1、December 2016 English price group 11No part of this translation may be reproduced without prior permission ofDIN Deutsches Institut fr Normung e. V., Berlin. Beuth Verlag GmbH, 10772 Berlin, Germany,has the exclusive right of sale for German Standards (DIN-Normen).ICS 35.030!%Y“2599154www.din.deDIN
2、EN ISO/IEC 27038Information technology Security techniques Specification for digital redaction (ISO/IEC 27038:2014);English version EN ISO/IEC 27038:2016,English translation of DIN EN ISO/IEC 27038:2016-12Informationstechnik ITSicherheitsverfahren Spezifikation fr digitales Schwrzen (ISO/IEC 27038:2
3、014);Englische Fassung EN ISO/IEC 27038:2016,Englische bersetzung von DIN EN ISO/IEC 27038:2016-12Technologies de linformation Techniques de scurit Spcifications pour la rdaction numrique (ISO/IEC 27038:2014);Version anglaise EN ISO/IEC 27038:2016,Traduction anglaise de DIN EN ISO/IEC 27038:2016-12w
4、ww.beuth.deDocument comprises 16 pagesDTranslation by DIN-Sprachendienst.In case of doubt, the German-language original shall be considered authoritative.01.17 DIN EN ISO/IEC 27038:2016-12 2 A comma is used as the decimal marker. National foreword This document (EN ISO/IEC 27038:2016) has been prepa
5、red by Technical Committee ISO/IEC JTC 1, Subcommittee SC 27 “IT Security techniques” (Secretariat: DIN, Germany). Based on a decision of CEN/BT, ISO/IEC 27038:2014 has been submitted to the Unique Acceptance Procedure (UAP) and taken over as EN ISO/IEC 27038:2016 without any modification. The respo
6、nsible German body involved in its preparation was DIN-Normenausschuss Informationstechnik und Anwendungen (DIN Standards Committee Information Technology and selected IT Applications), Working Committee NA 043-01-27-04 AK IT-Sicherheitsmanahmen und Dienste. The definitions of “personally identifiab
7、le information” (PII), “anonymization” etc. were translated into German from the English version of the standard. They do not necessarily correspond to the definitions in German data protection provisions. EUROPEAN STANDARD NORME EUROPENNE EUROPISCHE NORM EN ISO/IEC 27038 August 2016 ICS 35.040 Engl
8、ish Version Information technology - Security techniques - Specification for digital redaction (ISO/IEC 27038:2014) Technologies de linformation - Techniques de scurit -Spcifications pour la rdaction numrique(ISO/IEC27038:2014) Informationstechnik - IT-Sicherheitsverfahren - Spezifikation fr digital
9、es Schwrzen(ISO/IEC 27038:2014) This European Standard was approved by CEN on 19 June 2016. CEN and CENELEC members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European Standard the status of a national standard without any alteration.
10、 Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN and CENELEC member. This European Standard exists in three official versions (English, French, German). A version in any other languag
11、e made by translation under the responsibility of a CEN and CENELEC member into its own language and notified to the CEN-CENELEC Management Centre has the same status as the official versions. CEN and CENELEC members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, C
12、zech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.
13、 EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2016 CEN and CENELEC All rights of exploitation in any form and by any means reserved worldwide for CEN and CENELEC national Members.
14、 Ref. No. EN ISO/IEC 27038:2016 E Contents PageEuropean foreword .3Introduction 51 Scope . 62 Terms and definitions . 63 Symbols and abbreviated terms . 74 General principles of digital redaction . 74.1 Introduction 74.2 Anonymization 75 Requirements 75.1 Overview 75.2 Redaction principles 86 Redact
15、ion processes . 96.1 Introduction 96.2 Paper intermediaries . 96.3 Digital image intermediaries 96.4 Simple digital redaction 96.5 Complex digital redaction. 106.6 Contextual information . 107 Keeping records of redaction work 118 Characteristics of software redaction tools . 119 Requirements for re
16、daction testing 12Annex A (informative) Redacting of PDF documents . 14DIN EN ISO/IEC 27038:2016-12 EN ISO/IEC 27038:2016 (E) 2Foreword 4European foreword The text of ISO/IEC 27038:2014 has been prepared by Technical Committee ISO/IEC JTC 1 “Information technology” of the International Organization
17、for Standardization (ISO) and the International Electrotechnical Commission (IEC) and has been taken over as EN ISO/IEC 27038:2016. This European Standard shall be given the status of a national standard, either by publication of an identical text or by endorsement, at the latest by February 2017, a
18、nd conflicting national standards shall be withdrawn at the latest by February 2017. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN and/or CENELEC shall not be held responsible for identifying any or all such patent rights. A
19、ccording to the CEN-CENELEC Internal Regulations, the national standards organizations of the following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germ
20、any, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. Endorsement notice The text of ISO/IEC 27038:2014 has been approved by CEN as EN ISO/IEC
21、 27038:2016 without any modification. DIN EN ISO/IEC 27038:2016-12 EN ISO/IEC 27038:2016 (E)3 ForewordISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bodies that are m
22、embers 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
23、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
24、/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
25、 % 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 27038 was prepared by Joint Technical Committ
26、ee ISO/IEC JTC 1, Information technology, Subcommittee SC 27, IT Security techniques.DIN EN ISO/IEC 27038:2016-12 EN ISO/IEC 27038:2016 (E) 4 IntroductionSome documents can contain information that must not be disclosed to some communities. Modified documents can be released to these communities aft
27、er an appropriate processing of the original document. This processing can include the removal of sections, paragraphs or sentences with, where appropriate, the mention that they have been removed. This process is called the “redaction” of the document.The digital redaction of documents is a relativ
28、ely new area of document management practice, raising unique issues and potential risks. Where digital documents are redacted, removed information must not be recoverable. Hence, care needs to be taken so that redacted information is permanently removed from the digital document (e.g. it must not be
29、 simply hidden within nondisplayable portions of the document).This International Standard specifies methods for digital redaction of digital documents.Redaction can also involve the removal of document metadata or the removal of some information (e.g. an image) imported into the document.It can be
30、possible to identify redacted information in a redacted digital document by context. For example, the length of the redaction replacement text can indicate the length of the redacted information, and thus the information itself. This International Standard introduces two levels of redaction: BASIC r
31、edaction where context is not taken into consideration; ENHANCED redaction where context is taken into consideration.Redaction techniques can be used for the anonymization of the information in a document, for example by the removal of some names within sentences. It can also involve the removal of
32、numbers within sentences and their replacement by “XXX”.DIN EN ISO/IEC 27038:2016-12 EN ISO/IEC 27038:2016 (E)5 1 ScopeThis International Standard specifies characteristics of techniques for performing digital redaction on digital documents. This International Standard also specifies requirements fo
33、r software redaction tools and methods of testing that digital redaction has been securely completed.This International Standard does not include the redaction of information from databases.2 Terms and definitionsFor the purposes of this document, the following terms and definitions apply.2.1anonymi
34、zationprocess 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 partySOURCE: ISO/IEC 29100:2011, definition 2.22.2docu
35、mentrecorded information which can be treated as a unitNote 1 to entry: Documents can contain text, pictures, video and audio content, metadata and other associated content.2.3personally identifiable informationPIIany information that (a) can be used to identify the PII principal to whom such inform
36、ation relates, or (b) is or might be directly or indirectly linked to a PII principalNote 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 ide
37、ntify that natural person.SOURCE: ISO/IEC 29100:2011, definition 2.92.4redactionpermanent removal of information within a document2.5reviewerindividual(s) who assesses a document for redaction requirementsNote 1 to entry: There could be a series of individuals who assess a particular document.DIN EN
38、 ISO/IEC 27038:2016-12 EN ISO/IEC 27038:2016 (E) 6 3 Symbols and abbreviated termsFor the purposes of this document, the following abbreviations apply.PII Personally Identifiable InformationPDF Portable Document FormatOCR Optical Character RecognitionXML Extensible Markup Language4 General principle
39、s of digital redaction4.1 IntroductionRedaction is carried out in order to permanently remove particular information from a copy of a document. It should be used when, for example, one or two individual words, a sentence or paragraph, an image, a name, address and/or signature needs to be removed fr
40、om a document prior to it being disclosed to individuals who are not authorized to view the removed information.The process of digital redaction is not simply to remove information but also to indicate where necessary that some information has been removed, so that the reader knows that the document
41、 has been redacted. For example, there can be a need to know that some words or some paragraphs have been deleted in order to maintain the semantics of the non-redacted information.4.2 AnonymizationAs an example, one of the purposes of redaction is to remove personally identifiable information (PII)
42、 from a document (anonymization). Where such a purpose is applicable, then redaction processes shall be so designed such that the identity of the individual about whose information is being redacted is protected.It can be, for example, that even though a name has been redacted from a document, the i
43、dentity of the individual is evident from the remaining information. Where anonymization is required, all information that could be used to identify the individual shall be redacted. This shall include all information that could be used in conjunction with other information (which can be obtained fr
44、om other sources) to identify the individual.5 Requirements5.1 OverviewOrganizations should have the capability to identify documents that need to be redacted prior to their release to other parts of the organization or to others (such as the public).Redaction should be performed or overseen by revi
45、ewers that are knowledgeable about the documents and can determine what information is to be redacted. If reviewers identifying such information do not carry out redaction themselves, their instructions shall be specific e.g. Memo dated , paragraph no, line starting and ending etc.Redaction shall be
46、 carried out on copies of the digital document. The redaction process shall result in the creation of a new digital document where complete and irreversible removal of the redacted information is achieved. This new digital document shall be managed and disposed of in the same manner as the original
47、document.DIN EN ISO/IEC 27038:2016-12 EN ISO/IEC 27038:2016 (E)7 When identifying information that needs to be redacted prior to release, whole sentences or paragraphs should not be identified if only one or two words in that sentence or paragraph are to be redacted, unless the release would enable
48、the identification of the redacted information by context.Where necessary, information relating to the effect that a digital document has been redacted shall be linked with the digital document. To identify the fact that a redaction process has been undertaken, redacted information may be replaced by a sentence stating that some information has been redacted.When redact
