White Paper on Pseudonymization Drafted by the Data Protection
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Schwartmann/Weiß (Eds.) White Paper on Pseudonymization Drafted by the Data Protection Focus Group for the Safety, Protection, and Trust Platform for Society and Businesses in Connection with the 2017 Digital Summit – Guidelines for the legally secure deployment of pseudonymization solutions in compliance with the General Data Protection Regulation – Schwartmann/Weiß (Eds.) White Paper on Pseudonymization Drafted by the Data Protection Focus Group for the Safety, Protection, and Trust Platform for Society and Businesses in Connection with the 2017 Digital Summit – Guidelines for the legally secure deployment of pseudonymization solutions in compliance with the General Data Protection Regulation – Headed by: Prof. Dr. Rolf Schwartmann Members: Walter Ernestus Research Center for Media German Federal Commissio- Law – Cologne University of ner for Data Protection and Applied Sciences Freedom of Information Sherpa: Steffen Weiß, LL.M. Nicolas Goß German Association for Data Association of the Internet Protection and Data Security Industry Members: Prof. Dr. Christoph Bauer Michael Herfert ePrivacy GmbH Fraunhofer Society for the Advancement of Applied Patrick von Braunmühl Research Bundesdruckerei GmbH Serena Holm Susanne Dehmel SCHUFA Holding AG German Association for Infor- mation Technology, Telecom- Dr. Detlef Houdeau munications and New Media Infineon Technologies AG Version 1.0., 2017 Sherpa contact: Issued by the Digital Summit’s Steffen Weiß data protection focus group German Association for Management contact: Data Protection and Data Security Prof. Dr. Rolf Schwartmann Heinrich-Böll-Ring-10 (TH Köln/GDD); 53119 Bonn Germany +49 228 96 96 75 0 [email protected] Gesellschaft für Datenschutz und Datensicherheit e.V. Members: Annette Karstedt-Meierrieks Members: Dr. Sachiko Scheuing DIHK – Association of German Acxiom Deutschland GmbH Chambers of Industry and Commerce Irene Schlünder Technologie- und Methoden- Johannes Landvogt plattform für die vernetzte German Federal Commissio- medizinische Forschung e.V. ner for Data Protection and Freedom of Information Dr. Claus D. Ulmer Deutsche Telekom AG Prof. Dr. Michael Meier University of Bonn/German Dr. Winfried Veil Informatics Society German Federal Ministry of the Interior Jonas Postneek Federal Office for Information Dr. Martina Vomhof Security German Insurance Association Frederick Richter, LL.M. Foundation for Data Protection 4 White Paper on Pseudonymization Drafted by the Data Protection Focus Group for the Safety, Protection, and Trust Platform for Society and Businesses in Connection with the 2017 Digital Summit – Guidelines for the legally secure deployment of pseudonymization solutions in compliance with the General Data Protection Regulation – Foreword Data is the raw material of the future. It can consist of information about how we live our lives, which can be deployed for medical products, or of infor- mation about our driving behavior which can be based on weather forecasts or our mistakes at the wheel. Data is generated when we use interconnected appliances, from television sets to toasters. Because this raw material is made up of human characteristics, it may not be mined like metal ores that are brought to a forge for smelting into steel. As a form of "digitized personality", this raw material requires special protection before it may be used. European data protection law in the General Data Protection Regulation makes companies responsible for protecting personal data by requiring them to ensure that data is protected by means of technological features and data protection-friendly default settings. In line with the ideas underlying the new law, pseudonymizing personal data represents a very important technique for protecting such information. It envisions the use of suitable processes to break the link between data and a given person, thereby making it possible to use the data in a manner that conforms to data protection requirements. 5 Due to the particular importance of pseudonymization, the Data Protection Focus Group at the German Government’s Digital Summit assumed responsibility for this economically significant issue. An interdisciplinary group of representatives from the business community, ministry administration, research, and watch- dogs worked with the Focus Group to produce this White Paper. We would like to express our thanks for their constructive, efficient, and sus- tained cooperation as part of this project. We would like to express our particu- lar thanks to assessor Steffen Weiß for his expert and painstaking coordination of the Focus Group’s work. Cologne, June 2017 Professor Dr. Rolf Schwartmann (Head of the data protection focus group for the safety, protection, and trust platform for society and businesses in connection with the German government‘s digital agenda) 6 White Paper on Pseudonymization Drafted by the Data Protection Focus Group for the Safety, Protection, and Trust Platform for Society and Businesses in Connection with the 2017 Digital Summit – Guidelines for the legally secure deployment of pseudonymization solutions in compliance with the General Data Protection Regulation – Contents Foreword .......................................................................................................................................................................... 4 1. Introduction ..................................................................................................................................................................... 8 2. Mission for the Digital Summit / goals of the Focus Group ....................................... 9 3. Framework conditions of pseudonymization ......................................................................... 10 3.1. Definition ............................................................................................................................................................................ 10 3.2. Differentiating between pseudonymization and anonymization ............................................... 12 3.3. Functions ............................................................................................................................................................................. 14 3.3.1. Protective function ...................................................................................................................................................... 14 3.3.2. Enabling and easing function .............................................................................................................................. 15 4. Techniques, and technical and organizational requirements ............................. 17 4.1. Cryptographic basics and processes ................................................................................................................ 17 4.2. Requirements regarding pseudonyms ............................................................................................................ 18 4.2.1 Availability requirements ........................................................................................................................................ 18 4.2.2. Role binding ...................................................................................................................................................................... 18 4.2.3. Purpose binding .............................................................................................................................................................. 18 4.3. Examples of pseudonymization techniques for implementing availability requirements ......................................................................................................................................... 19 4.3.1. Linkable, disclosable pseudonyms ..................................................................................................................... 19 4.3.2. Non-linkable disclosable pseudonyms ........................................................................................................... 19 4.3.3. Linkable non-disclosable pseudonyms ........................................................................................................... 20 4.3.4. Role binding ...................................................................................................................................................................... 20 4.3.5. Organizational purpose binding ......................................................................................................................... 20 4.3.6. Technical purpose binding ...................................................................................................................................... 20 4.4. Technical and organizational requirements ............................................................................................... 20 7 5. Transparency and data subjects' rights regarding pseudonymized data .......................................................................................................................................... 22 5.1. General transparency requirements ................................................................................................................ 22 5.2. Special conditions regarding pseudonymized data .............................................................................. 22 5.2.1. Information obligations (GDPR Articles 13 and 14) ............................................................................ 22 5.2.1.1. Initial situation