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Parts 1 and 2 for measuring conformance, compliance, and performance of Dynamic of Transparency and Consent
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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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Mark Lizar, WG Co-Chair, WG Editor
ContributorsContributor(s):
Sal D’Agostino, WG Co-Chair
Gigi Agassani Agassini, WG Secretary
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IPR Option:
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Any derivative use of this specification must not create any dependency that limits or restricts the use, accessibility, and availability of the scheme for and/or its used use to evaluate the performance of transparency and/or the ability for the PII Principal to provide and manage consent records.
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This specification relies on (open access to) ISO/IEC 29100 Security and privacy techniques, to provide Privacy framework and ISO/IEC 29184 Online Privacy Notice information structure, 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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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 TPS addresses this issue by providing a standard transparency assessment scheme captures operational relationships and measures digital trust conformance and compliance record harness for assessing the performance of transparency and . In doing so it provides a basis for trust and operational accountability when PII Controllers 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.
Primary Digital Trust –
when When the PII Principle Controls their own PII, enabling transparency over processing, like on a local device
Secondary Digital Trust
When the PII is held by a PII Controller
Exterritorialy
When PII is disclosed and controlled by a 3rd party (not a PII Processor)
Emergency services
Security Services
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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.
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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.
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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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The following describes an assessment using the TPIs to measure Operational Transparency and assurance.
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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
Time period data stored.
Existence of rights/controls to access and rectify.
Existence of right to manage consent.
Existence of right to lodge a complaint with a Data Protection Authority (DPA).
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
Existence of
AI, or any automated decision-making technology
Digital identity management surveillance technologies
Any profiles, or graphs generated
Meaningful information about the logic involved
Significance in overall policy or processing and decision making
Expected consequences for and to PII Principal - Data Subject
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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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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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Rating - Instruction | TPI 1 Timing (with regards to processing) | TPI 2 Required Information | TPI 3 Accessibility | TPI 4 - Digital Security |
+1 (assured) | PII Controller credential is displayed, using a standard format with machine readable language, and linked, for example, in an http header in a browser | The Controller is discoverable prior to session (out of band) in a machine-readable format: 1.Controller Registry 2.A client-side record of processing (via a wallet or browser) | Controller identity is presented prior to data collection | Security is required prior to collection (digital wallet based)
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0 (dynamic assurance) | PII Controller Identity or credential is provided in first notice | Credential is presented just in time (automated check and first-time notice) | Embedded as a credential and dynamically available upon access (almost just in time) | Assurance provided– e.g., certificate is specific to and matches controller and context. |
-1 (analogue assurance - online) | The Controller Identity, or screen with the Controller Identity is one screen and click away. For example, the privacy policy link in the footer of a webpage | Controller information is accessible (not presented) during collection | PII Controller Identity prominently displayed on first view – prior to processing first page of viewing | Not-specific to controller - does not match jurisdiction. |
-2 - (not mandatory in flow) |
| Controller Credential information is linked during collection | is linked not presented | Does not match OU |
-3 (non-operative) | PII Controller Identity is not accessible enough to be considered ‘provided’ | Controller information not present | Identity or credential is not accessible in context - e.g., two or more screens of view away, or privacy contact is mailing g address and non-operative in context of data collection. | It is not a valid, secure, or recognized provider. |
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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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FIELD NAME | FIELD DESCRIPTION | REQUIREMENT: MUST, SHALL, MAY | FIELD DATA EXAMPLE |
Notice Location | Location the notice was read/observed | MUST | http://Walmart.com (actual link) |
PII Controller Name | Name of presented business | MUST | Walmart |
Controller Address | The physical address of controller and/or accountable person | MUST | 1940 Argentina Road Mississauga, Ontario L5N 1P9 |
PII Controller Contact Type | Contact method for correspondence with PII Controller | MUST | Email, phone |
PII Controller-Correspondence Contact | General contact point | SHALL | |
Privacy Contact Type | The Contact method provided for access to privacy contact | MUST | Email, or other |
Privacy Contact Point | Location/address of Contact Point | MUST | |
Session Certificate | A certificate for monitored practice | Optional | TLS, Transparency, Policy (OID) Context |
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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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Provide their PII Controller Notice Credentials, before or at the time of processing personal information (TPI 1), Article 14.1
PII Controller credential information must be accessible
PII Controller credential information must be operationally capable for access to rights with evidence of notice & consent
The security context must match the controller’s jurisdiction where it is assumed PII is processed
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3 Mirrored Record Information Structure, 2024, ANCR WG Kantara Initiative { ANCR: Mirrored Record : Consent Receipt V2: Consent Token Information Structure v0.7 }
4 Consent receipt v1, CISWG Kantara Initiative https://kantarainitiative.org/download/7902/
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