Building a Privacy Accountable Surveillance System
Francisco Jaime
1
, Antonio Maña
1
, Zhendong Ma
2
, Christian Wagner
2
, Daniel Hovie
2
and Mathias Bossuet
3
1
University of Málaga, Málaga, Spain
2
Austrian Institute of Technology, Vienna, Austria
3
Thales Communications & Security, Paris, France
Keywords: Surveillance, Privacy, Accountability, Methodology, SALT, Process, Scenario.
Abstract: This paper presents a sample surveillance use-case based on a video archive search scenario. Privacy and
accountability concerns related to video surveillance systems are identified and described here, thus
assessing the impact on privacy of this type of systems. Then, after a description of the scenario, we produce
the design for this particular context using the SALT methodology developed by the PARIS project. This
methodology follows the privacy-by-design approach and ensures that privacy and accountability concerns
are properly taken into account for the system under development. This kind of development entails a series
of advantages, not only from the point of view of the subject under surveillance, but also for the other
system stakeholders.
1 INTRODUCTION
Video surveillance systems are spreading nowadays
nearly everywhere, they are present not only in
private properties, but also in many public places,
such as banks, airports, markets, etc. However, on
many occasions the citizens (the objects under
surveillance) are not fully aware of the surveillance
system, i.e. they do not know what type of that the
system is retrieving from them and the purpose it
will be used for. Even more, they may not even
know about the existence of the surveillance system
at all. These circumstances entail a series of privacy
lacks regarding the object under surveillance in
current surveillance systems.
The PARIS project (PrivAcy pReserving
Infrastructure for Surveillance) tries to provide a
solution to this problem. In this way, taking into
account privacy concerns in the development of
surveillance systems becomes the main goal of the
project, but not only that, accountability is another
important feature to have in mind. It would be
desirable to have the possibility of tracking who is
accountable of the actions performed by the system
at a given time or situation, especially when a
privacy violation takes place.
We have developed a methodology that follows a
privacy-by-design approach, which will help system
stakeholders to identify the privacy and
accountability requirements for the given
surveillance system they intend to deploy. Besides, it
will also guide surveillance system designers in
order to make them aware of the privacy and
accountability concerns, as well as provide them
with relevant information to facilitate the task of
taking into account these concerns by the
implementation of proper measures.
To achieve this goal, the PARIS project lies in
the SALT (Social, ethicAl, Legal, Technological)
framework. This framework contains the
information regarding the privacy and accountability
concerns from the social, ethical, legal and
technological points of view for current surveillance
systems within a variety of environments and
contexts. Such information will be provided by
experts and it is the core that supports the
methodology. Questionnaires destined to system
stakeholders are also provided, which will provide
criteria to assess the impact on privacy of the
surveillance system to be.
Together with the SALT framework there is also
a process, which makes use of a set of tools and the
SALT framework. Surveillance systems designers
can follow this process during the development of
the system design.
In this paper, we show a sample use case based
646
Jaime F., Maña A., Ma Z., Wagner C., Hovie D. and Bossuet M..
Building a Privacy Accountable Surveillance System.
DOI: 10.5220/0005401606460654
In Proceedings of the 3rd International Conference on Model-Driven Engineering and Software Development (SPIE-2015), pages 646-654
ISBN: 978-989-758-083-3
Copyright
c
2015 SCITEPRESS (Science and Technology Publications, Lda.)
on a video archive search system within a given
scenario. Based on it, we identify the privacy and
accountability requirements of this particular
surveillance system and provide a privacy friendly
design following the SALT methodology elaborated
by the PARIS project, and hence experimentally
showing the advantages achieved by its application.
Next, the paper is structured as follows: in
section 2 we provide background information
regarding privacy and accountability in current
video-surveillance systems; in section 3 we describe
the use-case taken as a sample for the application of
the SALT methodology; section 4 details how the
system is designed following the SALT process; in
section 5 we describe the advantages and goals
achieved thanks to the SALT approach in this
particular use-case; finally, section 6 concludes the
paper.
2 PRIVACY AND
ACCOUNTABILITY IN
VIDEO-SURVEILLANCE
SYSTEMS
This section identifies the most typical privacy and
accountability concerns for nowadays video-
surveillance systems, how they currently are taken
into account (in case they are) and how the SALT
approach could contribute for improvements.
2.1 From the Research Side
Privacy and accountability must be considered
throughout the lifetime of a video-surveillance
system, typically consisting of the requirements
identification, design, installation, operation, and
decommission phase. At design time, the main focus
of privacy and accountability concerns is on how to
apply design principles, paradigms, practices, and
technologies to achieve privacy by design, i.e. to
ensure privacy and increase personal control over
one’s information (Surden, 2007). Existing work on
this topic targets software, hardware, and system.
Smart cameras, i.e. surveillance cameras with
advanced digital signal processors, can be
programmed to mask a person’s face or scramble a
certain area in the captured video (Solove, 2006).
The video data from smart cameras is split into two
streams. The metadata stream describes the objects,
events, behaviour, and other context information of
the video, which is shown to the operator to fulfil
surveillance purpose. The image stream containing
the raw data can only be accessed by authorized
personnel. Video analytics capabilities are
developed to generate metadata that has the potential
to eliminate the need to show raw video data to
surveillance operators. To enforce privacy, video
surveillance system is accompanied by multilevel
access control architecture (Slobogin, 2002).
Layered access model can be defined to ensure
minimum-disclosure of information and the access
to video data is on a need-to-know basis. Since
video surveillance systems are comprised of
computing and communication devices, standard
and specific-purpose software, log management can
be used to establish audit trail for accountability.
Hence context-aware log generation, temper
resistant storage, and intelligent log analysis are all
topics related to the implementation of log
management for accountability.
2.2 From the Industrial Side
From an industrial perspective, the building of
video-surveillance systems is most of time based on
the fulfilment of expressed customer technical
requirements. It merely means that the degree of
privacy and accountability provided by the system
results from the applicable statements of law (and of
any applicable authorization process) and from the
prescriber requirements.
The status on this point about privacy and
accountability enabling features for video-
surveillance systems is to be found in three
directions mainly: the security of data (that
contributes to better privacy), the limitation of the
collection of the data (very important contributor
also to the privacy protection level of the whole
system), and the features dedicated to evidence
management.
A very important contributor to privacy clearly
lies within the usage procedures that are enforced by
the organization and operators who perform the
routine surveillance tasks based on the video system
(often using some other capabilities or features, such
as those from Access Control Systems, Intrusion
Detection Systems). One may notice that the three
aforementioned categories are related to privacy
rather than accountability. Very often in nowadays
systems, accountability really arises mostly from
organizational processes, whereas some technical
capabilities might really help to increase
accountability of surveillance systems.
The security of data is the most important and
most focused point within video-surveillance real-
life systems. First thing is to avoid unexpected and
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647
unauthorized disclosure of video data, and second
thing is to control and limit the possible actions of
the operators strictly to the “need to know” attached
to their missions. Avoid unauthorized disclosure
often results from ISS (Information Security
System) measures application: encryption of
exchanges at network level, authentication of the
cameras, high-grade authentication of the operator.
It also results from physical access controls to the IT
servers and operating stations of the system. In the
most advanced video-surveillance systems, intrusion
detection at the network level can be performed to
avoid the stealing of any information. The limitation
of the operators actions is performed using standard
administration means to ensure differentiation of
access to cameras, and access to live and/or replay
video.
The limitation of the collection of the data results
from two important (and different) video-
surveillance features: the position of the CCTV
cameras and the dynamic masking of privacy zones.
The very first collection limitation factor clearly
results from the position of the cameras itself: if no
camera is positioned in my home, I’m sure I will not
be filmed, otherwise… Some devices can also allow
limitation of angular freedom of the sensor. In
addition to this, the very nice dynamic masking is
mostly provided in IP cameras (meaning within the
most recent systems) and allows for protecting
several zones in the image (they are blanked directly
in the raw stream).
Also, when prosecution is at stake, protection
and authentication of data is required. Modern
video-surveillance systems propose technical
features that allow for building a powerful and
efficient electronic safe-box to embed video-
surveillance gathered data.
Privacy is really taken into account in systems in
operations. Nevertheless, it is most of the time
within a non-global approach that results from
disparate initiatives. A by-design approach would
allow a more deterministic result, and also a better
co-management of technical-related privacy and
accountability enablers and of usage processes. At
the end, some very simple to very innovative
technical capabilities could be used to dramatically
increase the privacy and accountability of the video-
surveillance systems. A very common logging tool
applied to operators’ actions would, as an example,
be the basis for a very powerful accountability
system. Incoming homomorphic processing could
also be used to realize video-content analysis
(potentially realized everywhere, in the Cloud)
without accessing the data.
3 SALT METHODOLOGY
The SALT methodology includes a system design
process, which if followed, allows for the integration
of privacy an accountability concerns within the
surveillance system at early design stages, without
diminishing the original functionality pursued by the
given surveillance system. The diagram shown in
Figure 1 depicts this general process.
As it can be seen, different actors are involved
within the process depending on their role and the
task they have to perform, ranging from the system
proposer to the final system operator.
The system proposer is the actor who initially
has the intention to deploy a surveillance system
within a given context/environment. Therefore, the
first thing to be done according to the SALT
methodology is to apply a questionnaire (available at
the SALT repository). The answers to this
questionnaire help to assess the impact on privacy of
the current SUD (System Under Development),
providing information about the legitimacy of the
system according to the current laws applicable to
the context where the system is expected to be
deployed.
If system is legitimate, we can go on with the
process and collect the system requirements from the
system proposer. These will mainly be functional
requirements, although some privacy and/or
accountability related requirements may also be
included (they could be a counterpart of another
requirement).
With this information and the context of the
surveillance system, the SALT repository is
accessed and the corresponding SALT references are
retrieved. These SALT references provide relevant
information regarding privacy and/or accountability
requirements applicable to the SUD, and also a set
of recommendations about how to address those
requirements. By merging these recommendations
with the previous system requirements, we get what
we call the SALTed system requirements.
This is the initial input for system designers, who
will also access the SALT repository searching for
SALT references. In this case, the look for possible
recommendations for the integration of solutions for
the system requirements, as well as possible system
restrictions, which may com from the legal, social,
ethical or technological points of view. And not only
this, a set of validation rules may also be available,
allowing for checking whether the proposed SALT
recommendations are met by the system design or
not. As a consequence, thanks to all this information
system designers create a system design.
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Figure 1: SALT methodology process diagram.
Next, system developers develop the system
itself and provide an actual implementation. Then a
system installer physically deploys the system and
the system operator is able to work with it.
There is a feedback flow that considers the
system maintenance and a possible system redesign
in case some requirements have changed, e. g. an
update of the applied laws.
4 SAMPLE USE-CASE
To demonstrate the application of the SALT
framework, let us consider a use case of designing a
distributed video archive search (VAS) system. The
VAS system is supposed to search and analyse video
surveillance data involved in suspected crime
scenes. The video data are captured and stored in
surveillance systems deployed at various geographic
locations and operated by different organizations,
e.g. banks, airport, public transport. Network Video
Recorder (NVR) is used in these systems to store
video image from multiple cameras. Video
management system (VMS) is used to manage the
access of operator stations to the video data in NVR.
To be more efficient in protecting public security
and combating crime, the law enforcement agency
(LEA) wishes to use video search technologies to
facilitate crime investigation. The LEA discusses its
need and requirements with the technology provider
and the surveillance system operators, in which it
proposes to establish a project team for the design
and development of an advanced VAS system that
can access and search video data in various NVRs
over the network. A high-level system overview is
illustrated in Fig. 2.
Figure 2: High-level view for VAS system use case.
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The top priorities beside the surveillance need
are to enforce privacy and accountability at all levels
of the system design. The project team faces several
challenges. First, beside technology, the project team
must ensure that the VAS system complies with
local privacy regulations and social norms. Second,
the VAS system design must ensure that all privacy
risks during the system runtime are identified in the
design phase and properly addressed by technical
and non-technical measures. Third, the system must
address privacy and accountability issues while
ensuring that the system is usable and the project
stays within the time and budget constraints. Finally,
the project must cover a broad range of interests,
concerns, and requirements across multiple
dimensions and find a win-win solution in the end,
i.e. a system that increases security of the public
while preserving privacy of the very same people.
5 SYSTEM DESIGN USING THE
SALT APPROACH
If we follow a common design process, all
functional (and some not functional) requirements of
the SUD described in Section 3 are taken into
account, which produces a system design that fully
matches the desired way of operation of the resulting
system. However, this approach does not take into
account privacy and accountability requirements, at
least from a dedicated perspective. This means that
even though some privacy and/or accountability
requirements may be met by the initial system
design, some other can be (and will surely be)
omitted.
This said, we need to clarify how is the system
design going to be materialized. In general (and not
only for this particular use case), the SALT
methodology uses UML (Universal Modelling
Language) as the way to produce one (or several)
diagram for representing the system design. Figure 3
shows the initial system design (created through a
common design process) for this particular use case.
Following we describe the elements depicted in
Fig. 2:
Surveillance System: represents the whole
system. General attributes or methods applied to
the system should appear in this element.
VMS: represents the video management system.
Access and processing of video data is
performed through this element. It is composed
of NVRs and cameras.
NVR: represents network video recorders, which
store the video data and are mostly located at the
site of the surveillance cameras, which are used
by. They have a name and hold arbitrary contact
information.
Camera: the camera object is used to identify
surveillance camera tracks within a provider. It
has a name as an ID, which is used as a reference
to identify the correct track when the Video
Archive Search
accesses the provider to fetch the surveillance
videos. Additionally, they hold the (physical)
camera address as well as its coordinates. These
shall make selecting cameras more convenient.
Algorithm: algorithms used by the video archive
search. It is very simple, it only consists of a
human readable name and its ID. The ID is used
by the VAS to identify the algorithm in its own
system.
Database: here is where information is stored.
Warrant: the warrant is the central object of the
access control system. It can be seen as a policy
or authorization entry. This element represents
the search warrant received from the judge or the
direct authorization by the Data Protection
Officer, depending on de applied legal
framework. It consists of a name, the users, who
re allowed to use this entry, and a time frame in
which the warrant is valid.
Sensitive Data: information used by the system
susceptible of being attached to privacy and
accountability concerns.
Permission: a permission holds a combination of
cameras with a shared time frame and
algorithms, Within the system, it is seamlessly
integrated into the warrant object, making it
easier and more intuitive for the Data Protection
Officer to use the administration interface.
User: person who uses the system.
LEA: law enforcement agency, such as police or
alike.
Video Standard API: system access API
adapted to standard users.
Video Privileged API: system access API for
users with special privileges.
However, if we apply the SALT methodology
instead, we end up using a set of questionnaires
during a first stage of the process prior to the system
design phase. The answers to these questionnaires
help to identify privacy and accountability concerns
that are applicable to the SUD. Besides, during the
design time, the system designer can also access the
SALT framework in order to search for new
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Figure 3: Initial design for VAS system use case.
requirements according to the SUD and the context
where is going to be deployed. All this ensures
having information related to privacy and
accountability concerns at design time, which leads
to a privacy-by-design and accountability-by-design
approach. For the current use case described in
Section 3, the following requirements have been
identified:
Clearly define the purpose of processing
sensitive data, for which the evaluation of the
stakeholder’s problem is required.
Indicate and justify the legal ground on which
the implementation of the system relies
(legitimacy).
Justify the necessity and suitability of the system
and the selected technologies for the defined
purpose (proportionality).
Data protection risk assessment, identifying the
potential impacts on individual’s rights.
Transparency of the surveillance process.
Description of the collected data, including the
purposes of its collection and the target groups
affected (nature of the collected data).
Impact on privacy of the expected system
accuracy and the errors that may occur (expected
system accuracy).
Description of the different users hat can have
access to the data stored in the system, and
justification of that access (limitation of access to
data).
Description of the circumstances in which the
data can be transferred to third parties (disclosure
of data).
Whenever it is permitted to process data, it is
preferred to avoid a centralized storage of the
information (storage of data).
Data collected and stored by the system should
be properly protected (security of stored data).
The retention duration of data should be
carefully assessed. Data shall not be kept for
longer than necessary to achieve the stated
purpose(s). This implies that once data is not
necessary anymore, it should be immediately
deleted. Also, each retention’ duration should be
adapted to each category of data (retention and
deletion of data).
Data transmissions should be adequately
protected in order to avoid unwanted disclosure
of personal information (protection of data
communications).
The impact on privacy of a failure in the system
components must be evaluated (privacy impact
of system failures).
It is important to identify the operations
performed without any user interaction, and to
implement the adequate mechanisms to control
them in order to verify that they are working as
expected (control of unattended operations).
Inform data subjects about the process of data
collection.
Only the necessary data for the surveillance
service should be collected.
Trace all data collection processes.
Implementation of compliance procedures and
policies that respect the choice of the authorized
persons, and the review and update of these
policies at least every two years.
The collected data is only used for the purposes
for which they were initially recorded.
Trace all data deletion processes.
Deletion or rectification of inaccurate data.
Apart from the identification of the requirements
above, the SALT framework also provides a
possible way to deal with such requirements within
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651
the design under development whenever it is
possible. At this point, it is important to remark that
there may be several different ways of dealing with
each privacy/accountability concern, although a
given SALT reference (the information unit within
the SALT framework) provides just one possible
implementation for each concern. Besides, there are
some concerns whose definition is too vague and/or
wide, thus making impossible to provide a 100%
reliable solution for them. But even for these cases
the SALT framework shows partial solutions that
will help a human user (by providing extra
information, limiting the number of elements to
check, etc.) to verify whether a given concern is
properly addressed within the system design or not.
Consequently, according to the information
obtained from the SALT framework, the system
design shown in Fig. 2 can be improved by
specifically taking into account privacy and
accountability concerns for this particular use case.
This leads to a new system design, which can be
seen in Figure 4.
These are the additions done in order to improve
the VAS system design:
Purpose: to describe and justify the purpose of
the processing of sensitive data we extend de
Sensitive data element with and attribute called
“purpose” as a plain text string to include the
evaluation of the stakeholders’ problems.
Legitimacy: the VAS system relies in a clear
explanation and justification of the legal ground.
To express that information we expand the
Surveillance system element with the
“legitimacy” attribute.
Proportionality: for this aspect we use a new
attribute called “proportionality” within the
Surveillance system element.
Interference with Privacy Rights: individuals
rights claim for a high level evaluation in order
to verify and identify the potential impact.
Therefore, we require a sensitive data risk
assessment and we have to include specific
operations to provide this functional requirement.
This functionality is included in the Surveillance
system element, in the method
“identifyInterference()”.
Nature of the Collected Data: all processed
sensitive data needs to be characterized,
describing the purposes, goals and target groups
affected by this data analysis. To contain this
information we extend the Sensitive data element
with the attribute “nature”.
Expected System Accuracy: the surveillance
system has a specific degree of accuracy that has
to be defined to indicate the impact on privacy.
We include this information in a new attribute
called “expected accuracy” in the Surveillance
system element.
Access Limitation to Sensitive Data: different
users can have access to the sensitive data with
several limitations, privileges and authorization
levels. We manage these properties with the
“authorization level” attribute within the
Permissions element.
Disclosure of Personal Data: sensitive data
could be transmitted and shared among other
users under specific circumstances. We have to
strictly define them in the attribute “disclosure”
in the Sensitive data element.
Sensitive Data Storage: the method
“protectionMethod()” included in DataBase
element will take care of protecting sensitive
data.
Retention and Deletion of Data: the method
“automaticDeletion()” within the DataBase
element will handle the deletion of those
sensitive elements whose retention period has
expired.
Protection of Data Communications: the
“communicationsProtection()” method in the
Surveillance system element should implement
proper mechanisms intended to protect data
communications.
Privacy Impact of System Failures: the
documentation of the privacy impact when the
system fails is registered by the attribute
“sf_privacy_impact” located within the
Surveillance system element.
Control of Unattended Operations: this issue
is handled by two artefacts, both of them in the
Surveillance system element. First, we have the
“unattended_operations” attribute, which lists the
operations carried out without a human
interaction. Besides, the method
“operationControl()” should define the control
mechanisms for the operations identified in the
previous attribute.
Inform Data Subjects: there are no specific
elements to address this requirement. System
stakeholders should somehow make aware data
subjects about the data collection process.
Minimization: there is no way to guarantee that
the system only collects the minimum and
necessary sensitive data for the system purpose.
However, the Surveillance system element is
extended with the method
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Figure 4: Final design for VAS system use case.
“provideSensitiveData()”, which can help an
external auditor to locate the data collected by
the system and then check whether this data is
really necessary or not.
Trace Data Collection Processes: the NVR
element includes another method called
“traceProcess()” for this matter.
Compliance Procedures and Policies: a method
called “compliance_policies()” in the
Surveillance system element will return those
policies and procedures implemented, thus an
external auditor will be able to access this
information.
Use of Data according to its Initial Purpose:
the element Sensitive Data has an attribute called
“data_purpose” for the system to know the
purpose of each sensitive data recorded. Apart
from that, the method “checkDataPurpose()”,
also within Sensitive data, is in charge of
checking that the value of the “data_purpose”
attribute matches the purpose of the surveillance
system.
Trace Data Deletion: inside Data base, the
method “traceDeletion()” traces every time some
data is deleted from the data base.
Deletion or Rectification of Inaccurate Data:
there is no way for the system to know whether
the collected data is sufficiently accurate or not.
6 ADVANTAGES AND
ACHIEVED GOALS
Even though current design and development
processes for video-surveillance systems do not
specifically address privacy and accountability
requirements, some of them are covered thanks to
the inherent characteristics and performance of the
technology components or the design process itself.
That is the case of smart cameras, which are able to
apply blurring technologies to people faces, for
example; or access control mechanisms, which only
allow authorized personnel to operate privacy
sensitive parts of the system.
However, surveillance systems designers are not
usually supposed to know all privacy and
accountability concerns that are applicable to the
system under development (SUD). And even in the
case they know about them, it may be difficult to
devise how to apply these concerns to the SUD.
Here is where the SALT methodology (including
the SALT framework, SALT process and the
resulting toolset) comes in. It provides a way to help
systems designers to develop privacy and
accountability –aware systems. To achieve this goal,
the SALT methodology counts on the SALT
framework, which we can define as a set containing
the privacy and accountability –related knowledge,
obtained from experts in four main areas: social,
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653
ethical, legal and technological. All this data are
physically stored within a repository, which could be
distributed over different locations.
The experts’ knowledge within the repository is
structured within smaller units called SALT
references. Thanks to these references, systems
designers will be able to identify and locate other
privacy and accountability concerns concerning to
their SUDs that are not addressed by current design
processes. And not only that, together with the
definitions of concerns, the references include
possible ways of applying such concerns to a SUD
(there may be several possible solutions, thus just
one is provided in each reference for each concern).
This is greatly convenient for systems designers:
they will be able to know about the privacy concerns
and also about a possible way to implement them.
Besides the repository, the SALT approach also
includes a toolset that allows for different
functionalities, such as managing the information
within the repository (addition, retrieval), assistance
to system design creation and automated validation
of the privacy and accountability concerns applied to
the system design (whenever it is possible).
How to use the SALT methodology, what tools
are necessary and when, and for what purposes, are
clarified by the SALT process. The SALT process is
a guide for systems developers, which they can
follow in order to provide a privacy and
accountability –aware surveillance system. And
even more, this process will also guide systems
stakeholders and privacy experts in their relation
with the SALT methodology and the surveillance
system: how to add or update information into the
repository, identification of new privacy and
accountability requirements for the SUD, etc.
However, these functionalities are out of the scope
of this paper, which is mainly focused on the
development of a particular use case and the
advantages obtained thanks to the use of the SALT
methodology.
7 CONCLUSIONS
The presentation and description of a particular use
case based on a video archive search system is used
to show how current design processes for
surveillance systems do not properly take into
account privacy and accountability related concerns,
even though some of them may be accomplished as
a collateral effect.
To alleviate this situation, the PARIS project
proposes the SALT methodology. Thanks to a base
of knowledge called the SALT framework and an
application process, privacy and accountability
requirements are identified at an early stage by
system stakeholders. And not only that, system
designers are also aware of such requirements at
design time, thus achieving a privacy-by-design and
an accountability-by-design approach.
The SALT methodology has been generally
described, showing the process to follow in order to
provide a privacy-aware system design, which will
then be developed and physically deployed.
Together with the identification of requirements for
the SUD, the SALT framework also proposes
possible (complete or partial) solutions to address
such requirements. As a result, when following the
SALT methodology, an improved system design is
obtained, where privacy and accountability concerns
are properly taken into account at design time.
ACKNOWLEDGEMENTS
Work partially supported by E.U. through the project
PARIS (FP7-SEC 312504).
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