NISD-K304-111

Management Standards for Information Security
Measures for the Central Government
Computer Systems

April 26, 2012
Established by the Information Security Policy Council

NISD-K304-111

NISD-K304-111

Table of Contents
Chapter 1.1 General ..............................................................................................................................1
1.1.1.1 Positioning of Management Standards for Measures ........................................................1(1) Positioning of these Management Standards for Measures as an enhancement ofInformation Security Measures for the Central Government Computer Systems .................1(2) Revision of these Management Standards for Measures and the Technical Standards
for Measures..........................................................................................................................1(3) Compliance with laws and regulations...........................................................................1
1.1.1.2 How to use Management Standards for Measures and Technical Standards for
Measures .......................................................................................................................................2(1) Structure .........................................................................................................................2(2) Itemized measures ..........................................................................................................3(3) Changes concerning "setting security levels".................................................................3
1.1.1.3 Classification of Information and Types of Marking ........................................................4(1) Classification and marking .............................................................................................4(2) Classification ..................................................................................................................4(3) Types of marking............................................................................................................6
1.1.1.4 Management and Usage Restrictions in Information Handling Areas ..............................6(1) Information Handling Areas ...........................................................................................6(2) Classification of Information Handling Areas................................................................6(3) Management and Usage Restrictions in Each Class of Information Handling Areas ....7(4) Individual Control and Individual Usage Restrictions in Information Handling Areas . 7
1.1.1.5 Evaluation Procedure ........................................................................................................7
1.1.1.6 Definition of Terms ...........................................................................................................8
Chapter 1.2 Establishment of Organizations and Systems ..................................................................141.2.1 Introduction ............................................................................................................................ 14
1.2.1.1 Establishment of Organizations and Systems .................................................................14
Compliance Requirements ...................................................................................................... 14(1) Designating the chief information security officer .......................................................14(2) Designating the Information Security Committee........................................................14(3) Designating the chief information security auditor ......................................................14(4) Designating information security officers ....................................................................14(5) Designating information system security officers ........................................................15(6) Designating information system security administrators .............................................15(7) Designating division/office information security officers ............................................16(8) Designating the area information security officer ........................................................16(9) Designating the chief information security advisor .....................................................16
1.2.1.2 Assignment of Roles ....................................................................................................... 16
Compliance Requirements ...................................................................................................... 16(1) Defining roles that must not be concurrently undertaken by the same person .............16

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NISD-K304-111(2) Approval or permission by superiors ...........................................................................16
1.2.1.3 Violation and Exceptional Measures ............................................................................... 17
Compliance Requirements ...................................................................................................... 17(1) Handling violations ......................................................................................................17(2) Exceptional measures ...................................................................................................17
1.2.2 Operations .............................................................................................................................. 19
1.2.2.1 Education for Information Security Measures ................................................................19
Compliance Requirements ...................................................................................................... 19(1) Enforcement of Education for information security measures .....................................19(2) Participation in Education for information security measures .....................................19
1.2.2.2 Failure Handling ............................................................................................................. 20
Compliance Requirements ...................................................................................................... 20(1) Preparation for possible failure ....................................................................................20(2) Reporting and response flow in the event of failure, accident, etc. ..............................21(3) Investigating the cause of failure, accident, etc. and preventing recurrence ................21(4) Response to possibilities of occurrence of failure, accident, etc. .................................21
1.2.3 Evaluation .............................................................................................................................. 23
1.2.3.1 Self-assessment of Information Security Measures ........................................................ 23
Compliance Requirements ...................................................................................................... 23(1) Formulating an annual plan for self-assessment ..........................................................23(2) Preparing for self-assessment .......................................................................................23(3) Conducting self-assessment .........................................................................................23(4) Evaluating the result of self-assessment.......................................................................23(5) Making improvements based on self-assessment .........................................................23
1.2.3.2 Audit of Information Security Measures .........................................................................23
Compliance Requirements ...................................................................................................... 23(1) Formulating audit plans................................................................................................ 23(2) Instructing information security audits ........................................................................24(3) Formulating audit plans for individual business operations .........................................24(4) Preparation for information security audits .................................................................. 24(5) Conducting information security audits .......................................................................24(6) Responding to audit results ..........................................................................................24
1.2.4 Review ................................................................................................................................... 26
1.2.4.1 Review of Information Security Review Measures ........................................................26
Compliance Requirements ...................................................................................................... 26(1) Reviewing information security measures ...................................................................26
1.2.5 Others ..................................................................................................................................... 27
1.2.5.1 Outsourcing ..................................................................................................................... 27
Scope....................................................................................................................................... 27
Compliance Requirements ...................................................................................................... 27

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NISD-K304-111(1) Establishing a common system among government agencies for information security27(2) Clarifying required information security measures to contractors ...............................27(3) Selecting contractors ....................................................................................................27(4) Outsourcing contracts...................................................................................................27(5) Outsourcing procedures ...............................................................................................28(6) Procedures for the contract expiry ...............................................................................29
1.2.5.2 Ensuring Consistent Operation with a Business Continuity Plan and an Information
System Operation Continuity Plan ..............................................................................................29
Compliance Requirements ...................................................................................................... 29(1) Ensuring consistency with a BCP, an information system operation operational
continuity plan and information security measures.............................................................29(2) Reporting inconsistency among the BCP, the information system operation continuity
plan, and the information security rules ..............................................................................29
1.2.5.3 Information Handling Areas.................................................................................................... 30
Compliance Requirements ...................................................................................................... 30(1) Determining the class, control, and usage restrictions of information handling areas . 30
(2) Managing information handling areas.......................................................................... 30(3) Usage restrictions in information handling areas .........................................................30
Chapter 1.3 Measures for Information ................................................................................................ 31
1.3.1 Information Handling............................................................................................................. 31
1.3.1.1 Creation and Obtain of Information ................................................................................31
Compliance Requirements ...................................................................................................... 31(1) Prohibiting creation or obtainment of non-business information .................................31(2) Classification and marking at creation or obtainment of information ..........................31(3) Labeling classification and marking ............................................................................ 31(4) Succession of classification and marking at processing ...............................................31
1.3.1.2 Use of Information .......................................................................................................... 31
Compliance Requirements ...................................................................................................... 31(1) Prohibiting the non-business use ..................................................................................31(2) Handling information according to the classification and marking .............................31(3) Succession of classification and marking at copying ...................................................32(4) Reviewing classification and marking .........................................................................32(5) Handling classified information ...................................................................................32
1.3.1.3 Save of Information ........................................................................................................ 33
Compliance Requirements ...................................................................................................... 33(1) Storing information according to the classification .....................................................33(2) Information retention period ........................................................................................33
1.3.1.4 Transfer of Information ................................................................................................... 33
Compliance Requirements ...................................................................................................... 33(1) Approving and notifying information transfer ............................................................. 33

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NISD-K304-111(2) Selecting from information transmission or transport ..................................................34(3) Selecting the means of transfer ....................................................................................34(4) Protecting storage media ..............................................................................................34(5) Protecting electromagnetic records ..............................................................................34
1.3.1.5 Provision of Information ................................................................................................. 35
Compliance Requirements ...................................................................................................... 35(1) Disclosing information .................................................................................................35(2) Providing information to others ...................................................................................35
1.3.1.6 Deletion of Information .................................................................................................. 36
Compliance Requirements ...................................................................................................... 36(1) Deletion of electromagnetic records ............................................................................36(2) Disposing of written documents...................................................................................36
Chapter 1.4 Measures for Information Processing .............................................................................. 37
1.4.1 Use of Information Systems................................................................................................... 37
1.4.1.1 Use of Information Systems ............................................................................................ 37
Compliance Requirements ...................................................................................................... 37(1) Managing identification codes .....................................................................................37(2) Managing authentication information ..........................................................................37(3) Granting and managing identification codes and authentication information ..............38(4) Applying an alternative method for identification codes and authentication
information.......................................................................................................................... 38
1.4.2 Restrictions on Information Processing .................................................................................39
1.4.2.1 Restrictions on Information Processing outside Government Facilities .........................39
Compliance Requirements ...................................................................................................... 39(1) Establishing rules for safeguard ...................................................................................39(2) Obtaining and managing approval and application ......................................................39(3) Observing rules for safeguard ......................................................................................40
1.4.2.2 Restrictions on Information Processing Using Unsupplied Information Systems .......... 41
Compliance Requirements ...................................................................................................... 41(1) Establishing rules for safeguard ...................................................................................41(2) Obtaining and managing approval and application ......................................................41(3) Observing rules for safeguard ......................................................................................41
Chapter 1.5 Basic Measures for Information Systems ........................................................................42
1.5.1 Security Requirements for Information Systems ...................................................................42
1.5.1.1 Security Requirements for Information Systems ............................................................42
Compliance Requirements ...................................................................................................... 42(1) Planning information systems ......................................................................................42(2) Implementing and operating information systems .......................................................42(3) Migrating and disposing information systems .............................................................43(4) Reviewing information systems ...................................................................................43

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NISD-K304-111

1.5.2 Maintenance and Observance of Information System Rules .................................................44
1.5.2.1 Maintenance of Documents and Inventories of Information Systems ............................44
Compliance Requirements ...................................................................................................... 44(1) Maintaining documents of information systems ..........................................................44(2) Maintaining inventories of information system ...........................................................44
1.5.2.2 Procurement of Equipment, etc. ......................................................................................45
Scope....................................................................................................................................... 45
Compliance Requirements ...................................................................................................... 45(1) Establishing rules concerning procurement of equipment, etc. .................................... 45(2) Observing rules concerning procurement of equipment, etc. ....................................... 45
1.5.2.3 Software Development.................................................................................................... 46
Compliance Requirements ...................................................................................................... 46(1) Establishing rules concerning software development ..................................................46(2) Observing rules concerning software development .....................................................47
1.5.2.4 Standard Procedure for Authentication, Access Control, Administration, Audit Trail
Management, Assurance, etc....................................................................................................... 47
Compliance Requirements ...................................................................................................... 47(1) Establishing Management concerning authentication, access control, administration,
audit trail Management, assurance, etc. ..............................................................................47(2) Observing rules concerning authentication, access control, administration, audit trail
management, assurance, etc. ...............................................................................................48(3) Examining, analyzing, and reporting on obtained audit trails ...................................... 48
1.5.2.5 Standard Procedure for Encryption and Electronic Signatures .......................................48
Compliance Requirements ...................................................................................................... 48(1) Establishing rules concerning encryption and electronic signatures ............................48(2) Observing rules concerning encryption and electronic signatures ...............................49
1.5.2.6 Preventing Actions that Compromise the Information Security Level outside
Government Agencies ................................................................................................................. 50
Compliance Requirements ...................................................................................................... 50(1) Establishing rules for measures ....................................................................................50(2) Observing the rules for measures .................................................................................50
1.5.2.7 Measures for the Use of Domain Names ........................................................................50
Compliance Requirements ...................................................................................................... 50(1) Establishing rules for the use of domain names ...........................................................50(2) Observing rules for the use of domain names ..............................................................51
1.5.2.8 Day-to-day Measures for Protection against Malware ....................................................51
Compliance Requirements ...................................................................................................... 51(1) Establishing rules concerning measures against malware ............................................51(2) Observing rules concerning measures against malware ...............................................51

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NISD-K304-111

Chapter 1.1 General
1.1.1.1 Positioning of Management Standards for Measures(1) Positioning of these Management Standards for Measures as an enhancement of Information
Security Measures for the Central Government Computer Systems
As a general rule, each government agency must take its own responsibility for measures toensure information security. However, it is necessary to formulate a unified framework toprovide guidance on such measures and raise the standard of information security across all
government agencies based on the "Information Security Standards for Government Agencies(stipulated by the Information Security Committee on April 21, 2011)" in order to reinforce
information security measures of the whole government. These Management Standards for
Measures and the Technical Standards for Measures prescribe measures which government
agencies should take to assure and further improve information security within the unified
framework of government agencies.
(2) Revision of these Management Standards for Measures and the Technical Standards for
Measures
It is important to understand changes in circumstances precisely and review information
security measures in order to maintain an appropriate level of information security. It isconsidered necessary that these Management Standards for Measures and the TechnicalStandards for Measures to be added and amended as they are used by each government agency
for formulating its own standards and operational procedures according to its characteristics
and for evaluating information security measures. Depending on the advancement of
information technologies, information security measures prescribed in these Management
Standards may also have to be changed.
Therefore, these Management Standards are periodically reviewed and enhanced as necessary
to maintain their validity in the future. Each government agency must reflect changes made inthese Management Standards for Measures and the Technical standards for Measures to theirown standards appropriately.
(3) Compliance with laws and regulations
When taking information security measures, laws and regulations which stipulate handling of
information and information systems (hereinafter referred to as "relevant laws andregulations") in addition to these Management Standards and Technical Standards. These
Management Standards for Measures and the Technical Standards for Measures to notreference to these relevant laws and regulations since they must be observed regardless of
information security measures. Also, the existing government's resolutions concerning
information security measures must be observed.

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NISD-K304-111

1.1.1.2 How to use Management Standards for Measures and Technical Standards for
Measures(1) Structure
These Management Standards for Measures are comprised of three levels; chapter, section and
item.
These Management Standards for Measures define the guidelines to be observed whendeveloping organizations and systems to promote information security measures for the entire
organization, establishing information security measures on each phase of information
lifecycle, and establishing rules concerning information systems. Whereas the TechnicalStandards for Measures describe technical issues and define security requirements required to
information systems; therefore, these will be reviewed more frequently.
Chapters in These Management Standards for Measures are "General", "Developing
Organizations and Systems", "Measures for Information", "Measures for Information
Processing", and "Basic Measures for Information Systems", whereas the Technical Standards
for Measures contain "Measures Based on Information Security Requirements", "Measures for
Information System Components", and "Measures for Individual Issues".
Each chapter consists of sections for measure items, and each section also consists of items forstandards for the measures. The following describes the specific contents.
(a) Chapter 1.1 General(b) Chapter 1.2 Developing Organizations and Systems"Developing Organizations and Systems" in these Management Standards for Measures
defines subjects such as implementation systems, assessment procedures, violations, andexceptions to clarify authority and responsibility of concerned employees when
implementing information security measures on the entire organization.
(c) Chapter 1.3 Measures for Information"Measures for Information" in these Management Standards for Measures focuses
information lifecycle such as its creation, use, storage, transportation, provision, anddeletion, and defines what employees should always do to protect information in eachphase.
(d) Chapter 1.4 Measures for Information Processing"Measures for Information Processing" in these Management Standards for Measures
defines what should be done when using information systems, and what should be
restricted when processing information outside the areas requiring control measures orusing externally supplied information systems.
(e) Chapter 1.5 Basic Measures for Information Systems"Basic Measures for Information Systems" in these Management Standards for Measures
defines what should be done in each phase of the information system lifecycle such asplanning, implementation, operation, migration, disposal, and review, and rules to assure
information security concerning information systems to ensure rules prescribed in the2

NISD-K304-111

Technical Standards for Measures are appropriately adhered.
(f)Chapter 2.1 General(g) Chapter 2.2 Measures based on Clarifying Information Security Requirements"Measures Based on Information Security Requirements" in the Technical Standards for
Measures explains security functions which should be implemented in information
systems such as access control, and defines what should be done to protect information
systems from threats such as security holes, malware, and denial of service attacks.
(h) Chapter 2.3 Measures for Information System Components"Measures for Information System Components" in the Technical Standards for Measures
defines what should be done for information systems from the viewpoint ofcharacteristics and lifecycle of information systems such as computer and communicationlines.
(i)

Chapter 2.4 Measures for Individual Issues"Measures for Individual Issues" in the Technical Standards for Measures focuses
individual information security issues in implementation of new technologies that requireparticular considerations, and defines the guidelines.

(2) Itemized measures
These Management Standards for Measures and the Technical Standards for Measures set
itemized compliance requirements for measures each government agency should take.
(3) Changes concerning "setting security levels""Management Standards for Information Security Measures for the Central Government
Computer Systems" (established on April 21, 2011, NISD-K304-101) and "TechnicalStandards for Information Security Measures for the Central Government Computer Systems"(established on April 21, 2011, NISD-K305-101) define the intensity of measures andguidelines for each target item. This intensity was represented by "security levels," which aredefined as "BASIC Requirements" and "ENHANCED Requirements.""BASIC Requirements" are "measures that must be taken for the information to be protected
and the information systems that handle the information." "ENHANCED Requirements" are"measures that should be taken for especially important information and the information
systems that handle the information if the respective government agency considers necessary
after review." For "ENHANCED Requirements," government agencies determine whether or
not to introduce them based on the characteristics of the given information system during theestablishment of agency standards.
Hereafter, the classifications of "BASIC Requirements" and "ENHANCED Requirements" areunified under "Requirements." "Requirements" are measures that must be taken for the
information required to be protected according to the standards of each government agency
and the systems handling such information. For measures that have been determined to berequired from the review on necessity, the necessity of execution should be reviewed.
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NISD-K304-111

1.1.1.3 Classification of Information and Types of Marking(1) Classification and marking
Handling requirements for information in government administration vary depending on the
purpose and use of the information. Therefore, information is classified and marked in order toapply appropriate measures and assure information security according to its importance.
Classification and marking should be properly defined to acknowledge how the information
creator or owner considers the information should be handled, and clarify the importance andrequired security measures of the information.
Classification and marking can also improve the information users' awareness of day-to-day
information security measures. In other words, it compels employees to recognize thenecessity of measures for information and information security continuously throughclassifying and marking information each time they create or obtain one, and taking measuresaccording to the classification and marking each time they handle information. Therefore,
employees must be notified to understand and observe the classification and marking.
(2) Classification
The following are the definition of classifications from three aspects: namely confidentiality,
integrity, and availability of information.
Although the following classifications are used in requirements in these Management
Standards of Measures, each government agency may change or add as necessary. However,when changing or adding classifications, each government agency must confirm therelationships between classifications and requirements for given measures must be the same or
higher than those described in these Management Standards for Measures and the TechnicalStandards for Measures. Also, when changing or adding classifications, the government
agency must define the method to communicate how their own classifications correspond to
those in these Management Standards for Measures and the Technical Standards for Measureswhen exchanging information with other government agencies. For example, the government
agency may use classifications described in these Management Standards for Measures andthe Technical Standards for Measures when providing information to other government
agencies.
(a) The following describes information classifications for confidentiality, integrity, andavailability.

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NISD-K304-111

Classifications for confidentiality
Classification

Description of classification

Confidentiality

Among information for administrative use, items which areclass-3 informationconsidered confidential.

Confidentiality

Among information for administrative use, items whoseclass-2 information

disclosure may infringe citizens' rights or administrative
operations although they are not considered confidential.

Confidentiality

Information other than Confidentiality class-2 information orclass-1 information

Confidentiality class-3 information.

Information which comes under Confidentiality class-2 information or Confidentiality
class-3 information is called "confidential information".
Classifications for integrity
Classification

Description of classification

Integrity class-2

Among information for administrative use (except written

information

information), items whose falsification, errors, and damage
may infringe citizens' rights or correct administrative
operations (except negligible cases).

Integrity class-1

Information other than Integrity class-2 information (except

information

written information)

Note that Integrity class-2 is called "critical information".
Classification for availability
Classification

Description of classification

Availability class-2

Among information for administrative use (except written

information

information), items whose loss or unavailability infringe
citizens' rights or stable administrative operations (except
negligible cases).

Availability class-1

Information other than Integrity class-2 information (except

information

written information.)

Note that Availability class-2 information is called "vital information".
Also, confidential information, critical information, and vital information arecollectively called "classified information".

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NISD-K304-111(3) Types of marking
Information is classified from three aspects: namely confidentiality, integrity, and availability,
and types of marking are defined for each aspect. "Marking" means restrictions to ensure
proper handling of information such as to prohibit copying, taking out, or distribution, tooblige encryption, or to force disposal after reading.
(a) Types of marking are defined separately for confidentiality, integrity, and availability.
Types of marking can be specified as appropriate.

1.1.1.4 Management and Usage Restrictions in Information Handling Areas(1) Information Handling Areas
To maintain information security, it is essential to perform government administration in areas
where appropriate security measures have been taken. Therefore, when managing offices,
meeting rooms, and server rooms, it is necessary to estimate what administration tasks are
performed in each area, determine the required procedures, and implement such procedures.
When using such an area, it is required to impose restrictions on the users according to the
purpose and measures taken in order to ensure information security.
Additionally, to maximize the effects of the measures, the employees should correctly
recognize the security measures and usage restrictions required for each area, and selectappropriate areas according to the importance of the information concerned.
For this purpose, the areas for handling information inside and outside each agency are called"information handling areas," which are divided into "classes" from the viewpoint of themeasures required.
(2) Classification of Information Handling Areas
For each information handling area, a class is defined based on the standards for the required
measures.
(a) The classes of information handling areas and the bases of classification are listed below.

Class

Classification BasisClass-3

Areas that require severe security measures and usage
restrictions in order to maintain tighter information security
compared to class-2

Class-2

Areas that require security measures and usage restrictions inorder to maintain tighter information security compared toclass-1

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Class-1

Areas that require security measures and usage restrictions inorder to maintain minimum information security

Class-0

Areas other than class-3, class-2, and class-1 that require usage
restrictions to maintain information security

Class-1 or higher areas are called "areas requiring control measures."(3) Management and Usage Restrictions in Each Class of Information Handling Areas
Each agency should determine the control measures to be taken for each class from class-0 toclass-3 (hereinafter referred to as "class control") and the usage restriction measures for eachclass to which control measures are to be taken (hereinafter referred to as "class usage
restrictions"), and based on these implement appropriate measures.
Since the class control and class usage restrictions defined in Management Standards andTechnical Standards are minimum control and usage restriction measures, each agency canchange their names, add classes, change or add control measures and usage restrictions if
necessary. However, when changing or adding measures, it is necessary to conform to or
exceed the level of information security required by Management Standards and TechnicalStandards.
(4) Individual Control and Individual Usage Restrictions in Information Handling Areas
For information handling areas where additional measures are required according to theclassification and where measures for other classes are required, it is possible to determine
individual control measures for each area concerned (hereinafter referred to as "individual
control") and individual usage restrictions (hereinafter referred to as "individual usage
restrictions") in order to maintain and improve the level of information security.

1.1.1.5 Evaluation Procedure
Information security measures must not be transient but be continuously feasible without delay.
Therefore, each government agency must carry out information security audit periodically oras necessary based on these Management Standards for Measures and the Technical Standards
for Measures to confirm the following.
(a) Standards for measures implemented by the government agency comply with theManagement Standards for Measures and Technical Standards for Measures. (Design
compliance check)
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NISD-K304-111(b) Actual operations conform to the standards for measures implemented by the government
agency. (Operational compliance check)(c) Standards for measures implemented by the government agency are appropriate for the
given risks, efficient, and feasible. (Design adequacy check)(d) Actual operations are valid and effective for the given risks. (Operational adequacy
check)The most important objective in the information security audit at government agencies is toconfirm the design and operational compliance. If any design or operational adequacy issues
which need improving are found as a result of the audit, they should be noted as issues forfurther examination. Since these Management Standards for Measures and the TechnicalStandards for Measures define the parson in charge and guidelines, the appointed employees
should carry out self-check to confirm the status of measure application according to theirroles. It is essential that each employee fulfill his or her duties for information security
measures, and self-assessment is adopted to ensure effectiveness of measures. Therefore, when
auditing, government agencies should examine if the self-check is appropriately carried out inorder to confirm the operational conformity. If the audit finds any discrepancy between thestatus of measure application and the result of self-assessment, the cause of the discrepancy
should be analyzed and the self-assessment should be corrected.
While each government agency is responsible for application of information security measuresin general, theymustreport the application

statusandaudit results

to

the

NationalInformationSecurityCenter to facilitate information security measure promotion for
the entire government organization. Also, each government agency must create an information
security

reporttodiscloseits

information

security

status.

Inaddition,the

NationalInformationSecurityCenter must examine and assess each government agency's rules
associated with information security, and the status of measure application based on theevaluation index in these Management Standards for Measures and the Technical Standards
for Measures periodically or as required. The scope of applicable information systems shall be
discussed and determined between the NationalInformationSecurityCenter and eachgovernment agency.

1.1.1.6 Definition of Terms【A】
"Access control" means to restrict objects to which a subject is allowed access.



"Administration" means to manage information related to authentication (including
identification codes and authentication information) and access control permissions.

●"Areas requiring control measures" mean areas where control measures have been taken for
the facilities and environment. They are class-1 or higher information handling areas.

"Authentication" means to verify whether the subject who presents an identification code is8

NISD-K304-111

the legitimate subject who is granted the identification code. Information systems authenticate
the subject when an identification code is presented with authentication information in acorrect manner. Although "authentication" has connotation of an official or third party
testimony, it is not restricted to mans in these Management Standards for Measures and theTechnical Standards for Measures.
"Authentication information" means information that a subject presents to an information
system in order to be authenticated. A password is typical authentication information.

"Authentication information storage device" means a device that stores authentication
information and is owned or carried by the legitimate subject. Information systems
authenticate the subject in possession of this device in ownership-based authentication.
An IC card is a typical authentication information storage device.

"Availability" means to assure a state where people authorized to access information andrelated assets can access such information and related assets as necessary without interruption.

【C】
"Classified information" means confidential information, critical information, and vital
information.

"Communication equipment" means a device connects lines and controls informationexchanged between computers via lines. This includes repeater hubs, switching hubs, routers,
and firewalls.

"Communication line" means physical and logical mechanisms to connect computers and tocommunicate information using prescribed communication protocol.

"Communication line inside the government agency" means a logical communication line
connecting computers that are managed by the government agency and being used forcommunications between these computers regardless of the physical presentation of the line
(wired or wireless, physical or virtual, under control of government agencies or third parties)
and the deployed communication equipment.

 "Communication line outside the government agency" means a logical communication line
connecting computers that are not managed by the government agency and being used forcommunications between these computers regardless of the physical presentation of the line
(wired or wireless, physical or virtual, under control of government agencies or third parties)
and the deployed communication equipment.
"Computers" means computers in general such as servers and terminals including theiroperating systems and connected peripheral devices.

"Confidential information" means confidentiality class-2 information and confidentiality
class-3 information.

"Confidentiality" means a state where only authorized people can access information.

"Contractor" means a party who is contracted to carry out part of, or all of information
processing tasks such as design, implementation, or operations of information systems.

 "Critical information" means integrity class-2 information.
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NISD-K304-111【E】
"Employees" means legal employees (government officials who work in government
agencies) and those who are under supervision of government agencies (for example,
dispatched workers though it depends on individual work conditions) the municipal
governments who handle information and information systems managed by the given
government agency.

"Equipment, etc." means information equipment and software.

"Erasure"  See "Information erasure" "Exceptional measures" means to take alternative measures for appropriate business continuity
when there is a justifiable reason not to take prescribed measures such as the situation does notallow the responsible employees to comply with the relevant information security rules.
Exceptional measures must be applied and approved.
【I】
"Identification" means to identify the subject accessing an information system.

"Identification code" means a code used by an information system to identify the subject. A
user ID is a typical identification code.

"Important specifications" means specifications related to an information system that arenecessary for appropriate management of the given information system and their loss ordisclosure will disrupt administrative operations. They correspond to confidential informationin the classification of information.

"Information" means information recorded within information systems, information recorded
in external electromagnetic storage media, and information on written documents related to
information systems. Therefore, unfinished documents are also included. Information on
written documents includes ones which describe electromagnetically recorded information(ones describing information entered into and output from information systems), anddocuments concerning information system design.

"Information erasure" means to make information unrecoverable in order to prevent leakage ofdisposed information. Information is not unrecoverable if the information can be recovered byundoing deletion or using a recovery tool.

●"Information processing outside areas requiring control measures" means the processing of
information in order to conduct administration tasks by employees in a class-0 information
handling areas. It includes offline information processing as well as online processing, inwhich the employee connects to the information system of the agency he or she belongs to
outside the agency.

"Information processing using unsupplied information system" means processing information
using information systems which are not supplied by government agencies for administrative
operations. This includes the use of devices as well as the use of services which are provided
by these devices. These services signify ones such as personally contracted e-mail services
10

NISD-K304-111

which may be used to send business e-mails or receive e-mails forwarded from e-mail services
managed by government agencies.
"Information security rules" means standards for measures implemented by government
agency, and the procedures which define how to apply measures prescribed in the standards toinformation systems and operations.

"Information system" means systems for information processing and communications.

"Information transfer" means to transmit electromagnetically recorded information and totransport electromagnetic storage media or written documents that contain information tooutside the areas requiring control measures.

"Inside the government agency" means inside the organization or building managed bygovernment agencies.

"Integrity" means to assure a state where information is not damaged, falsified, or deleted.

【L】
"Labeling, etc." means to make information's classification clear to all who handle theinformation. This means to display the classification on information in general; however, anyother acts to make information's classification common knowledge are also included. For
example, acknowledging all users of a specific information system by describing classificationof the information recorded in the system in a regulation is also included.

"Least privilege" means a function to restrict the range to grant administrative permission to
the minimum necessary.

"Login" means an act where a subject requests authentication. Because login is followed byauthentication, legitimacy of the subject is unknown at the login stage.

"Logon" means the state where the subject who requested authentication has beenauthenticated by the information system as a result of login.

【M】
"Malware" means software in general which causes unsolicited results to computers such as
computer viruses and spyware.

"Malware definition file" means the data which antivirus software, etc. uses to distinguishmalware.

"Marking" means restrictions to ensure appropriate handling of information such as to prohibit
copying, taking out, or re-distribution, to oblige encryption, or to force disposal after reading.

【O】●"Outside areas requiring control measures" mean class-0 information handling areas.

"Outside the government agency" means outside the organization or building managed bygovernment agencies.

"Outsourcing" means contracting out part of, or all of information processing tasks such as
design, implementation, or operations of information systems to a party external to11

NISD-K304-111

government agencies.
【S】
"Service" means a set of functions that is composed of a single or multiple functions provided
by applications running on servers to the connected computers.

"Shared identification code" means an identification code that is shared among multiple
subjects. One identification code is granted to a single subject as a general rule; however, one
identification code may be shared among multiple subjects due to restrictions of information
systems or the way the system is used. These shared identification codes are called shared
identification codes.

"Software" means procedures and commands to operate computers that are written in a form
computers can understand. This includes operating systems and applications running on
operating systems.

"Standards for measures implemented by government agency" or "Standards of government
agency" means information security standards which comply with these Management
Standards for Measures and the Technical Standards for Measures and are applied to all
information assets of the given government agency.

"Storage media" means media in which information is recorded or written. Storage media
includes written document, and any paper or other tangible objects on which information
recognizable by human such as characters or diagrams are written (hereinafter referred to as"written document"), and those on which information unrecognizable by human is recorded
electronically or magnetically and are processed by computers (hereinafter referred to as"electromagnetic storage media"). The electromagnetic storage media can be internal such asones built into computers or communication equipment, or external such as external hard disks,
CD-R, DVD, MO, USB memory, and flash memory.

"Subject" means a person who accesses information systems, other information systems, anddevices. A subject is mainly intended to be human; however, other information systems anddevices can be subjects which access information systems when multiple information systems
and devices work in coordination.

【T】
"Terminal" means a computer that an employee directly operates (including the operating
system and connected peripheral devices) such as a PC and PDA.



"Transfer"  See "Information transfer"【U】
"Unsupplied information system" means information systems that are not supplied bygovernment agencies. These include information systems on private PCs and those provided
by assignor agencies for their dispatched workers.

12

NISD-K304-111【V】
"Vital information" means availability class-2 information.

13

NISD-K304-111

Chapter 1.2 Establishment of Organizations and Systems
1.2.1 Introduction
1.2.1.1 Establishment of Organizations and Systems
Compliance Requirements(1) Designating the chief information security officer(a) A chief information security officer must be designated.
(b) The chief information security officer must direct tasks associated with information
security measures in the government agency.
(2) Designating the Information Security Committee(a) The chief information security officer must establish the Information Security Committee
and designate a chairperson and members of the committee.
(b) The Information Security Committee must formulate standards of the government agency
complying with the Management Standards for Measures and obtain approval from thechief information security officer.
(3) Designating the chief information security auditor(a) The chief information security officer must designate a head of information security
auditors.
(b) The head of information security auditors must direct tasks associated with audit under
the direction of the chief information security officer.
(4) Designating information security officers(a) The chief information security officer must determine management units for
implementing information security measures and designate an information security
officer for each unit. A head of information security officers must be designated to directthese information security officers.
(b) The head of information security officers must formulate technical standards for
information security standards of government agency based on the Technical Standards
for Measures under the direction of the head of information security officers. This
formulation can be delegated to a person appointed by the chief information security
officer.

14

NISD-K304-111(c) Information security officers must direct administrative tasks associated with information
security measures in the given unit.
(d) The head of the information security officers must develop administrative procedures for
information security measures at the start and end of employment, and personnel
changes.
(e) Information security officers must periodically ensure that administrative procedures for
information security measures at the start and end of employment, and personnel changes
are adhered.
(f)

The chief information security officer must report designation and change of any
information security officers to the head of information security officers.

(g) The head of information security officers must establish a communication network for all
information security officers.
(5) Designating information system security officers(a) Information security officers must designate an information system security officer foreach information system in the given unit by the planning phase of the information
system.
(b) The information system security officer must direct administrative tasks associated withinformation security measures for the given information systems.
(c) The information security officer must report designation and change of any information
system security officers to the head of information security officers.
(d) The head of information security officers must establish a communication network for all
information system security officers.
(6) Designating information system security administrators(a) Information system security officers must designate an information system security
administrator for each unit required for the administrative tasks for the given information
system.
(b) Information system security administrators must implement information security
measures for the given unit of administrative tasks.
(c) Information system security officers must report designation and change of any
information system security administrators to the head of information security officers.
(d) The head of information security officers must establish a communication network for all
information system security administrators.

15

NISD-K304-111(7) Designating division/office information security officers(a) Information security officers must designate a division/office information security officer
for each division or office.
(b) Division/office information security officers must direct administrative tasks associatedinformation security measures in the given division or office.
(c) Information security officers must report designation and change of any division/office
information security officers to the head of information security officers.
(d) The head of information security officers must establish a communication network for all
division/office information security officers.
(8) Designating the area information security officer(a) The head of information security officers should determine the unit areas for
implementing the information security measures for areas requiring control measures anddesignate an area information security officer for each unit.
(b) Each area information security officer should direct tasks associated with information
security measures in his or her unit area.
(c) The head of information security officers should establish a contact network among allarea information security officers.
(9) Designating the chief information security advisor(a) The chief information security officer must designate a chief information security advisor
with expertise and experience in information security.
(b) The chief information security officer must specify job descriptions of the chief
information security advisor for application of information security measures.

1.2.1.2 Assignment of Roles
Compliance Requirements(1) Defining roles that must not be concurrently undertaken by the same person(a) Employees must not undertake the following roles concurrently in information security
operations.
(i)

The person who submits the application and the person who approves theapplication (hereinafter referred to as "approval authority, etc.".)(ii) The person who is audited and the person who audits.
(2) Approval or permission by superiors(a) Employees must apply for approval of the superior of the approval authority, etc. when
they consider it inappropriate for the relevant approval authority, etc. to make a decisionof approval or permission (hereinafter referred to as "approval, etc.") in the light of their16

NISD-K304-111

official authority. In this case, approval from the approval authority, etc. is not required
after obtaining approval from the superior of the approval authority, etc.
(b) After granting approval in the above case, the employee must take necessary measures inaccordance with requirements for approval authority, etc.

1.2.1.3 Violation and Exceptional Measures
Compliance Requirements(1) Handling violations(a) Employees must report to the responsible information security officer when they becomeaware of any serious breach of information security rules.
(b) The information security officer must instruct the violator and concerned parties to takenecessary measures to maintain information security when he/she is informed of, or
becomes aware of any serious breach of information security rules.
(c) The information security officer must report to the chief information security officer
when he/she is informed of, or becomes aware of any serious breach of information
security rules.
(2) Exceptional measures(a) The Information Security Committee must designate a person who judges whether toapprove applications for exceptional measures (hereinafter referred to as "the judge") anddevelop the judgment procedure.
(b) Employees must apply for approval for exceptional measures to the judge following theformulated procedures. However, employees may make retrospective application
immediately afterwards in the case of emergency where an alternative measures have tobe taken promptly or where it is unavoidable not to take the prescribed measures.
Employees must clarify information including the following items in the application.
(i)Applicant's information (name, department, contact)(ii) Item of information security rules for which the exceptional measures are requested(the title of the rule and the article, etc.)(iii) Period for applying the exceptional measures(iv) Description of the exceptional measures (the alternative measures, etc.)(v) Reporting procedure for terminating the exceptional measures(vi) Reason for requesting the exceptional measures(c) The judge must review applications for exceptional measures submitted by employees inaccordance with the formulated judgment procedure and determine whether or not toapprove. Also, the judge must create the exceptional measure application record
including the following items after making the decision and report to the chief
information security officer.
17

NISD-K304-111(i)Name of the judge (name, title, department, contact)(ii) Application details
 Applicant's information (name, department, contact) Item of information security rules for which the exceptional measures arerequested (the title of the rule and the article, etc.)
 Period for applying the exceptional measures
 Description of the exceptional measures (the alternative measures, etc.)
 Reporting procedure for terminating the exceptional measures Reason for requesting the exceptional measures(iii) Result of the examination
 Approved or disapproved Reason for approval or disapproval Item of information security rules for which the exceptional measures areapproved (the title of the rule and the article, etc.)
 Period of the approved exceptional measures
 Description of the approved exceptional measures (the alternative measures, etc.)
 Reporting procedure for terminating the exceptional measures(d) Employees must report to the judge who approved the exceptional measure whenapplication of the exceptional measures has come to an end. However, this is notapplicable if the judge did not request reporting.
(e) The judge must check whether the applicant has reported on the expiry date of theapproved exceptional measures. If there has been no report, the judge must request thereport and take necessary measures. However, this is not applicable if the judge did not
request reporting.
(f)

The chief information security officer must establish a ledger for exceptional measureapplications and make this available for the head of information security auditors as
required.

18

NISD-K304-111

1.2.2 Operations
1.2.2.1 Education for Information Security Measures
Compliance Requirements(1) Enforcement of Education for information security measures(a) The head of information security officers must educate employees about information
security rules.
(b) The head of information security officers must examine training menus according to theroles of employees and prepare the training materials.
(c) The head of information security officers must plan and develop the plan for information
security measure training and establish the implementation system to offer the training atleast once a year according to the roles of the employee.
(d) The head of information security officers must plan and develop the information security
measure training and establish the implementation system to enable a transferred
employee to receive the training for his or her new role within three months.
(e) The head of information security officers must establish the system to manage the statusof employees' participation in the information security measure training.
(f)

The head of information security officers must inform division/office information
security officers of the employees' participation status of the information security
measure training.

(g) Division/office information security officers must oblige employees to receive
information security measure training.
(h) Division/office information security officers must advise employees who have notparticipated in information security measure training to receive it. If the employee does
not follow the advice, the division/office information security officer must report this tothe head of information security officers.
(i)

The head of information security officers must report the employees' information security
measure training participation status to the chief information security officer and theInformation Security Committee once a year.

(j)

The head of information security officers must examine the necessity of information
security measure training on rules, and establish the training menu and system if it isconsidered necessary.

(2) Participation in Education for information security measures(a) Employees must participate in information security measure training at least once a year
according to the training plan.
(b) Employees must check how to receive information security measure training with thedivision/office information security officer when assigned to or transferred to a new
office.
19

NISD-K304-111(c) Employees must report to the head of information security officers through thedivision/office information security officer if he/she is unable to receive information
security measure training for a reason for which he/she is not responsible.
(d) The employee must participate in information security measure training according to thetraining rules if they are in place.

1.2.2.2 Failure Handling
Compliance Requirements(1) Preparation for possible failure(a) The chief information security officer must establish a system with the following roles
and functions that corresponds to the occurrence of information security failures or
accidents (including incidents and malfunctions. Hereinafter referred to as "failure,
accident, etc.").
(i)

Determining an incident response officer(ii) Reporting the occurrence of the failure, accident, etc.
(iii) Receiving reports on the occurrence of the failure, accident, etc.
(iv) Prompt notification to related departments of the occurrence of the failure, accident,etc.
(v) Carrying out emergency measures (preventing damage from spreading)(vi) Recovery from the failure, accident, etc.
(vii) Conducting an investigation of the causes(viii)Planning and implementing recurrence prevention measures(ix) Confirming the implementation of the recurrence prevention measures(b) The head of information security officers must establish a reporting procedure for failure,
accident, etc. and inform this procedure to all employees.
(c) The head of information security officers must establish a measure application procedureincluding sharing information within and outside of the government agencies in the eventof failure, accident, etc.
(d) The head of information security officers must establish a measure application procedurein the event of failure, accident, etc.
(e) The head of information security officers establish an emergency communication
network

which

includesemergency

contacts,

communication

methods,

andcommunication contents for information systems which are deemed especially critical forbusiness in the event of failure, accident, etc.
(f)

The head of information security officers must examine the necessity of training on
measures against failure, accident, etc. and establish the contents and system if it isdeemed necessary.

(g) Employees must participate in training on measures against failure, accident, etc.
20

NISD-K304-111

according to rules if rules on such training are already established.
(h) The head of information security officers must establish a point of contact to receive
reports on failure, accident, etc. from other government agencies and inform the contact
method to other government agencies.
(2) Reporting and response flow in the event of failure, accident, etc.
(a) Employees must inform the concerned parties and the chief information security officer
according to the reporting procedure formulated by the head of information security
officers through the incident response officer when a failure, accident, etc., or the likecomes to their notice. However, if it is impossible to report to the person in charge offailure, accident etc. due to unavoidable emergency circumstances, they should report tothe chief information security officer according to the defined procedure.
(b) The person in charge of failure, accident etc. must give instructions or recommendations
on conducting emergency measures in order to prevent damage from spreading andenable recovery from the failure, accident, etc.
(c) Employees must confirm whether the measure application procedure for failure, accident,
etc. is available, and act as the procedure specify where possible.
(d) Employees must endeavor to prevent damage from spreading while waiting for the
instruction if the measure application procedure is not available for the given failure,
accident, etc. or its availability cannot be confirmed. Employees must follow the
instruction when it is given.
(e) The chief information security officer must share information with the divisions
concerned within and outside of the government agencies according to the definedprocedures.
(3) Investigating the cause of failure, accident, etc. and preventing recurrence(a) Information security officers must investigate the cause when failure, accident, etc. occur
based on the actions taken by the person in charge of failure, accident etc., develop
measures to prevent recurrence, and report the results to the chief information security
officer.
(b) The chief information security officer must examine the contents of the report on failure,
accident, etc. submitted by the information security officer, and take necessary measures
to prevent the recurrence.
(4) Response to possibilities of occurrence of failure, accident, etc.
(a) If there is a possibility of the occurrence of a failure, accident, etc., the chief information
security officer, the head of information security officers, the information security
officers, or the person in charge of failure, accident, etc. must take the measures required
according to each compliance requirement in this section.
(b) If there is a possibility of the occurrence of a failure, accident, etc., employees must take21

NISD-K304-111

appropriate measures based on the reporting procedure and the response procedure
stipulated in the previous section.

22

NISD-K304-111

1.2.3 Evaluation
1.2.3.1 Self-assessment of Information Security Measures
Compliance Requirements(1) Formulating an annual plan for self-assessment(a) The head of information security officers must formulate an annual plan for
self-assessment and obtain approval from the chief information security officer.
(2) Preparing for self-assessment(a) Information security officers must establish the self-assessment form and procedure foreach employee.
(3) Conducting self-assessment(a) Information security officers must instruct employees to conduct self-assessment inaccordance with the annual self-assessment plan formulated by the head of information
security officers.
(b) Employees must conduct self-assessment using the self-assessment form and procedure
prepared by their information security officer.
(4) Evaluating the result of self-assessment(a) Information

security

officers

must

confirm

that

employees

haveconducted

self-assessment and evaluate the results.
(b) The head of information security officers must confirm that information security officers
have conducted self-assessment and evaluate the results.
(c) The head of information security officers must report the result of self-assessment to thechief information security officer.
(5) Making improvements based on self-assessment(a) Employees must improve where they can within their authority based on the results ofself-assessment, and report this to their information security officer.
(b) The chief information security officer must evaluate the overall results of self-assessment
and instruct information security officers to make improvements where necessary.

1.2.3.2 Audit of Information Security Measures
Compliance Requirements(1) Formulating audit plans(a) The head of information security auditors must formulate an annual plan for information
23

NISD-K304-111

security audit and obtain approval of the chief information security officer.
(2) Instructing information security audits(a) The chief information security officer must instruct the head of information security
auditors to conduct an audit in accordance with the annual plan.
(b) The chief information security officer must instruct the head of information security
auditors to conduct audits that are not defined in the annual plan as required in responseto changes in information security conditions.
(3) Formulating audit plans for individual business operations(a) The head of information security auditors must formulate audit plans for individual
business operations in accordance with the annual plan and audit instructions due tochanges in information security conditions.
(4) Preparation for information security audits(a) The head of information security auditors must select and appoint information security
auditors who are independent from the department which is audited.
(b) The head of information security auditors must consider the necessity of outsourcing partof the audit and do so if it is deemed necessary.
(5) Conducting information security audits(a) Information security auditors must conduct the audit according to the instructions fromthe head of information security auditors and the audit plan.
(b) Information security auditors must confirm that the standards of government agency
comply with these Management Standards for Measures and the Technical Standards for
Measures.
(c) Information security auditors must confirm that the audit procedure complies with thestandards of government agency.
(d) Information security auditors must confirm that operations in the audited departmentcomply with information security rules by checking the adequacy of self-assessment, etc.
(e) Information security auditors must document the audit results.
(f)

The head of information security auditors must create an audit report based on the
documented audit results and submit it to the chief information security officer.

(6) Responding to audit results(a) The chief information security officer must instruct the information security officer of theaudited department to take measures against any issues pointed out in the audit report.
(b) If the chief information security officer considers that issues similar to ones pointed out
in the audit report probably exist in other departments, and it must be confirmed urgently,
he/she must instruct information security officers in other departments to investigate
24

NISD-K304-111

whether similar issues exist and to resolve them if they do.
(c) The information security officers must formulate the improvement plan for the issues
whose resolution is requested by the chief information security officer based on the audit
report.
(d) The chief information security officer must evaluate validity of the existing information
security rules based on the audit results and instruct a review as necessary.

25

NISD-K304-111

1.2.4 Review
1.2.4.1 Review of Information Security Review Measures
Compliance Requirements(1) Reviewing information security measures(a) Persons who established information security rules must examine whether the rules
should be reviewed in a timely manner and review them if it is deemed necessary.
(b) Employees must consult the persons who established information security rules if he/she
considers there is an issue or problem in these rules.
(c) The persons who established information security rules must take necessary measureswhen they are notified of any issues or problems in these rules.

26

NISD-K304-111

1.2.5 Others
1.2.5.1 Outsourcing
Scope
Among services provided based on leases, contracts, and other agreements, this section applies tooperations concerning information processing such as the following.
Software development (programming, system development, etc.)

Information processing (statistics, tabulation, data entry, media conversion, etc.)

LeasingExamination and research (examination, research, investigation, etc.)

Compliance Requirements(1) Establishing a common system among government agencies for information security(a) The head of information security officers must establish the criteria to determine thescope of information systems that can be outsourced and the scope of information assetsthat may be accessed by the contractors.
(b) The head of information security officers must establish standards and procedures forselecting contractors.
(2) Clarifying required information security measures to contractors(a) Information system security officers or division/office information security officers must
define information security measures that contractors must comply and notify them tocandidates in advance.
(b) Information system security officers or division/office information security officers must
establish a remedial procedure in the event of information security violation in
outsourced operations and notify them to candidates in advance.
(c) Information system security officers or division/office information security officers must
establish a procedure to check if the information security measures are complied bycontractors and countermeasures against poor implementation, and notify them tocandidates in advance.
(3) Selecting contractors(a) Information system security officers or division/office information security officers must
to select contractors based on the standards and procedures for selection.
(4) Outsourcing contracts(a) Information system security officers or division/office information security officers must
confirm that the contract covers information security measures for outsourced operations,confidentiality (including prohibition of the use of information for non-business
27

NISD-K304-111

purposes), remedial procedures for information security violation, means to checkinformation security implementation and countermeasures against poor implementation
before exchanging the contract. Also, he/she must include the following items in thecontract as required.
(i)

Agreement to undergo information security audits(ii) Service level assurance(b) Information system security officers or division/office information security officers mustclarify and agree on responsibilities of both parties, and obtain written confirmation on
the means and management system of information security compliance from thecontractor. Also, he/she must confirm the contractor includes the following items in theconfirmation as required.
(i)Name of the person(s) who engages in the outsourced operations(ii) Specific actions the person takes to implement the required information security
measures(c) Information system security officers or division/office information security officers must
examine outsourcing contracts each time at renewal based on the standards and procedureand must not renew contracts carelessly.
(d) Information system security officers or division/office information security officers must
examine the appropriateness when making changes in services provided by contractors(including information security policies, implementation procedures, maintenance andimprovement of management methods) based on the standards and procedure.
(e) Information system security officers or division/office information security officers mustobtain contractors' assurance for information security measures against threats which may
arise from subcontracting if the contractor is subcontracting part of the services to third
parties.
(5) Outsourcing procedures(a) When providing classified information to contractors, employees must restrict the
information to the minimum necessary and take the following measures.
(i)Take a safe delivery method and obtain the record(ii) Oblige the contractor to return, dispose, or erase (to make all information difficult torecover. Hereinafter the same.) information when the provided information is nolonger required by the contractor.
(b) In the event of information security violation in the outsourced operations, information
system security officers or division/office information security officers must oblige thecontractors to take necessary measures in accordance with the agreed remedial procedure.
(c) Information system security officers or division/office information security officers must
confirm that information security rules are observed by contractors in accordance withthe agreed procedure.

28

NISD-K304-111(6) Procedures for the contract expiry(a) Information system security officers or division/office information security officers must
confirm information security measures implemented in outsourced operations at the
expiry of the contract and take it into consideration when inspecting the deliverables.

1.2.5.2 Ensuring Consistent Operation with a Business Continuity Plan(BCP) and an
Information System Operational Continuity Plan
Compliance Requirements(1) Ensuring consistency with a BCP, an information system operational continuity plan andinformation security measures(a) The Information Security Committee must ensure consistency when establishing a BCP,
an information system operational continuity plan, and the government agency standards
for their government agency.
(b) The head of information security officer, information security officers, information
system security officers, and division/office information security officers must review all
the information systems to determine their relevance to the BCP and the information
system operational continuity plan when establishing a BCP and an information system
operational continuity plan for the government agency.
(c) The head of information security officer, information security officers, information
system security officers, and division/office information security officers must establish acommon operation procedure for information systems relevant to the BCP and theinformation system operational continuity plan as follows based on the BCP, theinformation system operational continuity plan, and the government agency standards
when establishing a BCP and an information system operational continuity plan for thegovernment agency.
(i)

Implement measures required for consistent operation of the BCP, the information
system operational continuity plan, and the government agency standards during
normal time.

(ii) Implement measures required for consistent operation of the BCP, the information
system operational continuity plan, and the government agency standards in an
emergency situation, such as establishing procedures.
(2) Reporting inconsistency among the BCP, the information system operational continuity plan,and the information security rules(a)

If an employee recognizes any difficulties in executing a planned BCP and information
system operational continuity plan due to inconsistency between the BCP, the information
system operational continuity plan, and the information security rules, the employee must
report to the concerned parties and request an instruction to his/her information security
29

NISD-K304-111

officer in accordance with the reporting procedure for failure, accident, etc., establishedby the head of information security officers.

1.2.5.3 Information Handling Areas
Compliance Requirements(1) Determining the class, control, and usage restrictions of information handling areas(a) The head of information security officers must determine the class of information
handling areas, as well as control measures and usage restrictions according to the class.
The items to be determined are defined in Technical Standard 2.3.1.1 (including Annexes
1 and 2). For areas requiring control measures, the information security officers must takemeasures so that the employees managing or using the areas concerned can recognize
their classes.
(b) For areas requiring control measures, the information security officers must takemeasures so that the employees managing or using the areas concerned can recognize
their classes.
(c) The area information security officers must review whether it is necessary to determine
individual control measures and usage restrictions, and if they decide it is necessary,
finalize the measures concerned and report them to the head of information security
officers.
(2) Managing information handling areas(a) When an area information security officer manages an area requiring control measures,
he or she must confirm the class of the area concerned specified by the head of
information security officers and take the control measures defined in Technical Standard
2.3.1.1 (including Annex 1). If individual control measures have been determined, theymust also be implemented.
(3) Usage restrictions in information handling areas(a) Area information security officers must confirm the class of the area concerned specified
by the head of information security officers and impose usage restrictions defined inTechnical Standard 2.3.1.1 (including Annex 2). If individual usage restrictions have been
determined, they must also be implemented.
(b) Employees handling information must confirm the class of the area specified by the headof information security officers and use it according to the usage restrictions defined inTechnical Standard 2.3.1.1 (including Annex 2). If individual usage restrictions have been
determined, they must follow them.

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NISD-K304-111

Chapter 1.3 Measures for Information
1.3.1 Information Handling
1.3.1.1 Creation and Obtain of Information
Compliance Requirements(1) Prohibiting creation or obtainment of non-business information(a) Employees must not create or obtain any information other than business purposes.
(2) Classification and marking at creation or obtainment of information(a) Employees must determine the classification and marking of information based on thedefinition of classification and marking at the beginning of its management when theinformation is created, or obtained from external sources.
(b) Employees must re-classify the information when he/she considers the existingclassification and marking should be updated due to amendment, addition, or deletion of
the original information based on the definition.
(3) Labeling classification and marking(a) Employees must label the classification and marking of information ( including
re-classification. Hereinafter the same.) in the means which can be recognized byauthorized users.
(4) Succession of classification and marking at processing(a) When creating information, employees must apply the same classification and marking as
the referenced or obtained information if the original information is already classified.

1.3.1.2 Use of Information
Compliance Requirements(1) Prohibiting the non-business use(a) Employees must not use any information for non-business purposes.
(2) Handling information according to the classification and marking(a) Employees must handle information appropriately in accordance with the labeledclassification. Employees must also handle information appropriately in accordance withthe marking if it is labeled beside the classification.

31

NISD-K304-111(3) Succession of classification and marking at copying(a) Employees must apply the same classification and marking on copied information as theoriginal.
(4) Reviewing classification and marking(a) If an employee believes that the existing classification or marking is inappropriate at thetime and should be reviewed, he/she must consult with the person who determined theclassification or marking (including persons who succeeded it) or the person's superior(hereinafter referred to as "determined parties" in this section).
(b) If an employee believes that his/her own classification or marking requires review,
determine the new classification or marking and label it on the information. The
employee must also notify the persons who have accessed the information where
possible.
(5) Handling classified information(a) Employees must not take classified information outside the areas requiring control
measures for non-business purposes.
(b) Employees must not leave classified information unattended.
(c) Employees must not make more than necessary copies of confidentiality class-3
information.
(d) Employees must not distribute confidential information more than necessary.
(e) When employees classify information as confidentiality class-3, they must display the
duration for which the given information should be handled as confidentiality class-3. If
an employee believes that the classification or marking of information should be
downgraded even during a specified period, he/she must follow the necessary procedure
to review the classification and marking.
(f)

For required documents classified as confidentiality class-3, employees must assign asequence number and clearly state their locations.

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NISD-K304-111

1.3.1.3 Save of Information
Compliance Requirements(1) Storing information according to the classification(a) Employees must store information appropriately according to its classification andmarking.
(b) Employees must set appropriate access control on classified information stored inelectromagnetic storage media.
(c) Employees must examine whether a password is required when storing confidential
information in electromagnetic storage media and set a password if it is deemednecessary.
(d) Employees must examine whether encryption is required when storing confidential
information in electromagnetic storage media and encrypt the information if it is deemednecessary.
(e) Employees must examine whether an electronic signature is required when storing
critical information in electromagnetic storage media and add an electronic signature if it
is deemed necessary.
(f)

Employees must examine whether a backup or copy is required for electromagnetic
records or important specifications that are classified as critical or vital information, andtake a backup or copy if it is deemed necessary.

(g) Employees must examine if the storage of backups of electromagnetic records or copies
of important specifications that are classified as critical or vital information is safe
against disasters, etc., and take appropriate measures as required.
(2) Information retention period(a) Employees must keep information stored in electromagnetic storage media until theretention period expires if it is specified, and erase it without delay if there is no need toextend the retention period.

1.3.1.4 Transfer of Information
Compliance Requirements(1) Approving and notifying information transfer(a) Employees must obtain approval from their division/office information security officer
when sending confidentiality class-3, integrity class-2, or availability class-2 information.
(b) Employees must notify their division/office information security officer when sending
electromagnetic storage media which is confidentiality class-2, integrity class-1, andavailability class-1, or confidentiality class-2 documents. However, this is not applicable
if the division/office information security officer considers it is not required.
33

NISD-K304-111(2) Selecting from information transmission or transport(a) Employees must select from transmission or transport when sending classified
information in electromagnetic format with considerations to safety and notify theirdivision/office information security officer. However, this is not applicable if informationis confidentiality class-2, integrity class-1, availability class-1, and in electromagnetic
format, and also the division/office information security officer considers it is not
required.
(3) Selecting the means of transfer(a) Employees must select the means of transfer when sending classified information withconsiderations to safety and notify their division/office information security officer.
However, this is not applicable if the information is confidentiality class-2, integrity
class-1, availability class-1, and in electromagnetic format, or confidentiality class-2
documents, and the division/office information security officer considers it is not
required.
(4) Protecting storage media(a) Employees must take appropriate safety measures when carrying storage media
containing confidential information according to the classification and marking of theinformation.
(5) Protecting electromagnetic records(a) Employees must examine whether a password is required when sending confidential
information in electromagnetic storage media and set a password if it is deemednecessary.
(b) Employees must examine whether encryption is required when sending confidential
information in electromagnetic storage media and encrypt the information if it is deemednecessary.
(c) Employees must examine whether an electronic signature is required when sending
critical information in electromagnetic storage media and add an electronic signature if it
is deemed necessary.
(d) Employees must examine whether a backup is required when sending critical informationin electromagnetic storage media and take a backup if it is deemed necessary.
(e) Employees must examine whether a copy of data should also be sent via a different route
when sending vital information in electromagnetic storage media to avoid troubles due toa loss or delay in transport, and take appropriate measures if it is deemed necessary.
(f)

Employees must consider whether it is necessary to use the required strength ofencryption, divide the information into blocks, and transmit them via different routes
when sending confidential information in electromagnetic storage media, and if they34

NISD-K304-111

determine it is necessary, they must take the pertinent measures.

1.3.1.5 Provision of Information
Compliance Requirements(1) Disclosing information(a) Employees must confirm that the information is classified as confidentiality class-1 whendisclosing information.
(b) Employees must take measures to prevent inadvertent leakage from supplemental
information, etc. when disclosing information in electromagnetic format.
(2) Providing information to others(a) Employees must obtain permission from their division/office information security officer
when providing confidentiality class-3, integrity class-2, or availability class-2
information to external parties.
(b) Employees must notify the division/office information security officer when providing
information which is confidentiality class-2, integrity class-1, and availability class-1 inelectromagnetic format, or confidentiality class-2 documents to external parties. However,
it is not required if the division/office information security officer considers it is notnecessary.
(c) When providing classified information to external parties, employees must take measures
to ensure that the information is appropriately handled by external parties according to
the classification and marking.
(d) Employees must take measures to prevent inadvertent leakage from supplemental
information, etc. when providing information in electromagnetic format.

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NISD-K304-111

1.3.1.6 Deletion of Information
Compliance Requirements(1) Deletion of electromagnetic records(a) Employees must erase all the contained information when disposing of electromagnetic
storage media.
(b) Employees must erase the contained unnecessary confidential information whenproviding electromagnetic storage media to others.
(c) Employees must consider whether it is necessary to erase confidential information fromelectromagnetic storage media, and if it is deemed necessary due to its surrounding
environment, etc., erase the confidential information from the electromagnetic storage
media concerned.
(2) Disposing of written documents(a) Employees must make them difficult to restore when disposing of written documents.

36

NISD-K304-111

Chapter 1.4 Measures for Information Processing
1.4.1 Use of Information Systems
1.4.1.1 Use of Information Systems
Compliance Requirements(1) Managing identification codes(a) Employees must not use information systems with any identification codes other than the
one assigned to themselves for authentication.
(b) Employees must not allow others to use their identification code for authentication.
(c) Employees must not leave their identification codes in a state where irrelevant parties
may see.
(d) Employees must notify the information system security administrator when they nolonger require the identification code. However, this is not applicable if the information
system security officer resolved that individual reporting is not required.
(e) Information system security officers must consider whether it is necessary to allow
employees who are granted an identification code with administrative permission to use
the identification code only for carrying out administrative tasks, and if it is deemednecessary, allow them to use the identification code only for conducting administrative
tasks.
(f)

Employees who are granted an identification code with administrative permission and are
so requested by the information system security officer must restrict its use to only whencarrying out administrative tasks.

(2) Managing authentication information(a) Employees must report to their information system security officer or information systemsecurity administrator immediately if their authentication information is used, or may be
used by a third party.
(b) Information system security officers and information system security administrators musttake necessary measures when authentication information is used, or may be used bythird parties.
(c) Employees must manage knowledge-based authentication information as follows.
(i)

Employees must keep their own authentication information secret.

(ii) Employees must not tell their authentication information to others.
(iii) Employees must try to remember their authentication information.
(iv) Employees must set authentication information that cannot be guessed easily byothers.
(v) Employees must not use the same authentication information for different
identification codes.
37

NISD-K304-111(vi) Employees must change their authentication information periodically if instructed soby their information system security administrator.
(d) Employees must manage as follows when using ownership-based authentication.
(i)

Employees must take safety measures to avoid the authentication information
storage device being used unintentionally.

(ii) Employees must not provide or lend their authentication information storage device
to others.
(iii) Employees must endeavor to avoid losing their authentication information storage
device. If it is lost, employees must report to their information system security
officer or information system security administrator immediately.
(iv) Employees must return the authentication information storage device to theirinformation system security officer or information security administrator when theyno longer require the device.
(e) Information system security officers must not use information obtained for authentication
for any purposes without prior agreement with the information owner.
(3) Granting and managing identification codes and authentication information(a) For information systems which require administration, information system security
officers must determine whether to permit the use of shared identification codes for each
information system.
(b) For information systems which require administration, Information system security
officers must define the administrative procedure including the following items.
(i)

The procedure to authenticate the applicant as a legitimate subject when an applicant
requests administration(ii) The procedure for initially granting and changing authentication information(iii) The procedure for setting and changing access control information(c) For information systems which require administration, information system security
officers must designate administrators.
(4) Applying an alternative method for identification codes and authentication information(a) For information systems which require administration, if an employee's identification
code becomes unusable and he/she requests for an alternative method, the information
system security administrator must confirm legitimacy of the applicant, examine thenecessity, and provide an alternative method if it is deemed necessary.
(b) For information systems which require administration, information system security
officers and information system security administrators must immediately stop the
employee to use the identification code if they become aware of illegal use of an
identification code.

38

NISD-K304-111

1.4.2 Restrictions on Information Processing
1.4.2.1 Restrictions on Information Processing outside Government Facilities
Compliance Requirements(1) Establishing rules for safeguard(a) The head of information security officers must define security measures for processingclassified information outside areas requiring control measures.
(b) The head of information security officers must define security measures for taking
information systems which handle classified information outside areas requiring control
measures.
(2) Obtaining and managing approval and application(a) Employees must obtain permission from their information system security officer ordivision/office information security officer when processing confidentiality class-3,
integrity class-2, or availability class-2 information outside areas requiring control
measures.
(b) Employees must notify their information system security officer or division/office
information security officer when processing information which is confidentiality class-3,
integrity class-1, and availability class-1 outside areas requiring control measures.
However, it is not required if the information system security officer or division/office
information security officer considers it is not necessary.
(c) Information system security officers and division/office information security officers
must record processing of classified information outside areas requiring control
measures.
(d) Information system security officers and division/office information security officers
must confirm the status and take necessary measures if they do not receive any reportfrom the applicant when the approved duration for processing confidentiality class-3,
integrity class-2, or availability class-2 information outside areas requiring control
measures has expired. However, this is not required if the approver resolved thatreporting is not required.
(e) Information system security officers and division/office information security officers
must confirm the status and take necessary measures if they do not receive any reportfrom the applicant when the approved duration for processing information which is
confidentiality class-2, integrity class-1, and availability class-1 outside areas requiringcontrol measures has expired.
(f)

Employees must restrict confidential information processing outside areas requiringcontrol measures to the minimum necessary for business operations.

39

NISD-K304-111(g) Employees must obtain permission from their information system security officer anddivision/office information security officer when taking information systems that handle
confidentiality class-3, integrity class-2, or availability class-2 information outside areas
requiring control measures.
(h) Employees must notify their information system security officer and division/office
information security officer when taking information systems that handle information
which is confidentiality class-2, integrity class-1, and availability class-1 outside areas
requiring control measures. However, it is not required if the information system security
officer or division/office information security officer considers it is not necessary.
(i)

Information system security officers and division/office information security officers
must keep records when information systems that handle classified information are taken
outside areas requiring control measures.

(j)Information system security officers and division/office information security officers
must confirm the status and take necessary measures if they do not receive any reportfrom the applicant when the approved duration for taking information systems that handle
confidentiality class-3, integrity class-2, or availability class-2 information outside areas
requiring control measures has expired. However, this is not required if the approver
resolved that reporting is not required.

(k) Information system security officers and division/office information security officers
must confirm the status and take necessary measures if they do not receive any reportfrom the applicant when the approved duration for taking information systems that handle
information which is confidentiality class-2, integrity class-1, and availability class-1
outside areas requiring control measures has expired.
(l)

Employees must restrict taking information systems that handle confidential information
outside areas requiring control measures to the minimum necessary for business
operations.

(3) Observing rules for safeguard(a) Employees must take the formulated security measures for classified information
processing outside areas requiring control measures.
(b) Employees must report to the approver when they no longer process confidentiality
class-3, integrity class-2, or availability class-2 information outside areas requiringcontrol measures. However, this is not required if the approver resolved it is notnecessary.
(c) Employees must take the formulated security measures for taking information systems
that handle classified information outside areas requiring control measures.
(d) Employees must report to the approver when they no longer take information systems
that handle confidentiality class-3, integrity class-2, or availability class-2 information
outside areas requiring control measures. However, this is not required if the approver
resolved it is not necessary.
40

NISD-K304-111

1.4.2.2 Restrictions on Information Processing Using Unsupplied Information Systems
Compliance Requirements(1) Establishing rules for safeguard(a) The head of information security officers must define security measures for processingclassified information using unsupplied information systems.
(2) Obtaining and managing approval and application(a) Employees must obtain permission from their information system security officer ordivision/office information security officer when processing confidentiality class-3,
integrity class-2, or availability class-2 information using unsupplied information
systems.
(b) Employees must notify their information system security officer or division/office
information security officer when processing information which is confidentiality class-2,
integrity class-1, or availability class-1 using unsupplied information systems. However,
it is not required if the information system security officer or division/office information
security officer considers it is not necessary.
(c) Information system security officers and division/office information security officers
must record classified information processing using unsupplied information systems.
(d) Information system security officers and division/office information security officers
must confirm the status and take necessary measures if they do not receive any reportfrom the applicant when the approved duration for processing confidentiality class-3,
integrity class-2, or availability class-2 information using unsupplied information systems
has expired. However, this is not required if the approver resolved that reporting is not
required.
(e) Information system security officers and division/office information security officers
must confirm the status and take necessary measures if they do not receive any reportfrom the applicant when the approved duration for processing information which is
confidentiality class-2, integrity class-1, and availability class-1 using unsupplied
information systems has expired.
(3) Observing rules for safeguard(a) Employees must take the formulated security measures for processing classified
information using unsupplied information systems.
(b) Employees must report to the approver when they no longer process confidentiality
class-3, integrity class-2, or availability class-2 information using unsupplied information
systems. However, this is not required if the approver resolved it is not necessary.
(c) Information system security officers must personally and periodically confirm if theformulated security measures are observed when processing classified information using
unsupplied information systems.
41

NISD-K304-111

Chapter 1.5 Basic Measures for Information Systems
1.5.1 Security Requirements for Information Systems
1.5.1.1 Security Requirements for Information Systems
Compliance Requirements(1) Planning information systems(a) Information system security officers must request persons responsible for information
systems to establish a method to maintain security throughout the information system's
lifecycle.
(b) Information system security officers must define security requirements for information
systems following the review using the "Manual for Planning Security Requirements for
Government Procurement of Information Systems" or further. In addition, requirements
for systems which provide online application and notification services between citizens,organizations, and the government must be formulated based on the "Guidelines on Risk
Assessment and Digital Signature/Authentication for e-Government".
(c) Information system security officers must define measures for hardware procurement(including leasing), software development, information security function configuration,
information security threats, and information system components in order to meet the
security requirements of information systems.
(d) When purchasing component products for an information system, the information systemsecurity officer must refer to the "IT Security Evaluation and Certification Scheme
Certified Product Category List" and examine the necessity of selecting the "IT Security
Evaluation and Certification Scheme" certified devices and software. If it is deemednecessary and there are multiple candidate products which are equipped with required
security functions, he/she must select a certified product which also satisfies the required
assurance level.
(e) Information system security officers must examine the necessity of monitoring theinformation system for information security violation or threats, and formulate thenecessary measures if it is deemed necessary.
(f)

Information system security officers must define the installation procedure andenvironmental requirements in terms of information security when an implemented
information system starts its operation.

(2) Implementing and operating information systems(a) Information system security officers must take security measures formulated based on the
security requirements when implementing and operating information systems.

42

NISD-K304-111(3) Migrating and disposing information systems(a) Information system security officers must examine whether the information should be
erased or saved, and whether the information system should be disposed of or recycled,
and take appropriate measures when migrating or disposing of information systems.
(4) Reviewing information systems(a) Information system security officers must examine the necessity of reviewing security
measures for information systems as required, and if it is deemed necessary, review andtake necessary measures.

43

NISD-K304-111

1.5.2 Maintenance and Observance of Information System Rules
1.5.2.1 Maintenance of Documents and Inventories of Information Systems
Compliance Requirements(1) Maintaining documents of information systems(a) Information system security officers must maintain documents containing the following
information on information systems under their management.
(i)Computers composing the information system
 Information to identify the employees managing the computers and the users
 Computer models and the type and version of the software Specifications or design documents of the computers(ii) Communication lines and communication equipment composing the information
system Information to identify the employee managing the communication line andcommunication equipment
 Communication equipment models and the type and version of the software Specifications or design documents of the communication line andcommunication equipment
 Configuration of the communication line
 Access control configuration on the communication equipment
 Identification codes of the computers using the communication line, andcomputer users with their identification codes Departments using the communication line(iii) Security procedure for the information system components
 Security procedures for the computers
 Security procedures for services provided via the communication line Security procedures for the communication line and communication equipment(iv) Response procedures in the event of failure, accident, etc.
(b) Information system security administrators must take security measures for operating andmanaging information systems under their management according to the establisheddocument.
(2) Maintaining inventories of information system(a) The head of information security officers must maintain inventories of all systems withthe following items.
(i)Name of the information system(ii) Department in charge, and the name and contact of the information system security
officer in charge(iii) System configuration
44

NISD-K304-111(iv) Type of the communication line outside the government facility(v) Classification and marking of the information handled(vi) Design, development, operations, and maintenance of the information system
An inventory with the following items must be maintained when outsourcing information
processing.
(vii) Business name(viii)Department in charge, and the name and contact of the information system security
officer in charge(ix) Contractor(x) Contract duration(xi) Business purpose overview(xii) Domain name (when using services provided via the Internet)(xiii)Classification and marking of the information handled(b) Information system security officers must report the descriptions of the information
system inventory to the head of information security officers when an information system
is newly implemented or updated.

1.5.2.2 Procurement of Equipment, etc.
Scope
This section applies to procurement of equipment, etc. (including leasing; hereinafter the same).
Compliance Requirements(1) Establishing rules concerning procurement of equipment, etc.
(a) The head of information security officers must formulate the selection criteria forequipment, etc.
(b) The head of information security officers must specify in the selection criteria that the IT
Security Evaluation and Certification Scheme certification should be taken into
consideration when there are required specifications for security functions and the
procurement is made through a general assessment tendering system. required
specifications(c) The head of information security officers must formulate the check and inspection
procedure at the delivery of equipment, etc. from the viewpoint of information security.
(2) Observing rules concerning procurement of equipment, etc.
(a) Information system security officers must confirm equipment's applicability to theselection criteria and use the result to aid the selection.
(b) Information system security officers must inspect the delivered equipment, etc. according
to the defined check and inspection procedures.
45

NISD-K304-111

1.5.2.3 Software Development
Compliance Requirements(1) Establishing rules concerning software development(a) The head of information security officers must establish rules concerning security ofsoftware development that information system security officers should observe.
(i)Information system security officers must establish a development system to satisfy
security measures (compliance requirements (1) (a) from (iii) to (xiv)).

(ii) When outsourcing software development, information system security officers mustselect the necessary items from security measures (compliance requirements (1) (a)from (iii) to (xiv)) and oblige the contractor to assure compliance on these items.
(iii) Information system security officers must define the development procedure andenvironment for software development processes in terms of information security.
(iv) Information system security officers must examine whether development and testingof software should be separated from the live information systems from theinformation security viewpoint, and separate them if it is deemed necessary.
(v) Information system security officers must examine the necessity of security
functions in newly developing software with considerations to assumed security
threats on associated information assets in operations, and classification andmarking of information handled by the software. If it is deemed necessary, he/she
must appropriately design the security functions and clearly describe them in thedesign document.
(vi) Information system security officers must examine the necessity of administrative
functions over the security functions which will be implemented for newly
developing software. If it is deemed necessary he/she must appropriately design theadministrative functions and clearly describe them in the design document.
(vii) Information system security officers must define the scope and method of reviews to
confirm adequacy of information security in software design, and carry out reviews
accordingly.
(viii)Information system security officers must examine the necessity of functions toconfirm adequacy of information security in input and output data of newly
developing software. If it is deemed necessary, he/she must appropriately design themethod and clearly describe it in the design document.
(ix) Information system security officers must request for ST evaluation and ST
confirmation (ST: Security Target) by a third party organization on the Security
Design Specifications of the system if he/she recognizes important security issues in
the information system being developed. However, this is not applied if an
information system which includes the given software is undergoing ST evaluationand ST confirmation, or if the software is being updated or there have been
specification changes during the development, and changes in important security
46

NISD-K304-111

requirements in the revised security design specification are negligible.
(x) Information system security officers must protect the source code created bysoftware developers from unnecessary access and obtain a backup.
(xi) Information system security officers must define coding rules from the information
security viewpoint.
(xii) Information system security officers must examine the necessity of reviews on thecreated source code to confirm adequacy of information security. If it is deemednecessary, he/she must define the scope and method of the source code review andcarry out the review accordingly.
(xiii)Information system security officers must examine the necessity of tests from thesecurity viewpoint. If it is deemed necessary, he/she must define the test items andmethod, and carry out the test accordingly.
(xiv) Information system security officers must maintain a record of tests that are
conducted from the information security viewpoint.
(2) Observing rules concerning software development(a) Information system security officers must observe software development rules.

1.5.2.4 Standard Procedure for Authentication, Access Control, Administration, Audit
Trail Management, Assurance, etc.
Compliance Requirements(1) Establishing Management concerning authentication, access control, administration, audit trail
Management, assurance, etc.
(a) The head of information security officers must formulate rules concerning how todetermine the necessity of authentication, access control, administration, audit trails,
assurance, etc. including the following items.
(i)Information system security officers must examine all information systems if thesystem requires authentication. He/she must consider that authentication is required
for any information systems which handle classified information.

(ii) Information system security officers must examine all information systems todetermine if the system requires access control. He/she must consider that access
control is required for any information systems which handle classified information.
(iii) Information system security officers must examine all information systems todetermine if the system requires administration. He/she must consider thatadministration is required for any information systems which handle classified
information.
(iv) Information security officers must examine all information systems if the system
requires audit trails.
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NISD-K304-111(v) For information systems which require audit trails, information security officers
must define information items to be obtained as the audit trail and its retention
period.
(vi) For information systems which require audit trails, information system security
officers must explain to the information system security administrator and users
about recording of the audit trail, its retention, and possibility of its examination andanalysis in advance.
(vii) For information systems which handle classified information, information systemsecurity officers must examine if assurance measures are required.
(2) Observing rules concerning authentication, access control, administration, audit trail
management, assurance, etc.
(a) Information security officers and information system security officers must implement
information systems based on rules concerning how to determine the necessity ofauthentication, access control, administration, audit trail management, assurance, etc. of
their government agency.
(3) Examining, analyzing, and reporting on obtained audit trails(a) For information systems which requires audit trails, information system security officers
must consider whether it is necessary to examine and analyze audit trails, and if it isdeemed necessary, implement the measures concerned, and take necessary information
security measures or report to their information security officer according to the results.

1.5.2.5 Standard Procedure for Encryption and Electronic Signatures
Compliance Requirements(1) Establishing rules concerning encryption and electronic signatures(a) The head of information security officers must define the algorithm and operational
method for encryption and electronic signatures for their government agency including
the following items.
(i)

If possible, use those on the "e-Government Recommended Ciphers List"(ii) Use algorithms on the "e-Government Recommended Ciphers List" when newly
implementing an information system, or introducing encryption or electronic
signature at an update. If enabling a selection from multiple algorithms forencryption or electronic signatures, include at least one from the "e-Government
Recommended Ciphers List".
(iii) Examine the necessity of an emergency response plan in the case where thealgorithm is compromised. Define an emergency response plan if it is deemednecessary.
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NISD-K304-111(b) The head of information security officers must formulate the procedure of the following(i) to (iii) for the key which is used to decrypt encrypted information (excluding
documents; hereinafter the same in this section) and to add electronic signature(hereinafter referred to as the "key management procedure, etc.).
(i)

Procedure for key generation, expiry, disposition, update, and measures fordisclosure, etc.

(ii) Procedure for key storage(iii) Procedure for key backup(c) Information security officers must define the backup procedure and storage procedure of
the key for decrypt encrypted information ("key backup procedures, etc.", hereinafter).
(d) The head of information security officers must specify in the algorithm and operational
method for encryption and electronic signatures for the government agency the use of theelectronic certificate which is applicable, meets the purpose of electronic signatures, andis issued by the Government Public Key Infrastructure (GPKI), if available when
deploying electronic signatures.
(2) Observing rules concerning encryption and electronic signatures(a) Employees must follow the specified algorithm and method when encrypting information
and adding electronic signatures.
(b) Employees must follow the formulated management procedure of the key used to decrypt
encrypted information or to add electronic signatures, and manage it appropriately.
(c) Employees must obtain a backup of the key used to decrypt encrypted informationaccording to the defined key backup procedure, etc.

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NISD-K304-111

1.5.2.6 Preventing Actions that Compromise the Information Security Level outside
Government Agencies
Compliance Requirements(1) Establishing rules for measures(a) The head of information security officers must define the procedure to prevent actions
that would compromise the information security level outside the government agencies.
(2) Observing the rules for measures(a) Employees must take necessary measures according to the rules for preventing actions tocompromise the information security level outside the government agencies.

1.5.2.7 Measures for the Use of Domain Names
Compliance Requirements(1) Establishing rules for the use of domain names(a) The head of information security officers must establish rules for employees concerning
the use of domain names under the domain name system (hereinafter referred to as"domain names") including the following items.
(i)

Employees must use domain names with the following criteria to guarantee that they
are government domain names (hereinafter referred to as "government domainnames") when announcing a domain name in order for persons outside government
agencies (excluding overseas residents; hereinafter the same in this section) to
access or transmit to.
 Domain names which end with ".go.jp"
However, domain names other than government domain names may be used only fore-mail transmission or displayed on web pages under government domain names if
the following conditions are met.
All the following conditions must be met for e-mail transmission.
 An e-mail address with a government domain name is also given as a contact
address for queries, or an electronic signature by a government domain name isadded.
 The name of organization which manages the displayed domain name is given.
 The date when validity of the displayed domain name was confirmed, or theguaranteed duration of validity is given.
Also, all the following conditions must be met for displaying the address on web
pages under government domain names.
 The name of organization which manages the displayed domain name is given.
 The date when validity of the displayed domain name was confirmed, or the50

NISD-K304-111

guaranteed duration of validity is given.
(ii) Employees must use a government domain name for sending e-mails to anyone
outside government agencies. Excluding the case where the employee is alreadyknown to the recipient.
(iii) Employees must only use servers with government domain names when storing
information in order to allow access to users outside government agencies.
(2) Observing rules for the use of domain names(a) Employees must take necessary measures according to the rules for the use of domainnames.

1.5.2.8 Day-to-day Measures for Protection against Malware
Compliance Requirements(1) Establishing rules concerning measures against malware(a) The head of information security officers must define rules for employees to take thefollowing measures in order to prevent malware infection.
(i)

Employees must not execute any executable files which have been identified as
malware by antivirus software, and must not read such data files into application
programs, etc.

(ii) Employees must always keep application programs and malware definition files
used with antivirus software up-to-date.
(iii) Employees must enable the automatic malware detection function provided byantivirus software, etc.
(iv) Employees must periodically scan all electronic files for malware using antivirus
software, etc.
(v) Employees must scan data and software for malware after receiving them fromexternal sources before taking them into computers, or before providing them toexternal parties.
(vi) Employees must endeavor to prevent malware infection.
(vii) Employees must immediately disconnect the computer from the communication line
and take necessary measures if they suspect the computer may have been infected bymalware.
(2) Observing rules concerning measures against malware(a) Employees must take measures to prevent malware infection according to the formulated
rules for measures against malware.

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