Version: 0.7
Document Date: Dec 6, 2023
Editor(s): Mark Lizar
Contributors:
Contributing Orgs: 0PN:Digital Transparency Lab, Human Colossus Foundation, Privacy & Access Council Canada,
Produced by: ANCR-WG
Status: WG Draft v0.7 (updated from Sept 2022-Archive)
Editor Note
A Record of processing provides transparency over who is accountable and is a pre-condition for processing PII with scalable governance and security. Operational transparency, with mirrored records of processing scales human context and understanding into systems. Transparency over data control ensures a consent by default methodology enabling individuals to regulate surveillance. Brining together two very mature regulatory instruments, standard for records, and compliance for receipts, with a new technical standard of digital credentials.
much like a transaction receipts, bank accounts and currency is regulated and tracked today.
Abstract:
Currently, when online service are involved, the PII Principal (referred to as the Data Subject or Individual in regulation) is unable to see who is in control of processing their personal data before it is processed, shared or disclosed. As a result consent online is not valid.
Individuals have no way to assert authority upfront, to determine, imply or negotiate the conditions of data processing, identifier generation, its management or to even establish a trust protocol to engage with.
Functionally, people are not able to see (therefore trust and control) the creation use and disclosure of digital identifiers (meta data). The use of which, require standardized transparency to provide data governance that scales from centralized to decentralized 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 personal identity technologies.
This Kantara Initiative work effort began when Liberty Alliance became the Kantara Initiative, becoming the Consent and Information Sharing WG in 2015. Creates to standardize transparency as an alternate to custom terms and conditions, user license, contracts.
IPR Option:
This specification is open under Kantara Initiative Patent & Copyright: Reciprocal Royalty Free with Opt-out to Reasonable And Nondiscriminatory (RAND).
Suggested Citation:
ANCR Specification v0.7
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
Preface
Public international laws and standards for digital record and receipts promise to dramatically lower the cost of security and increase the effectiveness of privacy. The use of ISO 29100 security and privacy framework for consented data access, control and transfer adequacy proposes a low cost, or free notice record framework for PII Principles (and Controllers). To facilitate the governance and regulation by all privacy stakeholders, by regulating authorities.
ANCR Record
An ANCR Record, is the initial digital identity rep relationship record in a linked chain of records, in which a record of a processing activity captures a; notice, notification or disclosure, in a standard record, using data privacy vocabulary. The record is a snapshot of the state of digital privacy transparency provided by a PII Controller, or a PII Controller’s delegate processor.
The notice record is first specified as a static, one-time use notice record that is created by the PII Principal and used to initiate a state of operational transparency in context measured by access to, and performance of rights.
Table1: Single Use Notice Record: PII Controller Identity & Contact Transparency Report
Field Name | Field Description | Requirement: Must, Shall, May | Field Data Example |
Notice Location | Location the notice was read/observed | MUST | https://www.walmart.com |
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@org.com |
Privacy Contact Type | The Contact method provided for access to privacy contact | MUST | |
Privacy Contact Point | Location/address of Contact Point | MUST | Org.com/privacy.html |
Session Certificate | A certificate for monitored practice | Optional | E.g., SSL Certificate Security (TLS) and Transparency |
Anchoring the Notice Record for Trust
Without a record identifier, added to each record, this initial record is un-anchored notice record. This record can be extended for use as a Trust Anchor for the PII Principal by adding an ANCR Record ID used to track the PII Controller and the data processing relationship over time.
As a trust anchor, it becomes a record the individual can use to verify the digital identity relationship to secure a privacy context in a system.
Notice Record References
For the purposes of this specification, the following terms and definitions apply as, normative, non-normative to be used per context, and additive, in that they aid human understanding and data control.
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:
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
1980/2013 OECD Guidelines on the Protection of Privacy and Transborder Flows of Personal Data [OECD]
Kantara Initiative Consent Receipt v1.1
Additive Reference
General Data Protection Regulation (GDPR)
Council of Europe Convention 108+ (Conv. 108+)
PIPEDA – Individual, Meaningful 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
Object – a field object
Array – an array of field objects
Terms and definitions
The definitions reference terms that are used in this specification to indicates what is normative, non-normative, and additive.
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.
Concentric Notice Types
For Individual participation and access
The concentric notice type, refers to a notice label that is provided by or to the PII Principal according to data processing default legal context. The labela act as a short code to quickly see. or signal, the legal context of data processing and what digital privacy rights are typically accessible for the context.
Note: Should link to notice modality risks, derogations and obligations
[Source: ANCR Notice Record Annex C]
References for Concentric Notice Types
Establishing procedures to enable PII principals to exercise these rights in a simple, fast and efficient way, which does not entail undue delay or cost. To provide notice where it is required, in a language appropriate to PII principals, at a time that permits PII principals to meaningfully exercise consent, at places where it is easy for PII principals to recognize, and with references that pro
[29184: Art 5.2.1]
Modalities should be provided for facilitating the exercise of the data subject's rights under this Regulation, including mechanisms to request and, if applicable, obtain, free of charge, in particular, access to and rectification or erasure of personal data and the exercise of the right to object. The controller should also provide means for requests to be made electronically, especially where personal data are processed by electronic means. The controller should be obliged to respond to requests from the data subject without undue delay and at the latest within one month and to give reasons where the controller does not intend to comply with any such requests.
[GDPR Rec 59]
Any processing of personal data should be lawful and fair. It should be transparent to natural persons that personal data concerning them are collected, used, consulted or otherwise processed and to what extent the personal data are or will be processed.
The principle of transparency requires that any information and communication relating to the processing of those personal data be easily accessible and easy to understand, and that clear and plain language be used.
That principle concerns, in particular, information to the data subjects on the identity of the controller and the purposes of the processing and further information to ensure fair and transparent processing in respect of the natural persons concerned and their right to obtain confirmation and communication of personal data concerning them which are being processed.
Natural persons should be made aware of risks, rules, safeguards and rights in relation to the processing of personal data and how to exercise their rights in relation to such processing.
Personal data should be processed in a manner that ensures appropriate security and confidentiality of the personal data, including for preventing unauthorised access to or use of personal data and the equipment used for the processing and for preventing its unauthorised disclosure when it is transmitted.
[Source Conv 108+ Rec.20]
Notice
Adhering to the openness, transparency and notice principle means:
Providing PII principals with clear and easily accessible information about the PII controller’s policies, procedures and practices with respect to the processing of PII;
- including in notices the fact that PII is being processed, the purpose for which this is done, the types of privacy stakeholders to whom the PII might be disclosed, and the identity of the PII controller including information on how to contact the PII controller;
- disclosing the choices and means offered by the PII controller to PII principals for the purposes of limiting the processing of, and for accessing, correcting and removing their information; and
- giving notice to the PII principals when major changes in the PII handling procedures occur.
[ISO/IWC 29100]
Notice may be required, among other situations, when the organization plans to collect new PII (from the PII principal or from another source) or when it plans to use PII already collected for new purposes.
[Source ISO/IEC 29184]
The principle of transparency requires that any information addressed to the public or to the data subject be concise, easily accessible and easy to understand, and that clear and plain language and, additionally, where appropriate, visualisation be used.
Such information could be provided in electronic form, for example, when addressed to the public, through a website.
This is of particular relevance in situations where the proliferation of actors and the technological complexity of practice make it difficult for the data subject to know and understand whether, by whom and for what purpose personal data relating to him or her are being collected, such as in the case of online advertising.
Given that children merit specific protection, any information and communication, where processing is addressed to a child, should be in such a clear and plain language that the child can easily understand.
[GDPR Rec.58]
Principles relating to processing of personal data
(a) processed lawfully, fairly and in a transparent manner in relation to the data subject (‘lawfulness, fairness and transparency’);
[Conv 108+: Art.4(a)]
Broadly refers to any surveillance or privacy notice, notification, disclosure, statement, policy, sign or signal used to indicate personal data processing.
[ANCR Notice Record ]
Notice Modalities
The organization may implement the control using different techniques: layered notices, dashboards, just-in-time notices and icons, and may provide notices in a machine-readable format so that the software which is presenting it to the PII principal can parse it to optimize the user interface and help PII principals make decisions.
The organization may implement the control using different techniques: layered notices, dashboards, just-in-time notices and icons, and may provide notices in a machine-readable format so that the software which is presenting it to the PII principal can parse it to optimize the user interface and help PII principals make decisions.
Machine-readable notices may be provided in a standardized XML or JSON format. By so doing, becomes possible for devices to select items appropriately and display graphics and icons where applicable.
[Source ISO/IEC 29184 5.2.7]
Transparency, including general information on the logic underlying the PII processing, can be required, particularly, if the processing involves a decision impacting the PII principal. Privacy stakeholders that process PII should make specific information about their policies and practices relating to the management of PII readily available to the public. All contractual obligations that impact PII processing should be documented and communicated internally as appropriate. They should also be communicated externally to the extent those obligations are not confidential.
[Source ISO/IEC 29100 5.8]
That information may be provided in combination with standardised icons in order to give in an easily visible, intelligible and clearly legible manner, a meaningful overview of the intended processing. Where the icons are presented electronically, they should be machine-readable.
[Conv 108+ Rec 35]
Notice Record
When organizations should seek consent for changes such as those outlined here, they should consider whether the PII principal has access to a record (of some kind) of their original consent, as well as how much time has elapsed between the original consent and the present. If the PII principal is able to access a record of their prior consent readily and if the elapsed time is not significant, organizations may provide notice of the changes and seek consent for same. Otherwise, the organization should seek reconfirmation of the original consent in addition to consent to the notified changes.
Where re-consent is requested, and no response is received, it should be assumed that the original consent has been withdrawn.
[Source 29184: 5.3]
Each controller and, where applicable, the controller's representative, shall maintain a record of processing activities under its responsibility. That record shall contain all of the following information:
(a) the name and contact details of the controller and, where applicable, the joint controller, the controller's representative and the data protection officer;
[Source GDPR Art 30]
Records of processing activities
1. Each controller shall maintain a record of processing activities under its responsibility. That record shall contain all of the following information:
(a) the name and contact details of the controller, the data protection officer and, where applicable, the processor and the joint controller;
[Source: Conv 108+ Art 31]
A record of a notice utilizing 29100 and 29184 for schema structure, and controls regarding notice content. It is used to implement operational defaults to demonstrate conformance to regulation, local and/or contextual, to practice surveillance in the processing of personally identifiable information
[Source ANCR Notice Record]
Privacy Principles
The privacy principles of ISO/IEC 29100
Consent and choice
Purpose legitimacy and specification
Collection limitation
Data minimization
Use, retention and disclosure limitation
Accuracy and quality
Openness, transparency and notice
Individual participation and access
Accountability
Information security
Privacy compliance
[Source: ISO/IEC 29100 Table 3]
Proof of Notice
Providing a record 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
Security
Table A.1 — Matching ISO/IEC 29100 concepts to ISO/IEC 27000 concepts | |
ISO/IEC 29100 concepts | Correspondence with ISO/IEC 27000 concepts |
Privacy stakeholder | Stakeholder |
PII | Information asset Information security incident Control |
Privacy breach Privacy control Privacy risk | Risk |
Privacy risk management | Risk management |
Privacy safeguarding requirements | Control objectives |
[Source: ISO/IEC 29100: Annex A]
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 2.27]
‘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]
Notice Record Information Structure
The ANCR Record is essentially a layered record schema, the first record is the minimum viable consent receipt record, This record collects no additional data, except what the PII Principal would require to see in order to initiate electronic notice and consent dialogue with some operational security assurance.
Base Notice Record Schema. This is a private Un-Anchored Notice Access Record
Personal Notice Data is added to the private record
PII Principal private record is extended with personal data specific to use of notice
A Proof of Notice (PoN) credential is generated.
which is used to determine if the PII Controller identity information and privacy contact point is operationally transparent
The corresponding field names, description, and conformance criteria. Utilizing “named object” data types to define the principal requirements within the ANCR.
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
Notice Record Schema: PII Controller Identity & Privacy Contact Point Schema
This is the schema elements that are used to generate a un-anchored notice record and do not contain any PII, or digital identifiers.
Field Cat Name | Name | Object Description | Presence Requirement |
PII Controller Identity | Object | _ | Required |
| Presented Name of Service Provider | name of service. E.g. Microsoft | May |
| PII Controller Name | Company / organization name | MUST |
| PII Controller address | _ | MUST |
| PII Controller contact email | correspondence email | MUST |
| PII Controller jurisdiction legal reference | PII Controller Operating Privacy Law | MUST |
| PII Controller Phone | The general correspondence phone number | SHOULD |
| PII Controller Website | URL of website (or link to controller application) | MUST |
| PII Controller Certificate | A capture Website SSL | OPTIONAL |
Privacy Contact Point Location | pcpL |
|
|
Privacy Contact Point Types (pcpT) | Object | Must have at least one field for the PCP object | MUST |
| PCP-Profile | Privacy Access Point Profile | ** |
| PCP-InPerson | In-person access to privacy contact | ** |
| PCP-Email | PAP email | ** |
| PCP-Phone | Privacy access phone | ** |
| PCP -PIP- URI | privacy info access point, URI | ** |
| PCP-Form | Privacy access form URI | ** |
| |||
| PCP-Bot | privacy bot, URI | ** |
| |||
| PCP-CoP | code of practice certificate, URI of public directory with pub-key | ** |
| |||
| PCP-Other | Other | ** |
PCP Policy | pcpp | privacy policy, URI with standard consent label clauses | MUST |
Proof of Notice Record Schema
A consent receipt, when provisioned with is Proof of Notice record, builds on the PII Controller Identity and Contact field base to generate a proof of notice record with PII fields to a corresponding private proof of notice record.
This legally required information for proof of notice. This event information is needed for legal chain of evidence, in which PII is added to the record but blinded, and secure. Starting with the Private ANCR Record ID which the PII Principal can use to aggregate operational transparency information for more advanced use in context.
Field Cat | Field Name | Description | Presence |
ANCR Record ID | Blinded identifier secret to the PII Principal | Required | |
Schema version |
|
| |
Timestamp |
| _the time and date when the ANCR record was created | Required |
Legal Justification |
| One of six legal justifications used for processing personal data |
|
Notice Record | Object labels |
|
|
| Notice Type | Notice, notification, disclosure | Required |
Notice legal location | The location ore region that the PII Principal read the information., | ||
| Notice presentation method | Website | MUST |
| online notice -location | 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 |
Concentric Notice Label | cnl | a label that is mapped to legal justifications, rights and controls that can be provided by default, for a specified purpose | SHALL |
Private Notice Record Schema
These fields can be asserted by the PII Principle to extend the functionality beyond the transparency KPI’s specified.
These private record fields are separated from the Proof of Notice schema, as these are kept and controlled by the PII Principal and are used to provide defaults.
*** PII COntroller Consent record must have consent first before making . E.g. Authority to use this for security, -- (non-compliant). ***
ANCR Record Field Name | Description | Required/Optional | Security Consideration |
schema version | A number used by the PII Principal to track the PII Controller Record | Optional (unless shared or used further) | Blinded Pseudonymized Anonymized Verified Credential Attribute |
Anchor Notice Record 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 | optional | ||
Device Type | May | ||
PII Principal Private- Key | |||
Notice Record Security
Notice Record is first a tool of transparency, a private record with this minimal purpose. It is then extended into two records, 1. being a private proof of notice record proof of notice record, which provides assurance that the PII Principal has read the notice. Impl
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 a proof of notice is required for consent to process personal data. This is an initial securtiy check that does not require digital identifiers, prior to notice and the presentation of a service purpose, for any legal basis, at which point consent defaults can be applied to automate purpose notification,
‘Anchoring’ the digital identity relationship with a record that establishes an initial state of security and privacy defaults to provide notices that record, 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 sur requirement 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.
Conclusion –
Towards Privacy
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
Notice Record Extensions
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 : ANCR OPERATIONAL SCHEMA
ANCR Record, with these annex show the human centric transparency ontology, This annex focuses on the data technical semantics of the ontology from a Human (label), for legal reference, to a machine readable attribute, for an operational transparency schema.
Field Label (or Name)
Attribute Name
data types, for attribute … machine readable element
Text: a data type that defines a human-readable sequence of characters and the words they form, subsequently encoded into computer-readable formats such as ASCII.
Numeric: a data type that defines anything of, relating to, or containing numbers. The numbering system consists of ten different digits: 0, 1, 2, 3, 4, 5, 6, 7, 8, and 9.
Reference: a data type that defines a self-addressing identifier (SAID) that references a set of attributes through its associated parent. SAID is an identifier that is deterministically generated from and embedded in the content it identifies, making it and its data mutually tamper-evident.
Boolean: a data type where the data only has two possible variables: true or false. In computer science, Boolean is an identification classifier for working out logical truth values and algebraic variables.
Binary: a data type that defines a binary code signal, a series of electrical pulses representing numbers, characters, and performed operations. Based on a binary number system, each digit position represents a power of two (e.g., 4, 8, 16, etc.). In binary code, a set of four binary digits or bits represents each decimal number (0 to 9). Each digit only has two possible states: off and on (usually symbolised by 0 and 1). Combining basic Boolean algebraic operations on binary numbers makes it possible to represent each of the four fundamental arithmetic operations of addition, subtraction, multiplication, and division.
DateTime: a data type that defines the number of seconds or clock ticks that have elapsed since the defined epoch for that computer or platform. Common formats (see 'Format Overlay') include dates (e.g., YYYY-MM-DD), times (e.g., hh:mm:ss), dates and times concatenated (e.g., YYYY-MM-DDThh:mm:ss.sss+zz:zz), and durations (e.g., PnYnMnD).
Array [attribute type]: a data type that defines a structure that holds several data items or elements of the same data type. When you want to store many pieces of data that are related and have the same data type, it is often better to use an array instead of many separate variables (e.g. array[text], array[numeric], etc.).
ANNEX B
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.
Privacy State (tentative)
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 (tentative)
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 ,
PII Principal
Transparency 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)
Transparency Status Types
Not-Available
In-Active
Active
Active & Operational
Active & Dynamic
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 | |
8.8.2 | Annex Updates | ||
8.8.3 | Restructured Sections and schema, cleaned schema up a little – practice what preaching by making spec structural human centric | ||
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