Editors:
Version | Status | Writer | Editor | reviewer |
---|---|---|---|---|
v.01 | X | Mark Lizar - ; Summary of Intent | Mary Hodder | |
v.02 | X | Mark Lizar & Mary Hodder Stakeholder Analysis | John Wunderlich | |
v.03 | X | John & Mark: Summary of Compliance Contents | Mary Hodder | |
v.04 | Current | Spec Outline: Mark Lizar PDS Walkthrough: Markus Sabadello Open Notice CR Demo: Mark Lizar | John Wunderlich | |
v.05 | Next Edit |
Status
first draft in progress
Action Items
- Former user (Deleted) insert walkthrough demo links)
- John Wunderlich edit the outline for draft 5
- Mark Lizar (Unlicensed) Finish Compliance Scale description and compliance audit rules (needs a table)
- Mark Lizar (Unlicensed) needs a first read through edit after many changes
- Mark Lizar (Unlicensed) needs Open Notice Demo (in progress)
Related Documents:
- CISWG: Consent Requirements Map: (spreadsheet of laws/principles for receipt and data control R&D)
- Latest Consent Receipt Template
- Hackathon Video and Convergathon Hack Notes from July 12&13 2014 -->
- Scale of Compliance to measure the legal compliance of a consent receipt
Example Links
Respect Network (RN) Technical Demo:
- Store a Consent Receipt in your RN personal cloud using XDI: http://amazon-respect-consent.herokuapp.com/
- List Consent Receipts in your RN personal cloud: http://open-notice.github.io/respect-network-receipts/
Open Notice Website - Consent Receipt - Technical Demo
- Provides a simple consent receipt to show compliant policy (in progress) http://on.smartspecies.com/receipt-example/
- Show Directory of Supporters with consent to appear directory managed by supporters personal data store (in progress)
Overview
This is a specification to create a common format for provisioning consent receipts. The specification will provide Organisations the ability to create and provision a record of consent. The requirements are that the record is linked to the minimum notice requirements to be viable for self asserted compliance. The underlying strategic aim is to prioritise the 'Fast Track' usability of compliance.
This specification provides a simple audit and compliance scale to show by example how to measure the compliance of the minimum viable consent receipt.
The MVCR is extensible, by; 1 core notice compliance requirements, 2.Operational Context, 3. Trusted Services
- Consent notice requirements can be appended to the MVCR to accommodate different personal data sensitivity, data sharing and additional contextual compliance requirements.
- A context field is a field in the MVCR as there are contextual conditions and exceptions to consent that can be listed and applied by an organisation to the context of receiving consent. In the MVCR the context is a flag with yes or no, if yes, this means the provider has explicitly stated that they implement the check list of contextual consent requirements. Additional contexts can also be added to a consent receipt.
- Organisations can append Trusted Services links/icons to the receipt and further extend the assurance to capture multiple consent notice types e.g. cookie, terms of use. For additional notice delivery context, and, for
Specification by example (SBE) is a collaborative approach to defining requirements and business-oriented functional tests for software products based on capturing and illustrating requirements using realistic examples instead of abstract statements. It is applied in the context of agile software development methods, in particular behavior-driven development. This approach is particularly successful for managing requirements and functional tests on large-scale projects of significant domain and organisational complexity.[1] (https://en.wikipedia.org/wiki/Behavior-driven_development)
A key aspect of 'specification by example' is creating a single source of truth about required changes from all perspectives. This latest version specification with this document title is the single source of truth.
Objective
The aim of the specification is to produce a the minimum compliant capable consent receipt that directly links all required policies (open notices) to the consent receipt.
- An Organisation can use the MVCR to self assert that they are providing notice and getting implied consent in compliance with their policies and applicable regulations
- An service user (individual) can save the MVCR to a personal cloud and self assess if the receipt is compliant with the policies and practices of the organisation
Interoperability & Scalability
- Interoperable: the common format provide a common structure for the consent provisioner (the individual) to mange consent globally
- Open Notice is currently working on an open source: Open Consent Registry (OCR), which will be a customisable registry that can be use to automate the functions required to process and use consent receipts at scale.
Background
The Open Notice Initiative is an effort that calls for open consent (http://opennotice.org/callforcollaboration). This has resulted in the development of this specification for a Minimum Viable Consent Receipt(MVCR).
Glossary
Minimum Viable Consent Receipt(MVCR)
Minimum: (in Minimum Viable Consent Receipt) means to include links to all the policies that inform the consent
Viable: (in Minimum Viable Consent Receipt)
Example: Is an MVCR implementation that demonstrates a functional implementation of a consent receipt
Consent Receipt (CR) A Consent Receipt -denotes a single record of consent and consent context at point of consent provision,
Trusted Services; A provider of Trust/Privacy Icons, Standard Assurance, Reputation Services, Trusted Network, Trusted Protocols,
Data Subject(DS)
Data Controller(DC)
Operational Context of Consent: Consent is used as an operational identifier of a physical event which is accompanied by a defined notice requirements found in law
Minimum Viable Consent Requirements
The MVCR consists of fields that are used to linked to the (required-to-be open) consent policy at the point consent is provided and by so doing provide compliance by default. (as seen in Example1: Personal Cloud Storage of Receipt)
MVCR enables Organizations to self-assert that they are compliant and to provide in an open and reviewable manner their policies. To achieve a complaint rating a DC provides an audit able self asserted MVCR and agree's/states that they will implement contextual notice requirements listed for the MVCR. Most Data Controllers do not share personal information with 3rd parties and do not collect sensitive personal information will gain an automatic compliance. If a DC does share a DS personal information and/or collects a DS sensitive personal information, trusted service providers can automate higher level of compliance and provide a robust compliant by default status for complex consent requirements.
A MVCR with a complaint status will assure a level of regulatory compliance in a more than compliant manner as it is a digital record that both parties have and inherently more open. The consent receipt should make sense at a glance, be one click to use Data Controller contact, and to get to a purpose(s) short notice or trust . This visual format can then be audit for these data points at a glance, with one click access to all consent related policies by default.
MVCR: Consent Notice Fields
Minimum: means to only include only the fundamental links needed to gain transparency and make further usable the consent receipt for consent and identity management.
Field Name | Description | Purpose/Explanation | Reason Why This Field is Required | Cloud Receipt Capture & Sign: Format example in (XDI) Note: following lines all prepended with ([=]!:uuid:1111/[+]!:uuid:9999) |
---|---|---|---|---|
Data Subject | Name or pseudonym of the user at minimum, | Data Subject is primary party to consent | Is the consent contributor and primary party of the consent, (which is why this is the first field of the MVCR) if not signed by Data Subject then its use post consent may be limited. | Data Subject: Alice [=]!:uuid:1111 |
Address (and jurisdiction) of Data Controller | Name of the entity issuing the receipt | Should be the entity/organization that is in control of the personal data and is responsible for consent compliance. | Is the Data Controller and is the primary party responsible for administration of the consent | Data Controller: Amazon [+]!:uuid:9999 |
Purpose | The purposes for which the personal information is being collected. | this is a single purpose at minimum linked to the short purpose notice, or policy of purpose. | A purpose notice is a basic and common legal requirement and functionally a requirement of consent. | [#receipt]!:uuid:1234[<#purpose>]<@0>&/&/"We need to process your payment." [#receipt]!:uuid:1234[<#purpose>]<@1>&/&/"We need your data to prevent fraud." [#receipt]!:uuid:1234[<#purpose>]<@2>&/&/"We will advertise to you." |
Location of Consent | The location of the consent provision. from which the consent receipt originates.(For example the web page with the consent button. ) | This indicates the 'point of consent' - hopefully a button where the user clicked "I agree" or "I consent" (i.e. the biggest lie) Can be a URI, URL, URN, This can also be a physical space where surveillance legal notice requirements exist (EU) - Global Positioning System (GPS) |
| |
Sensitive Personal Data Flag (Y/N) | Flag to categorise the information collected as sensitive or not (Y/N) | Each jurisdiction has classifications of sensitive personal information: The generally include health, financial, Child Protection, Religious, Union categorisations | If Yes, then additional notice requirements are needed to confirm its compliance status. If No, then the consent is automatically compliant | |
Third Party Sharing | Flag whether data is shared with third parties. (Y/N) | If true, then compliance is dependent upon additional notice requirements not present in a MVCR. This can be addressed with the "Third Party Sharing" extension. | If Yes, then additional notice requirements are needed to confirm its compliance status. If No, then the consent is automatically compliant | |
Timestamp | When consent was obtained | To record when the user, either by implication or explicity, granted consent for the purposes described. | ||
Privacy Policy | The issuing entity's privacy policy (either inline copy, or reference to URI) | If not available, should provide a notice that it is missing | Is the minmum Policy (or short notice) Needed to create a consent receipt. | |
Context | Flag wether the Operational Requirements are present or not. (Y/N/Unknown) | For the presentation of consent there are contextual and prescriptive requirements in legislation, a check list of these elements is being crated in this draft below. (this list is living draft ) | Consent has contextual compliance requirements for the notice to be sufficent. These depend on the location of the consent and data subject. An organisation can agree to add address this list when implementing the consent receipt. |
Context: Operational Context Legal Requirements for MVCR Context (in progress)
operation Context is for receipt provisioner to provide
Each jurisdiction has prescriptive text which need to accompany specific types of consent as well as legally written terminology for these requirements. With notices there are also contextual and prescriptive requirements in legislation.
This table will collect a check list of these elements is being crated in this draft below.
Context | Description | UK Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:31995L0046:EN:HTML | EU | USA | Canada |
---|---|---|---|---|---|
Online Consent | To provide notice at point of consent the consequences of not provisioning consent | X | X | ||
Online Consent | To indicate what is required and optional information to provide for consent | X | X | ||
Physical Consent | Sign posted upon entry to physical space |
Notice Legal Requirements Included for the MVCR Format (in progress)
Notice Requirements Receipt Meets | Description | UK UK DPA 1998 | EU Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:31995L0046:EN:HTML | USA | Canada |
---|---|---|---|---|---|
Contact of Data Controller (DC) | Legally required to provide contact details of the DC | X | X | ||
Address of Data Controller (DC) | Legally required to provide contact details of the DC | X | X | ||
Purpose(s) | Legally required to provide purpose for data control | X | X | ||
Third Party Legal Requirements Transparency | This is a flag to see if additional notice extensions are requirements to assess compliance | X | X | ||
Sensitive Personal Information Collection Transparency | This is a flag to see if additional notice extensions are requirements to assess compliance | X | X |
Extensions for the MVCR
An extension can be appended to the MVCR to strengthen the compliance of a consent receipt,
Extension Types
- core extension
- Operational Context Extensions (OCE)
- Trusted Services - Trust Framework Extensions
Core Extensions
In each jurisdiction there are sensitive types of personal information found in privacy and data protection law. Each sensitive type corresponds to a jurisdiction, is defined by an industry, and has prescribed context requirements for the use of a notice. Core extensions can be added to the MVCR to meet more complex notice requirements and meet the requirements of multiple regulatory jurisdictions. .
Core extensions can be used by policy makers to localise the use of consent notices to operational contexts
Operation Contexts
Online (via web browser),
Device Type
Physical Space
Trusted Services
3rd party trusted services can also be used to extend the compliance or trust inherent to corporate process and these can be added in the form of linked Icons to a MVCR.
MVCR Proposed Extensions Table (in progress)
These are the extensions tables. This is an active list of extensions being planned and/or developed need to include the name of the filed, have a description, context, benefit, and examples.
The various table currently include.
Extension Type | Field Name | Description | Instructions | Legal Requirement (this item must be listed on LR table) | Context (this item must be listed in the Operational Requirements table) | (usability/Interoperability Benefit) | XDI Example |
---|---|---|---|---|---|---|---|
Core | Jurisdiction | The jurisdictions of the parties: the data protection authority is mandatory. |
| Usability: enables receipt to be used as evidence or for the purpose of legal data controls out of context of the consent event. | |||
Core | Sensitive Data | ||||||
Core | 3rd Party Trusted Services Extension (this is the functionality for Registry) | ability to add trusted services to the minimum viable consent receipt | This incorporates 3rd party sharing and purpose listing format | ||||
Consent Receipt Request Extension | This is a button a user can press to request a consent receipt from a business |
|
| This is for all contexts of the MVCR | Usability | ||
Trusted Servrice | Policy Extension for Consent Cookie Policy Link | The issuing entity's cookie policy Link (either inline copy, or reference to URI) | If not available, should provide a notice that it is missing or self assert an icon | Legally in the EU a cookie requires explicit assent |
| ||
Trusted Service | Policy Extension for Terms of Service Link | The issuing entity's terms of service (either inline copy, or reference to URI) | If not available, should provide a notice that it is missing | Legally Terms need to be open and accessible in order to be fair and reasonable. |
| ||
Trusted Services
Trusted services/networks and frameworks, can be used to meet or exceed notice(and therefore consent) legal requirements. Or to address the need for assurance and trust for people so that consent and its management can be automated and more usable.
Draft Trust Services Auditing Compliance Scale
Type of Trust Framework - Consent Policy Format
Personal Policy Preference Consent Extension Location
Trusted Service Provider Examples Tracker: Analytics etc:
Cookie Do Not Track browser header cookiepedia, privacy clearing warehouse, Ghostery Terms of Use Policy
Agree to terms TOS;DR, Citizen Me Policy Tracking Services Policy Comparison Has terms materially changed ( is consent still compliant? ) TOSBack Consent Type What kind of consent has been received To record the type of consent or whether there is an exception to the requirement for consent. Reputation
Trust Framework (all trust services provide reputation) Privacy Icons
Pictorial Short Notices Disconnect Me Capture of Personal Preference at Time of Consent Does the issuing entity acknowledge DNT If not available, should provide a notice that it is missing Data Control Protocol
User Managed Access Trusted Network Service
Respect Network Standards
Certificates
TrustE Levels of Assurance KI: Identity Assurance Framework
Usability: MVCR Provision Example
The MVCR has a base template that is being updated all the time.
Old Version can be found XXX
(******Template HERE***)
We have a template that we are using for the technical design of the consent receipt, the GUI design is also out of scope. What is provided by default is a Consent Receipt Template that we are using for technical design.
Open Notice Consent Receipt Example
(Example (in progress) can be found at http://on.smartspecies.com/support-open-notice/
(******SCREEN SHOT HERE***)
Storing Receipt in Personal Data Store: Technical Walkthrough Example with Respect Network
Amazon Respect Use Case: With the Respect Network and Open Notice
(Note: Amazon Respect is a Fictitious organisation used here only as an example)
(http://open-notice.github.io/consent-receipt/amazon-mock/signup.html)
Implementation of consent receipt which is signed & created by a DC and stored in a personal Cloud.
To make the consent receipt usability scalable it needs to be signed and put in a personal data store.
This specification and demo is created to demonstrate a MVCR being implemented without the need for an Open Notice Registry with the Respect Network (Trusted Network) Trust Framework which natively has the ability to provision receipts to the highest level of compliance . This walk through demo is intended to demonstrate how a consent receipt can be stored in a personal cloud from this spec document and demonstrate 'Fast Track' usability.
DS goes to amazonrespect.com website
Website presents form and asks for consent:
either to sign up initially
or for additional consent and profile management when already logged in
DS agrees (clicks on “i agree” button)
DC website initiates creating the receipt for the consent that was just given.
DC checks for reciept data collection and notice extensions and finishes creating the receipt
The receipt is signed by DC.
DC website sends an XDI message to DC’s RN cloud to store the signed receipt.
DC shows popup window with options (what to do with the receipt). The signed receipt is embedded in the popup window.
email to DS using email address in amazon profile
store in users personal cloud
capture in browser
download receipt as pdf
opt out of a receipt.
DS clicks on “store receipt in my RN cloud”. (default option)
popup window asks DS, what is your cloud name?
DS types cloud name =alice
popup window runs XDI discovery to find DS’ RN cloud
popup window sends an XDI message to DS’ RN cloud to store the signed receipt
The usability of a MVCR can then be made scalable for use in aggregate beyond the point of consent for the data subject with a process in whch the receipt is digitally signed by both parties which identifies the jurisdiction of the Data Controller and of the Data Subject. (the digital signing of the data subject is currently out of scope of the first draft1)
MVCR Mock Up for Amazon Respect Use Case
MVCR Compliance Audit
Each field on the MVCR contains legal notice requirements, each of these components are listed in and the presence of these are counted and a flag is added to record if any of these self asserted claims have been disputed and not resolved.
The MVCR has a maximum rating of compliant. Additional Ratings are possible with extensions.
Notice Compliance Checklist | Non Compliant | Partially Compliant | Compliant | Above Compliant | Trusted | User Managed |
---|---|---|---|---|---|---|
Contact of DC |
|
| X |
| ||
Address of DC |
| X |
|
| ||
Purpose(s) |
| X |
|
| ||
Sensitive Data (If NO) |
|
| X |
| ||
Share with 3rd Party (If No) |
|
| X |
| ||
Any of the above self asserted is Disputed or un verifiable (Y/N Flag) (If No) ( if Yes and unresolved = Non-Compliant) | X |
MVCR Compliance Scale
The compliance scale is the social aspect of the MVCR Specification. The scale provides a simple icon for a universal measure of MVCR compliance.
Summary of Benefits to MVCR
- Transparency: The MVCR receipt is a common format for the legally required policies which provide notice. links to all notices and demonstrate a much higher level of minimum viable notice (for consent) legal compliance. This standard is intended to augment the existing legal notice and consent infrastructures that is already in place and reward greater transparency of consent. .
- Extensible: The MVCR Spec is intended to be easily extensible and auditable, with a jurisdicitional legal compliance audit built in for making transparent legal context and controls of a consent transaction. Meaning that consent legal notice requirements are different by jurisdictions, industry, for various sensitive data types, for sharing to 3rd parties, tracking (cookie consents), in additional to personal and contextual consent preferences of the individual. Extensions are notice requirements layered onto this MVCR format to meet and match legal requirements and trust frameworks to address cross jurisdictional management of consent.
- Trusted Services Vehicle: A receipt passed to the service user at time of consent provides a legal trust framework to build upon. As a result it is the MVCR is intended as a vehicle for delivering trusted services to the individual. A stakeholder can utilise trust services, which are then linked to the receipt, which further extend the compliance and "fast track" usability of consent and identity management by using a spec compliant receipt. Eg.privacy icons, TOS reputation, certifications, trusted networks, and protocols
- MVC is intended to be an all purpose consent process enhancement.
- This MVCR specification is intended to be used so any organisation can implement the spec and provide a MVCR.