1 CaptureoftheCourtOrderandChangeNotice Inthoseinstanceswherethecourtordercontainsinformationwhichcouldidentifytheexpungeddocument,orcould revealtheoriginalinformation,theordershouldnotbecapturedandrecordedonthewriteoncemedia.Onlythe ChangeNotice(seeAnnexA)shouldb
33、erecorded.TheChangeNoticeshouldincludeanappropriatereferencetothe courtorder. 4.2 Physicallyeliminatingtheimage Expungementmayrequiretheinformationonwriteoncemediatobeeliminated,leavingnoevidenceoftheoriginal information.Theprocedureforphysicallyeliminatingpage(s)orrecord(s)willdifferdependingonthee
34、quipmentutilized byanorganization.Theprocessofeliminationrequiresrenderinguninterpretibletheoriginalimage(s)oftherecord(s), typicallybyoverwritingwitharevisedimage(s).ISO/TR12037:1998(E) ISO 4 Indexcorrectionproceduresshouldbedemonstratedbytheequipmentmanufacturerorsupplier.Indexesstoredon nonelectr
35、onicmedia(paperandfilm)mustalsobecorrected.Thistechnicalreportdoesnotaddressproceduresfor nondigital(analogue)indexcorrection. 4.3 Rewritingthedisk Expungementmayrequiretherewritingofallindexes,pages,ordocumentsotherthantheexpungedrecord(s)toan entirelynewwriteoncemedia.Thisprocedureisreferredtoasco
36、nsolidation.Usingthisprocedure,theoldmediaand anyassociatedindexesonthemediamustbephysicallydestroyed,withindexcorrectionoccurringforindexesstored inmagneticoranalogueformat. 4.4Documentation Documentationofthewriteoncemediaexpungementprocessconsistsofacourtordermandatingthechangeandthe completedcha
37、ngenotice.Boththecourtorderandthechangenotice,ifapplicable,shouldbewrittentothesame writeoncemediaastheoriginalrecord(s). 5Index Whereacompletepageorrecordisexpunged,removeallreference(s)tothepageorrecordfromtheindexes.Ifthe index(es)hasbeencopied,recopytheindexafterthereference(s)tothepageorrecordh
38、asbeenremoved. 6Copies Copiesoftheoriginalwriteoncemediaandcopiesoftheinformationremovedbyexpungementshouldbedestroyedor obliteratedtocomplywiththecourtorder.Norecord,index,orreferencetotheoriginalunrevisedinformationshould existonwriteoncemediacopiesorcopiesinanyothermedia,whetherpaper,magnetic,fil
39、m,ordigitaloptical.ISO ISO/TR12037:1998(E) 5 AnnexA (informative) Changenotice InformationhasbeenexpungedfromthiswriteoncemediaaccordingtoCourtOrder (CourtOrderNumberandCourtJurisdiction), orbytheorderofthefollowingofficial (name,titleandoffice), (signature). Thisinformationwasremovedanddestroyedby
40、signatureofthepersoncarryingouttheex pungement) on(Date.) (title) (organization) (andaddress) Writeoncemediaindexesandwriteoncemediacopiesandcopiesinanyothermedia,whetherpaper,magnetic, film,oropticallybasedwererendereduninterpretibleby (signatureofthepersoncarryingouttheex pungement) on(Date.) (ti
41、tle) (organization) (andaddress) Describetheexpungedinformation.(DonotrevealinformationprotectedbyCourtOrder). (DonotrevealinformationprotectedbyCourtOrder)ISO/TR12037:1998(E) ISO 6 AnnexB (informative) Commentstothecourtadministrator Itisacknowledgedthatacourtdecisionresultinginacourtorderedexpunge
42、mentmaybeoverturnedbyahighercourt, orreconsideredbytheoriginalcourtthathadissuedtheorder.Thedestructionofinformationrecordedonwriteonce opticalmediamaybecatastrophiciffurtherlitigationoccursthatrequirestheuseoftheoriginalinformationwhichno longerexists. Forexample,ifwriteonceopticalmediainformationh
43、asbeendestroyedorobliteratedincompliancewiththefirst courtorder,beforearescindingorderisissued,thewriteonceopticalmediarecord(s)andassociatedindex(es)will belostforever.Theentirerecordwillbelostif,inthenormalcourseofbusinessandaftercapture,theoriginal documentisdestroyedinaccordancewithstatutoryrequirementsofthecountryconcerned.ISO/TR12037:1998(E) ISO/IEC ICS
