46-EFT.WP.Data.Benchmarks v1.0 | 第14章 隐私、安全与合规（基准侧）

目录 ／ 文档-技术白皮书（V5.05） ／ 46-EFT.WP.Data.Benchmarks v1.0

第14章 隐私、安全与合规（基准侧）

I. 章节目的与范围

II. 术语与依赖

1. 术语：data_minimization、deidentification、k_anon、ε_dp、lawful_basis、data_residency、DLP、KMS、RBAC/ABAC、mTLS、SSE-KMS、BYOK、DPAs、SCCs、incident/IRP。
2. 依赖：隐私与合规（《Pipeline v1.0》第14章）、评测协议（《ModelCards v1.0》第11章）、指标与单位（本卷第6章）、评分门槛（本卷第8章）、单位与量纲（《Core.Metrology v1.0:check_dim》）。
3. 数学与符号：内联符号用反引号；含除号/积分/复合算符必须加括号；涉路径量 T_arr 采用
   • T_arr = ( 1 / c_ref ) * ( ∫ n_eff d ell ) 或
   • T_arr = ( ∫ ( n_eff / c_ref ) d ell )，并声明 gamma(ell) 与 d ell；公式/符号/定义禁用中文。

III. 字段与结构（规范性）

benchmark_compliance:

privacy:

policy: "no-PII|limited-PII|special-category"

lawful_basis: ["consent","contract","legitimate_interest","research"]

data_minimization: true

pii_inventory: ["<fieldA>","<fieldB>"] # 若适用

deidentification:

methods: ["hash-id","mask","truncate","generalize","noise"]

k_anon: 10

l_diversity: 2

ε_dp: null

retention:

policy: "min-necessary"

delete_after_days: 365

data_residency: ["EU","US"]

dlp:

enabled: true

rules: ["creditcard","ssn","email"]

security:

encryption:

at_rest: "SSE-KMS|AES-256"

in_transit: "TLS1.2+"

kms: {provider:"cloud-kms|hsm", byok:true}

access_control:

model: "RBAC|ABAC"

roles: ["owner","maintainer","reviewer","reader"]

enforcement: ["signed-url","token","ip-allowlist","mTLS"]

audit_log: true

network:

segmentation: ["private-subnet","sg-allowlist"]

egress_policy: "deny-by-default"

secrets:

manager: "vault|cloud-secrets"

rotation_days: 90

hardening:

container: ["non-root","readonly-rootfs","seccomp","no-new-privs"]

artifact_signing: true

submissions:

payload:

required_artifacts: ["reports/*.jsonl","env.lock","protocol.yaml","metrics.yaml"]

checksum: "sha256"

max_retention_days: 365

handling:

quarantine_on_pii: true

reviewer_roles: ["maintainer","reviewer"]

redaction_policy: "hash-or-drop"

compliance:

regions: ["EU-GDPR","US-CCPA","CN-DSL"]

data_transfer:

mechanisms: ["SCCs","intra-region-only"]

third_parties:

processors: ["<vendorA>@v1.0"]

dpas_signed: true

incident_response:

contact: "security@org.example"

sla_hours: 72

runbook_ref: "security/irp.md"

audits:

schedule: "annual|quarterly"

artifacts: ["privacy/pii-scan.txt","security/pen-test.md","compliance/dpia.md"]

IV. 去标识化与数据最小化

• 最小化：仅收集达成基准目标与复现所必需的字段；pii_inventory 与任务契约对表并定期复核。
• 去标识：hash-id|mask|truncate|generalize|noise 可组合；如采差分隐私，登记 ε_dp、适用流程与风险说明；k_anon/l_diversity 参数与验证证据纳入导出清单。
• DLP 与合规扫描：对提交物启用 DLP；命中规则进入 quarantine，按 redaction_policy 处理后再评测。

V. 许可、驻留与跨境

• 许可映射：licensing 与分发/镜像策略一致；限制性条款在 policies 同步到任务约束。
• 驻留：data_residency 限定允许的存储/处理区域；跨境传输记录 SCCs 或等效机制锚点。
• 第三方处理：登记处理者与 DPAs 签署状态；数据流向在血缘图中可追溯。

VI. 访问控制与提交材料处置

• 访问：RBAC/ABAC + mTLS/allowlist；提交通道采用短期凭据与最小权限；敏感操作（取回、删除、导出）必须审计。
• 材料处置：提交物统一 sha256 校验；留存期到期自动删除；检测到 PII 触发隔离/整改流程并记完整证据链。

VII. 事件响应与治理

• 事件等级：信息/一般/严重；违反政策或泄漏为严重；
• SLA：sla_hours 内完成初步响应与遏制；IRP 记录确认/隔离/根因/补救/复测；
• 申诉与仲裁：提供 appeal 窗口与审查流程，变更在基准门户公示。

VIII. 与评分/门槛/排行榜联动

• 公平性/危害/合规阻断优先于性能晋级；
• 评分与门槛（第8章）在合规通过后方可应用；合规整改完成需重评并更新公示记录。

IX. 计量与单位（SI）

• 强制：metrology:{units:"SI", check_dim:true}；性能/能耗/体量/网络等以 QPS(1/s)、T_inf(ms)、ρ(—)、size_bytes、net_mbps 表示；复合量合成前先做单位归一。
• 路径量：若隐私/安全流程涉及 T_arr（如到达时相关检测/改写），登记 delta_form/path/measure 并按两种等价式通过 check_dim。

X. 机器可读片段（可直接嵌入）

benchmark_compliance:

privacy:

policy: "limited-PII"

lawful_basis: ["consent","research"]

data_minimization: true

pii_inventory: ["user_id_hash","email_hash"]

deidentification: {methods:["hash-id","mask"], k_anon:20, l_diversity:2, ε_dp:null}

retention: {policy:"min-necessary", delete_after_days:180}

data_residency: ["EU"]

dlp: {enabled:true, rules:["email","creditcard"]}

security:

encryption: {at_rest:"SSE-KMS", in_transit:"TLS1.2+", kms:{provider:"cloud-kms", byok:true}}

access_control: {model:"RBAC", roles:["owner","maintainer","reviewer","reader"], enforcement:["token","ip-allowlist","mTLS"], audit_log:true}

network: {segmentation:["private-subnet"], egress_policy:"deny-by-default"}

secrets: {manager:"vault", rotation_days:90}

hardening: {container:["non-root","readonly-rootfs","seccomp","no-new-privs"], artifact_signing:true}

submissions:

payload:

required_artifacts: ["reports/summary.json","env.lock","protocol.yaml","metrics.yaml"]

checksum: "sha256"

max_retention_days: 365

handling: {quarantine_on_pii:true, reviewer_roles:["maintainer","reviewer"], redaction_policy:"hash-or-drop"}

compliance:

regions: ["EU-GDPR"]

data_transfer: {mechanisms:["SCCs"]}

third_parties: {processors:["processorA@v1.0"], dpas_signed:true}

incident_response: {contact:"security@org.example", sla_hours:72, runbook_ref:"security/irp.md"}

metrology: {units:"SI", check_dim:true}

XI. Lint 规则（节选，规范性）

lint_rules:

- id: PRIV.POLICY_ALLOWED

when: "$.benchmark_compliance.privacy.policy"

assert: "value in ['no-PII','limited-PII','special-category']"

level: error

- id: PRIV.MINIMIZATION_ON

when: "$.benchmark_compliance.privacy.data_minimization"

assert: "value == true"

level: error

- id: PRIV.DPI_PARAMS

when: "$.benchmark_compliance.privacy.deidentification"

assert: "has_key('methods') and (has_key('k_anon') or has_key('ε_dp'))"

level: error

- id: SEC.ENCRYPTION_REQUIRED

when: "$.benchmark_compliance.security.encryption"

assert: "value.at_rest in ['SSE-KMS','AES-256'] and value.in_transit >= 'TLS1.2+'"

level: error

- id: SUBM.ARTIFACTS_REQUIRED

when: "$.benchmark_compliance.submissions.payload.required_artifacts"

assert: "len(value) >= 1"

level: error

- id: COMP.REGIONS_ALLOWED

when: "$.benchmark_compliance.compliance.regions[*]"

assert: "value in ['EU-GDPR','US-CCPA','CN-DSL']"

level: error

- id: IR.SLA_DEFINED

when: "$.benchmark_compliance.compliance.incident_response.sla_hours"

assert: "is_number(value) and value > 0"

level: error

- id: METROLOGY.SI_AND_CHECKDIM

when: "$.metrology"

assert: "units == 'SI' and check_dim == true"

level: error

XII. 交叉引用锚点

• 评测协议与运行环境：见《EFT.WP.Data.ModelCards v1.0》第11章、本卷第10章。
• 公平性、伦理与安全应激：见本卷第13章。
• 流水线侧隐私与合规：见《EFT.WP.Data.Pipeline v1.0》第14章。
• 单位与量纲：见《EFT.WP.Core.Metrology v1.0:check_dim》。

XIII. 本章合规自检

• 去标识化与最小化策略、生效证据（k_anon/ε_dp）与 pii_inventory 已完善并可核验。
• 加密、访问控制、网络隔离与密钥管理（含轮换）生效；敏感操作具审计轨。
• 驻留/跨境与第三方处理登记完整；DPAs/SCCs 锚点记录在导出清单。
• 提交流与材料处置合规：必备工件、校验、隔离与留存策略明确。
• SI 计量与 check_dim=true 生效；如涉 T_arr 已登记 delta_form/path/measure 并通过校核。
• 机器可读片段可直接落盘并通过 Lint；export_manifest.references[] 采用“卷名 vX.Y:锚点”。