Anchored Notice and Consent Receipt (ANCR) Record
For Operational Transparency
Version: 0.8.8.2
Document Date: Aug 9, 2022
Editor(s): Mark Lizar
Contributors:
Contributing Orgs: Human Colossus Foundation, Global Privacy Rights
Produced by: ANCR-WG m
Status: WG Draft v0.8.7 – 8.9 (completing and polishing)
Abstract:
Currently, when online service are involved, the PII Principal (referred to as the Data Subject or Individual in this document) is unable to see who is in control of processing their personal data before it is processed, shared or disclosed. No way to assert authority upfront, to determine, imply or negotiate the conditions of data processing.
Functionally, people are not able to see (therefore trust and control) digital identifiers and require standardized transparency to provide data governance that scales what is meaningful to people, online. Not knowing if PII is kept private to the PII Principal, only exposed locally like physical privacy, or disclosed beyond the region, trans-nationally, or internationally is essential to trusting the management of surveillance and identity technologies.
Risk is relative to the stakeholder who controls the processing of personal data. This has a significant impact on the risks to security and privacy and the level of liability exposure for the other privacy stakeholders involved. For example, when the individual controls the personal information source, and specifies consent for its granular access, the safety and security risks drop dramatically for the Individual but can increase for PII Controllers.
Alternatively, privacy risk may be shared amongst stakeholders to lower security and privacy risks overall. (Distributed data governance).
The Anchored Notice Record (ANCR Record) bridges the operational transparency gap by measuring the PII Controller's transparency performance:
This document specifies transparency performance indicators, in order to make transparent risk through a record of the presentation of notice, specifically focus on:
PII Controller Identifying Credential: to see who controls personal data?
PII Controller Privacy Contact: is privacy accessible?
PII Controller Security Transparency Integrity
Measure of the integrity of the security presented (to see if the certificate correlates to the PII Controller and processor)
Included are extensions for the ANCR’s Record (found in Annex) provide to support the extension of operational transparency for operational privacy management.
Providing for a sequenced record extension protocol used to measure PII Controller transparency and accountability with ISO/IEC 29184, online privacy notice and consent controls.
Annex A – Two Factor Notice (2FN) (for differential transparency)
A notice that is used to generate granular consent receipts using standards that specify purpose in the same way. Those generated with the same schema based can be compared to automate notice for operational transparency over changes to privacy state.
Annex B- Concentric Notice Types
To simplify understanding of what rights and privacy controls are applicable in context, per processing purpose. Label to facilitate transparency autonomy, for independent access to rights to negotiate data controls with the accountable PII-Controller
Annex C – ANCR Record Extensions Protocol
Consent is required for the purpose of digital identity management, as well as any additional purpose(s).
The record is structured according to the protocol of first creating a private record of who is in control and accountable. Before then using this record to track purpose specification, data treatment, and detailed processing practice.
Annex C.1 - Purpose Specification –ANCR Mapped with 27560 Schema.
The ANCR Notice Record Schema, is mapped in accordance to the directions provide by ISO/IEC 27560 WD5. Illustrated in the appendix to help support critical flaws in the security considerations and understanding of the requirements for a human centric schema.
IPR Option:
This specification is open for use for public benefit licensing @ Global Privacy Rights, and @Human Colossus, and is specified under a RAND agreement at the Kantara Initiative for submission to ISO/IEC SC 27
Published for use as public infrastructure and/or
Patent & Copyright: Reciprocal Royalty Free with Opt-out to Reasonable And Nondiscriminatory (RAND)
Suggested Citation:
ANCR Specification v0.8.5.3
NOTICE
This document has been prepared by Participants of Kantara Initiative; Inc. Permission is hereby granted to use the document solely for the purpose of implementing the Specification. No rights are granted to prepare derivative works of this Specification. Entities seeking permission to reproduce portions of this document for other uses must contact Kantara Initiative to determine whether an appropriate license for such use is available.
Implementation or use of certain elements of this document may require licenses under third party intellectual property rights, including without limitation, patent rights. The Participants of and any other contributors to the Specification are not and shall not be held responsible in any manner for identifying or failing to identify any or all such third-party intellectual property rights. This Specification is provided "AS IS," and no Participant in Kantara Initiative makes any warranty of any kind, expressed or implied, including any implied warranties of merchantability, non-infringement of third-party intellectual property rights, and fitness for a particular purpose. Implementers of this Specification are advised to review Kantara Initiative’s website (http://www.kantarainitiative.org/) for information concerning any Necessary Claims Disclosure Notices that have been received by the Kantara Initiative Board of Directors.
-
Copyright: The content of this document is copyright of Kantara Initiative, Inc.
© 2022 Kantara Initiative, Inc.
Contents
Foreword
This ANCR Record specification is the core record for an international and interoperable consented exchange protocol.
The effort here is in parallel to the ongoing work at ISO/IEC 27560, is where the consent record information structure standard is being drafted, and further specifies a protocol for exchange, control and access to PII. This specification is also provided as a contribution to other ISO/IEC 2765x drafts, which might also bein the initial stages of drafting..
This specification completes the framing of the consent notice receipt work @Kantara which appears in Annex b of ISO/IEC 29184. It is used here to first assess if the PII Controller identity is present and acceptable as a proof of notice for distributing evidence of consent. Generating a record utilizing ISO/IEC 29100 security and privacy techniques to assess ‘controls regarding the content and the structure of online privacy notices. (The scope of ISO/IEC 29184 Online privacy notices and consent standard)
Introduction
This ANCR specification introduces the ANCR record used to capture a record of Notice and verify Consented Notice Records and Consent Receipts in the flow and exchange of personal data. It specifies with what, and how a PII Principal can capture a record of notice with and assess digital transparency for the state of security and status of consent. The goal to measure if transparency is operational for the PII Principal transparency, requires knowing who the PII Controller is and if PII Controller contact information can be used to query status of privacy and consent.
This work effort creates an alternative to terms and conditions/contract-based process which is the default online today. The approach is to leverage legal and technical standards to supersede the use of terms and conditions, and contract-based privacy with operational privacy. This is done here by generating a record that can be used as a ‘Proof of Notice’ (eNotice) for evidence of consent (eConsent). The capture of security status and privacy state provide an anchor for decentralized transparency, accountability, and access to privacy rights.
The ANCR Record is specified for PII Principals, using terms, semantics and laws that champion the legal utility of data control and it’s management. As such, representing a shift in the architecture of digital identity semantics to legal semantics specific to human centric transparency, usability, and control.
To this point, the ANCR record is first specified as a record an Individual controls with 3 KPI’s specified to enable people to see the security and operational transparency, before its extension to a proof of notice object (a receipt) for linking service’s purpose and associated risks .
Before data processing a notice or notification is presented and ANCR record provides the individual with a choice, a chance to mitigate risks prior to, and post processing. Presenting significant security and privacy benefits that assist in making stronger security decisions.
Scope
To capture and measure transparency and security of the PII Controller identity and Controller contact information for operational use.
Correspondingly it presents two legal requirements for implementing privacy and security, which are universally found in standards, laws, and principles. One, to provide a notice prior to processing and, two, the PII Controller Identity and Contact information for querying the status of consent.
2 uses presented:
The PII Principal makes an ANCR record and assesses if the PII Controller identity is present so as to be accountable and secure
The PII Principal makes an ANCR record of contact information to ensure the notice is operationally viable for privacy access.
This specification, references ISO, GDPR and Convention 108+, to provide authoritative protocol for an international transparency baseline of default notice requirements for adequacy of a data transfer with evidence of consent.
Notations and Abbreviations
The keywords "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", “NOT RECOMMENDED”, "MAY", and "OPTIONAL" in this document are to be interpreted as described in [RFC 2119].
The following abbreviations and set of stakeholders are used to frame a mutually exclusive and collectively exhaustive set of terms for providing transparency over what organization controls the processing of perosnal information, and who is accountable for enforcement,
ANCR WG; Advanced Notice and Consent Receipt Work Group
ANCR Record: Anchored Notice Record and Consent Receipt Record
Conv. 108+: Council of Europe Convention 108 +
IRM: Identifier Relationship Management
ISO/IEC International Organization for Standardization / International Electrotechnical Commission
FIPP Fair Information Practice Principles
PII Personally Identifiable Information
POMME Privacy operationalization model and method for engineering
Object – a field object
Array – an array of field objects
Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
Normative References
For the international and cross-domain use of the records and receipts here, this document refers to the following:
1980/2013 OECD Guidelines on the Protection of Privacy and Transborder Flows of Personal Data [OECD]
ISO/IEC 29100:2011 Security and privacy techniques
ISO/IEC 29184 Online privacy notices and consent,
Fair Information Practice Principles (FTC) foundational principles
Non-Normative References
General Data Protection Regulation (GDPR)
Council of Europe Convention 108+ (Conv. 108+)
Kantara Initiative Consent Receipt v1.1
ISO/IEC 27561:2022 POMME
ISO/IEC 27560: WD5 2022
Additive Reference
PIPEDA -
Normative to Non-Normative | ISO | GDPR | Conv 108 |
PII Controller Identity | |||
PII Controller Contact |
Terms
The definitions reference terms that are used in this specification to indicates what is normative, non-normative, and additive. Adding human centric equivalents to the authoritative lexicon for operational transparency.
If a jurisdiction’s privacy terms are not compatible with this specification, these internationally defined terms can be mapped to jurisdiction and context specific terms. For example, PII Principal in this document maps to the term Data Subject in European GDPR legislation and the term individual in Canadian PIPEDA.
Layered Notice
[Source ISO/IEC 29184 5.2.7]
Notice Record
A record of a notice utilizing 29100 and 29184 for schema structure, and controls regarding notice content. It is used to demonstrate conformance to regulation, local and/or contextual, to practice surveillance in the processing of personally identifiable information
Notice
Broadly refers to any surveillance or privacy notice, notification, disclosure, statement, policy, sign or signal used to indicate personal data processing.
[Source ISO/IEC 29184
Proof of Notice
[Source ISO/IEC 29184
Personally Identifiable Information (PII)
Any information that (a) can be used to identify the PII Principal to whom such information relates, or (b) is or might be directly or indirectly linked to a PII Principal.
NOTE: To determine whether or not an individual should be considered identifiable, several factors need to be taken into account. (Equivalent with personal data)
[Source: ISO 29100]
Personal data
[Source GDPR}
Personal data means any information relating to an identified or identifiable natural person
(‘data subject’); an identifiable natural person is one who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier or one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person;
(Source: Con. 108+)
PII Principal, Data Subject or (Individual)
The natural person to whom the personally identifiable information (PII) relates.
NOTE: Depending on the jurisdiction and the particular data protection and privacy legislation, the synonym “data subject” can also be used instead of the term “PII principal.”
[SOURCE: ISO 29100 2.11]
[GDPR Art X, Rec. 1(a)]
[Con 108: X.X.X]
Individual
[Additive: PIPEDA]
PII Controller
A privacy stakeholder (or privacy stakeholders) that determines the purposes and means for processing personally identifiable information (PII) other than natural persons who use data for personal purposes.
NOTE: A PII controller sometimes instructs others (e.g., PII processors) to process PII on its behal while the responsibility for the processing remains with the PII controller.
SOURCE: ISO 29100]
Note: it may also be called data controller.
PII Joint Controller
Covers multiple joint controller relationships including co-controllers, hierarchical, fiducial, and code. Likely a type.
PII Processor
A privacy stakeholder that processes personally identifiable information (PII) on behalf of and in accordance with the instructions of a PII controller.
[SOURCE: ISO 29100]
PII Sub-Processor
An additional field to indicate a delegated processor.
Processing of PII
An operation or set of operations performed on personally identifiable information (PII).
NOTE: Examples of processing operations of PII include, but are not limited to, the collection, storage, alteration, retrieval, consultation, disclosure, anonymization, pseudonymization, dissemination or otherwise making available, deletion or destruction of PII.
[SOURCE: ISO 29100]
‘processing’ means any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction;
[Source GDPR Art 4.2]
processing’ means any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction;
[Source. Convention 108+]
Privacy Stakeholder
A natural or legal person, public authority, agency or any other body that can affect, be affected by, or perceive themselves to be affected by a decision or activity related to personally identifiable information (PII) processing.
[SOURCE: ISO 29100]
[GDPR
[Conv
Privacy State
The legitimate interests of a controller, including those of a controller to which the personal data may be disclosed, or of a third party, may provide a legal basis for processing, provided that the interests or the fundamental rights and freedoms of the data subject are not overriding, taking into consideration the reasonable expectations of data subjects based on their relationship with the controller....
At any rate the existence of a legitimate interest would need careful assessment including whether a data subject can reasonably expect at the time and in the context of the collection of the personal data that processing for that purpose may take place. The interests and fundamental rights of the data subject could in particular override the interest of the data controller where personal data are processed in circumstances where data subjects do not reasonably expect further processing
The processing of personal data strictly necessary for the purposes of preventing fraud also constitutes a legitimate interest of the data controller concerned. The processing of personal data for direct marketing purposes may be regarded as carried out for a legitimate interest.
(GDPR Rec 47
Privacy State Notification Types
reference the expected processing for a specified purpose in reference to common law (
The processing of personal data strictly necessary for the purposes of preventing fraud also constitutes a legitimate interest of the data controller concerned. The processing of personal data for direct marketing purposes may be regarded as carried out for a legitimate interest.
Processing is ‘as expected’ Notification
unverified
As expected,
not as expected,
minor change in state,
material change in state ,
Security Status
Taking into account the state of the art, the costs of implementation and the nature, scope, context and purposes of processing as well as the risks of varying likelihood and severity for the rights and freedoms of natural persons, the controller and the processor shall implement appropriate technical and organisational measures to ensure a level of security appropriate to the risk, including, inter alia, as appropriate:
(Conv. 108+ Art 33.1)
Security Status Notification Label Types
Not-Available
In-Active
Active
Active & Operational
Active & Dynamic
Third Party
A privacy stakeholder other than the personally identifiable information (PII) principal, the PII controller and the PII processor, and the natural persons who are authorized to process the data under the direct authority of the PII controller or the PII processor.
[SOURCE: ISO 29100]
‘third party’ means a natural or legal person, public authority, agency or body other than the data subject, controller, processor and persons who, under the direct authority of the controller or processor, are authorised to process personal data;
[Source GDPR Art 4.10]
‘third party’ means a natural or legal person, public authority, agency or body other than the data subject, controller, processor and persons who, under the direct authority of the controller or processor, are authorised to process personal data;
[Source: Convention 108 Art 3.14]
ANCR: Anchor Notice Record Fields
The corresponding field names, description and conformance criteria. Utilizing “named object” data types to define the principal requirements within the ANCR Record to verify operational transparency, prior to processing and disclosing of PII.
Note: ANCR Notice record ID is utilized to create and link new receipts ensuring the providence of the PII Principals control of the ANCR record
PII Controller Fields (Provided Datum)
These fields are required
Field Cat Name | Object Label | Object Format | Object Description | Presence Requirement |
ANCR Record ID | ancr_id | string | Blinded identifier secret to the PII Principal | Required |
Schema version | V x.xx.x | string | ||
PII Controller Identity | Object | array (strings) | _ | Required |
Presented Name of Service Provider | array (strings) | name of service. E.g. Microsoft | May | |
PII Controller Name | array (strings) | Company / organization name | MUST | |
PII Controller address | array (strings) | _ | MUST | |
PII Controller contact email | \ array of strings | correspondence email | MUST | |
PII Controller jurisdiction legal reference | string | PII Controller Operating Privacy Law | MUST | |
PII Controller Phone | string | The general correspondence phone number | SHOULD | |
PII Controller Website | string | URL of website (or link to controller application) | MUST | |
PII Controller Certificate | Attache file | A capture Website SSL | OPTIONAL | |
Privacy Contact Point Location | pcpL | |||
Privacy Contact Point Types (pcpT) | Object | array of strings | Must have at least one field for the PCP object | MUST |
PCP-Profile | string | Privacy Access Point Profile | ** | |
PCP-InPerson | string | In-person access to privacy contact | ** | |
PCP-Email | string | PAP email | ** | |
PCP-Phone | string | Privacy access phone | ** | |
PCP -PIP- URI | string | privacy info access point, URI | ** | |
PCP-Form | string | Privacy access form URI | ** | |
PCP-Bot | string | privacy bot, URI | ** | |
PCP-CoP | string | code of practice certificate, URI of public directory with pub-key | ** | |
PCP-Other | string | Other | ** | |
PCP Policy | pcpp | string | privacy policy, URI with standard consent label clauses | MUST |
Legal Justification | ljust | Legal justification expected prior to notice | ||
Concentric Notice Label | cnl | string | a label that is mapped to legal justifications, rights and controls that can be provided by default, for a specified purpose | SHALL |
Proof of Notice (PoN)
Event information required to demonstrate conformance and compliance.
Notice Record: Personal Data (Proof of Notice) Fields required to be included for the exchange of consent records, as consent receipts.
The following field data MUST be provided for the exchange of ANCR (as consent receipts) to evidence proof of notice, consent receipts.
Field Object | Label | Type | Description | Presence |
ANCR Record ID | ancr_id | string | An identifier provided by the PII Principle | MUST |
Schema Version | v x.xx | String | ANCR Record Schema version # | Required |
Timestamp | iat | _the time and date when the ANCR record was created | Required | |
Legal Justification | string | One of six legal justifications used for processing personal data | ||
Notice Record | Object labels | |||
Notice Type | string | Notice, notification, disclosure | Required | |
Notice method | string | Link / URL to the UI that was used to present the notice e.g. website home page | MUST | |
-digital-Notice-location | dig-notice | Notice location e.g.ip address | MUST | |
location Certificate | MAY | |||
Notice Language | The language notice provided in | MUST | ||
Notice Text File |
| URL – and or Hashlink for the notice text | MUST | |
Notice text | The capture of a copy of the notification text | MUST | ||
Notified legal Justification | Implied or explicit notified legal justification based on the text of a notice and its context | MUST | ||
Risk notice disclosure | risk | PII controller risks | MUST |
ANCR Private Record Fields
These fields can be asserted by the PII Principle to extend the functionality beyond the transparency KPI’s specified. to generate records and receipts with providence the PII Principal can trust.
ANCR Record Field Name | Field Label | Description | Required/Optional |
schema version | V | A number used by the PII Principal to track the PII Controller Record | Optional (unless shared or used further) |
Anchor Notice Record id # | Ancr_id | MUST | |
Date/Time | Required | ||
Notice Collection method | Notice presentation UI Type | optional | |
Notice Collection Location | URL or digital address and location of the notice UI | required | |
Notice Legal Justification | One of the six legal justifications(ISO, GDPR, C108) | ||
PII Principal Legal Location | ploc | optional | |
Device Type | May | ||
PII Principal Public Key | |||
Notice Record KPI Fields
These are the key performance indicator, ANCR fields required and used to assess the provided transparency of the PII Controller.
ANCR Record Fields | Field Description | Must, Shall, May | Field Data. E.G. | Record of Transparency Accessibility Rate: -3, –1, 0, +1, +2 |
PII Controller Name | Name of presented business | MUST | Walmart | 1 |
Controller Address | MUST | 1940 Argentina Road Mississauga, Ontario L5N 1P9. | 0 | |
PII Controller Contact Type | Contact method for correspondence with PII Controller | MUST | Email, phone | -1 |
PII Controller-Correspondence Contact | General contact point | SHALL | Privacy@org.com | 1 |
Privacy Contact Type | The Contact method provided for access to privacy contact | MUST | 0 | |
Privacy Contact location | Location/address of Contact Point | MUST | Org.com/privacy.html | 1 |
Session Certificate | A certificate for monitored practice | Optional | E.g., SSL Certificate Security (TLS) and Transparency | 2 |
Operational Transparency KPI’s
The first 2 Key Performance Indicators measure the transparency of the required PII Controller Identity information is ‘provided’, as provision of this information on, or before data processing is a condition of compliance for all data processing activities. In addition, to the standards referenced maintained by ISO/IEC and the GDPR and Convention 108+, which are references for enforceable multi-national (or international) privacy laws.
Once qualified as operational there is an optional 3rd KPI
The 3rd KPI, which is optional, is used to assess the contextual integrity of the security of the transparency assessed in KPI 1 &2, but only if the transparency ‘provided’ is operational.
The security KPI requires that the ANCR notice record is compared to a session certificate, to see if the PII Controller Identity information is the same, or mutually linked to the controlling entity in the associated security certificate e.g., SSL Certificate and domain DNS information match the PII Controller Identity.
KPI 1: Provided Transparency
Assess if the required information is ‘provided’ - Transparency over who is in control of notice and personal information. MUST fields, is there enough information to verify the controller identity and contact the PII controller to access and use privacy rights?
KPI 2: Transparency Accessibility Rating
How Accessible is the PII Controller and Privacy Contact information?
For example, in the context of a website, or a mobile device, how difficult was it to access the ‘provided’ information. How many clicks, or screens away is the required information?
KPI 2 – Example Accessibility Measurement Scale
This example is provided in the context of a browser / mobile device with a mobile application or webpage providing the client user interface.
This scale, a score of; [2,1,0, -1 or –3] is used to determine the number of steps, screens, or clicks required to find the ‘provided’ information.
Scale;
2 – is automatically or dynamically discoverable
1 - is one click away with a notification signal on the first page of viewing –question would be – privacy policy link at bottom of home page.
0 – is two clicks away
-1 – is 3 clicks away from signal (fail)
- 3 Information was Not found or more than 3 clicks
KPI 3: Certificate Transparency Integrity KPI (optional)
Certificate status and transparency are further indicators to the security and appropriateness of processing. This KPI uses standards to measure the certification. This includes checking things such as the SSL certificate, cryptography, organizational unit (e.g., for corroboration), object identifier, Common Name, and Jurisdiction -
Do these align
Capture information about the connection, e.g., IP addresses.
Security
Currently online PII Principals are unable to see who is processing there personal data before personal data is processed, and what’’s more, people are not able to see who it is shared with, if it is exposed locally, or internationally, and are not able to have a say it what it is used for.
This presents critical security challenges for people, privacy and trust. To address this, the ANCR Record specifies Transparency KPI’s that generate a baseline transparency measure of PII Controller’s identity and contact information, before data processing and consent occurs.
‘Anchoring’ the digital identity relationship with a record that establishes an initial state of security and privacy defaults to provide notices that record to capture and maintain a shared understanding for purpose and risks.
An ANCR record stores this ‘session’ information for the PII Principal to be albe to remember the state of security and status of privacy for the next session. Re-used (like a cookie) on an ongoing basis to secure personal data processing, and distribute decentralized data controls for the use of rights.
The raw data in the record is only for the use/viewing by the PII Principal. It can only be made accessible with a proof o notice record and a receipt, which is used to verify data in the record, not transfer it – into data protection.
n doing so this addresses the critical security threat surrequirement of knowing to some baseline level who you are dealing with.
The ANCR Record supports PII Principal rights to self-verify the identity management relationship, to negotiate control over personal information and to be able to assert the legal authority to do so.
The ANCR Record adheres to the following security and privacy requirements:
Non-national standard used to Specified and design in the context of ISO/IEC 29100 - Security and Privacy schema, information structure protocol
Consent is a security access control in this context that is required to make a record with a PII Principal. In the baseline case the PII Principal makes the record by their own implied and explicit consent. This condition is then maintained for any other interaction that holds the context of the consent (e.g., purpose, codes and other governing parameters, e.g., locations (people, data) and implicit legal jurisdiction.
The ANCR Record represents the online privacy notice control record that is used to assess conformant to and with ISO/IEC 29184 controls.
The only identifier is the identifier the PII Principal (optionally provided) to extend the functionality of the anchored record for receipts. Only the PII Principal owns, controls, and delegates technically access to this identifier. Whenever it is exchanged, it must use the blinding identifier taxonomy cryptographically hashed with PII Principal public key. As a result. Only attributes from the corresponding records can be used with a verified credential. The record MUST not be generated or managed by any other stakeholder or delegate, apart from the PII Principal in order to be a trustworthy id.
PII Controller uses privacy stakeholders as a mutually inclusive and collectively exhaustive framework for extensions to the record for transferring liability and risk (e.g., internationally). This refers to any exchanges between/among PII Controllers and PII Principals collectively.
The ANCR record is specified here, in a method, to secure records that can be self-asserted by people to control, use, and trust. It is envisioned that the only data ever seen by the PII Principal and accessible only via verification are those delegated as such specifically by the PII Principal.
Every non-person entity touching data here is considered a PII Controller. The PII Controller can have many roles, according to context of processing. E.g., Joint Controller, PII Processor, and PII-Sub-processor.
The 3rd Party, and Recipient, here are extendable for example to Holder, Verifier, and Issuer in Self Sovereign Identifiers (SSIs) and Distributed Identifiers (DIDs) have direct mappings to the ANCR framework, its schema as well as traditional identity management (e.g., OAuth and SAML identifiers).
All data processing and every instance of processing requires the ANCR Record fields as a minimum. This can first qualify the record fields for compliant data processing as well as establishing the security capacity for digital privacy protocols and zero knowledge assurances.
Importantly the specification establishes a protocol in which the ANCR record is first created (by any stakeholder) and can be done so independently of a service provider.
The ANCR record identifier has specific security requirements and considerations as it can be used by the PII Principal as an Identifier for/by PII Controller’s. The ANCR Notice Record can be extended with additional stakeholders with a public key. Consent records and receipts created by the PII Principal are sensitive, confidential, and secured for PII Principal ownership and control. Evidence of consent is required to access these attributes for producing or using verifiable (micro) credentials.
The protocol requires that the ANCR Record is referenced each time a directed, or altruistic consent is generated. This is done in order to verify the PII Controller identity and ensure sufficient (any) security for the privacy state that is, and can then be, expected by the PII Principal.
The KPIs provide transparency and security assurance to qualify the PII Controller before the controller processes personal information.
Privacy Considerations
PII Principal identifying information MUST never be included in this specified ANCR Record. When a consent receipt is provided, all PII Principal identifiers MUST be either blinded or pseudonymized, e.g., with a verifiable credential using zero-knowledge proof. Any PII Controller consent records that combine raw personal identifiers with a consent record are therefore insecure and those systems are considered non-operational and insecure.
This categorizes most of the current internet and identity infrastructure as non-operational from a security perspective. As a result nearly all digital identifiers in an identifier management relationship produce raw PII for all parties that require security considerations. Access and use of this record as a data source in these cases are achieved through extensions. Annex A
Extension 1
ISO/IEC 27560 is used to generate a standard purpose-based notice and consent information and identifier structure. This is utilized by the ANCR Record schema and protocol to specify or audit a purpose for any legal justification.
The extension is written for the PII Controller, to enable the anchored record to be used as a verifiable data source for operationalizing a channel (exchange) where PII Principals can advertise a consent grant to the controller. (see Annex C)
Extension 2
Once specified, the W3C Data Privacy Vocabulary is used to specify the treatment of personal data.
Extension 3
Extending the ANCR Notice record, purpose specification and data treatment sections with a code of conduct (transparency practices) specified by industry, trade associations and civil registries (referred to as code of conduct as it references the legal requirements).
This can be further extended (Internationally) where the filed data, categories, vocabulary, ontology and record formats are specified (to be hosted by a non-national regulatory body) to enable decentralized data exchange governance at a global scale.
[Note: The appendices introduce the new elements found in this specification, as well as a schema map for interoperability with ISO/IEC 27560 for contribution.]
Acknowledgements
Kantara Community, DIACC, ToiP, W3C DPV and Consent,
The ISO/IEC 27560 committee
Standards Council of Canada
PasE; Consent Gateway Team and the NGI – Next Generation Internet Grant contribution
References
[Conv 108+] Council of Europe, Convention 108 +
[GDPR] General Data Protection Regulation, http://www.eugdpr.org/article-summaries.html
[ISO 639] ISO 639-1:2002, Codes for the representation of names of languages — Part 1: Alpha-2 code https://www.iso.org/standard/22109.html
[ISO 29100:2011] Information technology -- Security techniques -- Privacy framework. http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=45123
Click through to no cost license https://standards.iso.org/ittf/PubliclyAvailableStandards/c045123_ISO_IEC_29100_2011.zip
[RFC 2119] Bradner, S., “Key words for use in RFCs to Indicate Requirement Levels”, BCP 14, RFC 2119, DOI 10.17487/RFC2119, March 1997 http://www.rfc-editor.org/info/rfc2119
[OECD] OECD Guidelines on the Protection of Privacy and Transborder Flows of Personal Data. http://www.oecd.org/sti/ieconomy/oecdguidelinesontheprotectionofprivacyandtransborderflowsofpersonaldata.htm
Annex (WiP to v8.9.9)
ANNEX A
Two Factor Notice (for differential transparency)
A notice that is used to generate granular consent receipts using standards that specify purpose in the same way. Those generated with the same schema based can be compared to automate notice for operational transparency over changes to privacy state.
A 2fN, is used to produce a dual record an receipt upon engaging with a standardized notice with access to admin privacy rights from the notice, prior to processing with consent.
The consent receipts produced from a 2fN, can be compared independently for difference in the state and status of privacy, to automatically produce a notification based on the difference in state.
Differential Transparency, produced with a tactile signal, or layer 1 notice indicator, standardized with machine readable data privacy vocabulary. (concentric and synchronic transparency)
ANNEX B
Concentric Notice Types
The object of the ANCR record is to enable operational transparency. A concentric notice type is used to provide a human centric label to a record or a receipt.
Utilized to extend operational transparency to operational privacy specifying here the right of transparency to include
The right for a PII Principal to know what rights they have,
The right to be heard, children’s design code of practice
The right to start a complaint with a PII Controller and to escalate a complaint to the relevant privacy authority.
To facilitate operationally transparency, concentric notice labels are mapped from legal justifications in table 1, and in table 2, mapped to privacy rights as controls. Utilized in the ANCR record as a concentric notice label in order to set an expectation of privacy, which is attached to a notice record to set an expectation of privacy, and establish a set of digital transparency defaults,
Utilizing ISO/IEC 2910 with reference to GDPR and Convention 108+ to establish a transparency defaults for Adequacy based data transfers,
. Referencing the corresponding ISO/IEC 29184 control to enhance interoperability of operational transparency. Interoperability that is realized through the extension of transparency with records of processing to establish and maintain a shared understanding of security and privacy risks. Affording people choice which mitigate risks and transfer liability.
Mapping Legal Justifications to Concentric Notice Types
These are mapped here to provide a set of operational transparency defaults to set and support privacy as expected by the PII Principal. Expectations that provide a privacy notice starting point, where PII Principal and PII Controller can gain a shared understanding, or where a PII Principal can assert a legal justification for processing to access privacy rights.
Legal Justification | Description | Concentric Notice Type | Privacy Rights / PII Controls | Reference |
Vital Interest | refers to processing ‘which is essential for the life of the data subject or that of another natural person. Processing of personal data | Implied/implicit | Transparency, Access, Rectify, Forget/Erase, Withdraw, Restrict, | ISO/IEC 29184, 5.4.2 Conv.108+ 10.2(c)
|
Explicit Consent Notice | Explicit consent to processing one or more specified2 purpose | Explicit , Directed, Altruistic Consent | Access, Rectify, Forget/Erase, Object, / Withdraw, Restrict, Portability | 29184, 5.4.2 Conv.108+ 10.2(a) GDPR art 6.1(a) |
Implicit consent notice | And where manifestly published by the PII Principal | Implicit Consent | Con 108 + 10.2(e) | |
Implied consent notice | By Controller or Principal in the field of employment and social security and social protection law | Implied Consent | CoE 108+ 10.2(b) | |
Contractual Necessity | Implied consent | Restrict Processing, Object to | 29184, 5.4.2 Con. 108+(43) | |
Legitimate Interest | Implied consent | Object and restrict processing | 29184, 5.4.2 GDPR Recital 47 Con.108+ 10.2(d) | |
Public Interest | Democratically framed | Implied Consent/Consensus | 29184, 5.4.2 Con. 108+ 10.2(I,g,j) | |
Legal Obligation | ISO/IEC 29184, 5.4.2 | |||
Processing is necessary for the establishment, exercise or defense of legal claims | Con.108+ (f) |
Note: Participatory Consensus, and Concentric data control are two outcome specific conditions that will be added to this specification to include an assessment for operational evidence of these two outcomes.
Concentric digital transparency is a design principle of electronic Notice and evidence of consent. The outcomes are for a shared / concentric understanding of a relationship and the purpose of digital interaction, the data control impact, and associated risks centric to the PII Principal.
Concentric Notice Types mapped to Privacy Rights
Concentric Notice Types are you to create a digital notice label to enable that can be applied to digital processing context which are understood from a human centric perspective.
These are mapped to increase understand of data processing and what rights and obligations the PII Controller have per purpose.
access to privacy rights and information. meaningful through a direct mapping with specific rights, obligations and customs for interaction for data processing, which are enforceable with the references
Concentric Notice Type | Description | Legal Justification | Privacy Rights | Legal Ref |
Non-Operational Notice N/O | Not enough notice/security information for digital privacy | Not compliant with any if unable to determine or confirm Controller, or contact | Withdraw, Object, Restrict, | Con.108+ 79.1(a) GDPR Art 13/14 1a,b, |
Consensus Notice | Notice of Legitimate Processing. Surveillance Notification , | Legitimate interest | ||
Implied Consent Notice | Implied through PII Principals participation in a specific context. | consent | ISO/IEC GDPR Art 50 1 c Con 108+ -Supplement- IPC, Canada3 | |
Implicit consent notice | Refers to governance that is implicit to the action of the PII Principal. | Legitimate interest, Contract, Legal obligation | Object , Restrict | |
Expressed Consent notice | Expressed through the implicit action of a Notified individual. | Informed Consent | Withdraw | |
Explicit Consent Notice | Provided in such a way that the is Informed, freely given, knowledgeable consent,. | Consent witch is knowledgeable of risk | Withdraw | Con 108+.1(4)1b GDPR Art 7.1 |
Directed Consent | A consent directive is consent explicitly defined by the PII Principal for specific purposes, according to disclosures of risks that are notified. | meaningful consent, in which the individual has specified the consented purpose | GDPR 9.1(h) | |
Altruistic Consent | Not knowing who the Controller of PII will be. Consent to a purpose and public benefit governance framework, without knowing who is the beneficiary | Consent | DGA, Recital 1,2,4,36,39 |
Annex C: ANCR Record Extension Protocol
The anchor record is captured or generated for the explicit control of the PII Principal. This record, standardized with ISO/IEC 29100 security and privacy technique framework, can then be used for transparency interoperability.
The Anchor record and linked consent ledger is used by the PII Principal to track the state of privacy and status of consent for dynamic data controls for bilateral (peer to peer) interaction. The anchor record is minted with the PII Controller ANCR record and in this way extended by a product or service purpose specification.
Annex C.1 Purpose Specification with 27560 Consent Record Information Structure
SUMMARY
An Anchored Notice Record is specified to capture the data control relationship between the PII Principal and the PII Controller, utilizing the international ISO/IEC 29100 standard.
In this schema, this record is extended by a service which presents the purpose specification to the ANCR record, to generate a notice, notification or disclosure as required.
For a person to specify and direct an electronic consent, or by a service to present a grant of consent for a specified purpose.
As a source of authority for the PII Controller to process personal data.
Linked, and presented / captured to record the state of security and privacy by default.
This can then always be used to identify the Controller and link subsequent notifications. The PII Controller details. And by linking it to a notice, the record header is embedded in the notice, in a standard format.
[Source ISO/IEC 29184 5.3.4][GDPR Art 13&14.1 (a)(b)][Convention 108+,
This purpose spec schema is specified for the PII Controller, (data protection) but can also be used as record to assess a purpose by a Privacy Stakeholder.
7560 Notes
The ANCR protocol is for generating a record of notice containing controller id and contact, this is always the event, in this regard the ancr_id maps to event id. To this extend event schema section is not required
The ANCR record is specified to 29100, in which the ‘privacy and security stakeholders’ are defined, in the context of the ANCR record, this means that any role (other than PII Principal) has a Controller id, relative to the PII Principal, in addition to the role for the specific context of processing - e.g. - Processor, recipient, 3rd party, which represent the processing role and activity relative to the ANCR record. This enables liability and risks to be delegated and transferred amongst the stakeholders specified to a per process instance. As a result the party_ID schema is incorporated in the ANCR Record ID, which is specific to a PII Controller, not a service or purpose.
Introduction
Consent receipt – and record info structure – was conceived as a record which capture the notice of a PII Controller, or the notice context of the PII Principal.
It is apart of an effort to standardized notice to open consent in order to decentralize data governance in identity management.
In this regard, 27560 is specified with the utility of the consent receipt in mind, which is to specify the purpose of personal data use and risks so that people can make informed choices and control personal data.
Schema Interoperability
The ANCR protocol is for generating a record of notice containing controller id and contact, this is always the schema ‘event’ indicator, in this regard the ancr_id field maps to and replaces the event id field in ISO/IEC 27560 WD 5 consent record information structure (ref; 27560)
To this extent the 27560 ‘event schema’ section is not required.
The ANCR record is specified to ISO/IEC 29100 (ref;29100), in which the ‘privacy and security stakeholders’ are defined, in the context of the ANCR record, this means that any role (other than PII Principal) has a Controller id, and stakeholder role, relative to the PII Principal,
As a result the party_schema is incorporated in the ANCR Record ID, which is specific to a PII Controller, not a service or purpose.
A 27560 consent record, which contains the PII Principal identifier in the same record, this would first need a consent receipt, with this purpose as proof of notice – or the record would demonstrate non-compliance with sources referenced in the ANCR record and rendered not interoperable with the ANCR record schema and spec.
In this regard, ANCR specification is interoperable for 27560, but 27560 is not interoperable with the ANCR record, as this breaks ANCR Record Security, and contravenes privacy considerations for management of the ANCR Record.
To address this we have introduced the missing link, which are the fields for a Proof of Notice ANCR record and receipt required to be blinded, consent to combine the records in such a way is evidenced. Hence providing proof, securing the PII Principals data under the Principal’s control, as well as being compliant with legislation and 29184.
The ANCR record can itself be extended in to a Controller Credential When the ANCR record is used in a consent receipt flow it can also be used to. ToiP-Controller Credential - https://wiki.trustoverip.org/pages/viewpage.action?pageId=27722576
Schema Mapping
The following mapping of the ANCR record schema is provide to conform to instructions provided in ISO/IEC 27560. To this extent, and accordance with ISO/IEC 27560 Art 6.2.3, this annex publishes the ANCR Record Schema’s at Kantara and hosted at the Human Colossus Foundation, for the Global Privacy Rights, public benefit Initiative.
This schema is intended to support the PII Principal to aggregate purposes per controller, per record. providing technical features to manage multiple legal justifications in a single service context.
Section1
Section 2 Purpose Specification is followed by
Section 3: Data Treatment and
Section: 4 Code of practice
Codes of practice can be approved and monitored which are used to combine multiple purposes together for an expected code of practice. A “Purpose Bundles” operated with a code practice can be approved and to operationalize privacy.
Anchored Record Schema ‘Structure’ Sections
In addition to the consent receipt schema, the ANCR record schema provides a protocol for its operation.
Section 1: Header: Proof of Notice
Section 2: Purpose Specification, (ANNEX C –is also Extension 1)
Section 3: Treatment Specification, W3C DPV
Section 4: Code of Practice Profiles
Section 5: Field Data Sources
These refer to 27560 line – 362 WD4, where it calls out the need to reference the schema(s) information structure used, in addition to demonstrating the capacity to maintain documentation for its correct technical implementation. - and conformance to the requirements specified in the 27560 documents.
ANCR to 27560 Schema (in draft for v08.6 - 0.9)
ANCR Consent Receipt Section | Label | Variations | Description | 27560 Term | Reference | ||||||||||||||||||||||||
1. Header- Control Object | ANCR ID | Specified to be a toot recorded identifier | Notice record id is used as root identifier for linking records about the status of privacy with that controller | Record id | |||||||||||||||||||||||||
schema version |
| ||||||||||||||||||||||||||||
PII Controller Identity Object
| Non-operational privacy contact point | ||||||||||||||||||||||||||||
Privacy Contact Point Object
| ANCR focuses on a KPI – for the transparency performance of privacy contact access point | ||||||||||||||||||||||||||||
Proof of Notice Object
| Uses notice type which would be equivalent to event type in 27560 | ||||||||||||||||||||||||||||
Concentric Notice Label | Different but incorporates how to fame 27560 defined consent types | Categorizes Notice Labels to indicate protocol for rights access and inherent risks |
| ||||||||||||||||||||||||||
2. Purpose Spec - Object | Purpose ID | ||||||||||||||||||||||||||||
Service Name | |||||||||||||||||||||||||||||
Purpose name | |||||||||||||||||||||||||||||
Purpose Description | Plausible RiSK - *can data control impact assessment) | ||||||||||||||||||||||||||||
Purpose Type | |||||||||||||||||||||||||||||
Legal justification | Lawful basis | ||||||||||||||||||||||||||||
Sensitive PII Categpry | |||||||||||||||||||||||||||||
Special PII Category | |||||||||||||||||||||||||||||
PII Principal Category | |||||||||||||||||||||||||||||
PII Processors | |||||||||||||||||||||||||||||
PII Sub-processors | New | ||||||||||||||||||||||||||||
Risk notice disclosure | ISO-29184 | ||||||||||||||||||||||||||||
Service Notice Risks | |||||||||||||||||||||||||||||
PII Principal Category | |||||||||||||||||||||||||||||
3. Treatment | Attribute Id | ||||||||||||||||||||||||||||
Notified Collection method | Collection method | ||||||||||||||||||||||||||||
expiration | |||||||||||||||||||||||||||||
Storage location | |||||||||||||||||||||||||||||
Retention period | |||||||||||||||||||||||||||||
Processing location Restrictions | |||||||||||||||||||||||||||||
Duration | |||||||||||||||||||||||||||||
State | Justification for processing (state of privacy) | ||||||||||||||||||||||||||||
status | |||||||||||||||||||||||||||||
termination | |||||||||||||||||||||||||||||
4. a) Code of Conduct/ | Inherent to concentric labels - Rights Objects: withdraw, object, restrict, access and rectification, termination of justification, | Regulated practice, approved be regulator or legislated | |||||||||||||||||||||||||||
Rights | |||||||||||||||||||||||||||||
Notice Defaults | |||||||||||||||||||||||||||||
Data portability | |||||||||||||||||||||||||||||
FoI-Access & Rectification | |||||||||||||||||||||||||||||
4.b)Code of Practice | Cop-ID | ||||||||||||||||||||||||||||
Surveillance Code of practice | Certified practice, | ||||||||||||||||||||||||||||
Children’s Design Code of Practice | |||||||||||||||||||||||||||||
Operational Privacy Code of Practice |
Terms (wip)
Purpose Bundle
Code of Practice Certification -
Badge -
Pre-Consent Notice Lable Type
Notify to confirm or change -
Then start -
Purpose Description – medical
Vital interest
Legal obligation
Operational personal data handle (3rd Party)
Approved by Regulator (yes/no)
Certified Body - ? - Certification
SSI – Gov – Principles – Codes of Conduct
Purpose Name
Purpose Label
Ancor Notice Record ID
ANCR Record Protocol
An Anchor record is a PII Controller Relationship Notice Record, very similar to a PII Controller Credential, but instead of being provided by a specific stakeholder, this – micro-credential can be created as an ANCR Notice Record by the PII Principal.
When a record or receipt is generated, it can use either this record, or a PII Controller provided record as the source record, for linking all of the subsequent record and receipts together. This way both the PII Controller and Principal have corresponding (mirrored) records which are not directly linked and separately controlled.
Revision history
Version | Date | Summary of Substantive Changes | |
0.1 DRAFT | 2021-02-28 | Initial v1.1 draft | |
0.5 | 2022-02-02 | Draft – updating scope to Notice and eConsent | |
0.8 | 2022-07-04 | Full outline / 70% drafted | |
0.8.5 | 2022-08-04 | Outline 100% Draft - Posted to Kantara Wiki |
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