Information Privacy Awareness Seminar

Transcription

1 Information Privacy Awareness Seminar Frank Dawson/Nokia, Director information privacy standards Ecole Polytech Nice Sophia Antipolis Nokia 2015 Information_Privacy_Awareness-Seminar-Ecole_Polytechnic_Nice_SA Author :Frank Dawson

2 Information Privacy Awareness 1. WHY The Privacy Imperative Privacy Triangle of Trust Privacy incidents Regulatory impact for businesses 2. WHAT EU GDPR and ISO Terminology Roles within the Privacy Framework Privacy Principles Essence of privacy Privacy data lifecycle Personally Identifiable Information and Identifiability 3. HOW Compliance or Accountability Elements of an ACCOUNTABLE privacy program Privacy intent of the organization Foundation principles of PbD Privacy program roles & responsibilies Privacy activities across the product life cycle 4. HOW - Privacy Engineering & Assurance simplified Applying Privacy Engineering Privacy Engineering steps Privacy Assurance steps Privacy impact assessment Privacy risk management Assessing privacy maturity Privacy related business processes 2

3 Privacy Triangle of Trust Privacy Regulatory, policy 3 Nokia Internal Use

4 No privacy without security HTC Case HTC was punished by the US govt for negligence in security engineering No security training for staff No security reviews or testing for vulnerabilities Not following well-known secure coding practices No process for receiving & addressing vulnerability reports from 3rd parties Millions of devices with vulnerabilities in so many ways (read the fine print) 4 4 Impact: HTC is required to fix all of these and to establish a comprehensive security program AND undergo independent security assessments every other year for a 20 year period

5 Keep your privacy promises to your consumers Google / DoubleClick Case Circumvented Apple privacy safeguards on Safari browsers Stanford research discovers DoubleClick over-riding cookie control Millions of consumer effected Impact: FTC imposes record fine Prompts EU investigations Google pays a record $22.5m fine to the US Federal Trade Commission (FTC) after it tracked Apple iphone, ipad and Mac computer users by circumventing privacy protections on the Safari browser for several months in end 2011 and early The fine is the largest paid by one company to FTC, which imposed added 20-year privacy order on Google in March 2010 after concerns about the launch of Google Buzz social network. Jon Lebowetz, FTC Chairman, said The record setting penalty in this matter sends a clear message to all companies under an FTC privacy order. No matter how big or small, all companies must abide by FTC orders against them and keep their privacy promises to consumer, or they will end up paying many times what it would have cost to comply in the first place. 5

6 Provide consumer fair notice and choice Facebook owned Instagram photo sharing social network site changed its Terms of Use so it could exploit members' photographs for profit - without compensating the owners Impact: Daily active users fell from almost 16.3 to about 7.6 million and some Brand damage caused ( To do a Zuckerberg and To be Instagrammed marketing term coined) 6

7 Follow data minimization & purpose specification Pentium III included a unique, retrievable, identification number, called PSN (Processor Serial Number) that could be read by software through the CPUID instruction if feature not disabled through the BIOS Impact: Product design decisions had farreaching impact on consumers' online privacy. Intel's market dominance, coupled with the lack of accurate material about the privacy implications of the PSN, and the inability of individuals to control the use of the PSN, placed consumer privacy at risk. Regulatory response: EU Parliament action to prevent chips from computer destined to EU consumers and public acquisition. Formal inquiry averted by Intel decision to remove PSN feature on Tualatin-based Pentium IIIs, and the feature was not carried through to the Pentium 4 or Pentium M. 7

8 Regulatory potential for businesses Authorities are doing joint-enforcement on major companies Example: Facebook Canadian, US, Nordic, Irish regulators investigated complaints and found violations Increasing public policy maker interest in mobile technologies Example: Positioning technologies More and more laws globally Enforcement Actions: Fines, up to 2% global revenue Penalties Cost of remediation Forced privacy program 20 year external audit Deletion of unlawfully collected data Sales stops, recalls 8

9 Information Privacy Awareness 1. WHY The Privacy Imperative Privacy Triangle of Trust Privacy incidents Regulatory impact for businesses 2. WHAT EU GDPR and ISO Terminology Roles within the Privacy Framework Privacy Principles Essence of privacy Privacy data lifecycle Personally Identifiable Information and Identifiability 3. HOW Compliance or Accountability Elements of an ACCOUNTABLE privacy program Privacy intent of the organization Foundation principles of PbD Privacy program roles & responsibilies Privacy activities across the product life cycle 4. HOW - Privacy Engineering & Assurance simplified Applying Privacy Engineering Privacy Engineering steps Privacy Assurance steps Privacy impact assessment Privacy risk management Assessing privacy maturity Privacy related business processes 9

10 Information privacy The right of an individual to control the processing of their personal data such that there is: No hidden, unwanted, uncontrolled, excessive or insecure Collection, processing and disclosure of consumer s personal data 10

11 EU GDPR and ISO TheEU data protection regulations will soon be based on the proposed General Data Protection Regulation Potential harmonizing DP effect across EU businesses ISO defines a Privacy Framework that reflects many of the proposed components of the GDPR The PDF of the standard is freely available here Privacy Framework includes: Terminology Roles and interactions Recognizing PII Privacy safeguarding requirements Privacy policy Privacy controls Privacy principles 11

12 Terminology ( ) Identifiability - condition which results in a PII principal being identified, directly or indirectly, on the basis of a given set of PII 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 PII Controller - 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 PII Principal - natural person to whom the personally identifiable information (PII) relates PII Processor - privacy stakeholder that processes personally identifiable information (PII) on behalf of and in accordance with the instructions of a PII controller Privacy Breach - situation where PII is processed in violation of one or more relevant privacy safeguarding requirements Privacy Safeguarding Requirements - set of requirements an organization has to take into account when processing personally identifiable information (PII) with respect to the privacy protection of PII 12

13 Roles within the privacy framework DPA, Data Privacy Authority, Information Privacy Commissioner, etc is the independent legal authority for administering privacy rules within a country The consumer is the PII Principal The PII Controller is entity that determines purposes and means of processing consumer s personal data and is RESPONSIBLE for data processing of data subject s PII The PII Processor performs information processing on behalf of the Data Controller PII Principal Data Protection Authority (DPA) PII Controller PII Processor Sometimes a reference is also made to a Third Party, which can be viewed as outside this privacy framework, but the responsibility of the Data Controller. 13

14 Privacy Principles (ISO ) # Principle Description 1 Consent and choice PII Principal has choice on and has Opt-In to PII processing 2 Purpose legitimacy and specification Processing complies with laws, giving notice before processing 3 Collection limitation Within laws and necessary for specified purposes 4 Data minimization Minimize the processing of PII 5 Use, retention and disclosure limitation Also applies to limitation on cross-border transfers 6 Accuracy and quality Measure to assure validity and correctness of PII processing 7 Openness, transparency and notice Clear, complete and accessible information on PII processing 8 Individual participation and access PII Principal access to review their PII and correct inaccuracies 9 Accountability Demonstrate care in duty toward PII Principal for PII stewardship 10 Information security Protecting PII under its authority with appropriate controls 11 Privacy compliance Verifying and demonstrating adherence to laws with internal or 3rd party audits 14

15 Essence of privacy Privacy emerges from personally identifiable data Personal data or information Any information relating to an identified or identifiable natural person, an individual + Identifiability (Nymity) The measure of the degree that personal data can be associated with an individual 15

16 Privacy data lifecycle Also called the Consumer Data Lifecycle, it is a fundamental component of the privacy knowledge base Define the actions related to personal data within the privacy framework When analyzing the data flow in your specifications, you should also consider the complete lifecycle for the associated PII Within the EU, collection, itself is considered to be an act of processing! x Deletion Transfer Collection Processing Storage 16

17 Personal data/information Relates to information about a natural person When the data can be associated with an individual, it is referred to as Personally Identifiable Information (PII) Criteria for linkability of data to an individual is a hot-topic within the privacy community Sensitive PII must be treated specially Generally, if PII is of a racial, religious, political, sexual orientation, medical nature, it is characterized as Sensitive; but other categories should also be consisted Also commonly referred to as Personal Data 17 Basic data (E.G. first name, last name, mobile number) Address data (E.G. postal code, address) Restricted categories of data (E.G. racial or ethnic origin, religion, trade union membership if allowed by applicable law) Social networking related data (E.G.. metadata of pictures uploaded, site activity information) Location data (E.G. GPS coordinates or mobile network base station ID) Identifiers (E.G. IMEI, device identifiers, IPaddress) System data is information about how individual users are using the system (E.G. log files) Monetary data transactions (E.G. credit card number, account information) These are some of the categories of personal data to consider when identifying the PII in your particular project

18 Information Privacy Awareness 1. WHY The Privacy Imperative Privacy Triangle of Trust Privacy incidents Regulatory impact for businesses 2. WHAT EU GDPR and ISO Terminology Roles within the Privacy Framework Privacy Principles Essence of privacy Privacy data lifecycle Personally Identifiable Information and Identifiability 3. HOW Compliance or Accountability Elements of an ACCOUNTABLE privacy program Privacy intent of the organization Foundation principles of PbD Privacy program roles & responsibilies Privacy activities across the product life cycle 4. HOW - Privacy Engineering & Assurance simplified Applying Privacy Engineering Privacy Engineering steps Privacy Assurance steps Privacy impact assessment Privacy risk management Assessing privacy maturity Privacy related business processes 18

19 Compliance or Accountability Goal of being privacy compliance may not be sufficient for avoiding regulatory actions against your company Data protection authorities (DPA) now expect organizations to demonstrate their good intentions Accountability has roots in 1980 OECD privacy guidelines Accountability framework builds trust between DPA and organizations for the handling of personal data Accountability means being able to show how your company has holistically integrated privacy best practices Centre for Information & Policy Leadership (CIPL) has defined a global DPA endorsed approach to Accountability Data Protection Accountability: The Essential Elements 19

20 Elements of an Accountable privacy program 1. Executive accountability and oversight Internal senior executive oversight and responsibility for data privacy and data protection 2. Policies and processes to implement them Binding and enforceable written policies and procedures that reflect applicable laws, regulations and industry standards, including procedures to put those policies into effect 3. Staffing and delegation Allocation of resources to ensure that the organization's privacy program is appropriately staffed by adequately trained personnel 4. Education and awareness Existence of up-to-date education and awareness programs to keep employees and on-site contractors aware of data protection obligations 5. Risk assessment and mitigation Ongoing risk assessment and mitigation planning for new products, services, technologies and business models. Periodic Program risk assessment to review the totality of the accountability program 6. Event management and complaint handling Procedures for responding to inquiries, complaints and data protection breaches 7. Internal enforcement Internal enforcement of the organization's policies and discipline for non-compliance 8. Redress Provision of remedies for those whose privacy has been put risk 20 Not just compliant but accountable

21 Privacy intent of the organization Vision: Organization articulates the high level aspirations towards protection of the personal data of individuals using their products and services e.g., Consumers trust us to meet their privacy expectations Principles: Identify which privacy principles apply to the product e.g.., select from those codified in ISO, OECD, FIPP, EU frameworks Objectives and activities: Define concrete objectives and related activities to achieve the objectives e.g., Industry leading privacy controls built into our software by adopting Privacy by Design, e.g., Mature privacy aware culture through training and effective governance and processes 21

22 Foundation principles of PbD Privacy by Design 7-Foundation Principles 1. Proactive not Reactive; Preventative not Remedial 2. Privacy as the Default Setting 3. Privacy Embedded into Design 4. Full Functionality Positive-Sum, not Zero-Sum 5. End-to-End Security Full Lifecycle Protection 6. Visibility and Transparency Keep it Open 7. Respect for User Privacy Keep it User-Centric Concept of baking-in privacy into products from the beginning, rather than a retro-fit to existing products Privacy by Re-Design (PbRD) is inevitable for legacy specifications Is now globally included into regulations 22

23 Privacy program roles & responsibilities Executive privacy owner The senior executive with oversight and responsibility for data privacy and data protection in the organization Chief privacy officer The senior manager with responsibility for the implementation and operation of the privacy program in the organization Privacy officer The privacy professional responsible for implementation and operation of the privacy program within an organizational unit Privacy champ The program or product member with sufficient privacy competence to be responsible for transposing privacy requirements into product requirements 23 These are minimal privacy program roles

24 Privacy activities across the product life cycle 24

25 Information Privacy Awareness 1. WHY The Privacy Imperative Privacy Triangle of Trust Privacy incidents Regulatory impact for businesses 2. WHAT EU GDPR and ISO Terminology Roles within the Privacy Framework Privacy Principles Essence of privacy Privacy data lifecycle Personally Identifiable Information and Identifiability 3. HOW Compliance or Accountability Elements of an ACCOUNTABLE privacy program Privacy intent of the organization Foundation principles of PbD Privacy program roles & responsibilies Privacy activities across the product life cycle 4. HOW - Privacy Engineering & Assurance simplified Applying Privacy Engineering Privacy Engineering steps Privacy Assurance steps Privacy impact assessment Privacy risk management Assessing privacy maturity Privacy related business processes 25

26 Privacy Engineering & Assurance simplified Privacy Knowledge Base Principles, Policies, Requirements, Procedures, Guidelines, Patterns Privacy Engineering Planning & Concepting Threat Assessment and Mitigation Privacy requirements identification Design, Implement, Test Map privacy requirements into product features Select guidelines, patterns Privacy Assurance Review Against requirements Can be standalone Evidence Evidence Evidence Release Assessment Sign-off 26

27 Applying Privacy Engineering Principles Requirements Privacy Principles Privacy Requirements & Guidelines Threats Privacy & Security Threats & Vulnerabilities Controls Residual Risk Privacy & Security Safeguards Business Acceptable Risk 27

28 Privacy Engineering steps Define the product context Mitigation Define product in terms of main Selection of privacy & security functions, assets, stakeholders, safeguarding controls business model, sales estimates, Identification of key test causes deployment target countries, and test tools to verify control release schedule(s), strategic fidelity importance, risk summary Identification of residual risk Document the data flows Analyze the threats and and classify the data risks Inventory of all the personal data Identification of applicable & data clusters privacy principles and underlying Classification of each data requirements element Definie inherent threats to key User story/epic based diagram privacy & security principles of the flow of data through Analysis of attack surface and product components, minimization interactors Identification of root cause or vulnerability Implementing Privacy by Design 28

29 Privacy Assurance steps Purpose of assurance is to verify that Privacy Engineering activities have been implemented as agreed, operational, as well as any required staffing is in place Kick-off the assessment process with Privacy Officer early to understand what will be needed for final sign-off Privacy & security assessment is based on a thorough assessment of the Product Team evidence that Privacy Engineering activities has been implemented and is operational Final sign-off recommendation is made by Privacy Officer with approval by Product Management & Chief Privacy Officer Escallation process may be needed to address disagreements over findings between Privacy Officer and Product Management Non-compliance with privacy regulations SHOULD NOT be approved 29 A final assessment of all product or service that have a privacy impact is a necessity

30 Privacy impact assessment EU GDPR Article 33 promulgates PIA for public/privacy orgs Produces evidence of implementation of Privacy by Design Conducted by staff when personal data is collected, used or disclosed in a product or service Re-conducted if material changes made to product or service ISO (WD) will standardize methodology 30 Identify Analyze Verify Simplify Secure Remediate Attest describe the project, including the aims, whether any personal information will be handled, inherent privacy principles identify the personal information flows, classify data, identify relevant regulations, privacy requirements, privacy impact validate that only essential data is collected and processed for legitimate purposes required by the product or service change system and processes to only collect/store/process essential data for minimum period with a data deletion plan use industry best practices for safeguarding personal data through life cycle, providing consumer control over their data identify remaining risk, level of harm and mitigation plan to eliminate or reduce risk to acceptable level record findings, gain sponsor commitment to implement any needed changes, report results to management

31 Privacy risk assessment Produces evidence of minimization of possible privacy risk Conducted by business team with input from PIA evidence Re-conducted if material changes made to product or service ISO defines an applicable risk management framework When applicable, should include assessment of 3rd party risk Product management will need to accept any residual risk 31 Context Identify Analyze Evaluate Treat Monitor & Review Improve establish external, internal context for risk, risk management process and risk assessment criteria to be used identify sources of risk, areas of impact, events and causes, potential consequences consider causes and sources of risk, positive & negative consequences, both tangible and intangible make decisions based on risk analysis, which risks need treatment and the priority for treatment implementation select remediation based on avoiding, taking on, removing, changing potential for, changing harm of, sharing of risk assures controls effective, learn and improve, detect context changes, identify new risks, measure KPI commit to constant improvement of the overall risk footprint

32 Privacy capability assessment Provides a method for advancement of your privacy program Conducted to measure baseline and incremental changes Part of a commitment to accountability, constant improvement ISO (new IS) will standardize a methodology Plan Assess Review Report Improve agree on privacy capability assessment model (e.g., context or business process based) and assessment scale to be used rate the current capability against target capability identify sub-optimal capabilities to be improved and overall improvement plan communicate to management the assessment activity, results, improvement actions and next scheduled assessment implement improvement plan 32

33 Privacy related business processes Quality management process Risk management process Assessment process Security engineering process Business continuity process Customer care process Incident response management process External communications process Authority request/lawful intercept process 33

34 5. References 34 34

35 References OECD Privacy Principles EU Data Protection Directive 95/46/EC EU Proposed General Data Protection Regulation ISO from ISO (PDF version is freely available) CIPL Implementing Accountability CIPL Accountability Self-Assessment Tool 35

36 36 What did you learn?

37 Q1: The Triangle of Trust is a model to show the three primary forces influencing Privacy. Which one is not one of the three primary forces? a. Technology / Industry b. Advocacy / Consumers c. Legal / Intelligence d. Policy / Regulatory 37

38 Q2: Sensitive Personal Data or PII needs to be protected with additional privacy safeguards. Which personal data is not in this category of PII? a. Sexual orientation b. address c. Financial account credentials d. Professional memberships e. None of these 38

39 Q3: Which factoid about privacy framework roles and responsiblities is not correct? a. PII Principle is the owner of the personal data being processed b. PII Processor is not ultimately responsible for privacy breaches in their processing of personal data on behalf of the PII Controller c. PII Controller is the privacy stakeholder that determines the purposes and means for processing personally identifiable information (PII) d. Data Protection Authority is the independent legal authority for administering privacy rules within a country 39

40 Q4: What is the essence of privacy? a. Personal data b. Privacy data lifecycle c. Identifiability of personal data d. a and c e. Nymity f. a and c and e 40

41 Q5: Which statement about Privacy Engineering and Privacy Assurance is not correct? a. Privacy Engineering involves implementation of Privacy by Design b. Privacy Assurance involves the acceptance of any residual product privacy risk c. Privacy Engineering includes activities at all stages of the product life cycle and should begin as early as feasible d. Privacy Assurance should include a final verification that the findings from the Privacy Engineering have been implemented and are operational in the product e. Privacy Engineering is an emerging discipline 41

42 Q6: Which Privacy Engineering evidence is not always needed to demonstrate Privacy by Design? a. Product description documented b. 3rd party risk assessment documented c. Personal data flows documented d. Classified personal data inventory documented e. List of applicable privacy principles, requirements, threats and mitigation documented 42

43 Quiz Answers 1. c 2. b 3. a 4. f 5. b 6. b 43

44 Policy Question for Discussion 44

45 Policy topic for discussion Question: Which principle trumps when there seemingly are equal, two competing privacy principles? Background: PbD Foundation Principles include Privacy as the Default Setting, as well as Respect for User Privacy Keep it User-Centric. Within the context of the standardization of a Do Not Track mechanism for Web Browsers within the W3C Tracking Protection Working Group, the question of whether the consumer Do-Not-Track preference is raised by MSFT IE setting default to DNT:YES. But this removes consumer participation, as no informed-explicit-active consent is given on FUE. Debate: Pro/Con what should W3C TPWG set the default value for DNT preference to? A) DNT:YES, B) DNT:NO, C) Not defaultable. 45