Parts 1 and 2 for measuring conformance, compliance, performance and

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security of Transparency and

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Consent

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Conformity & Compliance Scheme Framework v0.9.3.8

ANCR refers to an Anchored Notice & Consent Receipt, it is a record that is generated using the Transparency Performance Indicator assessment, which provides a standard measure of operational performance of the present PII Controller’s security and privacy session information.

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This specification relies on (open access to) ISO/IEC 29100 Security techniques, Privacy framework and ISO/IEC 29184 online privacy notices and consent, and the Consent Notice Receipt in the Appendix B, further specified by ANCR Mirrored Record Information Structure,³ Consent Notice Receipt Format as specified in the Kantara Initiative ANCR WG Mirrored Record information structure, extending the CISWG MVCR and Consent Receipt v1.1.⁴

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Conditions for use

License Condition:

This document has been prepared by participants of Kantara Initiative Inc. ANCR-WG. No rights are granted to prepare derivative works of this Scheme outside of the ANCR WG. Entities seeking permission to reproduce this document, in whole or in part, for other uses must contact the Kantara Initiative to determine whether an appropriate license for such use is available.

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Abstract 

In the context of processing personally identifiable information (PII) a PII Principal is not able to see who is processing their data, nor are they notified when their data is disclosed or scraped off the internet, with no indication of purpose. As a result the ability for all stakeholders, in particular the PII Principal, or Individual, is limited in their capacity to trust the use of digital identifying and tracking technologies.

The transparency assessment scheme captures operational relationships and measures digital trust conformance and compliance. In doing so it provides a basis for trust and operational accountability when PII Controller(s) process personal data.

The ANCR mirrored record information structure defines 3 types of digital trust, and provides transparency assessment scheme for primary digital trust, (also referred to as a human centric), data control, and accountable transparency.

1. Primary Digital Trust –

   1. When the PII Principle Controls their own PII, enabling transparency over processing, like on a local device

2. Secondary Digital Trust

   1. When the PII is held by a PII Controller

3. Exterritorialy  

   1. When PII is disclosed and controlled by a 3^rd party (not a PII Processor)

      1. Emergency services

      2. Security Services

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Scheme Applicability   

1. All data processing must have a record of notified processing activity. In order toThis is a requirement to be digitally transparent. The exception is when it is , unless required not to bethere is a by legal derogation, which is required notification, often as risk that is provided prior to consent based processing of PII.  Even  Iin such an instance, the processing must be transparent to the appropriate regulatory authority, according to the context of processing.  

2. This assessment scheme in this way, can be applieds to all any services context and every stakeholder; , PII Controller, PII Processor, PII Principal’s, the PII Co-Regulating Authority and delegates.  

3. All processing with consent already requires a record of the privacy notice and privacy policy link, which in this assessment scheme, the record that is generated for assessment  in this document is referred to asis called a Notice Receipt, also known a in the s the ANCR mirrored record of consentinformation structure. , and referred to as a consent record in ISO/IEC 27560 Consent record information structure.  

4. In GDPR and Records and receipts provided in this scheme as are specified in Convention 108+, Art 31 these records are called a Record of Processing Activity (RoPA), used in this framework as proof of transparency/knowledge.  . The consent receipt is effectively a digital twin, of this RoPA, which is a mirrored – linked notice and consent micro-data record, which is also held by the individual. This Record can then effectively become the authoritative consent record.  

  

A Notice Receipt can be created by anyis created to assess in this framework stakeholder to identify a PII Controller. 

An Anchored Notice and Consent Receipt can be used as a record of consent to access data subjects' rights, for example, and/or to test and assess the operational performance of PII Controllers’ digital privacy performance in digital contexts.  

Part 1 of the scheme introduces 4 Transparency Performance Indicators; these are used to measure and rate the conformance of transparency.  In Part 2 of the scheme (in the Appendix A) a transparency information request is sent to the controller to; a) test the controller information and, b) measure how compliant the performance of digital transparency is, to both legal expectations, and the personal privacy expectations of the PII Principal.   Since the first signatory in 1980, the international standardisation of Security and Privacy law has been underway to become formalised into regulation, and as of March 2024, into enforceable law, which is now implemented in the EU through the General Data Protection Regulation. This has paved the way for the ratification of the updated to the 108 Convention from the Council of Europe to Convention 108+. The international commonwealth privacy framework, which is interoperable with the ISO/iEC 29100 security and privacy framework, also widely adopted and open access.

This Digital Trust Assessment Scheme, first creates a PII Controller Record, using the Kantara Consent Receipt Schema, now also found in the ISO/IEC 27560 (2023) - Consent Record information structure.  

Part 1 of the scheme introduces 4 Transparency Performance Indicators; these are used to measure and rate the conformance of transparency.  Called a Transparency & Consent Index Rating, which is added to the record.

In Part 2 of the scheme (in the Appendix A) a transparency information request is sent to the controller using the PII Controller Record that is generated in Part 1 of the assessment scheme to; a) test the operational performance of transparency and consent information by making a rights request or complaint and, b) assess compliance in accordance to the international adequacy baseline.

Applicability

4 Transparency Performance Indicators asses

1. when PII Controller Identity information is provided in accordance to when data is captured, to assess the security and privacy risk and compliance

2. What PII Controller information is provided and its operational performance

3. the assess ability of the PII Controller Information and Privacy Notice in digital context, and the terms and definitions used in the notice, notification or disclosure.

4. assess data sovereignty security risk, - digital security certificate integrirty, its OU, Jurisdiction, and Name, match the PII Controller Information, registration or notice.

These are used to asses if

1. consent is valid

2. how operation it is

3. how inclusive and authentic

4. how secure the transparency and consent is

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Terms & Definitions

Normative

CoE Convention 108+

ISO/IEC 29100 is also normative, this security and privacy framework standard maps terms in the standard itself, for example PII Principal is mapped to the Data Subject.

Term Mapping

The ANCR Record Framework is used to specify Transparency Performance Indicators (TPIs) and is based on the consent receipt work where roles are mapped to standards and laws.

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4 TPI’s

The 4 Transparency Performance Indicators capture transparency and data capture practices in context and are used to test the self-asserted information for its operational usability.

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This is a 1.0 document; we look forward to its evolution.

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TPI Compliance Assessment Scheme Part 2

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Operational Transparency Assessment

The following describes an assessment using the TPIs to measure Operational Transparency and assurance.

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1. Transparency is required to be available in context, i.e., during the time when PII is obtained (found in Transparency Statement or Privacy Policy).⁸

   1. Time period data stored.

   2. Existence of rights/controls to access and rectify.

   3. Existence of right to manage consent.

   4. Existence of right to lodge a complaint with a Data Protection Authority (DPA).

   5. Whether processing is based under a statutory, or contractual context, or whether necessary for entering a contract, if the PII is obliged, and the consequences of failure to provide this data.⁹

   6. Existence of

      1. AI, or any automated decision-making technology

      2. Digital identity management surveillance technologies

      3. Any profiles, or graphs generated

      4. Meaningful information about the logic involved

         1. Significance in overall policy or processing and decision making

         2. Expected consequences for and to PII Principal - Data Subject

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TPI Assessment Guidance

The TPI Rating system is designed to measure the operational performance of the information, for example if only a mailing address is provided for a privacy contact on a website, this is considered non-operable according to the context. This means that privacy access and specific information is not retrievable in the context of data collection. The TPIs measure adequacy and demonstrate non-performance by PII Controllers as a form of data co-governance.

The associated Conformity Assessment: uses the open ISO/IEC 29100 security framework for generating interoperable records and receipts of data processing activity, according to transparency in context.

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TPIs are captured in sequence

a. TPI 1 measuring the point when the individual is notified versus when personal information/digital identifiers are collected and processed. The scheme starts by capturing the timing of notice presentation in relation to first data capture, and first contact.¹⁰

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Combined, these TPIs provide an overall Indication of the operational state of digital privacy.

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TPI – Scheme 1, Part 1(S1-P1) metric logic

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1.2.    Table 2: ANCR Mirrored Record Schema Example

This appendix is an example of a notice record and the schema and can be used as a template for the information record, rating, and analysis.

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Digital Transparency Code of Conduct

These digital transparency code of conduct rules coincide with the TPIs presented and reference the international adequacy requirements for transparency required for digital identifier management. In Report on the Adequacy of Digital Identity Governance for cross border transparency and consent:

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1. Provide their PII Controller Notice Credentials, before or at the time of processing personal information (TPI 1), Article 14.1

2. PII Controller credential information must be accessible

3. PII Controller credential information must be operationally capable for access to rights with evidence of notice & consent

4. The security context must match the controller’s jurisdiction where it is assumed PII is processed

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Appendix D. References

Council of Europe 108+

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Appendix F. ISO scheme Profile

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³ Mirrored Record Information Structure, 2024, ANCR WG Kantara Initiative { ANCR: Consent Receipt V2: Consent Token Information Structure }

⁴ Consent receipt v1, CISWG Kantara Initiative https://kantarainitiative.org/download/7902/

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