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Chapter 6 A Privacy Engineering Lifecycle Methodology

“They always say time changes, but you actually have to change them yourself.”

—Andy Warhol

This chapter discusses a systems engineering methodology that can be adapted to privacy engineering. The methodology presented should be followed throughout development of a project for a privacy solution. It involves interactive models that provide pictorial documentation as well as business language use cases that together present requirements, analysis, design, and test cases in a readable form. The models work together to provide an understandable information and application architecture that satisfies business requirements, including, of course, privacy and security.

Executives may wish to glide through this chapter to get a feel how their teams work toward a project solution. Engineers, designers, and consultants will want to dig in deeper to perform their function more effectively.

The requirements use cases, the class model and supporting metadata, the user experience requirements, and any supporting requirements, as discussed in Chapter 5, are the basis for developing an architectural solution.

Enterprise Architecture

This section discusses an enterprise architecture approach that actuates these requirements into an architectural solution. The privacy engineering methodology is based on concepts derived from enterprise architecture.

An enterprise has been defined as an association consisting of a recognized set of interacting functions that are able to operate as an independent, stand-alone entity. There are enterprises within enterprises. For instance, a business unit within the overall corporate entity may be considered an enterprise as long as it could be operated independently.

Architecture provides the underlying framework, which defines and describes the platform required by the enterprise to attain its objectives and achieve its business vision. Architecture is an amalgam of engineering art and engineering science; there is no single enterprise architecture. Instead, the overall architecture can be considered to consist of four interrelated architectures or architectural views (Figure 6-1).

Figure 6-1. Enterprise architecture views

Architectural Views

The suggested architectural approach[1] envisions four architecture views: business, information, application, and technology architectures. These may contain levels of detail that are used to describe the elements of a privacy engineered architecture, but are not the processes themselves that will be built using these defined architectures.

In the privacy engineering methodology, the underlying architectural views have specific privacy opingcharacteristics:

Business architecture: Models the business enterprise to show how business is to be done.[2] The use cases, activity diagrams, and supporting metadata documenting the business architecture privacy requirements are enterprise requirements that must be enforced.

Information architecture: Enables the enterprise to develop a common, shared, distributed, accurate, and consistent data resource that is based on the various data models and supporting metadata. Some of the key factors in information architecture are privacy requirements. Data stewards[3] indicate that there are privacy requirements that need to be enforced based on their knowledge of the data for which they are responsible. This will take the form of a metadata indicator that shows that privacy rules need to be followed or that the data should be encrypted.

Application architecture: Links the information and business architectures to reflect applications and how they are used and distributed. The UML sequence diagram and the component diagram are application architecture documents. During the application architecture process, the architect determines whether to invoke privacy component rules or requirements from within the system or to use it as an app. The application architecture also reflects what privacy enabled technology (PET) components, if any, will be included in the design. PETs are discussed later in this chapter.

Technology architecture: Links up with the application, business, and information architectures to provide interoperable technology platforms that meet the needs of the various user roles (actors) at identified work locations. In developing the technology architecture, decisions regarding which automated solutions can be employed and whether to build or buy them are made.

In addition to the four enterprise architecture views shown in Figure 6-1, there is another that can be considered.

User interface architecture: Links up the information, business, application, and technology architectures with the user facing design and controls. The user interface architecture provides the user experience, as discussed in Chapter 5 and below. This type of architecture must provide a way to incorporate privacy requirements into the architecture and design of the user interface.

Solution Architecture

The solution architecture (Figure 6-2) is developed from a system engineering methodology that consists of joining a user interface architecture design, information architecture (reflecting data modeling and big data analysis), and an application architecture. Thus, the privacy engineer can draw from a known engineering design and build techniques to add fair processing requirements and standards in a manner that is readily understood. The first new step on the journey to privacy innovation begins on a well-trodden path.

Figure 6-2. Solution architecture

Given the understanding of the business architecture, information architecture, and application architecture, the design team, including privacy engineering representatives, apply the appropriate technology architecture.

Develop Procedures, Processes, and Mechanisms

Privacy policy development is discussed in Chapter 4 and requirements development in Chapter 5. This chapter describes the methodology used to develop privacy procedures, processes, and mechanisms, focusing primarily on the latter (Figure 6-3). Note that mandated standards and recommended guidelines based on privacy policies heavily influence the end solution.

Figure 6-3. Privacy engineering development process

  • [1] The enterprise architecture section is based on two much-quoted papers: “Enterprise Architecture: What and Why” by Tom Finneran (tdan.com/i007ht03.htm) and “Enterprise Architecture: The What's And How's” by Tom Finneran (tdan.com/i018ht02.htm).
  • [2] Again, this is applicable to for-profit, nonprofit, and governmental enterprises.
  • [3] The privacy team will work with the data stewards to ensure that they are familiar with legal and enterprise privacy policies, procedures, and privacy rules.
 
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