This sample Benchmarks Report represents a real-world example of Your Privacy Management Status Report based on a mature privacy program in a non-north American organization within the public sector. Copyright 2014 Nymity Inc. All Rights Reserved.
Your Monthly Privacy Management Status Report September 9, 2014 Executive Summary Privacy management within an organization goes beyond the privacy office; it consists of activities conducted throughout the organization that affect the processing of personal data. This report compares the status of your organization s privacy management with the privacy management of 34 other benchmarked organizations based on the aggregated statistics derived from Nymity Benchmarks. Your organization s privacy management program* is made up of 107 Implemented** privacy management activities and 7 Planned activities, for a total of 114 privacy management activities. This compares with the Benchmark average of 83.1 Implemented privacy management activities and 16.6 Planned, totalling 99.7 activities within the benchmarked organizations. Your Privacy Management Activity Status Implemented 107 93.9% Planned 7 6.1% Total 114 Overall Benchmarked Organizations' Status Implemented 83.1 83.3% Planned 16.6 16.7% Total 99.7 Your privacy management program is 94% Implemented compared to the Benchmark average of 83% your organization's Planned to Implemented Activity ratio. based on Participating Organizations All participating organizations have a privacy office and are at various stages of implementing a privacy program. Over 90% of the organizations have international operations. At this stage, over 75% of the head offices in participating organizations are located in the USA, with the EU being the second largest represented location. A wide variety of industries are represented in this research study and not one single specific industry represents greater than 10% of the preliminary results. At the time of publishing the preliminary results, a few public-sector/pure health-sector organizations have participated. Ongoing Research @Nymity Nymity has initiated a number of research studies to augment the current statistical base. Over time, the plan is to develop statistical segmentation by industry, company size (# of employees), head office location, Safe Harbor, or BCR. If you would like to refer a group of organizations to participate in a benchmark research project, please contact Nymity s research team at research@nymity.com. Note: Nymity Benchmarks are continuously updated with new benchmark data and this report will be emailed to Nymity Benchmarks subscribers with the latest results. * Privacy management program is defined as the privacy management activities implemented plus the privacy management activities planned in the next 12 months. It does not include the Desired and Not Applicable Privacy Management Activities for your privacy management. ** Percentage implemented is based on the number of planned privacy management activities within the next 12 months, out of a total of Planned + Implemented. 1 of 17
How Your Organization Compares - Top Benchmarked Privacy Management Activities Your Status as compared to the Top 25 Implemented Privacy Management Activities You have Implemented 24 of the Top 25 Implemented Privacy Management Activities. Rank (%) Your Status Privacy Management Activity 97.23% Implemented - Core Maintain a corporate security policy (protection of physical premises and hard assets) 97.14% Implemented - Core Maintain technical security measures (e.g. intrusion detection, firewalls, monitoring) 94.45% Implemented - Core Maintain backup and business continuity plans 91.43% Implemented - Core Maintain an information security policy 88.89% Implemented - Core Maintain procedures to restrict access to personal information (e.g. role-based access, segregation of duties) 88.58% Implemented - Elective Attend/participate in privacy conferences, industry associations, or think-tank events 87.81% Implemented - Core Consult with stakeholders throughout the organization on data privacy matters 87.5% Implemented - Core Maintain a data privacy policy 86.12% Implemented - Core Maintain procedures to update security profile based on system updates and bug fixes 86.11% Implemented - Core 83.34% Implemented - Core Maintain human resource security measures (e.g. pre-screening, performance appraisals) Maintain a data privacy notice that details the organization s personal data handling policies 83.34% Implemented - Core Conduct regular testing of data security posture 82.93% Implemented - Core Assign accountability for data privacy at a senior level 82.93% Implemented - Elective Maintain a Code of Conduct 82.85% Implemented - Elective Conduct ongoing research on developments in law 80.49% Implemented - Core Assign responsibility for data privacy 80.49% Implemented - Core Require employees to acknowledge and agree to adhere to the data privacy policies 80% Implemented - Core Maintain an acceptable use of information resources policy 80% Implemented - Core Maintain a core training program for all employees 80% Implemented - Core Maintain procedures to respond to access requests 77.78% Implemented - Core Maintain escalation procedures for serious complaints or complex access requests 77.15% Desired Maintain subscription to compliance reporting service/law firm updates to stay informed on new developments 77.15% Implemented - Elective Seek legal opinions regarding recent developments in law 77.14% Implemented - Core Provide data privacy notice at all points where personal data is collected 77.14% Implemented - Core Maintain procedures to address complaints N/A Desired Planned Implemented Not desired, required, applicable or justified based on privacy risk and business priorities. Privacy office could anticipate or wish to implement if no resource constraints. In progress or scheduled to be implemented in the next 12 months. Implemented and are either: Core: Fundamental to privacy management, mandatory; or Elective: Advanced, optional, or beyond the minimum required 2 of 17
About Nymity and Nymity Benchmarks Nymity is a global research company specializing in accountability, risk, and compliance privacy solutions for the privacy office. A unique combination of a research and technology company, Nymity s advanced technology delivers research analysis to organizations in all jurisdictions around the world. Awarded the Gartner Cool Vendor award in Risk Management, Privacy & Compliance and selected as a Global Hot 100 Company by the World Summit on Innovation and Entrepreneurship, Nymity empowers organizations to comply Organizations continuously strive to compare and enhance their privacy program for ongoing effective privacy management. By empowering organizations to statistically baseline and compare their privacy program with others, Nymity Benchmarks provides superior insight into how the privacy management of one organization compares with the privacy management of another. Nymity Benchmarks is based on the Nymity Privacy Management Accountability Framework To learn more about how to baseline and statistically compare your privacy management, visit www.nymity.com/benchmarks. 3 of 17
Your Implemented Privacy Management Activities Compared to Other Organizations Your organization, as of September 9, 2014has implemented 107 privacy management activities as compared to an average of 83.1 1. Maintain Governance Structure Ensure that there are individuals responsible for data privacy, accountable management, and management reporting procedures Maintain a privacy strategy 68.29% 14.63% 14.63% 2.44% Maintain job descriptions for individuals responsible for data privacy (e.g. data protection officers) 73.17% 7.32% 14.63% 4.88% Assign accountability for data privacy at a senior level 82.93% 7.32% 9.76% 0% Allocate resources to adequately implement and support the privacy program (e.g. budget, personnel) 73.17% 7.32% 19.51% 0% Assign responsibility for data privacy 80.49% 9.76% 7.32% 2.44% Conduct regular communication between individuals accountable and responsible for data privacy Consult with stakeholders throughout the organization on data privacy matters Report, on a scheduled basis, on the status of the privacy program (e.g. board of directors, management board) 73.17% 9.76% 14.63% 2.44% 87.81% 7.32% 4.88% 0% 53.66% 19.51% 14.63% 12.2% Maintain a Code of Conduct 82.93% 2.44% 9.76% 4.88% Maintain a strategy to align activities with legal requirements (e.g. address conflicts, differences in standards, creating rationalized rule sets) Require employees to acknowledge and agree to adhere to the data privacy policies 58.54% 14.63% 21.95% 4.88% 80.49% 7.32% 12.2% 0% 2. Maintain Personal Data Inventory Maintain an inventory of the location of key personal data storage or personal data flows with defined classes of personal data Maintain an inventory of key personal data holdings (what personal data is held and where) Classify personal data holdings by type (e.g. sensitive, confidential, public) Obtain approval for data processing (where prior approval is required) Register databases with data protection authority (where registration is required) 41.03% 25.64% 33.33% 0% 58.98% 15.38% 23.08% 2.56% 61.54% 2.56% 10.26% 25.64% 58.97% 2.56% 2.56% 35.9% 4 of 17
Use Standard Contractual Clauses as a data transfer mechanism Use Cross-Border Privacy Rules as a data transfer mechanism 56.41% 0% 7.69% 35.9% 17.94% 0% 20.51% 61.54% Use the Safe Harbor framework as a data transfer mechanism 51.28% 0% 7.69% 41.03% Use Data Protection Authority approval as a data transfer mechanism Use adequacy or one of the derogations from adequacy (e.g. consent, performance of a contract, public interest) as a data transfer mechanism 28.21% 0% 10.26% 61.54% 56.41% 2.56% 7.69% 33.33% 3. Maintain Data Privacy Policy Maintain a data privacy policy that meets legal requirements and addresses operational risk Maintain a data privacy policy 87.5% 7.5% 5% 0% Obtain board approval for data privacy policy 61.54% 0% 10.26% 28.21% Document legal basis for processing personal data 58.97% 2.56% 20.51% 17.95% 4. Embed Data Privacy Into Operations Maintain operational policies and procedures consistent with the data privacy policy, legal requirements, and operational risk management objectives Maintain policies/procedures for collection and use of sensitive personal data (including biometric data) 65.79% 10.53% 10.53% 13.16% Maintain policies/procedures for maintaining data quality 60.52% 7.89% 23.68% 7.89% *NEW* Maintain policies/procedures to review processing conducted wholly or partially by automated means Maintain policies/procedures for secondary uses of personal data Maintain policies/procedures for secure destruction of personal data Integrate data privacy into use of cookies and tracking mechanisms 15.63% 3.13% 53.13% 28.13% 50% 11.11% 30.56% 8.33% 71.05% 15.79% 10.53% 2.63% 52.63% 15.79% 26.32% 5.26% Integrate data privacy into records retention practices 56.76% 16.22% 21.62% 5.41% Integrate data privacy into hiring practices 68.42% 10.53% 13.16% 7.89% 5 of 17
Integrate data privacy into employee background check practices 65.79% 10.53% 13.16% 10.53% Integrate data privacy into social media practices 52.64% 23.68% 18.42% 5.26% Integrate data privacy into health & safety practices 47.37% 15.79% 18.42% 18.42% Integrate data privacy into interactions with works councils 42.1% 5.26% 5.26% 47.37% Integrate data privacy into practices for monitoring employees 60.53% 15.79% 13.16% 10.53% Integrate data privacy into e-mail monitoring practices 63.16% 13.16% 10.53% 13.16% Integrate data privacy into use of CCTV/video surveillance 50% 13.16% 15.79% 21.05% Integrate data privacy into use of geo-location (tracking and or location) devices Integrate data privacy into delegate access to employees' company e-mail accounts (e.g. vacation, LOA, termination) 47.37% 10.53% 15.79% 26.32% 50% 10.53% 18.42% 21.05% Integrate data privacy into e-discovery practices 47.37% 5.26% 21.05% 26.32% Integrate data privacy into conducting internal investigations 57.89% 10.53% 21.05% 10.53% Integrate data privacy into practices for disclosure to and for law enforcement purposes Integrate data privacy into customer/patient/citizen facing practices (e.g. retail sales, provision of healthcare, tax processing) Integrate data privacy into back office/administrative procedures (e.g. facilities management) Integrate data privacy into financial operations (e.g. credit, billing, processing transactions) 57.89% 7.89% 18.42% 15.79% 57.89% 5.26% 13.16% 23.68% 54.06% 16.22% 27.03% 2.7% 71.05% 5.26% 13.16% 10.53% Integrate data privacy into research practices 34.21% 5.26% 26.32% 34.21% 5. Maintain Training and Awareness Program Provide ongoing training and awareness to promote compliance with the data privacy policy and to mitigate operational risks Maintain a core training program for all employees 80% 11.43% 5.71% 2.86% Conduct training for newly appointed employees upon assignment to privacy-sensitive positions 60% 11.43% 20% 8.57% Conduct regular refresher training to reflect new developments 62.86% 11.43% 22.86% 2.86% Integrate data privacy into other training programs, such as HR, security, call centre, retail operations training Measure participation in data privacy training activities (e.g. numbers of participants, scoring) 65.71% 14.29% 14.29% 5.71% 65.71% 20% 2.86% 11.43% 6 of 17
Deliver a privacy newsletter, or incorporate privacy into existing corporate communications Maintain ongoing awareness material (e.g. posters, intranet, and videos) Maintain an internal data privacy intranet, privacy blog, or repository of privacy FAQs and information 40% 17.14% 31.43% 11.43% 40% 14.29% 31.43% 14.29% 58.33% 16.67% 19.44% 5.56% Provide data privacy information on system logon screens 50% 2.78% 30.56% 16.67% Conduct one-off, one-time tactical training and communication dealing with specific, highly-relevant issues/topics Provide ongoing education and training for the Privacy Office (e.g. conferences, webinars, guest speakers) 66.67% 11.11% 19.44% 2.78% 72.22% 8.33% 13.89% 5.56% 6. Manage Information Security Risk Maintain an information security program based on legal requirements and ongoing risk assessments Maintain an information security policy 91.43% 2.86% 2.86% 2.86% Maintain technical security measures (e.g. intrusion detection, firewalls, monitoring) Maintain administrative and technical measures to encrypt personal data in transmission and at rest, including removable media 97.14% 0% 0% 2.86% 74.28% 5.71% 17.14% 2.86% Maintain an acceptable use of information resources policy 80% 11.43% 5.71% 2.86% Maintain procedures to restrict access to personal information (e.g. role-based access, segregation of duties) Maintain a corporate security policy (protection of physical premises and hard assets) Maintain human resource security measures (e.g. pre-screening, performance appraisals) 88.89% 2.78% 2.78% 5.56% 97.23% 0% 0% 2.78% 86.11% 5.56% 5.56% 2.78% Maintain backup and business continuity plans 94.45% 2.78% 0% 2.78% Maintain a data-loss prevention strategy 63.89% 16.67% 16.67% 2.78% Maintain procedures to update security profile based on system updates and bug fixes 86.12% 5.56% 2.78% 5.56% Conduct regular testing of data security posture 83.34% 2.78% 11.11% 2.78% Maintain a security verification 66.67% 8.33% 13.89% 11.11% 7. Manage Third-Party Risk Maintain contracts and agreements with third-parties and affiliates consistent with the data privacy policy, legal requirements, and operational risk tolerance 7 of 17
Maintain data privacy requirements for third parties (e.g., vendors, processors, affiliates) Maintain procedures to execute contracts or agreements with all processors Conduct due diligence around the data privacy and security posture of potential vendors/processors Maintain procedures to address instances of non-compliance with contracts and agreements Review long-term contracts for new or evolving data protection risks 75% 16.67% 8.33% 0% 66.67% 22.22% 8.33% 2.78% 72.22% 16.67% 5.56% 5.56% 42.86% 17.14% 34.29% 5.71% 30.55% 19.44% 38.89% 11.11% 8. Maintain Notices Maintain notices to individuals consistent with the data privacy policy, legal requirements, and operational risk tolerance Maintain a data privacy notice that details the organization s personal data handling policies Provide data privacy notice at all points where personal data is collected 83.34% 2.78% 8.33% 5.56% 77.14% 5.71% 5.71% 11.43% Provide notice by means of on-location signage, posters 38.89% 5.56% 8.33% 47.22% Provide notice in all forms, contracts and terms 61.11% 8.33% 11.11% 19.44% Maintain a data privacy notice for employees (processing of employee personal data) Provide data privacy education to individuals (e.g. preventing identity theft) 52.77% 2.78% 27.78% 16.67% 44.44% 5.56% 30.56% 19.44% 9. Maintain Procedures for Inquiries and Complaints Maintain effective procedures for interactions with individuals about their personal data Maintain procedures to address complaints 77.14% 5.71% 11.43% 5.71% Maintain procedures to respond to access requests 80% 5.71% 8.57% 5.71% Maintain procedures to respond to requests to update or revise personal data 69.44% 8.33% 13.89% 8.33% Maintain procedures to respond to requests for information 69.45% 8.33% 13.89% 8.33% Maintain customer Frequently Asked Questions 38.89% 16.67% 16.67% 27.78% 8 of 17
Maintain escalation procedures for serious complaints or complex access requests Maintain procedures to investigate root causes of data protection complaints Maintain metrics for data protection complaints (e.g. number, root cause) 77.78% 5.56% 11.11% 5.56% 69.45% 8.33% 16.67% 5.56% 58.33% 11.11% 25% 5.56% 10. Monitor for New Operational Practices Monitor organizational practices to identify new processes or material changes to existing processes and ensure the implementation of Privacy by Design principles 11. Maintain Data Privacy Breach Management Program Maintain an effective data privacy incident and breach management program Maintain a documented data privacy incident/breach response protocol Maintain a breach notification (to affected individuals) and reporting (to regulators, credit agencies, law enforcement) protocol Maintain a breach incident log to track nature/type of all breaches Maintain data privacy incident/breach metrics (e.g. nature of breach, risk, root cause) Conduct periodic testing of breach protocol and document findings and changes made 62.86% 22.86% 11.43% 2.86% 60% 20% 14.29% 5.71% 71.43% 8.57% 14.29% 5.71% 57.14% 17.14% 17.14% 8.57% 31.43% 17.14% 42.86% 8.57% Engage a forensic investigation team 54.29% 8.57% 17.14% 20% Maintain a record preservation protocol to protect relevant log history 48.57% 14.29% 20% 17.14% 12. Monitor Data Handling Practices Verify operational practices comply with the data privacy policy and operational policies and procedures Conduct self-assessments managed by the Privacy Office 45.72% 22.86% 28.57% 2.86% 9 of 17
Conduct ad-hoc audits/assessments based on complaints/inquiries/breaches Conduct audits/assessments of the privacy program outside of the Privacy Office (e.g. Internal Audit) 71.43% 2.86% 17.14% 8.57% 60% 8.57% 20% 11.43% Benchmark results of audits/assessments (e.g. comparison to previous audit, comparison to other business units) 34.29% 11.43% 40% 14.29% Conduct ad-hoc walk-throughs 42.86% 0% 25.71% 31.43% Maintain privacy program metrics 45.72% 20% 31.43% 2.86% 13. Track External Criteria Track new compliance requirements, expectations, and best practices Conduct ongoing research on developments in law 82.85% 0% 11.43% 5.71% Attend/participate in privacy conferences, industry associations, or think-tank events Record/report on the tracking of new Rule Sources or amendments to Rule Sources 88.58% 2.86% 5.71% 2.86% 60% 0% 22.86% 17.14% Seek legal opinions regarding recent developments in law 77.15% 0% 8.57% 14.29% Document that new requirements have been implemented (also document where a decision is made to not implement any changes, including reason) 48.57% 17.14% 22.86% 11.43% 10 of 17
Your Planned Privacy Management Activities Compared to Other Organizations Your organization, as of September 9, 2014 has planned 7 privacy management activities as compared to an average of 16.6 1. Maintain Governance Structure Ensure that there are individuals responsible for data privacy, accountable management, and management reporting procedures 2. Maintain Personal Data Inventory Maintain an inventory of the location of key personal data storage or personal data flows with defined classes of personal data 3. Maintain Data Privacy Policy Maintain a data privacy policy that meets legal requirements and addresses operational risk 4. Embed Data Privacy Into Operations Maintain operational policies and procedures consistent with the data privacy policy, legal requirements, and operational risk management objectives 5. Maintain Training and Awareness Program Provide ongoing training and awareness to promote compliance with the data privacy policy and to mitigate operational risks 6. Manage Information Security Risk Maintain an information security program based on legal requirements and ongoing risk assessments 11 of 17
7. Manage Third-Party Risk Maintain contracts and agreements with third-parties and affiliates consistent with the data privacy policy, legal requirements, and operational risk tolerance 8. Maintain Notices Maintain notices to individuals consistent with the data privacy policy, legal requirements, and operational risk tolerance 9. Maintain Procedures for Inquiries and Complaints Maintain effective procedures for interactions with individuals about their personal data 10. Monitor for New Operational Practices Monitor organizational practices to identify new processes or material changes to existing processes and ensure the implementation of Privacy by Design principles Maintain a Privacy by Design framework for all system and product development 37.15% 17.14% 42.86% 2.86% Maintain PIA guidelines and templates 48.57% 20% 25.71% 5.71% Conduct PIAs for new programs, systems, processes 57.14% 20% 17.14% 5.71% Maintain a procedure to address data protection issues identified during PIAs Maintain a product sign-off procedure that involves the Privacy Office Maintain a product life cycle process to address privacy impacts of changes to existing programs, systems, or processes Maintain metrics for PIAs (e.g. number completed, turnaround time) 42.85% 22.86% 25.71% 8.57% 34.28% 20% 31.43% 14.29% 25.71% 22.86% 42.86% 8.57% 22.86% 28.57% 37.14% 11.43% 12 of 17
11. Maintain Data Privacy Breach Management Program Maintain an effective data privacy incident and breach management program 12. Monitor Data Handling Practices Verify operational practices comply with the data privacy policy and operational policies and procedures 13. Track External Criteria Track new compliance requirements, expectations, and best practices 13 of 17
Your Desired Privacy Management Activities Compared to Other Organizations Your organization, as of September 9, 2014 has desired 25 privacy management activities as compared to an average of 29.7 1. Maintain Governance Structure Ensure that there are individuals responsible for data privacy, accountable management, and management reporting procedures Conduct a Privacy Risk Assessment 66.66% 19.05% 14.29% 0% Maintain a privacy program charter/mission statement 65.85% 9.76% 21.95% 2.44% Integrate data privacy into business risk assessments/reporting 51.22% 12.2% 36.59% 0% Maintain ethics guidelines 75.61% 2.44% 17.07% 4.88% 2. Maintain Personal Data Inventory Maintain an inventory of the location of key personal data storage or personal data flows with defined classes of personal data Maintain flow charts for key data flows (e.g. between systems, between processes, between countries) Maintain documentation for all cross-border data flows (e.g. country, mechanism used as a basis for the transfer such as Safe Harbor, model clauses, binding corporate rules, or approvals from data protection authorities) 23.08% 23.08% 53.85% 0% 41.02% 7.69% 30.77% 20.51% 3. Maintain Data Privacy Policy Maintain a data privacy policy that meets legal requirements and addresses operational risk Maintain a separate employee data privacy policy 58.98% 7.69% 20.51% 12.82% Document guiding principles for consent 53.85% 10.26% 20.51% 15.38% 4. Embed Data Privacy Into Operations Maintain operational policies and procedures consistent with the data privacy policy, legal requirements, and operational risk management objectives 14 of 17
Maintain policies/procedures for pseudonymization/anonymization of personal data 26.32% 13.16% 42.11% 18.42% Maintain policies/procedures for collecting consent preferences 52.63% 10.53% 23.68% 13.16% 5. Maintain Training and Awareness Program Provide ongoing training and awareness to promote compliance with the data privacy policy and to mitigate operational risks Conduct data privacy training needs analysis by position/job responsibilities Maintain a second level training program reflecting job specific content Require completion of data privacy training as part of performance reviews 34.29% 25.71% 34.29% 5.71% 40% 14.29% 40% 5.71% 20% 2.86% 57.14% 20% Hold an annual data privacy day/week 30.56% 13.89% 33.33% 22.22% Measure comprehension of data privacy concepts using exams Maintain certification for individuals responsible for data privacy, including continuing professional education 44.44% 8.33% 22.22% 25% 61.11% 5.56% 22.22% 11.11% 6. Manage Information Security Risk Maintain an information security program based on legal requirements and ongoing risk assessments Conduct a security risk assessment which considers data privacy risk 65.71% 14.29% 17.14% 2.86% 7. Manage Third-Party Risk Maintain contracts and agreements with third-parties and affiliates consistent with the data privacy policy, legal requirements, and operational risk tolerance Maintain a vendor data privacy risk assessment process 41.67% 22.22% 30.56% 5.56% Conduct ongoing due diligence around the data privacy and security posture of vendors/processors based on a risk assessment 30.56% 22.22% 38.89% 8.33% 15 of 17
8. Maintain Notices Maintain notices to individuals consistent with the data privacy policy, legal requirements, and operational risk tolerance Maintain a privacy Seal or Trustmark to increase customer trust 16.66% 2.78% 33.33% 47.22% 9. Maintain Procedures for Inquiries and Complaints Maintain effective procedures for interactions with individuals about their personal data 10. Monitor for New Operational Practices Monitor organizational practices to identify new processes or material changes to existing processes and ensure the implementation of Privacy by Design principles 11. Maintain Data Privacy Breach Management Program Maintain an effective data privacy incident and breach management program Obtain data privacy breach insurance coverage 32.35% 5.88% 23.53% 38.24% 12. Monitor Data Handling Practices Verify operational practices comply with the data privacy policy and operational policies and procedures Conduct assessments through use of an accountability agent or third-party verification 20% 5.71% 51.43% 22.86% 13. Track External Criteria Track new compliance requirements, expectations, and best practices 16 of 17
Maintain subscription to compliance reporting service/law firm updates to stay informed on new developments Maintain records or evidence that alerts are read and actions are taken (e.g. read daily and forwarded to key individuals as required) Review or participate in studies related to best practices in data privacy management 77.15% 2.86% 17.14% 2.86% 31.42% 2.86% 28.57% 37.14% 54.29% 0% 31.43% 14.29% 17 of 17