1、BSI Standards PublicationPD CEN/TR 16674:2014Information technology Incorporating corrigendum March 2016Analysis of privacy impact assessment methodologiesrelevant to RFIDPD CEN/TR 16674:2014 PUBLISHED DOCUMENTNational forewordThis Published Document is the UK implementation of CEN/TR 16674:2014.The
2、 UK participation in its preparation was entrusted to Technical Committee IST/34, Automatic identification and data capture techniques.A list of organizations represented on this committee can be obtained on request to its secretary.This publication does not purport to include all the necessary prov
3、isions of a contract. Users are responsible for its correct application. The British Standards Institution 2016.Published by BSI Standards Limited 2016ISBN 978 0 580 92901 4ICS 35.240.60Compliance with a British Standard cannot confer immunity from legal obligations.This Published Document was publi
4、shed under the authority of the Standards Policy and Strategy Committee on 30 June 2014.Amendments/corrigenda issued since publicationDate T e x t a f f e c t e d31 May 2016 Implementation of CEN Correction Notice 25 June2014: Title modifiedTECHNICAL REPORT RAPPORT TECHNIQUE TECHNISCHER BERICHT CEN/
5、TR 16674 June 2014 ICS 35.240.60 English Version Information technology - Analysis of privacy impact assessment methodologies relevant to RFID Technologies de linformation - Analyse des mthodes dvaluation de limpact sur la vie prive adaptes la RFIDInformationstechnik - Analyse der RFID- Datenschutzf
6、olgenabschtzung fr spezifische Sektoren This Technical Report was approved by CEN on 20 January 2014. It has been drawn up by the Technical Committee CEN/TC 225. CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, F
7、ormer Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COM
8、IT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2014 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. CEN/TR 16674:2014 EPD CEN/TR 16674:2014CEN/TR 16674:2014
9、(E) 2 Contents Page Foreword 4 Introduction .5 1 Scope 6 2 Terms and definitions .6 3 Symbols and abbreviations 7 4 Risk analysis for wireless RFID communications and RFID devices .8 4.1 Introduction 8 4.2 RFID technologies .8 4.3 The RFID system architecture 9 4.4 The challenge of having millions o
10、f readers in the hands of individuals . 10 4.5 Lessons from the risk environment concerning wireless networks . 11 4.6 Conclusion and a way forward 13 5 The relationship of the RFID PIA process and methodologies standards to the privacy law 14 5.1 Privacy requirements . 14 5.2 Definitions . 16 5.2.1
11、 General . 16 5.2.2 Five types of privacy 17 5.2.3 Personal data 18 5.2.4 Processing . 18 5.2.5 Processor 18 5.2.6 Controller . 18 5.2.7 Data security . 18 5.2.8 Data minimization . 19 5.2.9 Purpose binding 20 5.2.10 Openness . 21 5.2.11 Individual Access 21 5.2.12 Consent 21 5.2.13 Limiting Use, Di
12、sclosure and Retention . 23 5.2.14 Accuracy 23 5.2.15 Unique identifiers 23 5.2.16 Accountability . 23 5.2.17 RFID operator 24 5.3 Accountable Technology . 24 5.4 Applying Data Protection Concepts in practice 24 5.5 Technical/business considerations 25 6 RFID and personal information . 25 6.1 DPD 25
13、 6.2 Personal information written in a tag . 25 6.3 Unique identifier 25 6.4 Tracking and profiling 26 6.5 Proportionality of wearable RFID tags . 26 6.6 Technical issues with unknown legal consequences. 27 7 Standards organizations and risk management standards . 27 7.1 Standards organizations 27 7
14、.2 Risk management standards . 28 7.2.1 General . 28 PD CEN/TR 16674:2014CEN/TR 16674:2014 (E) 3 7.2.2 AS/NZS 4360 29 7.2.3 BS7799 (ISO17799) 29 7.2.4 NIST SP 800-30 29 7.2.5 RFRM 29 7.2.6 COBIT 30 7.2.7 HIPAA 30 7.2.8 ITIL 31 7.2.9 ISMS 31 7.2.10 ISO/IEC 27001 31 7.2.11 ISO/IEC 27002 31 7.2.12 ISO/
15、IEC 27005 31 7.2.13 ISO TR 13335 31 8 Legal supported PIA methodology 32 8.1 Background information . 32 8.2 Analysis of five PIAs . 34 8.3 Findings 34 8.3.1 The application operator perspective . 34 8.3.2 The consumer and public interest perspective 35 8.4 Audit report on the use of wireless techno
16、logies 36 9 Proposed methodologies for RFID PIA process 36 9.1 Initial Decision Tree . 36 9.2 Critique on the initial decision tree . 37 9.3 Relevance of the 2011 RFID PIA Framework 38 9.3.1 General . 38 9.3.2 Framework reviews by others 38 9.3.3 Scope of work for the 2011 RFID PIA Framework 38 10 T
17、he reasoning for addressing the privacy assessment at the periphery for RFID. 41 10.1 The role played by RFID in the lives of individuals . 41 10.1.1 The nature of RFID possession by individuals 41 10.1.2 The degree of exposure to RFID risks . 41 10.2 Where RFID technology is the determining factor
18、for privacy assessment . 42 10.2.1 The Privacy assessment technology layers . 42 10.2.2 The role of RFID technology in privacy assessment . 43 10.3 Privacy assets 43 11 The case for a cost-effective PIA process 44 11.1 Templates . 44 11.2 Understanding the technology 45 11.3 Monitoring RFID threats
19、and vulnerabilities . 45 11.4 Assisting the SME PIA process . 46 12 Conclusions . 47 Bibliography 48 PD CEN/TR 16674:2014CEN/TR 16674:2014 (E) 4 Foreword This document (CEN/TR 16674:2014) has been prepared by Technical Committee CEN/TC 225 “AIDC Technologies”, the secretariat of which is held by NEN
20、. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN and/or CENELEC shall not be held responsible for identifying any or all such patent rights. This Technical Report is one of a series of related deliverables, which comprise man
21、date 436 Phase 2. The other deliverables are: EN 16570, Information technology Notification of RFID The information sign and additional information to be provided by operators of RFID application systems EN 16571, Information technology RFID privacy impact assessment process EN 16656, Information te
22、chnology - Radio frequency identification for item management - RFID Emblem (ISO/IEC 29160:2012, modified) CEN/TR 16684, Information technology Notification of RFID Additional information to be provided by operators CEN/TS 16685, Information technology Notification of RFID The information sign to be
23、 displayed in areas where RFID interrogators are deployed CEN/TR 16669, Information technology Device interface to support ISO/IEC 18000-3 CEN/TR 16670, Information technology RFID threat and vulnerability analysis CEN/TR 16671, Information technology Authorisation of mobile phones when used as RFID
24、 interrogators CEN/TR 16672, Information technology Privacy capability features of current RFID technologies CEN/TR 16673, Information technology RFID privacy impact assessment analysis for specific sectors PD CEN/TR 16674:2014CEN/TR 16674:2014 (E) 5 Introduction In response to the growing deploymen
25、t of RFID systems in Europe, the European Commission published in 2007 the Communication COM (2007) 96 RFID in Europe: steps towards a policy framework. This Communication proposed steps which needed to be taken to reduce barriers to adoption of RFID whilst respecting the basic legal framework safeg
26、uarding fundamental values such as health, environment, data protection, privacy and security. In December 2008, the European Commission addressed Mandate M/436 to CEN, CENELEC and ETSI in the field of ICT as applied to RFID systems. The Mandate M/436 was accepted by the ESOs in the first months of
27、2009. The Mandate addresses the data protection, privacy and information aspects of RFID, and is being executed in two phases. Phase 1, completed in May 2011, identified the work needed to produce a complete framework of future RFID standards. The Phase 1 results are contained in the ETSI Technical
28、Report TR 187 020, which was published in May 2011. Phase 2 is concerned with the execution of the standardization work program identified in the first phase. This Technical Report is one of eleven deliverables for M/436 Phase 2. From a content point of view, and despite their name, most Privacy Imp
29、act Assessments in the world have a narrow focus, namely data protection rather than privacy protection. The result is that many PIAs are restricted to legal compliance checks and do not include societal aspects. That is reflected in the form of some PIAs, which are limited to checklists. Increasing
30、ly, however, PIA methodologies include narrative descriptions of the systems assessed and the environments in which they will operate, which help to understand better the potential privacy and data protection risks. Also most PIAs are limited to risk assessment and do not include risk management. Th
31、us, they can be used to identify and assess privacy and data protection risk without suggesting solutions or mitigation strategies, thereby restricting their usability. This deliverable will begin with research of methodologies used for wireless technologies and the risks associated at within that p
32、art of the wireless system from the data carrier to the communication from the interrogator or data capture device to the application system. The reason for this approach is to understand approaches used by security experts and that are not incorporated into any existing standards. This approach mak
33、es sense because it moves from the generic wireless towards the specific RFID issues. The intention is to draw relevant lessons from a range of wireless technologies that can be applied to RFID technologies and applications. Risk management will focus on areas that accept the inherent risks of the g
34、iven technology. PD CEN/TR 16674:2014CEN/TR 16674:2014 (E) 6 1 Scope The scope of this Technical Report (TR) is to identify methodologies that are used for, or have been considered applicable to, wireless technologies. These methodologies are analyzed to identify features that are applicable to RFID
35、. Based on the Industry RFID PIA Framework endorsed by the Article 29 Data Protection Working Party, the Technical Report focuses on proposing risk analysis methodologies suitable for the data capture area of an RFID system. This includes the RFID tag, the interrogator, the air interface protocol us
36、ed for communication between them, and the communication from the interrogator to the application. The Technical Report also proposes risk management features based on the inherent capabilities of a number of RFID technologies that conform to standardized RFID air interface protocols. This should pr
37、ovide enough information to enable the proposed privacy control features to be applied to other RFID technologies including those with proprietary air interface protocols and tag architectures. The risk management features exclude fundamental privacy by design features because these should be the su
38、bject of revisions and enhancements to technology standards. The risk management features defined in this Technical Report are considered applicable to current and future implementations of RFID based on existing technology. As such, this Technical Report is considered as input into a standard proce
39、dure for undertaking an RFID Privacy Impact Assessment. 2 Terms and definitions For the purposes of this document, the following terms and definitions apply. 2.1 controller natural or legal person, public authority, agency or any other body which alone or jointly with others determines the purposes
40、and means of the processing of personal data; where the purposes and means of processing are determined by national or Community laws or regulations, the controller or the specific criteria for his nomination may be designated by national or Community law 2.2 data subject identified natural person o
41、r a natural person who can be identified, directly or indirectly, by means reasonably likely to be used by the controller or by any other natural or legal person, in particular by reference to an identification number, location data, online identifier or to one or more factors specific to the physic
42、al, physiological, genetic, mental, economic, cultural or social identity of that person 2.3 data subjects consent any freely given specific and informed indication of his wishes by which the data subject signifies his agreement to personal data relating to him being processed 2.4 personal data any
43、information relating to an identified or identifiable natural person (data subject); an identifiable person is one who can be identified, directly or indirectly, in particular by reference to an identification number or to one or more factors specific to his physical, physiological, mental, economic
44、, cultural or social identity 2.5 PIA process process based on a privacy and data protection risk management approach focusing mainly on the implementation of the EU RFID Recommendation and consistent with the EU legal framework and best practices 2.6 PD CEN/TR 16674:2014CEN/TR 16674:2014 (E) 7 priv
45、acy the claim of individuals (.) to determine for themselves when, how and to what extent information about them is communicated to others“ and as a mean “(.) for achieving individual goals of self-realisation 2.7 privacy impact assessment methodology (a systematic process) for assessing the impacts
46、 on privacy of a project, policy, program, service, product or other initiative that involves the processing of personal information and, in consultation with stakeholders, for taking remedial actions as necessary in order to avoid or minimize negative privacy impacts 2.8 processing any operation or
47、 set of operations which is performed upon personal data or sets of personal data, whether or not by automated means, such as reading, collection, recording, organization, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or other
48、wise making available, alignment or combination, erasure or destruction 2.9 processor natural or legal person, public authority, agency or any other body which processes personal data on behalf of the controller 2.10 accountability responsibility of an organization for personal information in its po
49、ssession or custody, including information that has been transferred to a third party for processing 2.11 wireless network any type of computer network that is not connected by cables of any kind 3 Symbols and abbreviations CEN Comit Europen de Normalisation COBIT Control Objectives for Information and related Technology DPD Directive Personal Data NOTE 1 Directive 95/46/EC on the protection of individuals with regard to the processing of personal data and on the free movement of such data DPIA Data Protection Impact
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