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Technical protection measures for personal information in each processing phase in the Korean Public Sector.

1. Introduction

1.1 Research Background

Personal information infringement has recently emerged as a serious social problem in Korea. It is a constant problem both in the private and public sector. The extent of the damage is extremely large. There have been many cases of infringements in the public sector, such as leakage and exposure of PI through web sites, unauthorized perusal, and leakage due to careless public servants. There were 182,666 incidents of PI leakage in 2,624 public institutions from the latter half of 2006 to the first half of 2008, based on parliamentary inspection of the administration conducted in 2008. Online infringement cases are constantly increasing [1]. Leakage of PI causes psychological and economic damage to data subjects. At the same time, it acts as a key obstacle to e-government and a government information sharing system seeking administrative transparency and public confidence and thus it is important to address the problem. In particular, the fact that government offices share PI, amounting to 64 million via CDs in Korea is evidence of the huge impact of careless PI management. Most of the incidents involving leakage or exposure of PI are caused by insufficient security management, design errors in web sites, inadequate system protection measures, and excessive perusal of PI. Strengthening protection measures, such as encryption, access controls, and log management, are extremely important. However, since there are many views on what the scope of legal protection should be, as well as declarative regulations, without stating detailed technical measures it is not easy for those in charge of protecting PI to decide the scope of technical protection measures that must be complied with. It is difficult to have a clear understanding of the standard of compulsory obligations, such as access control, authentication, log management, and encryption, as well as the scope of possibilities. Most Korean public servants charged with managing PI are facing this kind of difficulty. They demand the development of standards and checklists for more detailed and clearer instructions on how to carry out technical protection measures and to evaluate the current status.

1.2 Research Method

Several characteristics distinguish Korea's public sector from that of other countries. These characteristics demand more diverse and more specific measures for technical protection of PI processed in the public institutions of Korea. As a prime example, the level of implementation of e-government in Korea is higher than any other country. The government has implemented various online administrative services to build a service-oriented government that can be accessed to the general public, anywhere and anytime. It is striving to unify its administrative service systems [2]. Many public institutions have of late been processing PI online via various means, such as the Web, to carry out tasks and provide public services. The scope and amount of information sharing amongst agencies through the government information sharing system is expanding. One task faced at this point in time is to prepare for the implementation of such information sharing. The responsibility of those in charge of protection of PI is to establish administrative, physical, and technological protection plans required by national policies and laws. They must then perform appropriate protection measures. Therefore, "technical protection measures and checklists" for carrying out appropriate protection measures were developed along with a list of questions in this research. In particular, the appropriate scope and protection measures of technical protection regulations required by Korean laws were categorized into protection items and specific requirements. Each of the protection items and specific requirements were developed in the form of appropriate questions. These provided a list of questions addressing technical protection measures.

Additionally, PI protection technologies that can currently be utilized were broken into separate elements and linked with each of the protection items presented in order to improve the level of understanding on protection activities. This enables the establishment of more practical protection plans and their implementation.

2. Analysis of Personal Information Protection Laws and Regulations for Public Institutions in Korea

2.1 The Current Status of the Personal Information Protection Policy

In Korea, in response to the recent surge of PI infringement incidents, systematic plans including "measures to strengthen the protection of PI by public institutions" and "development of a mid- and long-term road map", to protect PI in both private and public sectors, were announced. Work being conducted on a policy to strengthen the protection of PI, or necessary conditions, which are centered on the public sector, enable us to understand the overall technical protection measure requirements that the public sector is demanding, before considering relevant laws and guidelines. Pertinent policies over the past two or three years have strongly recommended inspection of PI leakage via web sites and introduction of a countermeasure system, and call for a PI management system that operates both before and after an incident.

"Measures to strengthen protection of PI at public institutions", a policy announced in September, 2007, presented technical requirements to strengthen protection of PI in public institutions, under the name of "technical countermeasures and strengthening of the infrastructure". It strongly recommended: constant monitoring of public institution web sites and consulting, use of a method that replaces the use of resident registration numbers online, filtering programs, PI filtering programs and secure servers. It strongly recommended the introduction and use of techniques for web sites of public institutions, such as PI exposure checks, agent-based automatic countermeasure systems, and integrated ID management systems. It calls for these PI protection technologies as part of PI protection activities. A "Level Measurement index for the protection of PI at public institutions", which was developed at the same time, is an objective standard for improving the level of protection of PI at public institutions and for the promotion pertinent work performance at institutions. The technical protection measure measurement index and items included in the "technical security" and "physical security" at the level of "laying out the groundwork" demands various technical protection measures and the necessary technologies. They included: management and logging of technical access control of the PI processing system (system access privilege management and monitoring); management of assessment of vulnerabilities; management of encrypted communication; and management of encryption. "Development of a mid- and long-term road map for protection of PI at public institutions", announced in December, 2007, is composed of a total of five areas and 24 specific tasks. In particular, a task to advance PI protection technologies in the "advancing technology" area is included. It specifically refers to establishment of an inspection system for protection technology for the public sector, regular assessment of the level of PI protection technologies by collaboration between government and non-government bodies, and a support system to advance PI protection technologies. These require: PI leak checking and analysis, web site monitoring, operation and management of inspection system before and after the leak of PI, and the necessary technologies. Such recent technical PI protection policies of public institutions can be confirmed based on their detailed legal grounds by analyzing Korean laws, regulations and guidelines.

2.2 Legal Requirements for Personal Information Protection for Public Institutions in Korean Laws and Regulations

2.2.1 Provisions for Technical Protection Measures at Each Phase of Processing Personal Information in Related Laws and Regulations

Laws and regulations on PI protection in Korea are broadly classified based on public and private perspectives: protection of PI that is included in the records that the government manages; and protection of consumer information. The requirements of technical measures to protect PI include general technical measures and specific technical measures based on the characteristics of the public sector. Therefore, we analyzed these laws, regulations, guidelines and manuals and the technical protection requirements derived from them. Other related guidelines and manuals were analyzed and technical protection requirements were discovered [3]. Clauses and key factors required by laws and regulations and guidelines based on each processing phase are included in Appendix 1 and Appendix 2.

Clauses that require technical protection measures at each processing phase of PI in Korea in the public sector were chosen from the laws, regulations and guidelines analyzed. The four phases for processing PI are: collection, storage and retention, use and provision and destruction. The current phase is determined by the general life cycle. The legal grounds of technical protection measures required by each processing phase were separately organized into particular requirements linked to PI protection technologies. They were used as a basis to develop technical protection standards and checklists.

The four notable types of technical measures to protect PI are: encryption, access control, privilege management, and authentication. Specific requirements for encryption include: encryption to prevent alteration, leak, and illegal use of PI; encryption for secure storage and transmission of PI; RFID; encryption for PI in collection, storage, and provision phase, which involves new technologies such as RFID, biometric information, and CCTV video information; encryption to prevent alteration and forgery, etc, of access records regarding PI. Specific requirements for access control include: backup and data isolation, programs, etc, which have PI recorded on them; implementing firewalls; installing and operating access control devices, such as intrusion prevention systems; storage of access logs about PI; and checking access logs and saving logs to confirm access records and supervision. Specific requirements for privilege management include: assigning and managing privileges for access control; access control for third parties, such as maintenance companies and outsourcing companies. Finally, specific requirements for authentication include: use of public certificates and administrative e-signed certificates; use of more secure authentication methods, such as two-factor authentication. These are the most representative ones, but various other detailed measures are included. The most noteworthy protection measures of the four types are extremely important, especially as prerequisite items for public institutions. They are at the heart of the development of protection standards and checklists as research findings. The analysis process is detailed in Section 2.2.2.

2.2.2 Implications of Technical Measures for Protecting Personal Information in Each Processing Phase

Specific technical protection measures for each phase of processing PI, which were found through analysis of relevant laws and regulations, serve as important directions in finding specific requirements of protection standards. The most important parts of the protection measures are: clauses that align with the "principle of collection limitation, purpose specification, security safeguards, etc.", which are prescribed as declarative/compulsory in key principles and guidelines of PI protection, such as the eight principles from "the OECD Guidelines on the Protection of Privacy and Transborder Flows of Personal Data" and for the most part are reflected in Korean laws and regulations. However, there is no need to link all requisites with possible techniques--only when technical measures are best. Therefore, this study was conducted with managerial/physical protection requirements excluded from technical protection measures in each processing phase.

* Technical Protection Measures in Personal Information Collection Phase

The most emphasized regulations in the collection phase are "minimization of PI collection" and "notification and acquisition of consent". These are the most important requirements to prevent or minimize infringement of PI. However, these two requirements are currently being enforced by managerial and procedural approaches rather than technical measures. That is, when collection occurs by entering PI online, unless there is a technical program in place that checks whether the PI entered is relevant to the scope of the service being provided, the realization will inevitably be difficult. However, for notification or obtaining consent, since the specifics can be shown on the computer screen by a program, etc, they may fall under the category of technical measures. However, notification or obtaining consent via screen output is a technique that falls under the operation and management of PI policy; thus, they were excluded from the technical protection measures category. Notification or obtaining consent is excluded, not only in the collection phase, but in other phases as well.

Therefore, the major items that fall under technical protection measures, among the laws and regulations required in the collection phases, are as follows: secure authentication of user identity; control when entering PI; safety of PI transmitted during collection. In particular, PI collected via public services must have secure identification of the user as a prerequisite. In consideration of the seriousness of illegal usage of resident registration numbers, alternatives to using resident registration numbers, authentication by e-signing, and protection of resident registration number for the purpose of confirming real names must be included. In addition, control of personal image data and biometric information is included, when CCTV, RFID or biometrics are used.

Mandatory protection measures in the PI collection phase generally focus on managerial obligations of administrative agencies. Therefore, technical protection measures that are clearly required are simply stated as "measures for securing safety against alteration/leakage or illegal use", "appropriateness of measures that secure safety of PI"(1) and "measures against infringement of PI of persons that transmitted electronic documents"(2), without dealing with specifics. Some guidebooks/manuals, require technical protection measures, such as "whether to encrypt when collecting biometric information"(3) and "establishment of protection measures such as encryption when online transactions or civil appeal applications, etc, are unavoidable"(4), but they stop at encryption of PI.

* Technical Protection Measures in Personal Information Storage and Retention Phase

In the PI storage and retention phase, not only managerial protection measures but also physical/technical protection measures are required. Physical protection measures include establishment of protection areas according to "protection work regulations" and study of crime prevention in computing labs. These and other representative measures are excluded from technical protection standards. Protection measures to prevent against leakage of documents are needed for the output data with PI, along with managerial/physical protection measures.(5) Also, it is prescribed that data, programs, etc, with PI should be stored in separate storage devices and kept in an isolated facility.(6) Along with this, regulations on technical protection measures in the retention phase are extremely specific compared to the collection phase. According to the regulations, every measure, such as construction of a closed network and installation of a firewall for the protection of back-up systems should be considered.(7) In addition, the handling of collected PI is more clearly defined,(8) and "installation/operation of access control systems, such as intrusion prevention systems" and "measures against prevention of alteration/forgery of access logs", are regulated. Also, it is compulsory for telecommunication providers to have technical protection measures, such as installation/operation of access control systems,(9) "store access logs and regularly confirm/supervise", and "back up access logs in separate storage devices so that they don't get altered/forged". Encryption PI of users is made as a rule.(10) Technical protection measures in PI storage and retention include: encryption of PI file and DB encryption, secure management of backup files and databases, access control of stored PI and logging and secure management of log files.

* Technical Protection Measures in Personal Information Usage and Provision Phase

In the PI usage and provision phase, "purpose specification, use limitation, security safeguards" principles from the eight principles of the OECD guideline are especially stressed, with respect to relevant public institutions using and providing PI. "Act on Promotion of Information and Communications Network Utilization and Information Protection, etc" contains clearly-stated provisions pertaining to handling and protection of PI that is accessed or transmitted for usage or provision, and clearly states the following items: "access control systems"; "measures for preventing alteration/forgery of log files"; protection measures using encryption techniques, etc, that allow secure transport of PI"; and "measures against infringement using computer viruses such as installation/operation of anti-virus programs." The regulations given by the Korean Communications Commission for service providers state that protection measures that allow secure transmission of PI on networks using methods such as measures against computer viruses and encryption algorithms, should be made compulsory under this category.(11)

Generally, most of the usage and provision of PI in public institutions is conducted through a government information sharing system that uses the national administration network. Therefore, government employees are required to use government certificates through GPKI (Government PKI).(12) When transmitting government information or electronic documents that contain PI, confirmation of identification by electronic means, such as public key certificates or government certificates, should be used. However, in execution ordinances, etc, it is defined as a "government certificate and transmission method that uses a secure method that corresponds to this", so it can be said that an ambiguity exists with respect to consistency of technical protection measures.(13) In addition, related to access privilege management, authentication methods with enhanced security, such as "security tokens, smart cards, one-time passwords (OTP), biometrics", can be used along with government certificates (GPKI). Use of various methods such as ID/password in confirming the identity of a civil petitioner is made compulsory,(14) where necessary. In addition, in regards to access by employees of maintenance companies or outsourcing companies, technical protection measures are being taken through measures such as, "setting up of access period, examination of appropriateness of allowing access privileges, separation of internal network from accessible network, setting up of minimum access privileges."

That is, regulations for the usage and provision phase emphasize procedures to obtain consent from the data subject, as well as on managerial protection measures about usage and provision, while stressing technical protection measures for authentication, transmission, and access privileges. Therefore, the following need to be included as key technical protection measures: secure authentication when using and providing PI; anti-virus technology in PI processing terminals; web or C/S screen control; network access control; separation of administration network or encrypted transmission for secure online transmission; and examination of PI leakage and isolation.

* Technical Protection Measures in Personal Information Destruction Phase

Regulations on protection measures in the PI destruction phase fundamentally focus on managerial protection measures. They are characterized by "requirements for destruction of PI and notification of destruction of PI." Technical protection measures in this regard are only mentioned briefly, with no specific techniques stated. Examining the main content, when retention of PI becomes unnecessary after meeting the retention objective, the PI must be destroyed, and that fact needs to be notified on the web site. In addition, PI must be destroyed using a method that makes recovery impossible, and that fact needs to be notified within one month. With regards to telecommunication providers, PI needs to be destroyed when one or more of the following conditions is met: accomplishment of the objective for collecting and using PI; ending of the terms of usage; and closing of the business.(15) Also, with regards to information about official candidates, when they demand it, their PI must be destroyed.(16) In many cases, regulations on the preservation time or the need for preservation are inconsistent, for peculiarities related to requirements for destruction of PI stated by the law, as they conform to other laws.

In other related guidelines, biometric information must be made unrecoverable and destroyed, when one or more of the following is met: accomplishment of the objective of usage; termination of usage; revocation of consent; unnecessary retention. The fact that destruction occurs needs to be notified to the data subject.(17) In addition, according to the regulations, photos of an individual's personal image with the expired retention term need to be immediately erased,(18) and photos of an individual's personal image data, collected by image data processing devices need to be destroyed within 30 days of collection.(19) Furthermore, when the objectives of data collection have been accomplished, service providers need to shred/incinerate PI in paper form and erase unrecoverable electronic PI. As well, if consent for collection and usage is revoked, they need to take adequate technical measures, such as destroying PI, and need to notify data subjects that their PI has been destroyed.(20)

In addition, provisions say that the destruction of PI after it has been destroyed using an unrecoverable method must be confirmed; for printed material this involves disposal (shredding or incinerating) of PI after directly taking measures to destroy it.(21) They emphasize managerial protection measures, but also technical protection measures, such as unrecoverable destruction.

3. Personal Information Protection Technologies by Public Institutions for Each Processing Phase

The aim of the present thesis is to adjust PI protection technologies designed for different PI characteristics and for each phase in the life cycle, which are already known by previous research, to align with PI protection technologies demanded in the network environment in the public sector, according to the technical protection measures found by analysis of relevant laws. This is to confirm the operating environment of PI protection technologies in detail when checking the management conditions, by utilizing checklists of protection standards, to be presented in Chapter 4 by each public institution. In addition, it is to support the adoption of PI protection technologies and improvement activities. Also, the detailed technical analysis is crucial to developing appropriate technical protection measures and items and assessing the appropriateness of the measures. PI characteristic-specific technologies such as Abedelmounaam were examined in order to classify PI protection technologies into elements according to each processing phase. The subdivision method that improves upon Abedelmounaam, developed by Gi-Hyo Nam et al., was used.

3.1 Personal Information Protection Technologies Based on the Personal Information Characteristics and the Life Cycle Phase

The Abedelmounaam (2003) classification is the most widely used classification of privacy protection technologies. It categorizes internet privacy technologies into technical-based and law-based [4]. Gi-hyo Nam et al. improved on these technologies to overcome their limitations of not including various new technologies, in 2006 and 2009. This work broadly classified PI protection technologies into operational and policy/managerial technologies based on their characteristics [5]. Operational technologies refer to protection technologies used to prevent a range of privacy infringements that may occur during the phases where PI is transmitted/received and provided, and include the following: prevention technologies against PI infringement (privacy filtering technologies); technologies that check current infringement factors (privacy scanning); secure communication to guard against infringement (communication with PI protection); and storage technologies (storage technologies for protection of PI). Policy/managerial technologies refer to technologies that allow service providers to effectively describe PI protection policies, for ease of understanding by users, as well as allowing operation of services based on the PI protection policies. Here, PI protection policy technologies and PI protection policy management technologies are included. This classification classes PI protection technologies according to their objectives and characteristics. A specific technology is linked to the protection technology factors for each processing phase, since it is the most fundamental and common-used classification system. Agency, PI protection technologies can generally be applied according to each phase of the life cycle. If consideration is made on how specific technologies examined in PI protection technologies by characteristics are linked based on the security requirements of each phase of the life cycle, they can be expressed as technologies that correspond to technical protection measure requirements analyzed through pertinent laws. That is, PI protection technologies protect PI from infringement risks that may occur during each PI processing phase. They are summarized as technologies that protect the rights of data subjects [6][7].

3.2 Personal Information Protection Technologies for Each Processing Phase

The general public services aim to provide more safe and convenient services using new technologies. Such protection requirements in pertinent PI protection laws make clear statements about protection measures when specific technologies not intended for a typical PI processing system are used in the PI collection and usage phases. As a chief example, when CCTV, RFID, and biometrics are used, requirements are stated for special PI protection technologies to protect personal image information, biometric information, etc. Therefore, classification of technologies is needed in this regard as well.

* CCTV Personal Information Protection Technologies(22)

When CCTV or web cameras are installed on the outer wall of a building, etc, surrounding apartments or residences may be filmed depending on the area shot and the camera angle. This infringes personal privacy. Faces of individuals risk exposure when CCTVs are installed by the roadside. Therefore, technologies against infringement of this kind are required to protect privacy and to protect individuals from video exposure.

* RFID Personal Information Protection Technologies

Identification information of objects are stored in extremely small tags and attached to the objects in RFID technologies. Information on the items of interest and the surrounding environment are wirelessly transmitted to the reader that has an attached antenna linking it to a network, where the information is processed. It is a non-contact, automatic-identification technology. RFID technology has the advantage that it can be used in diverse domains such as logistics, transportation and automobiles. However, adverse side effects, such as privacy infringement are coming to the fore as access to user information becomes easier. The general vulnerabilities of RFID technologies to privacy concerns include: information leakage (data security); personal tracking (location privacy); and omnidirectional privacy (forward privacy). Therefore, a PI protection technology classification is correspondingly necessary [8].

* Biometric Personal Information Protection Technologies

Biometric information is PI that cannot be replaced or erased. When unique biometric information (face, fingerprints, iris, etc) is illegally leaked, there is no means available to check the source, use another set of biometric data, or prevent the use of leaked information. This can seriously infringe individual privacy. That is, biometric information, owing to its invariability, cannot be changed as is the case for a password or a PIN. If stored biometric information for user authentication is illegally used by others, there may be serious consequences. Therefore, PI protection technologies that can prevent PI infringement risks due to leaking biometric information are extremely important [9].

3.3 Personal Information Protection Technologies for Each Processing Phase at Public Institutions

PI protection technologies necessary in the public environment in Korea were examined from multiple viewpoints with reference to related research. A table of the PI protection technologies, necessary at each processing phase of PI at public institutions, was organized [10][11]. Effort was made to include every processing phase, section and countermeasure technologies, from the collection phase of PI to the destruction phase. This ranged from public servant PCs to PI DBs, and to special types of PI processing technologies, such as CCTV and RFID. Telecommunication service networks are classified broadly into six sections from the aspect of PI management. This aids understanding of the technologies required for each section of the service network that each of the public institutions operates according to protection standards. There are seven sections to cover the service environment of public institutions in Korea: 1) civil affairs PC section for security of users that use the service; 2) public servant PC section for security of internal users within the service organization, including those in charge of services; 3) transmission section for security in the process of transmitting PI, based on requests for services and their provision; 4) web/application section for security of services on the web; 5) DB section for security in storage or retention of service information; 6) offline section for security in tasks that are performed off-line; 7) other section (common section) for security of operation and management involving policies.(23) If the content of Table 4 is understood, together with the legal requirements dealt with previously, those in charge of PI protection that conduct protection measures will be able to effectively implement countermeasures against risks that may occur during each processing phase, in each section, and for each processing technology. A more detailed description of specific technologies is omitted in this thesis as it is not one of the main subjects.

As we have seen in Table 2, cryptography is an essential and critical technical measure for PI protection. It is mainly used in protection technologies for personal data encryption and user authentication. So, it is important that we use a strong cryptographic algorithm such as 256bit-AES for strengthening personal data protection. The strength and efficiency of cryptographic algorithm is crucial to the level of personal data protection. In the Korean public sectors, Cryptographic technologies are essential to protect PI. They are used in many areas and technologies such as network encryption, DB encryption and GVPN. Especially, for governmental usage, the public sectors must use cryptographic technologies meeting the requirements of the Korean Cryptographic Module Validation Program (KCMW)(24)[12]. And they cannot use a PI protection solution including a cryptographic module without a KCMVP certificate.

4. Technical Protection Standards for Personal Information Protection at Public Institutions

Based on the analysis of related laws and technical analysis, standard technical protection measures and checklists for protection of PI necessary at public institutions in Korea, are presented as the main findings of this research study. As mentioned in the above analysis, the implications based on legal analysis were considered and common/selective requirements were re-classified by breaking PI protection requirements into separate elements; protection standards and checklists were presented, linking them to the required technologies for each of the diverse PI processing phases. Although not dealt with in this thesis, for the present research, various public institutions were sampled to determine their actual conditions. The results were reflected in the protection requirements, after analyzing the risk factors for each of the seven PI processing sections, as indicated in Chapter 4.

In addition, in Korean law, some requirements were omitted based on the legal objectives or they differed according to the laws, causing some to point to the inconsistencies. Measures to address this involved analyzing the requirements found in the guidelines or manuals of related institutions, so that the shortcomings were not reflected in the protection standards. In selecting standard protection measures, common protection measures were devised. Technical measures that rated low in importance were bundled as an inclusive management item. If protection measures were only required for a few items, if they had a high level of importance and were urgent, they were classified into a separate item, to be selected as necessary. It is expected that the protection standards (items and checklists) developed in this manner will be adequate for use as technical measures that all public institutions must abide by. Consequently, improvements in effectiveness and management standards are expected.

4.1 Technical Protection Measures and Specific Requirements

After the analysis of related laws, guidelines, etc. given in Section 2.2.1, control items for the technical protection measures for each phase were grouped into the collection phase (5 items), storage and management phase (5 items), usage and provision phase (14 items), and destruction phase (1 item). Although the entire process of grouping cannot be described, development of practical protection standards necessary for every public service were found by devising requirements that require technical measures rather than managerial ones. In particular, specific technical types based on the processing phase, for the section, for the particular processing technologies, understood from previous research, were considered. However, only technical protection measures that can be used in practice, which were found by investigation of the actual conditions of operation and management of PI protection technologies at public institutions, were selected. In addition, technologies that are used in only some public institutions, such as CCTV, RFID, and biometric recognition technologies, were bundled as a special type, for selective usage. Technologies that have not been realized in legislation, but have been validated as being technically effective, were stated as specific required technologies in the protection measure checklist. Technologies that have not been validated for their effectiveness and abstract technologies were excluded.

Protection measures for the "usage and provision" phase are more numerous with respect to processing of PI compared to other phases. As explained in the analysis results, it is deemed that this is due to the many diverse departments and organizations whose aim has been to improve the administration efficiency under the framework of an e-government and government information sharing system. Individuals, information flows, and methods involved in the flow of PI are diverse. Consequently, there is considerable risk of misuse/abuse and exposure/leakage of PI arising from the sharing of PI between the central government and affiliated public institutions that have diverse physical systems and operate under diverse objectives. Therefore, various technical protection measures for prevention of information privacy violations and countermeasures against this are necessary.

4.2 Technical Protection Measures Checklist (Questionnaires) and Its Application

The aim of the present research is to present technical protection measures and specific requirements to be used in practice at public institutions to check the current status of the protection of PI. Therefore, questionnaires were developed to audit the status of information protection. The questionnaires comprised 107 items. They are divided into the following phases: collection phase (16); retention phase (13); usage and provision phase (70); and destruction phase (8). In addition, 13 optional items were included, indicated by brackets (refer to Appendix 3), that could be selected based on the technical environments of the public institutions. These questionnaires are composed of mandatory and optional requirements (refer to the last column of the table in Appendix 3). Classification of requirements as mandatory or optional is done according to these principles. First, checklist items based on explicit clauses of Korean laws, guidelines and standards of PI protection are mandatory. Second, essential and critical items that can give rise to PI leakage and disclosure if not applied in public institutions are mandatory. Third, items developed and supplied by the government for strengthening security of public institutions such as GPKI, G-PIN and GVPN are mandatory. Fourth, rational protection measures previously applied in many institutions and verified as effective and cost-efficient are mandatory. Accordingly, items that were regarded as strong but impractical measures until now because they suffer from performance problems and excessive cost are optional. Examples of this category are DB Encryption, DRM and electronic approval systems.

We provide a method for applying this checklist to Korean public institutions. First, we check if they comply with the mandatory requirements of general PI given by the PI lifecyle. Second, if they have specific PI such as personal image data, biometric information and RFID data, we check if they comply with the requirements(refer to 1.4, 1.5, 2.1, 2.2, 3.14 in Appendix 3) for specific PI through new technologies such as CCTV, RFID, Biometrics. Third, we check if they comply with the optional requirements of general PI for additional protection. Fourth, we diagnose the present state of PI protection in institutions and make a reinforcement plan for PI protection based on the results of a series of checks.

Next, we introduce an actual case of the application of this checklist using the Seoul TOPIS(Transport Operation and Information Service) as a example of a Korean public institution. The Seoul TOPIS is a management center that supervises overall transportation in Seoul on the basis of information collected from related systems and the network of traffic counters and CCTV cameras that monitor traffic conditions on major arterials. From the viewpoint of privacy, in TOPIS, personal image data is mainly collected through CCTVs and processed. And the linkage of personal image data and other personal data such as location information and vehicle registration information is done by TOPIS. Therefore it is required to protect personal image data and other related personal data before strengthening PI protection in TOPIS. In applying this checklist to TOPIS, first, we check if they comply with the mandatory requirements of general PI as given by the PI lifecyle. Second, if they have personal image data as specific PI, we check if they comply with requirements(refer to 1.4.1, 2.1.1, 2.1.2, 3.14.1 in Appendix 3) for specific PI. Third, we check if they comply with the optional requirements of general PI. Via this checklist and an application method such as this, Korean public institutions are guaranteed to have strong and effective technical protection measures during every phase of the PI lifecycle.

5. Conclusion and Expected Outcome

This paper presented the scope and specific technical items to protect PI in a detailed and comprehensive manner by analyzing legislation, guidelines, and manuals pertaining to PI protection at public institutions. It needs to consider the unique characteristics of public institutions in Korea, specifically e-government services, expansion of the level of sharing of government information, including PI, and collection and usage of resident registration numbers. We should prepare for the implementation of the PI processing system. It is extremely important for those responsible for protection of PI in each public institution. They should establish an inclusive PI protection plan as required by national policies and legislation. This will enable institutions to take appropriate technical protection measures. The "Technical protection measures and items, checklist for each item and list of related technologies" presented in this paper have great significance, since they go beyond merely supporting those responsible at organizations for establishing appropriate PI protection plans and the conduct of appropriate protection measures. They present the appropriate scope of technical protection regulations that Korean laws require, as well as providing clear standards to check the current level of technical protection realized in organizations. Each of the protection control items and specific requirements were developed in the form of questions for practical utilization. They provide a list of questions to check the technical protection activities and the measures realized. In addition, PI protection technologies that can be used currently were broken into separate elements and linked to each of the protection items presented, improving the level of understanding of protection activities. Some might say that these research results are no different to other manuals or handbooks such as the KISA(Korea Information Security Agency) explanation manual for personal information protection. But there are significant differences. First, the domain covered is different. The KISA manual is only based on relevant acts and regulations of the private domain. The checklist resulting from this thesis covers the public and private domains and public mandatory issues that are required from relevant laws are clearly covered. Second, it is a practical supporting tool for checking and reviewing technical protection duties rather than merely an explanation manual to help understanding or awareness. Because each of the control items and checklist requirements in Appendix 3 were based on a distinctive feature in a public telecommunication network and specific characteristics for applicable entities in the public domain, they provide specific checking tools and guidelines for public officials specially. Also they provide organizing principles of mandatory and optional requirements, and considerations applicable to public institutions.

In conclusion, the research findings of this paper are expected to provide an effective standard for technical management activities for those in charge of protection of PI in Korean public institutions, especially in the following aspects: clear understanding of the scope and legal requirements during each processing phase of PI; supporting establishment of appropriate protection plans; and helping with the performance of clear and detailed technical protection measures. Furthermore, they will help minimize the security flaws due to limited activities for PI protection.

Appendix 1. Protection measures in the collection stage of personal
information according to related laws

                     Number of
Phase         Laws   provision             Contents

Collection     A     Article 3, clause 2   (principle of PI
Phase                                      protection) (1)
                                           clarification of the
                                           purpose of collecting PI,
                                           minimum collection,
                                           restriction on uses other
                                           than the purpose

                     Article 4             (collection of PI) (1)
                                           principle of limitation
                                           of collection of PI (2)
                                           rights of PI providers
                                           stated in documents or
                                           on web site

                     Article 6             (agreement in advance
                                           when PI files are
                                           retained or changed) (1)
                                           subject of discussion

                     Article 6             (agreement in advance
                                           when PI files are
                                           retained or changed) (3)
                                           exception of clause 1

                     Article 7, clause 2   (PI protection policy)
                                           (1) contents of PI
                                           protection policy (2)
                                           policy publication method

                     Article 9, clause 2   (confirmation of identity
                                           online) (1) measures to
                                           secure safety (2) general
                                           measures (3) request for

                     Enforcement           (entrusting installation/
                     Decree(ED),           management of closed-
                     article 4, clause 3   circuits) (1) conditions
                                           of the commission (2)
                                           necessary conditions for
                                           PI protection (3)
                                           publication items on the
                                           information bulletin

                     ED, article 5         (subject of discussion)
                                           "clauses set by a
                                           Presidential decree"

                     ED, article 6         (excluded items for
                                           subject of discussion)
                                           (2) "PI files set by a
                                           Presidential decree"

                     ED, article 7         (public notice of PI
                                           files) DI publication of
                                           PI files kept by the
                                           public institution (3)
                                           restriction on public
                                           notification of
                                           processing information
                                           with perusal restriction

               B     Article 10            (principle of
                                           confirmation of the
                                           administrative organ)

                     Article 11            (principle of the
                                           information joint use)
                                           information joint use and
                                           restriction on collection
                                           the same information when
                                           provided to other

                     ED, article 6         (receiving of electronic
                                           documents) (1) receiving
                                           of designated electronic
                                           documents such as
                                           computer (2) notice and
                                           confirmation of the fact
                                           that electronic documents
                                           have been received (3)
                                           notice of the fact of
                                           the reception

                     ED, article 21        (notification in advance
                                           for information file
                                           implementation) (1)
                                           notification matters when
                                           information files are
                                           implemented, retained,
                                           changed, or destroyed

               G     Article 22            (collection/use/consent
                                           of PI) (1) official
                                           announcements when PI is
                                           collected and when the
                                           consent is obtained (2)
                                           collection and use of PI
                                           without consent

                     Article 23            (restriction on
                                           collection of PI)
                                           restriction on PI
                                           collection (2) minimum
                                           information collection

                     Article 25            (entrusting of PI) (1)
                                           notification and consent
                                           matters when PI is
                                           entrusted to a third
                                           party (2) exception of
                                           notification and consent
                                           procedures (3) purpose
                                           of handling PI (4)
                                           (5) responsibility for
                                           compensation for damages

                     Article 26            (transfer of PI due to
                                           receiving of work, etc)
                                           (l) notification of the
                                           fact that PI was
                                           transferred, based on a
                                           method set by a
                                           Presidential decree, and
                                           the items (2)
                                           notification of the fact
                                           that PI has been
                                           transferred (3) use and
                                           provision of PI, within
                                           the scope of the original

Storage        A     Article 3, clause 2   (principle of PI
and                                        protection) (2) guarantee
Retention                                  that the processed
Phase                                      information is accurate
                                           and is the latest,
                                           securing safety

                     Article 5             (scope of possession of
                                           PI files)

                     Enforcement           (PI file collection)
                     regulation(ER),       published once a year
                     article 3

                     ER, article 4         (management of computing
                                           rooms, etc) (1) securing
                                           safety of PI (2) measures
                                           to prevent crimes such as
                                           installing surveillance
                                           equipment, and regular

                     ER, article 5         (management of input and
                                           output data) (1) measures
                                           to prevent leak of
                                           inputted data (2)
                                           measures to prevent leak
                                           of recording mediums,
                                           discarding output
                                           material when no longer
                                           required (3) record to
                                           input and output
                                           management ledger and its
                                           management (4) automatic
                                           recording of appropriate
                                           output material

                     ER, article 11        (accuracy of processed
                                           information) (1)
                                           designation of the
                                           preservation period for
                                           processed information and
                                           PI files, and their

               B     ED, article 11        (installation of an
                                           authentication management
                                           center) installation of
                                           administrative e-signing
                                           authentication management

                     ED, article 15        (confirmation of the time
                                           of electronic documents)

                     ED, article 16        (management of
                                           authentication records,
                                           etc) (1) administrative
                                           e-signing verification
                                           key, certificates, safe
                                           keeping and management
                                           of authentication work
                                           records (2) maintenance
                                           and preservation of
                                           administrative e-signing
                                           verification keys and
                                           certificates (3)
                                           confirmation of

                     ED, article 34        (protection measures
                                           for administrative
                                           information, etc) (4)
                                           management of
                                           administrative information
                                           by classifying study of
                                           protection measures when
                                           using administrative
                                           information (3) edit/
                                           supplementation when
                                           information files are
                                           modified (4) management
                                           and reservation of
                                           official electronic

                     ED, article 35        (security measures
                                           related to safekeeping/
                                           distribution of electronic
                                           documents) (1) "security
                                           measures for which safety
                                           has been confirmed by the
                                           director general of
                                           national intelligence"
                                           (2) review of level of
                                           security (3) other
                                           security measures related
                                           to maintenance/
                                           distribution of
                                           electronic documents

               C     Article 28            (installation of a
                                           resident registration
                                           computing center, etc)
                                           (2) construction of a
                                           resident registration
                                           computing backup system

                     Article 31            (obligations by the
                                           institution that
                                           maintains resident
                                           registration chart, etc)
                                           (2) safety measures to
                                           prevent disappearance,
                                           theft, leak or damage to
                                           resident registration
                                           charts (2) restriction on
                                           computerized processing
                                           using resident
                                           registration charts, for
                                           purposes other than
                                           possession and the
                                           purpose of use (leak of
                                           the secret of handling
                                           of matters related to
                                           resident registration

                     ED, article 10        (management/preservation
                                           of resident registration
                                           charts, etc) management/
                                           preservation methods of
                                           resident registration
                                           charts, resident
                                           registration charts
                                           by generation

                     ED, article 46        (running of a resident
                                           registration computing
                                           center, etc) (4) safety
                                           measures for resident
                                           registration computing
                                           center and resident
                                           registration computerized
                                           information back-up
                                           system data

               D     Article 7             (the original ledger for
                                           vehicle registration) (3)
                                           prevention measures
                                           against leak of
                                           registration ledger and
                                           information within, as
                                           well as preservation
                                           measures (5) prevention
                                           of leak of PI when
                                           registration ledger is
                                           viewed or delivered

                     Article 69            (computer processing of
                                           work related to vehicle
                                           management) (work using
                                           computer information
                                           processing organization

               G     Article 27            (designation of the
                                           person in charge of
                                           managing PI) (1)(2)(3)

                     Article 27,           (making public the policy
                     clause 2              on how PI is handled)
                                           (1)(2) items of PI
                                           handling policy that are
                                           made public (3) reason
                                           and details when the
                                           policy on handling PI
                                           is changed

                     Article 28            (Protection measures of
                                           PI) (1) technical/
                                           managerial measures for
                                           protection of PI (2)
                                           limit the number of
                                           persons handling PI
                                           to the minimum

                     ED, article 15        Protection measures for
                                           PI) technical/managerial
                                           measures needed for
                                           securing safety of PI (2)
                                           announcement of detailed
                                           standards of protection

                     ER, article 9         (protection measures
                                           for PI) (1) managerial
                                           measures needed to secure
                                           safety of PI (2)
                                           technical measures needed
                                           to secure safety of PI
                                           (3) announcement of
                                           specific standards of
                                           protection measures that
                                           reflect characteristics
                                           of the types of

Usage and            Article 9             (securing safety of PI,
Provision                                  etc) (1) measures to
Phase                                      secure safety when PI is
                                           handled, transmitted and
                                           received (2) measures to
                                           secure safety of PI when
                                           it is processed by
                                           entrusting to a third
                                           party (3) outsourcing
                                           method/procedure (4)
                                           announcement of
                                           outsourcing (5)

                     Article 10            (restriction on use and
                                           provision of processed
                                           information) (1)
                                           restriction on use and
                                           provision of PI files for
                                           purposes other than the
                                           purpose of possession (2)
                                           minimization of use and
                                           Provision (3) excludes
                                           use and provision other
                                           than for the purpose of
                                           possession (4) measures
                                           to secure safety of
                                           processed information (5)
                                           restriction on use and
                                           provision for third
                                           parties without consent
                                           (6) announcement of legal
                                           grounds and purpose when
                                           used or provided for a
                                           purpose other than the
                                           original purpose

               A     ED, article 10        (securing safety of Pl,
                                           etc) (1)

                     ED, article 11        (use/provision of
                                           processed information)
                                           (1) clarification of the
                                           scope of processed
                                           information (2) use of
                                           processed information and
                                           keeping a provision

                     ED, article l2        (restrictions on the use/
                                           provision of processed
                                           information) (1)
                                           restrictions on the items
                                           and measures when
                                           information network is
                                           used and provided (2)
                                           stop use and provision
                                           when not performed

                     ER, article 6         (installation/management
                                           of terminals) (1) user ID
                                           and password assigned to
                                           each of the PI terminals
                                           (2) name of the PI file,
                                           time that PI was
                                           processed, the author
                                           and check of used

                     ER, article 11        (accuracy of processed
                                           information) (2)
                                           notification of
                                           correction/deletion to
                                           processed information

                     Article 12            (principle of PI

                     Article 18            (transmission/reception
                                           of electronic documents)
                                           (1) transmission using a
                                           method of ID confirmation
                                           using public certificates,
                                           etc (2)

                     Article 21            (joint use of
                                           information) (1)
                                           information that calls
                                           for joint use (2)
                                           exception to
                                           information joint use (3)
                                           transmission method for
                                           protection of
                                           administrative PI (4)
                                           maintenance of accuracy
                                           of administrative

                     Article 22            (procedures for
                                           administrative information
                                           joint use) (1) writing up
                                           of electronic creation/
                                           lists (2) distribution
                                           of the lists and
                                           investigation of joint
                                           use information (3)
                                           establishment of
                                           information joint use
                                           plan, measures (4)
                                           information joint use
                                           center (5) joint use work

                     Article 22,           (joint use of
                     clause 2              administrative
                                           information such as
                                           public institution) (1)
                                           information joint use
                                           center (2) administrative

                     Article 22,           (administrative
                     clause 3              information handling/
                                           obligations of users)
                                           restriction when
                                           information is

                     Article 27            (establishment and
                                           enforcement of security
                                           measures by information
                                           network and such) (l)
                                           securing of safety and
                                           reliability for
                                           information, etc, and
                                           information network of
                                           e-government (2)
                                           of administrative
                                           information and such
                                           as well as information
                                           network (3) measures to
                                           secure safety when
                                           e-documents are kept and
                                           distributed, confirmation
                                           that it was been carried
                                           out (4)

               B     Article 30            (working remotely online)
                                           prevention of illegal
                                           access and security
                                           measures when working

                     Article 35            (confirmation of identity)
                                           method for identity
                                           confirmation when
                                           processing civil

                     Article 39,           (electronic public
                     clause 2              service security
                                           measures) (1)(2)

                     ED, article 18        (transmission method
                                           for administrative
                                           information) transmission/
                                           reception method for joint
                                           use of administrative
                                           information amongst

                     ED, article 22        (request for provision
                                           of administrative
                                           information) (l) request
                                           of the purpose for use of
                                           administrative information
                                           being kept and managed (2)
                                           request for provision of
                                           administrative information
                                           in the minimum scope

                     ED, article 24        (joint use of
                                           information using
                                           information network) (1)
                                           subject of discussion
                                           with administrative
                                           information joint use
                                           center (2) link with/use
                                           information network

                     ED, article 26        (administrative
                                           information joint use
                                           center) (2) administrative
                                           information joint use
                                           center work

                     ED, article 30        (stop of provision of
                                           information) (l)
                                           stop of provision of
                                           information, request
                                           for return and use
                                           prohibition (2)
                                           notification of the
                                           reason for stop of
                                           provision and use
                                           prohibition (3)
                                           duplication, copy,
                                           continued preservation,
                                           use prohibition of

                     ED, article 44        (confirmation of
                                           identity) (2) electronic
                                           identity confirmation
                                           method, alteration/leak
                                           of PI or measures to
                                           prevent illegal use

                     ED, article 49        (scope of security
                                           measures for electronic
                                           public service) "security
                                           measures for electronic
                                           public services"

               C     Article 29            (viewing or delivery of
                                           copy) (5)

                     ED, article 49        (transcript/abridged copy
                                           of resident registration
                                           chart using civil
                                           petition machine) (1)
                                           comparison comparison
                                           according to computing
                                           organization (2) safety
                                           management measures such
                                           as protection of resident
                                           registration computing
                                           system as well as
                                           protection of PI (3)
                                           check of the operation of
                                           civil petition machine as
                                           well as state of security,
                                           and taking of appropriate
                                           measures, stopping when
                                           leak is detected

                     ED, article 56        (processing of electronic
                                           documents related to
                                           resident registration,
                                           such as civil petition)
                                           (3) alteration/forgery
                                           prevention and purpose

                     ED, article 57        (confirmation of
                                           authentication of name
                                           and resident registration
                                           number) (1) construction
                                           of "real name confirmation
                                           system for election" (2)
                                           use of real name
                                           confirmation system
                                           according to clause 59 of
                                           public election law (3)
                                           safety management measure
                                           (4) guidance/supervision
                                           of clause 3 (8)

                     ED, article 58        (confirmation of
                                           authenticity of resident
                                           registration cards) (1)
                                           confirmation of
                                           authenticity using
                                           computing organization
                                           (2) scope of use for
                                           confirmation system (4)
                                           use limitations of
                                           confirmation system (5)

               D     ED, article 14        (use of computing data)
                                           (1) use scope of data
                                           that contains PI (2)
                                           application notification

               E     Article 24            (provision of
                                           administrative data)
                                           (1)(2)(3) confirmation of
                                           safety of administrative
                                           data (4) limitation on
                                           provision for purpose
                                           other than collecting
                                           statistics (5) stop and
                                           limitation of provision
                                           of administrative data
                                           when protection measures
                                           on data does not take

                     Article 30            (provision of statistical
                                           data) (1)(2)(3)(4)

                     Article 31            (use of statistical
                                           data) (1)(2)(3)(4)

                     Article 33            (protection of
                                           secrecy) (1)(2)

                     ED, article 48        (protection of
                                           statistical data) (1)(2)

                     ED, article 50        (measures for protection
                                           of secrecy) (1)(2)(3)

               G     Article 24            (use limitation on PI)
                                           limitation of use for
                                           purpose other than
                                           collection of personal

                     Article 24,           (consent of provision of
                     clause 2              PI, etc) (1) notification
                                           and obtaining of consent
                                           when provided to a third
                                           party (2) provision of PI
                                           to a third party and
                                           limitation on use for
                                           other than the intended

                     Article 63            (protection of PI when
                                           transferred to the
                                           outside) (1) limitation
                                           on signing of contract
                                           for illegal PI (2)

                                           obtaining of consent when
                                           PI is transferred to the
                                           outside (3) notification
                                           items when obtaining
                                           consent (4) protection

                     ED, article 67        (protection measures when
                                           PI is transferred to the
                                           outside) (1) protection
                                           measures when PI is
                                           transferred to the
                                           outside (2) contact

Destruction    A     Article 10,           (destruction of PI files)
Phase                clause 2              (1) immediate destruction
                                           when possession of PI
                                           file is not necessary (2)
                                           notification of the
                                           destruction of PI
                                           files (3)

                     ED, article 12,       (destruction method, etc,
                     clause 2              for PI files) (1) use of
                                           a method that makes
                                           restoration of PI
                                           impossible (2)
                                           notification of the fact
                                           of destruction of PI

               G     Article 29            (destruction of PI)
                                           immediate destruction
                                           of PI

               F     Article 19,           (management of official
                     clause 3              candidates) (2) consent
                                           method when information
                                           of official candidates
                                           is collected and managed

Appendix 2. Regulations of protection measures in the treating process
of Personal Information pursuant to relevant Guidelines and Manual

Stage         Title    Provision No.      Contents

Collection      R        Article 4         (1)(2)
Phase                    Article 5
                         Article 11
                         Article 16
                P        Article 4         (1)(2)
                         Article 5        (1)(2)(4)
                N        Article 4           (1)
                         Article 7        (1)(3)(4)
                         Article 9        (1)(2)(3)
                O        Article 4
                         Article 10         (1)(2)
                Q        Article 4
                         Article 5          (1)(2)
                         Article 6       (1)(2)(3)(4)
                         Article 9
                         Article 10        (1)(2)(3)
                K        Article 8         (1)(2)(3)
                         Article 12        (1)(4)(5)
                         Article 18           (3)
                         Article 22         (1)(2)
                M      Title III. 1.          1-1.

Storage         P        Article 6
and             N        Article 11        (1)(3)(4)
Retention       K        Article 12           (2)
Phase                    Article 16
                         Article 17
                L        Article 4          (1)(2)
                         Article 5          (1)(3)
                S        Article 22         (1)(2)

                R        Article 6            (2)
                P        Article 7         (1)(2)(3)
                         Article 8          (1)(2)
                N        Article 4            (2)
                         Article 10
                         Article 16
                O        Article 4            (2)
                         Article 11        (1)(2)(3)
                         Article 18
                Q        Article 14           (3)
                         Article l7
                K        Article 9        (1)(2)(3)
                         Article 10
                         Article 12           (5)
                         Article 13           (1)
                         Article 22           (4)
                         Article 30         (1)(2)
                         Article 32
                S        Article 4          (1)(2)
                         Article 8          (1)(2)
                         Article 9          (1)(2)
                         Article 10         (1)(2)
                         Article 11         (1)(2)
                         Article 15           (2)
                M     Title III. 3.          3-4.
                R        Article 15
                P        Article 9          (1)(2)
                N        Article 13
                Q        Article 16         (1)(2)
                K        Article 19         (1)(2)
                         Article 20         (1)(3)
                M     Title III. 4.          4-1.

Appendix 3. Protection measures checklist for each personal information
processing phase at public institutions (Questionnaires) * M (mandatory
requirement), O (optional requirement)

              Control   Detailed
Phase          Items    Condition   Question                  Option

                1.1       1.1.1     Is the institution          M
                                    using a resident
                                    registration number
                                    replacement technique
                                    such as public I-PIN
                                    or private I-PIN in
                                    order to minimize
                                    the collection of
                                    resident registration
                                    numbers when
                                    collecting PI online?

                          1.1.2     When sensitive              M
                                    information such as
                                    resident registration
                                    numbers is collected
                                    on the institution's
                                    web site due to
                                    circumstances, is it
                                    always encrypted?

                          1.1.3     Does the institution        M
                                    support e-signing
                                    authentication using
                                    certificates of
                                    various types such as
                                    GPKI and NPKI, when
                                    collecting PI?

                          1.1.4     Does the institution        M
                                    encrypt resident
                                    registration numbers
                                    when they are entered
                                    by users for the
                                    purpose of confirming
                                    their real name?

                                    Does the institution        M
                                    immediately delete
                                    resident registration
                                    numbers when they are
                                    entered by users for
                                    the purpose of
                                    confirming their
                                    real name, after
                                    accomplishing the

                1.2       1.2.1     Does the institution        M
                                    use techniques
                                    against keyboard
                                    hacking for the
                                    terminals used in
                                    collecting PI?

                          1.2.2     Is the institution          M
                                    preventing leakage
                                    of PI when sensitive
                                    information such as
                                    resident registration
                                    numbers or account
                                    numbers are entered
                                    for registering at
                                    the site by civil
                                    affair workers, by
                                    replacing a certain
                                    number of letters with
                                    asterisk (M) or some
                                    other arbitrary

                1.3       1.3.1     Does the institution        M
                                    use the following
                                    encryption methods
                                    for sessions between
                                    the server and users,
                                    which include PI and
                                    information collected
                                    at the web site?

                                    1. Receiving/
                                    transmitting by
                                    encrypting PI by
                                    installing SSL
                                    (Secure Socket Layer)
                                    certificate in the
                                    web server.

                                    2. Receiving/
                                    transmitting by
                                    encrypting PI by
                                    installing an
                                    application program
                                    in the web server.

                          1.3.2     Does the institution
                                    use VPN in receiving/       M
                                    transmitting PI and
                                    information collected
                                    in C/S environment,
                                    which encrypts the
                                    section between
                                    collection terminals
                                    and PI DB?

                1.4       1.4.1     Does the institution        M
                                    restrict voice
                                    recording feature
                                    of CCTV?

                                    Does the institution        M
                                    place a limit on the
                                    functionality to
                                    within the scope of
                                    accomplishing the
                                    objective of the

                                    Does the institution        M
                                    use a masking
                                    technique on video
                                    information of
                                    individuals, which
                                    is exposed and
                                    unnecessary in
                                    accomplishing the
                                    objective for the
                                    installation of CCTV?

                                    Does the institution        O
                                    have technical
                                    measures in place
                                    that allow only those
                                    with privileges to
                                    see the original
                                    image from CCTV
                                    without masks, by
                                    masking sections and
                                    locking those
                                    sections with
                                    passwords by use of
                                    a masking function
                                    that is included in
                                    the camera?

                1.5       1.5.1     Does the institution        M
                                    that collects PI to
                                    be included in RFID
                                    tag encrypt the PI?

                          1.5.2     Does the institution        M
                                    that collects
                                    biometric information
                                    encrypt the collected
                                    information before
                                    receiving and

                                    Is only the minimum         M
                                    biometric information
                                    collected to
                                    accomplish the
                                    objective, such as

                2.1       2.1.1     Does the institution        M
                                    have surveillance
                                    equipment such as
                                    CCTVs or surveillance
                                    cameras or access
                                    control systems such
                                    as electronic pass or
                                    biometric recognition
                                    systems installed in
                                    computing labs or
                                    data rooms where PI
                                    files or mediums are
                                    being kept, in order
                                    to control entry of
                                    personnel and record
                                    and manage access

                          2.1.2     Does the institution        M
                                    have surveillance
                                    equipment and access
                                    control systems that
                                    can control entry of
                                    personnel installed,
                                    by monitoring of
                                    CCTV, and are the
                                    entry details
                                    recorded and managed?

                2.2       2.2.1     Does the institution
                                    encrypt important PI        M
                                    such as resident
                                    registration number,
                                    account number, and
                                    password, when
                                    storing them in the
                                    database containing

                          2.2.2     Does the institution        M
                                    minimize access
                                    privileges for users
                                    and groups to
                                    important PI in the
                                    PI database or in
                                    database tables, and
                                    carry out access

                          2.2.3     Does the institution        M
                                    log name of the PI
                                    file and the specific
                                    item accessed, access
                                    time, user that
                                    accessed it, IP, etc,
                                    when PI DB is

                          2.2.4     For institutions that       M
                                    operate under a
                                    membership system,
                                    when membership is
                                    cancelled for a user
                                    and their information
                                    is retained for the
                                    remainder of the
                                    retention term as
                                    specified by law, is
                                    the information
                                    separated from
                                    information of other
                                    ordinary members and
                                    kept in a separate
                                    database for users
                                    with cancelled
                                    memberships, and is
                                    the use and access
                                    to this database
                                    controlled strictly?

                          2.2.5     Does the institutions       M
                                    that collect
                                    biometric information
                                    store information in
                                    a database physically
                                    separated from other
                                    PI such as name and
                                    address and is high
                                    level of access
                                    control being

                                    For institutions that       M
                                    collect biometric
                                    information such as
                                    fingerprints for the
                                    purpose of user
                                    identification, is
                                    one-way encryption
                                    being done when
                                    storing biometric
                                    information so that
                                    they can't be

                2.3       2.3.1     Is the institution          M
                                    carrying out
                                    protection using
                                    strong access control
                                    while regularly
                                    dispersing or backing
                                    up data from DB to a
                                    remote place?

                                    Does the institution        M
                                    encrypt data stored
                                    in the backup
                                    database in order to
                                    prevent exposure o PI
                                    when the data stored
                                    in the database is
                                    leaked out?

                2.4       2.4.1     Does the institution        M
                                    use an intrusion
                                    prevention system
                                    that protects the
                                    internal network in
                                    order to prevent leak
                                    of PI from various
                                    attacks from external

                          2.4.2     Is the institution          M
                                    implementing a system
                                    that can prevent leak
                                    of PI by detecting
                                    various attacks from
                                    the outside, such as
                                    intrusion detection
                                    system (IDS),
                                    intrusion prevention
                                    system (IPS), or
                                    threat management
                                    system (TMS)?

                2.5       2.5.1     Is the institution          O
                                    using a secure
                                    operating system with
                                    a secure kernel that
                                    identification and
                                    authentication of
                                    users, compulsory
                                    access control,
                                    optional access
                                    control, intrusion
                                    detection, etc, in
                                    order to protect its
                                    servers and PI
                                    processing systems
                                    from attacks that
                                    went through
                                    interception system
                                    and intrusion
                                    detection system

                3.1       3.1.1     Does the institution        M
                                    authentication using
                                    e-signed certificates
                                    such as GPKI, NPKI,
                                    etc, as user
                                    authentication method
                                    for use and provision
                                    of PI?

                          3.1.2     Does the institution        M
                                    use additional
                                    techniques such as
                                    authentication such
                                    as fingerprint
                                    recognition, secure
                                    tokens, OTP, USB
                                    plug-in, or smart
                                    cards, for terminals
                                    that handle
                                    especially sensitive
                                    PI, for enhanced

                          3.1.3     Does the institution        M
                                    assign and manage a
                                    single unique ID for
                                    each employee?

                                    Is access and use           M
                                    being strictly
                                    controlled in order
                                    to prevent illegal
                                    use of IDs and
                                    borrowing of IDs for
                                    important PI
                                    processing systems?
                                    (ex: 1 person, 1 PC
                                    technique using

                          3.1.4     For an institution          M
                                    that performs
                                    authentication using
                                    ID and password, when
                                    unsafe passwords are
                                    attempted to be used,
                                    does it automatically
                                    require the user to
                                    enter a different

                                    For an institution          M
                                    that performs
                                    authentication using
                                    ID and password, is
                                    there a system in
                                    place that regularly
                                    checks for unsafe
                                    passwords and require
                                    the user to enter a
                                    different password if
                                    theirs is deemed
                                    unsafe, which works
                                    by setting up of the
                                    expiry date of the
                                    password, limiting
                                    use of the same or
                                    similar password, and
                                    setting up the
                                    minimum number of
                                    letters for the

                                    For an institution          M
                                    that performs
                                    authentication by ID
                                    and password, can it
                                    prevent further
                                    attempts when the
                                    number of attempts
                                    exceeds a certain
                                    value, with display
                                    of a warning message?

                                    For an institution          M
                                    that performs
                                    authentication by ID
                                    and password, does it
                                    perform one-way
                                    encryption when
                                    storing passwords so
                                    that they can't be

                3.2       3.2.1     Does the institution        M
                                    develop applications
                                    so that they are
                                    prepared for main
                                    attacks targeting web
                                    servers and web
                                    described in OWASP
                                    top 10 security
                                    vulnerabilities and
                                    the 8 key
                                    vulnerabilities by
                                    the National
                                    Intelligence Service,
                                    and does it
                                    constantly review
                                    vulnerabilities and
                                    update the

                                    Does the institution        M
                                    have a firewall
                                    installed in order to
                                    protect against main
                                    attacks targeting web
                                    services and web
                                    applications, described
                                    in O WASP top 10
                                    vulnerabilities and the
                                    8 key vulnerabilities
                                    by the National
                                    Intelligence Service?

                          3.2.2     Does the institution        M
                                    perform analysis of
                                    vulnerabilities for
                                    exposure of PI due to
                                    technical errors in web
                                    site design or because
                                    of availability of the
                                    source code of the web
                                    site due to traditional
                                    development practices?
                                    (ex: privilege
                                    authentication error,
                                    search engines finding
                                    restricted pages,
                                    exposure of web pages
                                    designed for
                                    exposure due to
                                    directory listing, etc)

                          3.2.3     Does the institution        O
                                    use a automatic-sign-up
                                    prevention technique
                                    that requires users to
                                    enter a random string
                                    of text when they sign
                                    up online or when they
                                    are authenticated, in
                                    order to prevent
                                    automatic creation of
                                    accounts by a program?

                          3.2.4     Does the institution        M
                                    have privilege
                                    management system with
                                    user and group level
                                    management for
                                    processing of PI, and
                                    does it perform access
                                    control for PI
                                    processing applications
                                    based on this?

                          3.2.5     Does the institution        M
                                    perform strong
                                    authentication and
                                    access control for web
                                    server administrators?

                                    Does the institution        M
                                    make it so that whether
                                    or not administrator
                                    accounts have been
                                    exposed or being
                                    misused can easily be
                                    found by automatically
                                    notifying to the
                                    administrator when
                                    there is a log-in or
                                    log-in attempts to an
                                    administrator account?

                3.3       3.3.1     Does the institution        M
                                    have an anti-virus
                                    program installed which
                                    constantly checks for
                                    intrusion to a PI
                                    processing terminal by
                                    malicious programs such
                                    as computer viruses or
                                    spyware, and does it
                                    perform automatic
                                    patching and update?

                          3.3.2     Does the institution        M
                                    have a keyboard hacking
                                    prevention technique in
                                    place for PI processing
                                    terminals that encrypts
                                    in the keyboard driver
                                    level sensitive PI
                                    entered by use of
                                    diverse types of
                                    keyboards such as USB,
                                    PS/2, and wireless?

                          3.3.3     Does the institution        O
                                    use server based
                                    computing (SBC) or
                                    virtualization which
                                    allow all work to be
                                    performed on a server
                                    with work terminals
                                    only acting as input
                                    and output terminals,
                                    in order to
                                    fundamentally eliminate
                                    or minimize PI left on
                                    work terminals and
                                    remote PCs?

                          3.3.4     Por an institution with     M
                                    a civil petition
                                    machine installed, is
                                    its input/output
                                    interface isolated?

                                    For an institution with     M
                                    a civil petition
                                    machine installed,
                                    is unnecessary OS
                                    functionality and
                                    features unrelated to
                                    civil petition being

                                    For an institution with     M
                                    a civil petition
                                    machine installed, is
                                    installation and use of
                                    non-business services
                                    such as messenger and
                                    remote control solution
                                    being controlled?

                                    For an institution with     M
                                    a civil petition
                                    machine installed, are
                                    unnecessary ports
                                    removed and is there a
                                    OS tirewall in

                3.4       3.4.1     For an institution that     M
                                    provides PI to the
                                    outside using CD/DVD,
                                    is the CD/DVD encrypted
                                    during manufacturing so
                                    that if the user
                                    doesn't know the
                                    password, the CD/DVD
                                    itself can't be opened?

                                    For an institution that     O
                                    provides PI to the
                                    outside using CD/DVD,
                                    is there DRM in effect
                                    so that the files
                                    including PI stored in
                                    the medium can be
                                    copied and printed
                                    only if privileges are

                          3.4.2     Does the institution        M
                                    use secure USB which
                                    provides functionality
                                    such as copy protection
                                    of specified data,
                                    through user
                                    of designated data,
                                    setting up of the
                                    number of uses, use
                                    period, use-approved
                                    PCs, as a removable
                                    storage of PI?

                                    Does the institution        O
                                    provide a total delete
                                    feature when the number
                                    of wrong passwords
                                    entered exceeds a
                                    specified value, when
                                    the USB storage device
                                    is lost or stolen, for
                                    protection of data?

                                    Does the institution        O
                                    provide a tracking
                                    feature that becomes
                                    activated when a lost
                                    or stolen USB storage
                                    device is used, which
                                    transmits the
                                    information of the PC
                                    being used as well as
                                    the network it's on to
                                    the individual's email
                                    and to the server?

                          3.4.3     Does the institution        M
                                    record and manage
                                    notebook/PDA's check-in
                                    and check-out as well
                                    as details of use for
                                    each of the users?

                                    Does the institution        M
                                    have a measure in place
                                    for lost or stolen
                                    notebooks which
                                    prohibits unauthorized
                                    users from using them,
                                    by having strong
                                    passwords for the

                                    Does the institution        M
                                    strongly encrypt the
                                    data and contents of
                                    the notebooks so that
                                    unauthorized users
                                    can't access them when
                                    they're lost or stolen?

                3.5       3.5.1     For an institution with     M
                                    large volume of
                                    information or
                                    sensitive information,
                                    does it automatically
                                    encrypt digital
                                    document files with PI
                                    when they are
                                    downloaded by employees
                                    from an internal

                                    For an institution with     O
                                    large volume of
                                    information or
                                    sensitive information,
                                    does it apply DRM to
                                    digital documents with
                                    PI in order to prevent
                                    access such as copy and
                                    printing out for
                                    unauthorized digital

                          3.5.2     When PI is printed out,     M
                                    does the institution
                                    use a watermarking
                                    technique to include
                                    the name and logo of
                                    the institution, serial
                                    number, unique ID of
                                    the printer, name of
                                    the person who printed,
                                    print time, etc, in the
                                    printed out material?

                                    Does the institution        M
                                    use an effective
                                    prevention technique
                                    when issuing civil
                                    petition documents?

                3.6       3.6.1     Does the institution        M
                                    provide screen copy
                                    prevention feature when
                                    using C/S programs,
                                    which works to deter
                                    screen capture

                                    Does the institution        M
                                    control menus such as
                                    save, output, and copy
                                    on C/S program screens
                                    according to the

                          3.6.2     Does the institution        M
                                    control functionality
                                    such as drag & drop and
                                    copy & paste using the
                                    mouse, and the view
                                    source feature by
                                    right-clicking the
                                    mouse on the screen,
                                    as well as screen

                                    Does the institution        M
                                    provide privilege-based
                                    web browser menu
                                    inactivation feature
                                    and assign privileges
                                    specific to pages
                                    (print, save, view

                3.7       3.7.1     Does the institution        M
                                    control the use of
                                    Internet services that
                                    may serve as the
                                    vehicle for leak of
                                    internal information,
                                    such as illegal
                                    Internet sites,
                                    non-work-related sites,
                                    web mail, P2P,
                                    messenger, web storage,
                                    FTP, Telnet, shared

                3.8       3.8.1     Does the institution        M
                                    provide automatic
                                    detection as well as
                                    control through IP/MAC
                                    resource management and
                                    monitoring, in order to
                                    control unauthorized
                                    use of internal
                                    wireless and wired LAN
                                    using notebooks or
                                    mobile devices?

                          3.8.2     Does the institution        M
                                    provide network access
                                    control (NAC) which
                                    automatically prevents
                                    terminals without
                                    anti-virus programs
                                    installed and which are
                                    vulnerable to threats
                                    because security
                                    patches haven't been
                                    installed from
                                    connecting to the
                                    network, and which
                                    carries out measures to
                                    strengthen security?

                3.9       3.9.1     Does the institution        M
                                    monitor remote access
                                    to PI processing
                                    systems and record
                                    access details?

                                    When abnormal requests      M
                                    for viewing PI comes in
                                    from a remote system,
                                    characterized by
                                    abnormal IP range, time
                                    zone, or processing
                                    volume, does the
                                    institution give
                                    warning and isolate

                          3.9.2     Does the institution        M
                                    use GVPN, an online
                                    government remote work
                                    service, when employees
                                    do work involving PI
                                    processing from a
                                    remote location?

                                    Does the institution        M
                                    use VPN, a sectional
                                    encryption technique,
                                    when employees do work
                                    involving PI processing
                                    from a remote location?

               3.10      3.10.1     Are the corporate           M
                                    network and the public
                                    network strictly
                                    separated, and is the
                                    processing and
                                    transmission of PI
                                    within the organization
                                    done on the corporate

                         3.10.2     Is online transmission      M
                                    for provision of PI to
                                    related institutions as
                                    well as use of PI
                                    within the organization
                                    being done using a high
                                    speed government
                                    network or a dedicated
                                    line or VPN?

                         3.10.3     When PI is transmitted      M
                                    online to related
                                    institutions as well
                                    as when it is used
                                    within the
                                    organization, is the
                                    contents encrypted
                                    before they're sent?

               3.11      3.11.1     Is there PI leak check      M
                                    and isolation features
                                    provided regarding all
                                    types of web page

                         3.11.2     Are there PI leak check     M
                                    and isolation features
                                    for the bulletin board
                                    posts on the web site?

                                    Are there PI leak check     M
                                    and isolation features
                                    for all types of
                                    attachment files within
                                    the bulletin boards on
                                    the web site?
                                    (ex: Hangul, MS-Word,
                                    Excel, Powerpoint,
                                    Acrobat PDF, Alzip,
                                    HWX, 7IP, TAR, MS

                                    Is there a leak check       M
                                    feature for OLE tiles
                                    included in attachment
                                    files in the bulletin
                                    boards on the web site?
                                    (ex: HWP (including
                                    XLS, PPT, DOC), XLS
                                    (including DOC, PPT),
                                    PPT (including DOC,
                                    XLS), DOC (including
                                    XLS, PDF, PPT))

                                    Is there a secure write     M
                                    feature that allows
                                    only those with
                                    privileges such as
                                    administrators to see
                                    the posts containing

                         3.11.3     Is there a system in        M
                                    place that
                                    automatically detects
                                    and deletes PI left
                                    behind on PCs after the
                                    objective has been

                         3.11.4     Is there a PI leak          M
                                    interception feature
                                    that prevents PI, such
                                    as resident
                                    registration numbers or
                                    credit card numbers,
                                    from leaking out, in
                                    inbound and outbound
                                    network traffic that
                                    uses various protocols
                                    such as email, instant
                                    messenger, FTP, and

                         3.11.5     Is whether or not PI is     M
                                    being exposed from the
                                    domain by search
                                    engines such as Google
                                    and MSN regularly

                                    When it becomes known       M
                                    that PI is exposed on
                                    web pages by search
                                    engines, does the
                                    institution request
                                    deletion of the pages
                                    to the search engines?

                                    Does the institution        M
                                    check whether exposed
                                    web pages still exist
                                    on web servers and
                                    delete as necessary?

               3.12      3.12.1     Does the institution        M
                                    monitor all details of
                                    PI processing, such as
                                    viewing of PI stored in
                                    a database, output,
                                    file download, etc,
                                    through terminal
                                    systems, remote
                                    systems, and one-stop

                                    Does the institution        M
                                    prohibit perusal and
                                    give warnings when
                                    employees view a large
                                    volume of PI outside
                                    of reason such as
                                    information on
                                    co-workers or famous
                                    people or when they
                                    view unauthorized
                                    contents, by monitoring
                                    details of PI

                         3.12.2     Does the institution        M
                                    log details of PI
                                    processed, such as
                                    names of individual
                                    files, processing body,
                                    processed time,
                                    terminal used, etc?

                         3.12.3     Does the institution        M
                                    back up PI database to
                                    a separate storage
                                    device that exists in
                                    a separate network in
                                    order to safely record
                                    and preserve access and
                                    use logs?

                                    Does the institution        O
                                    save logs to a WORM
                                    (Write Once Read Many)
                                    storage device for
                                    which alteration,
                                    forgery, and deletion
                                    are not possible?

               3.13      3.13.1     Does the institution        O
                                    have in place an online
                                    electronic approval
                                    system that have
                                    internal employees
                                    state their ID, time,
                                    file name, purpose,
                                    etc, in advance, when
                                    they access, use,
                                    provide, or destroy PI,
                                    and have them obtain
                                    approval from the
                                    person in charge?

                                    Does the institution        O
                                    record and safely
                                    maintain approval
                                    request details from
                                    the online electronic
                                    approval system
                                    according to the six
                                    principles (who, what,
                                    when, where, why, how)?

               3.14      3.14.1     Does the institution        M
                                    provide access control
                                    for the CCTV operating
                                    system which collects
                                    video information by
                                    use of CCTVs?

                                    For an institution that     M
                                    collects video
                                    information by using
                                    network cameras, does
                                    it provide security
                                    measures such as
                                    dedicated network
                                    isolation, encryption
                                    of video information
                                    stream, and strong
                                    access control for
                                    specific IPs?

                         3.14.2     For an institution with     M
                                    RFID system installed,
                                    does it prevent
                                    exposure of tags with
                                    PI to those without
                                    legal privileges, by
                                    encrypting data
                                    transmitted between
                                    RFID tags and the

                         3.14.3     For an institution that     M
                                    collects biometric
                                    information, does it
                                    change characteristic
                                    information extracted
                                    from the actual
                                    biometric information
                                    when biometric
                                    information is used,
                                    such as for biometric
                                    authentication, in
                                    order to prevent
                                    illegal use of
                                    biometric information?

                                    For an institution that     O
                                    collects biometric
                                    information, does it
                                    provide protection
                                    measures that can
                                    detect and track
                                    exposed biometric
                                    information, such as
                                    watermark technique?

                4.1       4.1.1     Does the institution        M
                                    completely destroy
                                    processing information
                                    left on the storage
                                    device after PI is
                                    safely moved from off-
                                    line storage mediums
                                    such as external hard
                                    disks and USB memory
                                    devices, so that the
                                    processing information
                                    can't be restored?

                                    Does the institution        M
                                    completely initialize
                                    storage mediums that
                                    are to be disposed and
                                    discarded, in the unit
                                    of the drive, by
                                    exposing them to strong
                                    magnetic fields, so
                                    that restoration is not
                                    (ex: Degausser)

                                    Does the institution        M
                                    physically destroy
                                    expired printed-out
                                    material using a trash
                                    burner or shredder so
                                    that they are rendered
                                    not recognizable?

                          4.1.2     Does the institution        M
                                    provide a selective
                                    destruction technique
                                    that can selectively
                                    and permanently delete
                                    PI stored in file
                                    format, by folder,
                                    file, and disk?

                                    Does the institution        M
                                    completely destroy
                                    temporary files,
                                    virtual memory fles,
                                    and deleted tiles in
                                    the recycling bin left
                                    on the PC, which have
                                    the potential to expose
                                    PI, after PI processing
                                    has been completed, so
                                    that they can't be

                          4.1.3     Does the institution        O
                                    provide electronic
                                    approval feature that
                                    allows one to obtain
                                    approval from the
                                    person in charge before
                                    PI files are destroyed,
                                    according to the person
                                    destroying, target,
                                    purpose, method, etc?

                                    Does the institution        M
                                    provide access control
                                    based on privileges and
                                    authentication of the
                                    person destroying, so
                                    that only those with
                                    privileges can destroy

                                    Is the tool used for        M
                                    destroying PI log the
                                    user, time, destroyed
                                    file, and name of the
                                    medium, when PI files
                                    are destroyed?

Received August 16, 2009; revised September 23, 2009; accepted October 10, 2009; published October 30, 2009

DOI: 10.3837/tiis.2009.05.008


[1] 2008 National Audit Videoconferencing Report, MOPAS Korea, KISA, Oct. 2008.

[2] "2009 National Information Protection White Paper," NIS of Korea, Title 2, pp. 64, Apr. 2009.


[4] Andelmounaam, Internet PET, IEEE Security & Privacy, 2003.

[5] Kihyo Nam et al., "Recent Trend of personal information Protecting Technology and Vision in the Future," KIISC Journal, Vol. 18, No.6, pp. I 1-19, Dec. 2008.

[6] Report of personal information Managing Model for Safe Collection, Preservation, Management, Service and Expiration of personal information, KISA, Dec. 2006.

[7] Carlisle Adams, "A Classification for Privacy Techniques," univ. of ottawa law & technology journal, 2006.

[8] Klaus Finkenzeller et al., "RFID HANDBOOK," 2nd Ed. in Korea, ISBN 89-314-2769-7,2004.

[9] L. Sweeney, "Privacy-Enhanced Linking," ACM SIGKDD Explorations, vol. 7, no. 2, Dec. 2005.

[10] Yeonjung Kang et al., "Classification of PET on Life-cycle of Information," International Conf. on Emerging Security Information, Systems and Technologies, IEEE C&S, 2007.

[11] Privacy-Enhancing Technologies: White Paper Privacy-Enhancing Technologies, Ministry of the Interior and Kingdom Relations, the Netherlands, Dec. 2004.

[12] Wan S. Yi et al, "Government Information Security System with ITS Product Pre-qualification," JWIS2009, Aug. 2009.

(1) "Act on the Protection of Personal Information Maintained by Public Agencies" article 9, clause 2, " Enforcement Decree " article 5, clause 6

(2) "Enforcement Decree of e-government Act" article 6, clause 3

(3) "Handbook of biometric information protection guidelines" checklist 4.1

(4) "Manual of management tasks related to personal information for public agencies" III. 1-1

(5) "Enforcement Regulations of Act on the Protection of Personal Information Maintained by Public Agencies" article 4 clause 1, article 4 clause 2, article 5 clause 2

(6) "Enforcement Decree of the Resident Registration Act" article 10

(7) "Resident Registration Act" article 28 clause 2, "Enforcement Decree" article 46 clause 4

(8) "Act on Promotion of Information and Communications Network Utilization and Information Protection, etc." article 28 clause 1

(9) "Gudelines of personal information protection(Korean Communications Commission(KCC) notice issue 2008-2)" article 17

(10) "Technical, managerial protection measure standards for personal information (KCC notice issue 2008-3)" article 4, issue 20083)"

(11) "Gudelines of personal information protection (KCC notice issue 2008-2)" aticle 17

(12) "E-government Act" article 18, clause 1, "Enforcement Decree" article 18, "administrative institution information system access privilege management regulations" article 4, "personal information management work manual for public institutions" II. 3-4. general management work 3. management in processing stage, etc

(13) "E-government Act" article 18, clause 1, " Enforcement Decree" article 18

(14) "Administrative institution information system access privilege management regulation" article 8 clause 2, article 9 clause 1

(15) "Act on Promotion of Information and Communications Network Utilization and Information Protection, etc." article 29

(16) "State Public Officials Act" article 19 no 3 clause 2

(17) "Guidelines of biometric information protection" article 9 clause 1, article 9 clause 2

(18) "Installation/operation guidelines for CCTV at public agencies for protection of personal information" article 13

(19) "Guidelines of CCTV personal image information protection" article 16 clause 1

(20) "Guidelines of personal information protection (KCC notice issue 2008-2)" article 19 clause 1, article 19 clause 2 issue 1, article 19 clause 2 issue 2, article 20 clause 1, article 20 clause 2

(21) "Personal information management work manual at public institutions" III. management work by processing stage 4. management in the destruction stage

(22) http://www.privacyinternational.orglissues/cctv/_index.html

(23) Found from investigation of actual conditions of management of personal information processing systems, which was conducted as part of "a study on a plan for technical protection measures for personal information by the processing phase", conducted in December, 2008, by the Administrative Safety Department

(24) The Korea Cryptographic Module Validation Program (KCMVP) is system that verifies the safety and implementation conformance of cipher products used for protection of critical intelligence that is not classified esoterically among mutually shared data in an information network system of a nation or public institution.

Mina Shim received a B.S. degree in Computer Science from Sungshin Women's University, Korea, in 1996, and a M.S. degree in information security from Graduate School of Information Security, Korea University in 2006. She worked at Trigem Computer Inc. and Sun Microsystems Education Center in Korea, and then is currently with the Graduate School of Information Management and Security as a lecturer and researcher. Her research interests include privacy and personal information protection, PET, risk analysis and management, and information security management and policy.

Seungjo Baek received a M.S. degree in information security from Korea University, Korea in 2007. He is currently with the Center for Information Security Technology in Korea University, Korea as a researcher. His research interests include information security policy, privacy, intellectual property rights, cybercrime and digital forensic policy.

Taehyoung Park received a Master's degree from Korea University of Public Administration, S. Korea in 2004, and held office as researcher in Korea Institute of Public Administration for 4 years. He is currently with the Information Security Policy Lab in Korea University, S. Korea. His research interests include E-Government, performance analysis & evaluation of public service, enterprise architecture and privacy.

Jeongseon Seol received a Bachelor of law degree from Yonsei University, Korea, in 1981, an MBA degree from Graduate School of Business of Georgia State University, U.S. in 1989. He is a former deputy minister of the Korea Communications Commission and currently a vice chairman of Korea Telecommunication Operators Association. He passed the high civil service examination in 1980 and served as a postmaster at the Daejeon Yuseong post office (1992-1994) and moved to Industry Canada Canadian Radio-television and Telecommunications Commission in 1994. Also he served as administrative officer of Chief Economic Advisor Office of the President (1999-2001) and office of industries deputy minister of the Ministry of Knowledge Economy (2008).

Jongin Lim received the B.S., M.S. and Ph.D. degrees in Mathematics from Korea University, Seoul, Korea, in 1980, 1982 and 1986. He has been the Dean and professor of Graduate School of Information Management and Security, the Center for Information Security and Technologies (CIST), Korea University, Seoul, S. Korea since 2000. He is also currently editor of Journal of Digital Forensics, Security and Law (JDFSL) and vice-chairman of Korea Institute of Information Security and Cryptology. Prof. Lim's areas of research interests include cryptography, information security policy and digital forensics.

Mina Shim (1), Seungjo Baek (1), Taehyoung Park (1), Jeongseon Seol (2) and Jongin Lim (1)

(1) Graduate School of Information Management and Security, Korea University Anam-dong, Seongbuk-gu, Seoul 136-713--Korea [e-mail: {mnshim, nomadvirus, mosto2004, jilim}]

(2) Korea Telecommunications Operators Association 44-9 Samsung-dong, Gangnam-gu, Seoul 135-090--Korea [e-mail:]

* Corresponding author: Jongin Lim
Table 1. The Legislation, Guidelines and Manuals Related to the
Government Record and Customers' Viewpoint

              Item       Name

Laws and      Public     A. Laws/execution ordinance/enforcement
Regulations   Sector       regulations related to protection of
                           personal information at public institutions
                         B. E-government laws/execution ordinance
                         C. Resident registration law/execution
                         D. Vehicle management law/execution ordinance
                         E. Statistics Law
                         F. National Public Service Law

              Private    G. Act on Promotion of Information and
              Sector       Communication Network Utilization and
                           information Protection, etc.
                         H. Use and Protection of Credit Information
                         I. Act on Real Name Financial Transactions
                           and Guarantee of Secrecy

Guidelines and Manuals   K. Personal information protection guidelines
                           (Korea Communications Commission notice
                           issue 2008-2)
                         L. Technical and managerial protection measure
                           standards for personal information (Korea
                           Communications Commission notice issue
                         M. Personal information management work
                           manual for public institutions
                         N. Installation and operation guidelines for
                           CCTV at public institutions for protection
                           of information
                         O. CCTV management guidelines at public
                         P. Biometric information protection guidelines
                         Q. CCTV personal image data protection
                         R. RFID privacy protection guidelines
                         S. Administrative institution information
                           system access privilege management
                         T. Guidelines for evaluation of effects of
                           personal information at private institutions
                         U. Basic guidelines for personal information
                           protection at public institutions

Table 2. Protection Technology for Life Cycle of PI

                                                           Life Cycle

Personal Information Protection Technology Type            Collection

Administration   Privacy       Network Filtering
Technology       Filtering     PI Disclosure Protection
                 Technology    Privacy Infringement

                 Privacy       PI Disclosure Testing
                 Scanning      PI Retrieval
                 Technology    Privacy Vulnerability

                 PI Transfer   PI Concealment               [check]
                 Technology    PI Encryption                [check]
                               PI Authentication            [check]

                 PI Storage    Secure OS based DB
                 Technology    DB Encryption
                               DB Monitoring

Policy/          Privacy       XML based Privacy Policy     [check]
Management       Policy        HTML based Privacy Policy    [check]
Technology       Technology

                 PI            Privacy Policy Management    [check]
                 Management    PI Management                [check]

                                                           Life Cycle

                                                           Storage &
Personal Information Protection Technology Type            Retention

Administration   Privacy       Network Filtering            [check]
Technology       Filtering     PI Disclosure Protection     [check]
                 Technology    Privacy Infringement

                 Privacy       PI Disclosure Testing        [check]
                 Scanning      PI Retrieval                 [check]
                 Technology    Privacy Vulnerability        [check]

                 PI Transfer   PI Concealment
                 Technology    PI Encryption
                               PI Authentication            [check]

                 PI Storage    Secure OS based DB           [check]
                 Technology    DB Encryption                [check]
                               DB Monitoring                [check]

Policy/          Privacy       XML based Privacy Policy     [check]
Management       Policy        HTML based Privacy Policy    [check]
Technology       Technology

                 PI            Privacy Policy Management    [check]
                 Management    PI Management                [check]

                                                           Life Cycle

                                                            Usage &
Personal Information Protection Technology Type            Provision

Administration   Privacy       Network Filtering
Technology       Filtering     PI Disclosure Protection
                 Technology    Privacy Infringement         [check]

                 Privacy       PI Disclosure Testing
                 Scanning      PI Retrieval
                 Technology    Privacy Vulnerability

                 PI Transfer   PI Concealment
                 Technology    PI Encryption                [check]
                               PI Authentication            [check]

                 PI Storage    Secure OS based DB
                 Technology    DB Encryption
                               DB Monitoring

Policy/          Privacy       XML based Privacy Policy     [check]
Management       Policy        HTML based Privacy Policy    [check]
Technology       Technology

                 PI            Privacy Policy Management    [check]
                 Management    PI Management

                                                           Life Cycle

Personal Information Protection Technology Type            Destruction

Administration   Privacy       Network Filtering
Technology       Filtering     PI Disclosure Protection
                 Technology    Privacy Infringement

                 Privacy       PI Disclosure Testing
                 Scanning      PI Retrieval
                 Technology    Privacy Vulnerability

                 PI Transfer   PI Concealment
                 Technology    PI Encryption
                               PI Authentication             [check]

                 PI Storage    Secure OS based DB
                 Technology    DB Encryption
                               DB Monitoring

Policy/          Privacy       XML based Privacy Policy      [check]
Management       Policy        HTML based Privacy Policy     [check]
Technology       Technology

                 PI            Privacy Policy Management     [check]
                 Management    PI Management                 [check]

Table 3. Personal Information Protection Technology for Specific
Processing Areas

             Personal Information Protection Technology

CCTV         Privacy Masking, Camera Operation Control, Personal Image
Technology   Information Encryption, Network Isolation Technology

RFID         Tag Function Control Technology (Kill Tag, Sleep/ Wake
Technology   Tag), Physical Approach (Shield the Tag (Faraday Cage),
             Active Jamming, Blocker Tag, Proxying Approach),
             Cryptographic Approach (Minimalist Cryptography,
             Re-Encryption, Silent Tree Walking, NTT Forward Secure)

Biometrics   Biometric Information Management Technology (Changeable
Technology   Biometrics), SmartCard based Biometric Information
             Protection (Sensor on Card, Store on Card, Match on Card),
             Biometric Information DB Isolation Technology, Biometric
             Information Modification/Fabrication Detection Technology
             (Challenge/Response Protocol, Watermarking)

Table 4. Protection Technology for Personal Information Life Cycle
in the Korean Public Sectors

                                   Personal Information Protection
Phase         Area                 Technology

Collection    [1] (Civil           Privacy Monitoring/Filtering
Phase         Affairs Office         Technology
              Public PC Area       Privacy Authentication Technology
                                     (Alternative Technology for
                                     Resident Registration Number--
                                     Internet Personal Identification
                                     Number Technology (i-PIN/G-PIN
                                     (Government i-PIN))
                                   Privacy Management Technology
                                     (Privacy Policy Negotiation
                                     Technology (P3P))
                                   Privacy Infringement Protection
                                     Technology (Adblocker, Spyware
                                     Filter, Spam Blocking Technology,
                                     Keyboard Security Technology)
              [2] Public Service   Authentication Technology
              Personnel PC         Privacy Infringement Protection
              Area                   Technology (Adblocker, Spyware
                                     Filter, Spam Blocking
                                     Technology, Keyboard Security
              [3] Network Area     Network Encryption (Secure
                                     Server, Web Session Encryption)
                                   Data Concealment Technology
                                     (Client/Server Anonymization
              [4] Web/             XML based Privacy Policy
              Application Area       Notification Technology (P3P)
                                   HTML based Privacy Policy
                                     Notification Technology
              CCTV Tech.           Privacy Masking, Camera Operation
                                     Control Technology, Personal
                                     Image Information Encryption
              RFID Tech.           Tag Function Control Technology
                                     (Kill Tag, Sleep/ Wake Tag)
                                   Physical Technology (Tag Shielding
                                     Technology (Faraday Cage),
                                     Active Jamming, Blocker Tag,
                                     Proxying Approach)
                                   Cryptographic Technology
                                     (Minimalist Cryptography,
                                     Re-Encryption, Silent Tree
                                     Walking, NTT Forward Secure)
              Biometrics Tech.     Biometric Information Management
                                     Technology (Changeable
                                   SmartCard based Biometric
                                     Information Security
                                     (Sensor on Card)

Storage and   [2]                  Internet Access & Usage Control
Retention                            Technology
Phase         [3]                  Privacy Filtering Technology
                                     (Intrusion Protection System,
                                     Intrusion Detection System,
                                     Intrusion Prevention System,
                                     Application Firewall)
                                   Contents Monitoring Technology
                                   Data Leakage Protection (DLP)
              [4]                  PI Disclosure Protection
                                     Technology, Privacy Scanning
                                     Technology, Privacy
                                     Vulnerability Testing Technology,
                                     Privacy Vulnerability Testing
              [5] DB Area          DB Security (SecureOS based DB, DB
                                     Encryption, DB Access Control),
                                     Backup Technology
              Biometrics Tech.     Biometric Information DB Isolation
Usage and     [1]                  Digital Rights Management,
Provision                            Watermarking
Phase         [2]                  User Authentication Technology
                                     (GPKI(Government PKI), Biometric
                                     Authentication Technology, Dual
                                     Authentication Technology)
                                   Digital Rights Management,
                                   Remote Access Control Technology
                                     (Server Based Computing, Remote
                                     Access Control System, GVPN
                                     (Government VPN))
                                   Identity & Access Management (ID
                                     Management, Role/Entitlement
                                     Management, SOD (Segregation of
                                     Duties), IP/MAC Control
                                     Technology (One Person per
                                     Computer Technology), Password
                                     Management Technology)
                                   PI Electronic Approval System
              [3]                  Network Encryption Technology
              [5]                  Privacy Logging System (ID
                                     Auditing, Security Information
                                     and Event Management, Log
                                     Management Technology)
              [6] Offline Area     Offline Media Control Technology
                                     (Secure USB, CD Security
                                     Technology, Notebook/PDA
                                     Security Technology, Printed
                                     Paper Control Technology
              Biometrics Tech.     Biometric Information
                                     Detection Technology (Challenge/
                                     Response Protocol, Watermarking)
                                   SmartCard based Biometric
                                     Information Security (Store on
                                     Card, Match on Card)
Destruction   [1], [2], [4], [5]   PI File/Disk Eraser

Others        [3]                  Network Dualization Technology
              [7] Others           Information Life Cycle Management,
                                     PIA aiding Technology
              CCTV Tech.           Network Isolation Technology

Table 5. Applications in each class

Phase         Control Items          Detailed Conditions        Q&A

Collection    1.1 Confirmation of    1.1.1 Alternative        1     5
Phase         Authenticity in        method of resident
              Collecting PI          registration(ID)

                                     1.1.2 Encryption of      1
                                     ID number

                                     1.1.3 Supporting         1

                                     1.1.4 Protection of      2
                                     ID number for

              1.2 Controlling        1.2.1 Prevention of      1     2
              insertion of PI in     hacking the keyboard
              information            1.2.2 Inserting a        1
                                     replaced PI

              1.3 Safety sending     1.3.1 Encryption of      1     2
              the collected PI       session in the web

                                     1.3.2 Encryption of      1
                                     C/S environment

              1.4 Control of         1.4.1 Control of       4 (1)   4
              collecting personal    CCTV video
              video information      information

              1.5 Control of         1.5.1 Control of         1     3
              collecting specific    REID tag information     2
                                     1.5.2 Control of bio

Usage and     2.1 Blocking PI file   2.1.1 Control of         1     2
Provision     from access to the     access to the PI         1
Phase         storing device         storage device
              physically             physically

                                     2.1.2 Control of
                                     access to CCTV room

              2.2 DB security of     2.2.1 DB encryption      1     6
                                     2.2.2 Control of         1
                                     access to DB

                                     2.2.3 Storing of DB      1

                                     2.2.4 Preserving an      1
                                     expired member

                                     2.2.5 Security of        2
                                     bio information DB

              2.3 Backing up safe    2.3.1 Encryption of      2     2
              DB of PI               back-up DB

              2.4 Blocking the       2.4.1 Intrusion          1     2
              stored PI from         blocking system
              access to the
              network                2.4.2 Intrusion          1
                                     detecting system

              2.5 Security of        2.5.1 Security           1     1
              Server                 operating system

              3.1 Safe               3.1.1 Certification      1     8
              certification in       of e-signature
              using providing PI
                                     3.1.2 Certification      1
                                     by multi-phases

                                     3.1.3 Control of ID      2

                                     3.1.4 Control of         4

              3.2 Control of         3.2.1 Blocking a         2     7
              Web/CS Application     weakness of the web

                                     3.2.2 Analysis of        1
                                     weakness in the web

                                     3.2.3 Prevention of      1
                                     automatic admission

                                     3.2.4 Managing the       1
                                     right of application
                                     and controlling
                                     access to it

                                     3.2.5 Control of         2
                                     access to the web
                                     server by a web
                                     server manager

              3.3 Control of PI      3.3.1 Prevention of      1     7
              processing terminal    virus

                                     3.3.2 Prevention of      1
                                     keyboard hacking

                                     3.3.3 Control of       1 (1)
                                     storing PI

                                     3.3.4 Control of         4
                                     storing PI

              3.4 Control of PI      3.4.1 Control of         2     8
              Storing Media          CD/DVD

                                     3.4.2 Control of       3 (2)
                                     USB/portable storing

                                     3.4.3 Control of         3
                                     laptop computer
                                     and PDA

              3.5 Control of PI      3.5.1 Control of         2     4
              included document      digital document

                                     3.5.2 Control of         2

              3.6 Control of         3.6.1 Control of C/S     2     4
              Tasking Screen         screen

                                     3.6.2 Control of web     2

              3.7 Control in using   3.7.1 Control of         1     1
              Internet               Internet service

              3.8 Control of         3.8.1 Control of         1     2
              Access to the Inner    access to the
              Network                wire(less) network

                                     3.8.2 Control of         1
                                     access to the weak

              3.9 Control of         3.9.1 Control of         2     4
              Remote Access          remote access

                                     3.9.2 Working online     2
                                     by telecommunication

              3.10 Transaction of    3.10.1 Separation of     1     3
              Safe PI through the    administrative
              Online                 organization

                                     3.10.2 Transaction       1
                                     exclusive wire/VPN

                                     3.10.3 Sending           1

              3.11 Inspection and    3.11.1 Blocking the      1     10
              Blocking of            revealed information
              Revealed PI            on homepages

                                     3.11.2 Blocking of       4
                                     bulletin board

                                     3.11.3 Blocking of       1
                                     PC for working

                                     3.11.4 Blocking the      1
                                     revealed information
                                     in networks

                                     3.11.5 Blocking of       3
                                     search engine's

              3.12 Recording PI      3.12.1 Monitoring of     2     5
              Processing History     completed contents

                                     3.12.2 Logging of        1
                                     completed contents

                                     3.12.3 Safe storing      2
                                     of log

              3.13 E-payment in      3.13.1 E-payment         2     2
              Using/Serum PI         online

              3.14 Control of        3.14.1 Control and       2     5
              using Specific         application of CCTV
              Information            video information        1

                                     3.14.2 Control and       2
                                     application of RFID
                                     tag information

                                     3.14.3 Control and     2 (2)
                                     application of bio

Destruction   4.1 Expiration of      4.1.1 Expiration of      3      8
Phase         Safe PI                storage media

                                     4.1.2 Expiration of      2
                                     selected file

                                     4.1.3 Control of         3
                                     access and its
                                     record in expiring
COPYRIGHT 2009 KSII, the Korean Society for Internet Information
No portion of this article can be reproduced without the express written permission from the copyright holder.
Copyright 2009 Gale, Cengage Learning. All rights reserved.

Article Details
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Author:Shim, Mina; Baek, Seungjo; Park, Taehyoung; Seol, Jeongseon; Lim, Jongin
Publication:KSII Transactions on Internet and Information Systems
Geographic Code:9SOUT
Date:Oct 1, 2009
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