Editors:
Version | Status | Writer | Editor | reviewer |
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v.01 | X | Mark Lizar - ; Summary of Intent | Mary Hodder | |
v.02 | X | Mark Lizar & Mary Hodder Stakeholder Analysis | John Wunderlich | |
v.03 | X | John & Mark: Summary of Compliance Contents | Mary Hodder | |
v.04 | Current | Spec Outline: Mark Lizar Respect Network Save Receipt to Cloud: Technical Walkthrough: Markus Sabadello Open Notice Website CR Demo: Mark Lizar | John Wunderlich Mary Hodder | |
v.05 | Next Edit |
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Table Of Contents
Table of Contents outline true indent 10px
Links to Dependent Documents:
- Latest Consent Receipt Template
- Example 1: Open Notice Receipt Implementation
- Example 2: Respect Network PClound Implementation
- Ext Example: 3rd Party
- Compliance Audit
- MVCR Consent Notice Legislation Map
- Hackathon Video and Convergathon Hack Notes from July 12&13 2014 -->
- Scale of Compliance Use to measure the legal compliance of a consent receipt
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Respect Network (RN) Technical Demo:
- Store a Consent Receipt in your RN personal cloud using XDI: http://amazon-respect-consent.herokuapp.com/
- List Consent Receipts in your RN personal cloud: http://open-notice.github.io/respect-network-receipts/
Overview
This specification creates a common format for provisioning consent receipts. The Consent Receipt Specification will provide Organisations with the ability to create and provision a record of consent. The requirements are that the record is linked to the minimum notice requirements to be viable for self asserted compliance. The underlying strategic aim is to prioritise the 'Fast Track' usability of compliance.
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Specification by example (SBE) is a collaborative approach to defining requirements and business-oriented functional tests for software products based on capturing and illustrating requirements using realistic examples instead of abstract statements. It is applied in the context of agile software development methods, in particular behavior-driven development. This approach is particularly successful for managing requirements and functional tests on large-scale projects of significant domain and organisational complexity.[1] (https://en.wikipedia.org/wiki/Behavior-driven_development)
A key aspect of 'specification by example' is creating a single source of truth about required changes from all perspectives. This latest version specification with this document title is the single source of truth.
Objective
The aim of the specification is to produce a the minimum compliant capable consent receipt that directly links all required policies (open notices) to the consent receipt.
- An Organisation can use the MVCR to self assert that they are providing notice and getting implied consent in compliance with their policies and applicable regulations
- An service user (individual) can save the MVCR to a personal cloud and self assess if the receipt is compliant with the policies and practices of the organisation
Interoperability & Scalability
- Interoperable: the common format provide a common structure for the consent provisioner (the individual) to mange consent globally
- Open Notice is currently working on an open source: Open Consent Registry (OCR), which will be a customisable registry that can be use to automate the functions required to process and use consent receipts at scale.
Background
The Open Notice Initiative is an effort that calls for open consent (http://opennotice.org/callforcollaboration). This has resulted in the development of this specification for a Minimum Viable Consent Receipt(MVCR).
Glossary
Minimum Viable Consent Receipt(MVCR)
Minimum: (in Minimum Viable Consent Receipt) means to include links to all the policies that inform the consent
Viable: (in Minimum Viable Consent Receipt)
Example: Is an MVCR implementation that demonstrates a functional implementation of a consent receipt
Consent Receipt (CR) A Consent Receipt -denotes a single record of consent and consent context at point of consent provision,
Trusted Services; A provider of Trust/Privacy Icons, Standard Assurance, Reputation Services, Trusted Network, Trusted Protocols,
Data Subject(DS)
Data Controller(DC)
Operational Context (OC) of Consent: is a check list of required implementation points which is accompanied by a defined notice delivery requirements found in legislation for jurisidiction of consent provision
Minimum Viable Consent Requirements
The MVCR consists of fields that are used to linked to the (required-to-be open) consent policy at the point consent is provided and by so doing provide compliance by default. (as seen in Example1: Personal Cloud Storage of Receipt)
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A MVCR with a complaint status will assure a level of regulatory compliance in a more than compliant manner as it is a digital record that both parties have and inherently more open. The consent receipt should make sense at a glance, be one click to use Data Controller contact, and to get to a purpose(s) short notice or trust . This visual format can then be audit for these data points at a glance, with one click access to all consent related policies by default.
MVCR: Consent Notice Fields
Minimum: means to only include only the fundamental links needed to gain transparency and make further usable the consent receipt for consent and identity management.
Field Name | Description | Purpose/Explanation | Reason Why This Field is Required | Cloud Receipt Capture & Sign: Format example in (XDI) Note: following lines all prepended with ([=]!:uuid:1111/[+]!:uuid:9999) |
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Data Subject | Name or pseudonym of the user at minimum, | Data Subject is primary party to consent | Is the consent contributor and primary party of the consent, (which is why this is the first field of the MVCR) if not signed by Data Subject then its use post consent may be limited. | Data Subject: Alice [=]!:uuid:1111 |
Address (and jurisdiction) of Data Controller | Name of the entity issuing the receipt | Should be the entity/organization that is in control of the personal data and is responsible for consent compliance. | Is the Data Controller and is the primary party responsible for administration of the consent | Data Controller: Amazon [+]!:uuid:9999 |
Purpose | The purposes for which the personal information is being collected. | this is a single purpose at minimum linked to the short purpose notice, or policy of purpose. | A purpose notice is a basic and common legal requirement and functionally a requirement of consent. | [#receipt]!:uuid:1234[<#purpose>]<@0>&/&/"We need to process your payment." [#receipt]!:uuid:1234[<#purpose>]<@1>&/&/"We need your data to prevent fraud." [#receipt]!:uuid:1234[<#purpose>]<@2>&/&/"We will advertise to you." |
Location of Consent | The location of the consent provision. from which the consent receipt originates.(For example the web page with the consent button. ) | This indicates the 'point of consent' - hopefully a button where the user clicked "I agree" or "I consent" (i.e. the biggest lie) Can be a URI, URL, URN, This can also be a physical space where surveillance legal notice requirements exist (EU) - Global Positioning System (GPS) |
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Sensitive Personal Data Flag (Y/N) | Flag to categorise the information collected as sensitive or not (Y/N) | Each jurisdiction has classifications of sensitive personal information: The generally include health, financial, Child Protection, Religious, Union categorisations | If Yes, then additional notice requirements are needed to confirm its compliance status. If No, then the consent is automatically compliant | |
Third Party Sharing | Flag whether data is shared with third parties. (Y/N) | If true, then compliance is dependent upon additional notice requirements not present in a MVCR. This can be addressed with the "Third Party Sharing" extension. | If Yes, then additional notice requirements are needed to confirm its compliance status. If No, then the consent is automatically compliant | |
Timestamp | When consent was obtained | To record when the user, either by implication or explicity, granted consent for the purposes described. | ||
Privacy Policy | The issuing entity's privacy policy (either inline copy, or reference to URI) | If not available, should provide a notice that it is missing | Is the minmum Policy (or short notice) Needed to create a consent receipt. | |
Operational Context Flag | Flag wether the Operational Requirements are present or not. (Y/N/Unknown) | For the presentation of consent there are contextual and prescriptive requirements in legislation, a check list of these elements is being crated in this draft below. | Consent has contextual compliance requirements for the notice to be sufficent. These depend on the location and format of the consent notices An organisation displays agreement (or not) to implement these OC requirements and this is reflected on the consent receipt. |
MVCR Format Notice Requirements (in progress)
Full reference table can be found here:
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Notice Requirements Receipt Meets | Description | UK UK DPA 1998 | EU Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:31995L0046:EN:HTML | USA For Sharing Personal Sensitive Information with 3rd Parties | Canada | APEC | P3P | FTC FIPPS | OECD FIPPS |
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Contact of Data Controller (DC) | Legally required to provide contact details of the DC | Schedule 1, Part II, 2.3 a)the identity of the data controller, | X | ||||||
Address of Data Controller (DC) | Legally required to provide contact details of the DC | (b)if he has nominated a representative for the purposes of this Act, the identity of that representative, | X | ||||||
Purpose(s) | Legally required to provide purpose for data control | (c)the purpose or purposes for which the data are intended to be processed, and | X | ||||||
Third Party Legal Requirements Transparency | This is a flag to see if additional notice extensions are requirements to assess compliance | (d)any further information which is necessary, having regard to the specific circumstances in which the data are or are to be processed, to enable processing in respect of the data subject to be fair. | X | ||||||
Sensitive Personal Information Collection Transparency | This is a flag to see if additional notice extensions are requirements to assess compliance | X | X |
Extensions for the MVCR
An extension can be appended to the MVCR to strengthen the compliance of a consent receipt,
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Operational Context:core extension
- Note for the MVCR First Draft there is only the online website format context, additional context can be added by extension
- Core
Trusted Services - Trust Framework Extensions
- Usability: Extensions that increase usability and adoption of the consent receipt
Operational Context (OC): Legal Requirements for MVCR Context (in progress)
this is essentially a check list of provisions for the implementation of a consent notice, it is fundamentally used to assure that the consent is fair and reasonable. There are specific and existing policy requirements that are formalled used to create this checklis.
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Context: Location Specific | Description | UK Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:31995L0046:EN:HTML | EU | USA | Canada |
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website consent form | To provide notice at point of consent the consequences of not provisioning consent | X (put in legal ref) | X | ||
website consent form | To indicate what is required and optional information to provide for consent | X | X | ||
mobile application | |||||
Entering Physical Space | Sign posted upon entry to physical space |
Core Extensions
In each jurisdiction there are sensitive types of personal information found in privacy and data protection law. Each sensitive type corresponds to a jurisdiction, is defined by an industry, and has prescribed context requirements for the use of a notice. Core extensions can be added to the MVCR to meet more complex notice requirements and meet the requirements of multiple regulatory jurisdictions. .
Core extensions can be used by policy makers to localise the use of consent notices to operational contexts
Trusted Services
3rd party trusted services can also be used to extend the compliance or trust inherent to corporate process and these can be added in the form of linked Icons to a MVCR.
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The various table currently include.
Usability
Usability of a consent can be from addint a protocol, or a compliance level, or a receipt capture option. In the table below a 'Consent Receipt Request' extenstion that was developed at the Data privacy Legal Hackathon is listed.
(Example 3:
Extension Dev Table
List of current or planned extensions
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Priority | Extension Type | Field Name | Description | Instructions | Legal Requirement Jurisdiction (this item must be listed on LR table) | Context (this item must be listed in the Operational Requirements table) | (usability/Interoperability Benefit) | XDI Example |
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1 | Core Extension | Jurisdiction | The jurisdictions of the parties: the data protection authority is mandatory. |
| All | Usability: enables receipt to be used as evidence or for the purpose of legal data controls out of context of the consent event. | ||
2 | Core Extension | Collect Sensitive Personal Data |
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3 | Core Extension | 3rd Party Trusted Services Extension (this is the functionality for Registry) | ability to add trusted services to the minimum viable consent receipt | This incorporates 3rd party sharing and purpose listing format | ||||
4 | Usability Extension | Consent Receipt Request Extension | This is a button a user can press to request a consent receipt from a business |
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| This is for all contexts of the MVCR | Usability | |
5 | Operational Context Extension | Policy Extension for Consent Cookie Policy Link | The issuing entity's cookie policy Link (either inline copy, or reference to URI) | If not available, should provide a notice that it is missing or self assert an icon | Legally in the EU a cookie requires explicit assent |
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6 | OperationalContext Extension | Policy Extension for Terms of Service Link | The issuing entity's terms of service (either inline copy, or reference to URI) | If not available, should provide a notice that it is missing | Legally Terms need to be open and accessible in order to be fair and reasonable. |
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7 | keep copy of all notices with receipt | Store all notice data option as a part of signed receipt |
Examples:
This is a specification by example, all examples need to be listed and demoed in this section.
Specification Examples
Open Notice Website - Consent Receipt - Technical Demo
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The MVCR has a base template v.1 that we have using to wireframe consent receipts: V.1
Latest Template Version
We have a template that we have created to guide the design and development of the MVCR, the GUI design is also out of scope of this specification versin. What is provided by default is a Consent Receipt Template that we are using for technical design.
Example 1: Open Notice Minimum Viable Consent Receipt
Open Notice Website - Consent Receipt - Technical Demo
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(Example (in progress) can be found at http://on.smartspecies.com/support-open-notice/
Image:ON-CR: Example
Example 2: Storing Receipt in Personal Data Store: Technical Walkthrough Example with Respect Network
Respect Network (RN) Technical Demo:
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- Store a Consent Receipt in your RN personal cloud using XDI: http://amazon-respect-consent.herokuapp.com/
- List Consent Receipts in your RN personal cloud: http://open-notice.github.io/respect-network-receipts/
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Amazon Respect Use Case: With the Respect Network and Open Notice
(Note: Amazon Respect is a Fictitious organisation used here only as an example)
(http://open-notice.github.io/consent-receipt/amazon-mock/signup.html)
Implementation of consent receipt which is signed & created by a DC and stored in a personal Cloud.
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The usability of a MVCR can then be made scalable for use in aggregate beyond the point of consent for the data subject with a process in whch the receipt is digitally signed by both parties. This process identifies the jurisdiction of the Data Controller and of the Data Subject. This example also includes signing of the receipt by the DC. (the digital signing of the DS (data subject) is currently out of scope of the first draft1)
MVCR Mock Up for Amazon Respect Use Case
MVCR Compliance
Audit
Each field on the MVCR contains legal notice requirements, each of these components are listed in and the presence of these are counted and a flag is added to record if any of these self asserted claims have been disputed and not resolved.
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(additional architecture is needed to mediate compliance level ratings)
MVCR Compliance Assurance Audit & Compliance Scale
Each item in the MVCR will be rated with this scale presented below
The compliance scale is based on the ICO table of compliance http://ico.org.uk/for_organisations/data_protection/working_with_the_ico/~/media/documents/library/Data_Protection/Detailed_specialist_guides/auditing_data_protection.pdf
Trusted Services Appendix
Trusted services/networks and frameworks, can be used to meet or exceed notice(and therefore consent) legal requirements. Or to address the need for assurance and trust for people so that consent and its management can be automated and more usable. It is for seen that a notice registry is the natural place for trust services to register their services.
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This is a table to map the list and categories of assurance framework with examples and notes on interoperability with this category of service.
Type of Trust Framework
Consent Policy Format
Personal Policy Preference
Consent Extension Location
Trusted Service Provider Examples
Tracker: Analytics etc:
Cookie
Do Not Track
browser header
cookiepedia, privacy clearing warehouse, Ghostery
Terms of Use Policy
Agree to terms
TOS;DR, Citizen Me
Policy Tracking Services
Policy Comparison
Has terms materially changed ( is consent still compliant? )
TOSBack
Consent Type
What kind of consent has been received
To record the type of consent or whether there is an exception to the requirement for consent.
Reputation
Trust Framework
(all trust services provide reputation)
Privacy Icons
Pictorial Short Notices
Disconnect Me
Capture of Personal Preference at Time of Consent
Does the issuing entity acknowledge DNT
If not available, should provide a notice that it is missing
Data Control Protocol
User Managed Access
Trusted Network Service
Respect Network
Standards
Certificates
TrustE
Levels of Assurance
KI: Identity Assurance Framework
Design Appendix:
Summary Design Goals to Assess: MVCR
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