prEN ISO/IEC 29101

Information technology - Security techniques - Privacy architecture framework (ISO/IEC 29101:2018)

This document defines a privacy architecture framework that:
— specifies concerns for ICT systems that process PII;
— lists components for the implementation of such systems; and
— provides architectural views contextualizing these components.
This document is applicable to entities involved in specifying, procuring, architecting, designing, testing, maintaining,
administering and operating ICT systems that process PII.
It focuses primarily on ICT systems that are designed to interact with PII principals.

Informationstechnik - Sicherheitstechniken - Rahmenwerk für Datenschutz (ISO/IEC 29101:2018)

Technologies de l'information - Techniques de sécurité - Architecture de référence de la protection de la vie privée (ISO/IEC 29101:2018)

Informacijska tehnologija - Varnostne tehnike - Okvir arhitekture zasebnosti (ISO/IEC 29101:2018)

General Information

• Status: Not Published
• ICS: 35.030 - IT Security
• Technical Committee: CEN/CLC/TC 13 - Cybersecurity and Data Protection
• Current Stage: 4060 - Closure of enquiry - Enquiry
• Due Date: 26-Aug-2021
• Completion Date: 26-Aug-2021
• Ref Project: oSIST prEN ISO/IEC 29101:2021 - Information technology - Security techniques - Privacy architecture framework (ISO/IEC 29101:2018)

Standards Content (sample)

SLOVENSKI STANDARD
oSIST prEN ISO/IEC 29101:2021
01-julij-2021
Informacijska tehnologija - Varnostne tehnike - Okvir arhitekture zasebnosti
(ISO/IEC 29101:2018)

Information technology - Security techniques - Privacy architecture framework (ISO/IEC

29101:2018)
Informationstechnik - Sicherheitstechniken - Rahmenwerk für Datenschutz (ISO/IEC
29101:2018)

Technologies de l'information - Techniques de sécurité - Architecture de référence de la

protection de la vie privée (ISO/IEC 29101:2018)
Ta slovenski standard je istoveten z: prEN ISO/IEC 29101
ICS:
35.030 Informacijska varnost IT Security
oSIST prEN ISO/IEC 29101:2021 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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oSIST prEN ISO/IEC 29101:2021
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oSIST prEN ISO/IEC 29101:2021
INTERNATIONAL ISO/IEC
STANDARD 29101
Second edition
2018-11
Information technology — Security
techniques — Privacy architecture
framework
Technologies de l'information — Techniques de sécurité —
Architecture de référence de la protection de la vie privée
Reference number
ISO/IEC 29101:2018(E)
ISO/IEC 2018
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ISO/IEC 29101:2018(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2018

All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may

be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting

on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address

below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: [phone]
Fax: [phone]
Email: [e-mail]
Website: www.iso.org
Published in Switzerland
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Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Symbols and abbreviated terms ........................................................................................................................................................... 1

5 Overview of the privacy architecture framework .............................................................................................................. 1

5.1 Elements of the framework .......................................................................................................................................................... 1

5.2 Relationship with management systems .......................................................................................................................... 3

6 Actors and PII ........................................................................................................................................................................................................... 3

6.1 Overview ...................................................................................................................................................................................................... 3

6.2 Phases of the PII processing life cycle ................................................................................................................................. 4

6.2.1 Collection ................................................................................................................................................................................ 4

6.2.2 Transfer .................................................................................................................................................................................... 5

6.2.3 Use ................................................................................................................................................................................................ 5

6.2.4 Storage ...................................................................................................................................................................................... 6

6.2.5 Disposal ................................................................................................................................................................................... 6

7 Concerns ........................................................................................................................................................................................................................ 6

7.1 Overview ...................................................................................................................................................................................................... 6

7.2 The privacy principles of ISO/IEC 29100 ........................................................................................................................ 6

7.3 Privacy safeguarding requirements ...................................................................................................................................... 7

8 Architectural views ............................................................................................................................................................................................ 7

8.1 General ........................................................................................................................................................................................................... 7

8.2 Component view .................................................................................................................................................................................... 8

8.2.1 General...................................................................................................................................................................................... 8

8.2.2 Privacy settings layer ................................................................................................................................................... 9

8.2.3 Identity management and access management layer ...................................................................12

8.2.4 PII layer .................................................................................................................................................................................14

8.3 Actor view ................................................................................................................................................................................................19

8.3.1 General...................................................................................................................................................................................19

8.3.2 ICT system of the PII principal ..........................................................................................................................20

8.3.3 ICT system of the PII controller .......................................................................................................................20

8.3.4 ICT system of the PII processor .......................................................................................................................21

8.4 Interaction view ..................................................................................................................................................................................22

8.4.1 General...................................................................................................................................................................................22

8.4.2 Privacy settings layer ................................................................................................................................................22

8.4.3 Identity and access management layer .....................................................................................................23

8.4.4 PII layer .................................................................................................................................................................................23

Annex A (informative) Examples of the PII-related concerns of an ICT system ....................................................25

Annex B (informative) A PII aggregation system with secure computation .............................................................30

Annex C (informative) A privacy-friendly, pseudonymous system for identity and access

control management .....................................................................................................................................................................................37

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Foreword

ISO (the International Organization for Standardization) and IEC (the International Electrotechnical

Commission) form the specialized system for worldwide standardization. National bodies that are

members of ISO or IEC participate in the development of International Standards through technical

committees established by the respective organization to deal with particular fields of technical

activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international

organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the

work. In the field of information technology, ISO and IEC have established a joint technical committee,

ISO/IEC JTC 1.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for

the different types of document should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject

of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent

rights. Details of any patent rights identified during the development of the document will be in the

Introduction and/or on the ISO list of patent declarations received (see www .iso .org/patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso

.org/iso/foreword .html.

This document was prepared by Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 27, Security techniques.

This second edition cancels and replaces the first edition (ISO/IEC 29101:2013) which has been

technically revised. The main change compared to the previous edition is that old Annex D has been

removed.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/members .html.
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Introduction

This document describes a high-level architecture framework and associated controls for the

safeguarding of privacy in information and communication technology (ICT) systems that store and

process personally identifiable information (PII).
The privacy architecture framework described in this document:

— provides a consistent, high-level approach to the implementation of privacy controls for the

processing of PII in ICT systems;

— provides guidance for planning, designing and building ICT system architectures that safeguard the

privacy of PII principals by controlling the processing, access and transfer of personally identifiable

information; and

— shows how privacy enhancing technologies (PETs) can be used as privacy controls.

This document builds on the privacy framework provided by ISO/IEC 29100 to help an organization

define its privacy safeguarding requirements as they relate to PII processed by any ICT system. In some

countries, privacy safeguarding requirements are understood to be synonymous with data protection/

privacy requirements and are the subject of data protection/privacy legislation.
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INTERNATIONAL STANDARD ISO/IEC 29101:2018(E)
Information technology — Security techniques — Privacy
architecture framework
1 Scope
This document defines a privacy architecture framework that:
— specifies concerns for ICT systems that process PII;
— lists components for the implementation of such systems; and
— provides architectural views contextualizing these components.

This document is applicable to entities involved in specifying, procuring, architecting, designing,

testing, maintaining, administering and operating ICT systems that process PII.

It focuses primarily on ICT systems that are designed to interact with PII principals.

2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO/IEC 29100, Information technology — Security techniques — Privacy framework
ISO/IEC/IEEE 42010, Systems and software engineering — Architecture description
3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO/IEC 29100 and ISO/IEC/

IEEE 42010 apply.
4 Symbols and abbreviated terms
The following abbreviations apply to this document.
ICT Information and Communication Technology
PET Privacy Enhancing Technology
PII Personally Identifiable Information
5 Overview of the privacy architecture framework
5.1 Elements of the framework

The privacy architecture framework presented in this document is intended as a technical reference

for developers of ICT systems that process PII. This document does not set requirements for privacy

policies; it assumes that a privacy policy is in place and that privacy safeguarding requirements have

been defined and that appropriate safeguards are implemented within the ICT system.

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This architecture framework focuses on the protection of PII. Since this is partly a security goal,

ICT systems processing PII should also follow information security engineering guidelines. This

architecture framework lists some information security components that are critical for safeguarding

PII processed within ICT systems. The architecture framework presented is based on the model used in

ISO/IEC/IEEE 42010.

The stakeholders related to these concerns are the privacy stakeholders defined in ISO/IEC 29100. They

are discussed in more detail in Clause 6.

The concerns for the architecture framework are described in Clause 7 and include the privacy

principles of ISO/IEC 29100 and privacy safeguarding requirements specific to an ICT system.

The architecture framework is presented as follows:

a) the layers of the technical architecture framework in 8.2 show the architecture from a component

viewpoint. Each layer groups components with a common goal or a similar function;

b) the deployment model in 8.3 shows the architecture framework from a standalone ICT system

viewpoint. Each view shows a grouping of the components based on their deployment in the

stakeholders’ ICT systems; and

c) the views in 8.4 show the architecture framework from an interaction viewpoint. The views

illustrate how the components interact between ICT systems of different stakeholders.

The architecture framework also presents correspondence rules between the concerns and viewpoints

through the use of mapping tables.
Figure 1 — Elements of the privacy architecture framework in context

Figure 1 illustrates the relationship between the elements of the privacy architecture framework.

The central element of the architecture framework is the ICT system being built. An ISO/IEC 29101

actor uses the ICT system. The design of the ICT systems is affected by both concerns addressed in this

document and also other concerns. Examples of other concerns include non-functional requirements

that affect the performance, accessibility and design of the ICT system and do not affect the functional

processing of PII. These other concerns are out of the scope of this document.

The ICT system can contain components from the privacy architecture framework of this document as

well as other components. These components do not process PII, but instead handle other functionality

in the ICT system like providing accessibility or rendering special user interfaces. Such components are

out of the scope of this document.
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5.2 Relationship with management systems

The use of a management system enables PII controllers and processors to more effectively meet

their privacy safeguarding requirements using a structured approach. This structured approach also

provides PII controllers and processors the ability to measure outcomes and continuously improve the

management system’s effectiveness.

An effective management system is as transparent as possible but still impacts people, processes

and technology. It should be part of the internal control program and risk mitigation strategy of an

organization and its implementation helps to satisfy compliance with data protection and privacy

regulations.
6 Actors and PII
6.1 Overview

The actors of the ISO/IEC architecture framework are the privacy stakeholders involved in PII

processing described in ISO/IEC 29100. These actors are:
a) the PII principal;
b) the PII controller; and
c) the PII processor.

NOTE The “third party” defined as one of the four categories of the actors in ISO/IEC 29100 is out of the

scope of the architecture framework specified in this document.

From the deployment viewpoint, the architecture framework is divided into three parts. Each part

applies to the ICT system deployed from the viewpoint of each of these actors.

Figure 2 shows the ICT systems of the actors and the flows of PII between these ICT systems. It illustrates

the logical division of functionality for the architecture framework described in this document. It is

not intended as a representation of the physical structure, organisation or ownership of ICT system

hardware.
Figure 2 — Actors and their ICT systems according to this document

An actor can be responsible for building the ICT systems that it uses, or not. For example, the PII principal

can use a system built by and the responsibility of the PII controller or the ICT system of the PII principal

can be a part of the ICT system of the PII controller. Furthermore, the functionality of the ICT system

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of the PII principal can be split across different ICT hardware systems owned by the PII principal and

the PII controller. Similarly, the PII controller can provide the ICT system of the PII processor. Business

processes in which ICT systems are employed use a wide range of communication and trust models. The

architecture framework in this document builds on an abstraction of these models.

If the PII principal is using a privately owned ICT system, the other privacy stakeholders can impose

requirements on this ICT system. For example, the ICT system of the PII principal can have to meet a

minimum baseline of security requirements to be allowed to connect to the other ICT systems. Other

examples include the use of special security components like hardware authentication tokens, certain

operating system versions or special web browser versions.

For example, in ICT systems employing peer-to-peer communications (communication method,

communication model or communication technology featuring communication in between/among the

entities that are peer to each other without central servers), every application can take the roles of

all three listed actors. Information is both sent and received by each peer, so each peer can be a PII

controller or processor for PII transferred by another party in the role of a PII principal.

In social networking applications, PII can be processed by anyone with access to other people's profiles.

Web-based social networking applications allow all the authorized and possible anonymous users of

the service to process PII provided by the PII principals connected to the social network.

6.2 Phases of the PII processing life cycle
6.2.1 Collection

Many organizations collect information from PII principals. This information can contain PII.

When collecting PII, organizations should always consider the privacy preferences and legal rights of

the PII principal and privacy safeguarding requirements as stated by applicable law. Factors such as

the type of PII, consent given, or any privacy preferences stated need to be considered throughout all

stages of processing. PII should only be collected if it is needed for the declared purposes.

Documentation should be associated with the PII. Examples include, but are not limited to:

a) software tags that state the purpose(s) the PII can be used for;
b) records describing the purpose(s) that PII can be used for; and

c) records of the consent given and any specific sensitivities that should be observed (e.g., certain PII

categories should be encrypted or deleted after a certain period of time).

Privacy controls should be implemented wherever data is tagged as PII or wherever PII is marked

with additional information concerning the PII principal. It is also important to preserve tags that are

relevant to processing PII during the usage, transfer, storage and disposal phases. If stored PII are likely

to have been modified, it should be validated for accuracy and currency before use.

In addition, PII collection processes should be designed to collect only the PII that is necessary for

the respective transaction. Organizations should take steps to minimize the inadvertent/unintended

collection of PII through data entry systems (e.g., web application forms that allow the entry of any

information). The entry of arbitrary PII should be minimized through the use of context-specific display

of input fields reducing or eliminating areas in the web form where this information can be entered (e.g.,

removing unnecessary check boxes and free text fields). In addition, the use of fields with predefined

entries (e.g., list boxes and drop-down lists), containing non-PII options, should be considered. When

free form text fields are necessary, the User Interface (UI) should provide:

a) warnings to alert the PII principal not to enter PII other than that which is explicitly asked for and

consented to or required by applicable law;

b) clear indication of those fields where PII is to be entered and what PII should be entered (e.g. name,

address, health information); and
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c) clear indication of those fields where PII should not be entered.
6.2.2 Transfer

Transferring, disseminating, or releasing PII to others means that the PII is no longer under the sole

control of the PII principal. Transfer is usually the term given for dissemination of PII from the PII

controller or PII processor to other PII controllers and processors. If PII is transferred from the PII

controller to another actor, transfer is sometimes also referred to as disclosure.

Accountability and responsibility for the transferred PII should be agreed on and maintained by each

party involved in the PII processing. This agreement should be in writing where required by applicable

law. Furthermore, such agreements need to be compliant with data protection legislation in the source

and destination domains of the transfers. When relevant and appropriate, or when legally required to

do so, the PII principal should be notified that transfer is taking place and should be informed of the

content and purpose of the transfer. If a dispute occurs between the PII principal and the PII controller

or PII processor, records of relevant PII transfer transactions should be available to assist in resolving

any such dispute.
The transfer of sensitive PII should be avoided unless it:
— is necessary to provide a service that the PII principals has requested;
— fulfils a business requirement for offering the requested service; or
— is required by law.

Some jurisdictions have instituted laws that specifically require formal contractual agreements that

include all privacy safeguarding requirements between the involved parties when PII is transferred

outside a jurisdiction that has a prescribed level of privacy protection. Where cross-border transfers

are used, particular attention should be given to protection measures for the PII being transferred.

Appropriate protection mechanisms should be in place during the transfer of PII. In the case of a digital

transfer, PII should be transmitted over a secure channel or in encrypted form if the transmission is

over an insecure channel. If PII is transferred on physical media, it should be encrypted. If encryption is

used, the encryption key should not be stored or transmitted together with the encrypted PII.

6.2.3 Use

Using PII means any form of PII processing that does not include “collect”, “transfer”, “store”, “archive”

or “dispose”. The privacy principles described in ISO/IEC 29100 (Privacy Framework), as well as some

data protection and privacy laws, can limit the processing of PII if that processing is incompatible with

the originally specified purposes. Therefore, PII should only be processed for the declared purposes for

which it was collected.

If the PII is to be processed for any other purpose that is not covered by applicable law, consent should be

obtained from the PII principal or his agent. The PII principal should be provided a means for contacting

the PII controller or processor in the event there are any questions about any activities about which the

PII principals is unclear.

Where such processing is considered necessary the consent of the PII principal should be obtained

unless otherwise permitted by law. PII principals should be provided clear notice about the specific use

of the PII.

Additionally, protection mechanisms appropriate to the usage of PII should be applied as deemed

necessary by a thorough risk analysis. This includes the use of anonymization or pseudonymization

techniques prior to processing and the use of secure computation techniques during processing.

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6.2.4 Storage

When it is necessary to store PII, the consent of the PII principal should be obtained, taking into account

any specific measures that can be required by law. In such cases, the PII should be stored only for the

amount of time necessary to achieve the specific business purpose.

PII should be stored with appropriate controls and mechanisms to prevent unauthorized access,

modification, destruction, removal, or other unauthorized use. Such controls include, but are not limited

to, encryption, secret sharing, pseudonymization and anonymization.

Archived PII needs careful attention. The privacy principles state that PII should be retained only as

long as necessary to fulfil the stated purposes and then be securely destroyed or anonymized. However,

if the PII controller or PII proces
...