CONFORMANCE TO LEGAL REQUIREMENTS The last frontier for privacy research Luigi Logrippo Université...

CONFORMANCE TO LEGAL REQUIREMENTS

The last frontier for privacy research

Luigi LogrippoUniversité du Québec en OutaouaisUniversity of Ottawa

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Keynote Talk, PST2012

Towards a process for producing software from legal

requirements

The last frontier …

Last for two reasons: In the end, privacy IT systems must satisfy

the law This is a difficult goal

Because of the need to bridge the long distance between legal language and IT language and implementations

3

A bridge? A bridge?

Why IT isn’t very good at building bridges

4

Humankind has been building bridges for millions of years

But IT is fairly new at this …

Vestiges of a bridge to Sri Lanka (30Km)Reputed to be 1,700,000 yrs old …

The islands and the bridges5

Legal requirements for privacy software

Enterprise requirements for privacy software

Privacy Law

EnterprisePrivacyPolicy

Enterprise privacy software

extract extract

legal compliance

logical compliance

implement & verify

validate

Legal area

Softwarearea

Legal processes6

Formulating laws and policies Normative text

Establishing legal compliance of enterprise privacy policy to the law: These processes are entirely in the legal domain, for

lawyers

Legalrequirements for privacy software

Enterpriserequirements for privacy software

Privacy Law



extract extract

legal compliance

logical compliance

implement &verify

validate

Legal area

Softwarearea

How many research areas remain for us?

7

At least five, let’s see



Privacy Law



extract extract

legal compliance

logical compliance

implement &verify

validate

Legal area

Softwarearea

Manual activities

At the interface of the legal world and the IT world Extract from law

Determine what part of the law is relevant for IT implementation

Express that part of the law in IT terminology Extract from enterprise policy

Determine what part of the enterprise privacy policy is relevant for IT implementation

Express that part of the policy in IT terminology Determine compliance of to

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Privacy Law



extract extract

legal compliance

logical compliance

implement &verify

validate

Legal area

Softwarearea

How are the manual activities done?9

Since they are interface activities, they will require mixed teams of law experts and IT experts

It’s usual for IT people to work in this manner, at the requirement extraction phase

Current practice10

Legal requirements are expanded into many detailed requirements

Legal offices are used to check that these detailed requirements represent a legally defendable implementation of the law

Long checklists result from this process, and the enterprises subject to the law will use the checklists rather than the original law

Checklists usually include all sorts of things, not only software requirements

Elements for requirement extraction

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As always in computing, we have data structures and processes Examples of relevant data structures:

Enterprise organization diagrams Concept ontologies

Examples of processes: Business processes

These exist in law, as they exist in enterprise policies, They may be difficult to find They will be more generic in law

Can we put order in something like this?

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Royal Bank of Canada privacy policies: “We use your personal and financial information for the

purposes communicated to you in your agreement(s) with us, for example to: Verify your identity; Provide you with the financial products and services requested; Communicate to you any benefit, feature and other information about products and services you have with us; Respond to any special needs or inquiries you may have; Better understand your financial situation and determine your eligibility for products and services we offer; Manage our risks and operations; Meet regulatory and legal requirements; If we have your social insurance number or social security number, we may use it for tax related purposes if you hold a product generating income and share it with the appropriate government agencies. We may also share it with credit reporting agencies as an aid to identify you.”

Identifying the dependencies(Ghazinour and Barker, PAIS 2011)

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Royal Bank of Canada privacy policies:“We use your personal and financial information for the purposes communicated to you in your agreement(s) with us, for example to: Verify your identity; Provide you with the financial products and services requested; Communicate to you any benefit, feature and other information about products and services you have with us; Respond to any special needs or inquiries you may have; Better understand your financial situation and determine your eligibility for products and services we offer; Manage our risks and operations; Meet regulatory and legal requirements; If we have your social insurance number or social security number, we may use it for tax related purposes if you hold a product generating income and share it with the appropriate government agencies. We may also share it with credit reporting agencies as an aid to identify you.”

Purpose ontology lattice for RBC privacy policies

Why a lattice(Ghazinour and Barker, PAIS 2011)

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This lattice arranges the purposes in an implication order. E.g. if one allows RBC to use personal information for mail distribution then one has also allowed them to use it for communication, marketing, and identity verification (more specific purposes)

Organization structure and scenarios in the law

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Sarbanes Oxley - Section.2 : Audit (3) AUDIT COMMITTEE. The term ‘‘audit committee’’ means a committee

established by and amongst the board of directors of an issuer for the purpose of overseeing the accounting and financial reporting processes of the issuer and audits of the financial statements of the issuer, ….Issuer: company subject to SOX

IT interpretation16

Sarbanes Oxley - Section.2 : Audit (3) AUDIT COMMITTEE. The term ‘‘audit committee’’ means a committee established by

and amongst the board of directors of an issuer for the purpose of overseeing the accounting and financial reporting processes of the issuer and audits of the financial statements of the issuer, ….

Exercise: draw the class diagram

Processes 17

In law, they are usually defined only in terms of what they should achieve – Examples from SOX (a) pertain to the maintenance of records that in

reasonable detail accurately and fairly reflect the transactions and dispositions …

(b) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements …

(c) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition …

Details are found in standards, professional and ‘best practices’ manuals

Generic extraction model for enterprise governance(Hassan and Logrippo, RELAW2009)

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Concepts found in normative text are to be mapped into these classes

Note specific purpose!

Scanning normative text19

The extraction process can be to carefully scan the law, standards, ‘best practices’, enterprise regulations, looking for elements that can be implemented in software

Concepts found should be mapped on an extraction model that can be the basis for software implementation Conceptual graphs, lattices, UML

Joint work20

The resulting formalized representations are interpretations of the original text For IT specialists, the

acceptance criterion is: can this interpretation be

implemented in software? For Law specialists, the

criterion is: can this interpretation be

defended in court?

We are interested in the intersection21

Identify and formalize the intersection Expand it as much as possible

Compliance of enterprise requirements to legal requirements

22

Legal requirements

for privacy software

Enterprise requirements


Privacy

Law



extract extract

legal compliance

logical compliance

implement & verify

validate

Legal area

Softwarearea

Compliance of enterprise requirements to legal requirements

23

What was a legal compliance process in the legal area becomes a logical compliance check in the software area

This can be performed by using model checkers of various kinds



Privacy Law



extract extract

legal compliance

logical compliance

implement & verify

validate

Legal area

Softwarearea

Proposal: A Logic-Based Process(Hassan and Logrippo)

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OK or counterexamples

Checking requirements on organization structure

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Contains (Loans, PublishApplication)Contains (Loans, ReceiveFilledApp)Contains (Loans, Wapplication)Contains (Loans, JReceiveFilledApp)Contains (Loans, ConsentClient)Contains (Loans, LegalReasonException)Contains (Loans,ThankClient)Contains (Loans, DisposeData)Contains(OrderMgt, ReadApplication)Contains(OrderMgt, ValidateInfo)Contains(OrderMgt,SaveInfo)

The organization must include a process to dispose of data

Formally defined Enterprise structureLegal Requirement

An organization with two main departments,incl. several processes

Model checker: yes, it is included

Checking requirements on process structure

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Next (ValidateInfo,SaveInfo)Next(ReadApplication, ValidateInfo)Next(Wapplication, JreceivedApp)Next(JReceivedApp,ConsentClient)Next(JReceivedApp,LegalReasonException) Next(ThankClient,DisposeData)Next(PublishApplication, ReceiveFilledApp)Next(ReceiveFilledApp,Wapplication)Next(ValidateInfo,WApplication)Next(WApplication,ReadApplication)

Formally defined structure

Legal requirement:

Information received must later be disposed

Model checker: following slide

Process non-compliance27

A path is found where information

rec’d is saved

Implement &verify28

Legal requirements for privacy software

Enterprise requirements for privacy software

Privacy Law



extract extract

legal compliance

logical compliance

implement & verify

validate

Legal area

Softwarearea

Implement &verify29



Privacy Law



extract extract

legal compliance

logical compliance

implement & verify

validate

Legal area

Softwarearea

We are here in a familiar territory: We have compliant software requirements and we must

implement them and verify the implementation Use existing software methods But: are the enterprise requirements that were obtained

so far sufficient to derive an implementation? A lot of practical domain knowledge may still be necessary Probably it cannot be assumed that inexperienced software

developers can do this

Maturity of SE methods30

Unfortunately, the study of techniques to go from requirements to implementations is fairly recent and so not very mature IMOMO Requirements engineering

We have been doing this for only about half a century …

Generic SE development method

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Requirements(in natural or

logic language)

Specification of behavior

Specification of implementation

Implementation

Major errors can be injected at every step especially between

requirements and behavior specs

Legal knowledge is probably still needed between steps

Validate implementation32

Legal requirements


Enterprise requirements


Privacy

Law



extract extract

legal compliance

logical compliance

implement & verify

validate

Legal area

Softwarearea



Privacy Law



extract extract

legal compliance

logical compliance

implement & verify

validate

Legal area

Softwarearea

Validate implementation33

Is the resulting enterprise software compliant with the law? This must be checked since errors can be injected in the

implementation process Existing software methods can be used to validate the

implementation wrt legal requirements, perhaps the most practical is testing

Final testing is part of every engineering process But, exactly what should be tested and how? The checklist mentioned are not constructed as software test suites

Certification34

The end result should be certified software Certified to be conformant to the law What should the certification process be?

Most probably, test suites derived from the mentioned checklists

Many software vendors produce software that is claimed to be compliant But can hardly be certified

Privacy by Design35

PbD is embedded into the design and architecture of IT systems and business practices It is not bolted on as an add-on

Privacy becomes an essential component of the core functionality being delivered

Privacy is integral to the system, without diminishing functionality

(source: Information and Privacy Commissioner of Ontario, Canada)

How can be build PbD in the software process?

How can we move forward?36

Of course, it would help if normative text to be implemented in software was written in a different style …

E.g. legal text leaves much unspecified The complex ontologies on which its

interpretation depends are rarely specified The increasing dependence on IT systems

will lead legislators to include more IT language and structure in their normative style Thus facilitating the extraction process

More mind-expanding ideas37

Formalizing Privacy agreements P3P and extensions

Developments in legal theory and practice Legal formalization necessary to expand e-

Business e-Contracts, internationally formalized e-Judgments

Privacy violations to be proved automatically by using automatically obtained factual evidence

Amends to be determined automatically, on the basis of objective law

Many open areas of research

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Formal semantics of normative languages Methods to extract ontologies and processes from

normative text (see RELAW workshop series) Methods to validate the result of the extraction process

Such methods will be domain-specific Software Engineering issues, instantiated to the legal

domain Methods for validating compliance of an

implementation to legal requirements Leading to certification

The PbD software process

Access control and normative concepts In his 2012 paper, S. Barker states:

“In future work, we intend to consider the type of more general authorization model requirements that Jones and Sergot have considered and their representation of rich forms of non-standard access control models within our framework”In other words, he intended to pursue a generalization of his access control theory to include normative concepts.

Steve Barker: Logical Approaches to Authorization Policies. Logic Programs, Norms and Action 2012: 349-373

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Conclusions40



Privacy Law



extract extract

legal compliance

logical compliance

implement & verify

validate

Legal area

Softwarearea

I have attempted to identify the main issues related to the problem of compliance to legal requirements for privacy

Classify the issues, by means of a proposed ‘reference model’

Some preliminary solutions and research ideas were also presented, as possible starting points

CONFORMANCE TO LEGAL REQUIREMENTS The last frontier for privacy research Luigi Logrippo Université...

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