DRAFT - April 30, 1999

Frequently Asked Questions (FAQs)

Verification

Q:  How do organizations provide follow up procedures for verifying that the attestations and assertions businesses make about their privacy practices are true and privacy practices have been implemented as represented.

A:  An organization may verify such attestations and assertions either through self assessment or outside compliance reviews. Under the self assessment approach, such verification would have to indicate that an organization's published privacy policy is accurate, comprehensive, prominently displayed, completely implemented and accessible.* It would also need to indicate that its privacy policy conforms to the safe harbor principles; that consumers are informed of the consumer complaint resolution mechanisms through which complaints are handled; that it has in place procedures for disseminating its privacy policy to employees, training them in its implementation, and disciplining them for failure to follow it; and that it has in place internal procedures for periodically reviewing compliance with the above. A statement verifying the self assessment should be signed by a corporate officer or other authorized representative of the company at least once a year and provided as part of the documentation included in the annual renewal of the self certification process.

Where the organization has chosen outside compliance review, such reviews may include without limitation auditing, random reviews, use of "decoys," or use of technology tools as appropriate to ensure that organizations are adhering to their articulated privacy policies. A statement verifying that an outside compliance review has been successfully completed should be signed either by the reviewer or by the corporate officer or other authorized representative of the company at least once a year and provided as part of the documentation included in the annual renewal of the self certification process.
 

*The European Commission believes that these criteria should also apply in the case of outside compliance review and that the procedures for their implementation should be further specified.