ARAL Privacy v1.1

ARAL-PRIVACY-1.0

Agent Reference Architecture Layers — Privacy & GDPR Compliance Specification

Version: 1.1.0
Status: Normative
Date: 2026-01-15
License: CC-BY-4.0

Abstract

This specification defines privacy requirements and GDPR compliance mechanisms for ARAL-conformant agents. It provides normative requirements for personal data handling, data subject rights implementation, and privacy-by-design principles.

Keywords: ARAL, privacy, GDPR, data protection, consent management, data subject rights

Introduction
Scope
Normative References
Terms and Definitions
Privacy Principles
Personal Data Handling
Data Subject Rights
Consent Management
Cross-Border Data Transfer
Privacy Architecture
Conformance

1. Introduction

1.1 Purpose

This specification extends ARAL-CORE-1.0 and ARAL-SECURITY-1.0 to provide comprehensive privacy and GDPR compliance requirements for AI agents handling personal data within the European Union and other jurisdictions with data protection laws.

1.2 Relationship to Other ARAL Specifications

ARAL-PRIVACY-1.0
    ├─ Extends: ARAL-CORE-1.0
    ├─ Requires: ARAL-SECURITY-1.0
    └─ Referenced by: ARAL-CONFORMANCE-1.0

1.3 Design Goals

Privacy by Design: Embed privacy into architecture from the start
Data Minimization: Collect only necessary personal data
Transparency: Clear disclosure of data practices
User Control: Enable meaningful consent and preferences
Accountability: Demonstrate compliance through technical measures

2. Scope

2.1 In Scope

Personal data collection, processing, and storage requirements
Implementation of all GDPR data subject rights
Consent management mechanisms
Cross-border data transfer controls
Privacy breach detection and notification
Data retention and deletion policies

2.2 Out of Scope

Legal interpretation of GDPR (consult legal counsel)
Business process compliance (DPO responsibilities, etc.)
Specific jurisdictional requirements beyond GDPR
Marketing and analytics platform integration

3. Normative References

The following documents are referenced in this specification:

GDPR — Regulation (EU) 2016/679 General Data Protection Regulation
ePrivacy Directive — Directive 2002/58/EC (as amended)
ARAL-CORE-1.0 — ARAL Core Specification
ARAL-SECURITY-1.0 — ARAL Security Specification
ISO/IEC 27701 — Privacy Information Management System
ISO/IEC 29134 — Privacy Impact Assessment Guidelines
RFC 2119 — Key words for use in RFCs to Indicate Requirement Levels

4. Terms and Definitions

4.1 Personal Data

Information relating to an identified or identifiable natural person (GDPR Art. 4(1)).

4.2 Data Subject

Natural person whose personal data is processed (GDPR Art. 4(1)).

4.3 Controller

Entity determining purposes and means of personal data processing (GDPR Art. 4(7)).

4.4 Processor

Entity processing personal data on behalf of controller (GDPR Art. 4(8)).

4.5 Processing

Any operation performed on personal data (GDPR Art. 4(2)).

Freely given, specific, informed, and unambiguous indication of data subject’s wishes (GDPR Art. 4(11)).

4.7 Privacy Breach

Breach of security leading to accidental or unlawful destruction, loss, alteration, or unauthorized disclosure of personal data (GDPR Art. 4(12)).

5. Privacy Principles

[REQ-PRIV-001] Privacy by Design

Agents MUST implement privacy protection measures during design and development, not as an afterthought.

Implementation: Integrate privacy controls at all architecture layers.

[REQ-PRIV-002] Privacy by Default

Agents MUST apply strictest privacy settings by default, requiring explicit user action to reduce privacy protection.

Implementation: Default to minimal data collection, shortest retention, strictest access controls.

[REQ-PRIV-003] Data Minimization

Agents MUST collect only personal data that is adequate, relevant, and necessary for specified purposes (GDPR Art. 5(1)(c)).

Implementation:

Document purpose for each data element
Reject unnecessary data collection
Regular data minimization audits

[REQ-PRIV-004] Purpose Limitation

Agents MUST process personal data only for specified, explicit, and legitimate purposes (GDPR Art. 5(1)(b)).

Implementation: Tag all data with processing purpose; prevent purpose creep.

[REQ-PRIV-005] Storage Limitation

Agents MUST retain personal data no longer than necessary for processing purposes (GDPR Art. 5(1)(e)).

Implementation: Automated retention policies with deletion triggers.

[REQ-PRIV-006] Accuracy

Agents MUST ensure personal data is accurate and kept up to date (GDPR Art. 5(1)(d)).

Implementation: Data validation, correction workflows, staleness detection.

[REQ-PRIV-007] Integrity and Confidentiality

Agents MUST process personal data securely, protecting against unauthorized access, loss, or damage (GDPR Art. 5(1)(f)).

Implementation: Encryption, access controls, audit logging (see ARAL-SECURITY-1.0).

6. Personal Data Handling

6.1 Data Classification

[REQ-PRIV-008] Sensitive Data Identification

Agents MUST identify and classify special categories of personal data (GDPR Art. 9):

Racial or ethnic origin
Political opinions
Religious or philosophical beliefs
Trade union membership
Genetic data
Biometric data
Health data
Sex life or sexual orientation

Implementation: Metadata tagging system with sensitivity levels.

6.2 Data Collection

[REQ-PRIV-009] Collection Notice

Agents MUST provide clear, accessible privacy notice before collecting personal data (GDPR Art. 13-14).

Required Information:

Controller identity and contact
Data Protection Officer (DPO) contact
Processing purposes and legal basis
Data recipients
Retention period
Data subject rights
Right to withdraw consent
Right to lodge complaint with supervisory authority

[REQ-PRIV-010] Lawful Basis

Agents MUST establish lawful basis for processing before collecting personal data (GDPR Art. 6):

Consent
Contract performance
Legal obligation
Vital interests
Public task
Legitimate interests

Implementation: Document and track legal basis per processing activity.

6.3 Data Storage

[REQ-PRIV-011] Encryption at Rest

Personal data MUST be encrypted at rest using approved algorithms (see ARAL-SECURITY-1.0 §5.3).

[REQ-PRIV-012] Encryption in Transit

Personal data MUST be encrypted in transit using TLS 1.3 or higher (see ARAL-SECURITY-1.0 §5.4).

[REQ-PRIV-013] Data Isolation

Personal data belonging to different data subjects MUST be logically or physically isolated.

Implementation: Multi-tenant architecture with tenant isolation controls.

7. Data Subject Rights

ARAL agents MUST implement technical mechanisms to facilitate all GDPR data subject rights.

7.1 Right to Access (Art. 15)

[REQ-PRIV-014] Access Request

Agents MUST provide data subjects with access to their personal data within 30 days.

Response Format:

{
  "request_id": "uuid",
  "data_subject": "user@example.com",
  "timestamp": "2026-01-15T14:30:00Z",
  "data": {
    "profile": { ... },
    "interactions": [ ... ],
    "preferences": { ... }
  },
  "processing_purposes": [ "service_delivery", "analytics" ],
  "recipients": [ "processor_a", "processor_b" ],
  "retention_periods": { "profile": "5 years", "logs": "90 days" },
  "rights": [ "access", "rectification", "erasure", ... ]
}

7.2 Right to Rectification (Art. 16)

[REQ-PRIV-015] Data Correction

Agents MUST provide mechanisms to correct inaccurate personal data within 30 days.

Implementation: RESTful API endpoint, UI correction forms, versioned updates.

7.3 Right to Erasure (Art. 17)

[REQ-PRIV-016] Right to be Forgotten

Agents MUST delete personal data when:

No longer necessary for original purpose
Consent withdrawn (and no other legal basis)
Data subject objects (and no overriding legitimate grounds)
Data unlawfully processed
Legal obligation requires deletion
Data collected from children (Art. 8)

Exceptions:

Legal obligation to retain
Public interest or official authority
Legal claims defense
Archiving in public interest

Implementation:

deletion_workflow:
  - verify_identity
  - check_exceptions
  - cascade_delete_across_systems
  - anonymize_logs
  - generate_confirmation
  - audit_trail

[REQ-PRIV-017] Cascading Deletion

Agents MUST delete or anonymize personal data across all systems, backups, and third-party processors.

Implementation: Event-driven deletion propagation, backup sanitization.

7.4 Right to Data Portability (Art. 20)

[REQ-PRIV-018] Data Export

Agents MUST provide personal data in structured, commonly used, machine-readable format (JSON, XML, CSV).

Export Formats:

JSON (preferred)
XML
CSV
Industry-standard formats (e.g., HL7 FHIR for health data)

7.5 Right to Restriction of Processing (Art. 18)

[REQ-PRIV-019] Processing Restriction

Agents MUST support restriction of processing when:

Accuracy contested
Processing unlawful but data subject opposes deletion
Controller no longer needs data but data subject needs it for legal claims
Data subject objects pending verification of legitimate grounds

Implementation: Status flag on data records preventing further processing except storage.

7.6 Right to Object (Art. 21)

[REQ-PRIV-020] Objection Mechanism

Agents MUST allow data subjects to object to processing based on legitimate interests or direct marketing.

Implementation: Opt-out controls, granular processing preferences.

[REQ-PRIV-021] Human Review

Agents MUST NOT make solely automated decisions with legal or significant effects without:

Explicit consent, or
Contract necessity, or
Legal authorization

AND must provide:

Right to human intervention
Right to express viewpoint
Right to contest decision

Implementation: Human-in-the-loop workflows, explainability features.

Agents MUST obtain consent that is:

Freely given: No coercion, genuine choice
Specific: Clear purpose stated
Informed: Comprehensive information provided
Unambiguous: Affirmative action required (no pre-ticked boxes)

Invalid Consent Examples:

❌ Pre-checked boxes
❌ Bundled consent for unrelated purposes
❌ Consent as condition for service (unless necessary)
❌ Unclear or ambiguous language

Agents MUST allow separate consent for distinct processing purposes.

Example:

{
  "consent": {
    "service_delivery": {
      "granted": true,
      "timestamp": "2026-01-15T10:00:00Z",
      "required": true
    },
    "analytics": {
      "granted": false,
      "timestamp": null,
      "required": false
    },
    "marketing": {
      "granted": false,
      "timestamp": null,
      "required": false
    }
  }
}

Agents MUST provide mechanism to withdraw consent as easily as it was given (GDPR Art. 7(3)).

Implementation: Preference center, API endpoints, in-app controls.

Agents MUST maintain records of consent:

Who gave consent
When consent was given
What information was provided
How consent was obtained
Whether consent has been withdrawn

Retention: Consent records must be retained for regulatory compliance even after consent withdrawal.

8.3 Children’s Data

[REQ-PRIV-026] Age Verification

Agents processing children’s data (under 16, or lower national threshold) MUST:

Verify age before processing
Obtain parental consent for children under threshold (GDPR Art. 8)
Implement age-appropriate privacy notices

Implementation: Age gates, parental verification flows, simplified privacy notices.

9. Cross-Border Data Transfer

[REQ-PRIV-027] Transfer Mechanisms

Agents transferring personal data outside the EEA MUST use approved mechanisms:

Adequacy Decision (GDPR Art. 45)
Standard Contractual Clauses (SCCs) (GDPR Art. 46(2)(c))
Binding Corporate Rules (BCRs) (GDPR Art. 46(2)(b))
Certification Mechanisms (GDPR Art. 46(2)(f))

[REQ-PRIV-028] Transfer Documentation

Agents MUST document all cross-border data transfers:

Recipient country
Transfer mechanism (adequacy, SCCs, etc.)
Data categories transferred
Purpose of transfer
Security measures

Implementation: Data flow mapping, transfer impact assessments.

[REQ-PRIV-029] Schrems II Compliance

Agents MUST assess destination country laws and supplement transfer mechanisms if necessary (CJEU C-311/18 Schrems II).

Assessment Required:

Government access laws
National security surveillance
Lack of legal remedies
Risk to data subjects

10. Privacy Architecture

10.1 Privacy by Architecture

[REQ-PRIV-030] Layer 2 (Memory) Privacy Controls

Agents MUST implement memory-layer privacy controls:

Personal data tagging and classification
Automated retention policies
Secure deletion mechanisms
Access logging

[REQ-PRIV-031] Layer 4 (Reasoning) Privacy Controls

Agents MUST implement reasoning-layer privacy controls:

Minimize personal data in prompts
Avoid leaking personal data in model outputs
Differential privacy for model training
Federated learning where appropriate

[REQ-PRIV-032] Layer 5 (Persona) Privacy Declarations

Agents MUST declare privacy practices in Persona manifest:

{
  "persona": {
    "id": "agent-001",
    "privacy": {
      "collects_personal_data": true,
      "data_categories": ["contact", "preferences"],
      "purposes": ["service_delivery", "analytics"],
      "legal_basis": ["consent", "contract"],
      "retention_period": "5 years",
      "processors": ["processor-a"],
      "transfers": [
        {
          "country": "US",
          "mechanism": "standard_contractual_clauses"
        }
      ],
      "rights_contact": "privacy@example.com"
    }
  }
}

10.2 Privacy Breach Response

[REQ-PRIV-033] Breach Detection

Agents MUST implement automated breach detection for:

Unauthorized data access
Data exfiltration
Accidental data exposure
Ransomware/encryption attacks

Implementation: Anomaly detection, access pattern monitoring, DLP controls.

[REQ-PRIV-034] Breach Notification (72 Hours)

Agents MUST facilitate breach notification to supervisory authority within 72 hours of awareness (GDPR Art. 33).

Required Information:

Nature of breach
Data categories and approximate number of records affected
Likely consequences
Measures taken or proposed
DPO contact details

[REQ-PRIV-035] Data Subject Notification

Agents MUST facilitate notification to affected data subjects when breach likely to result in high risk (GDPR Art. 34).

Implementation: Automated notification workflows, email/SMS templates, incident management system integration.

11. Conformance

11.1 Privacy Profile

Agents claiming GDPR compliance MUST implement all normative requirements ([REQ-PRIV-001] through [REQ-PRIV-035]).

11.2 Privacy Audit

Agents SHOULD undergo regular privacy audits:

Data Protection Impact Assessment (DPIA) for high-risk processing
Internal privacy audits (annual)
Third-party privacy certifications (ISO 27701, etc.)

11.3 Testing

Conformance testing MUST verify:

Data subject rights workflows (access, deletion, portability, etc.)
Consent management flows
Breach notification procedures
Cross-border transfer controls
Retention policy enforcement

11.4 Documentation

Agents MUST maintain Records of Processing Activities (RoPA) per GDPR Art. 30:

Controller/processor identity
Processing purposes
Data subject categories
Personal data categories
Recipient categories
Cross-border transfers
Retention periods
Security measures

Appendix A: Privacy Breach Notification Flow (Informative)

Appendix B: Data Subject Rights API (Informative)

Example RESTful API for data subject rights:

POST   /privacy/access-request
POST   /privacy/rectification
POST   /privacy/erasure
POST   /privacy/portability-export
POST   /privacy/restriction
POST   /privacy/objection
GET    /privacy/request/{id}/status
DELETE /privacy/data/{subject-id}

{
  "$schema": "http://json-schema.org/draft-07/schema#",
  "type": "object",
  "properties": {
    "subject_id": { "type": "string" },
    "consents": {
      "type": "array",
      "items": {
        "type": "object",
        "properties": {
          "purpose": { "type": "string" },
          "granted": { "type": "boolean" },
          "timestamp": { "type": "string", "format": "date-time" },
          "method": { "enum": ["opt-in", "opt-out"] },
          "required": { "type": "boolean" },
          "withdrawn_at": { "type": "string", "format": "date-time" }
        },
        "required": ["purpose", "granted", "timestamp"]
      }
    }
  }
}

References

GDPR — https://eur-lex.europa.eu/eli/reg/2016/679/oj
ISO/IEC 27701 — Privacy Information Management
ISO/IEC 29134 — Privacy Impact Assessment
EDPB Guidelines — https://edpb.europa.eu/our-work-tools/general-guidance_en
ICO Guidance — https://ico.org.uk/for-organisations/guide-to-data-protection/

ARAL Privacy v1.1

ARAL-PRIVACY-1.0

Abstract

Table of Contents

1. Introduction

1.1 Purpose

1.2 Relationship to Other ARAL Specifications

1.3 Design Goals

2. Scope

2.1 In Scope

2.2 Out of Scope

3. Normative References

4. Terms and Definitions

4.1 Personal Data

4.2 Data Subject

4.3 Controller

4.4 Processor

4.5 Processing

4.6 Consent

4.7 Privacy Breach

5. Privacy Principles

[REQ-PRIV-001] Privacy by Design

[REQ-PRIV-002] Privacy by Default

[REQ-PRIV-003] Data Minimization

[REQ-PRIV-004] Purpose Limitation

[REQ-PRIV-005] Storage Limitation

[REQ-PRIV-006] Accuracy

[REQ-PRIV-007] Integrity and Confidentiality

6. Personal Data Handling

6.1 Data Classification

[REQ-PRIV-008] Sensitive Data Identification

6.2 Data Collection

[REQ-PRIV-009] Collection Notice

[REQ-PRIV-010] Lawful Basis

6.3 Data Storage

[REQ-PRIV-011] Encryption at Rest

[REQ-PRIV-012] Encryption in Transit

[REQ-PRIV-013] Data Isolation

7. Data Subject Rights

7.1 Right to Access (Art. 15)

[REQ-PRIV-014] Access Request

7.2 Right to Rectification (Art. 16)

[REQ-PRIV-015] Data Correction

7.3 Right to Erasure (Art. 17)

[REQ-PRIV-016] Right to be Forgotten

[REQ-PRIV-017] Cascading Deletion

7.4 Right to Data Portability (Art. 20)

[REQ-PRIV-018] Data Export

7.5 Right to Restriction of Processing (Art. 18)

[REQ-PRIV-019] Processing Restriction

7.6 Right to Object (Art. 21)

[REQ-PRIV-020] Objection Mechanism

7.7 Rights Related to Automated Decision-Making (Art. 22)

[REQ-PRIV-021] Human Review

8. Consent Management

8.1 Consent Collection

[REQ-PRIV-022] Valid Consent

[REQ-PRIV-023] Granular Consent

8.2 Consent Management

[REQ-PRIV-024] Consent Withdrawal

[REQ-PRIV-025] Consent Records

8.3 Children’s Data

[REQ-PRIV-026] Age Verification

9. Cross-Border Data Transfer

[REQ-PRIV-027] Transfer Mechanisms

[REQ-PRIV-028] Transfer Documentation

[REQ-PRIV-029] Schrems II Compliance

10. Privacy Architecture

10.1 Privacy by Architecture

[REQ-PRIV-030] Layer 2 (Memory) Privacy Controls

[REQ-PRIV-031] Layer 4 (Reasoning) Privacy Controls

[REQ-PRIV-032] Layer 5 (Persona) Privacy Declarations

10.2 Privacy Breach Response

[REQ-PRIV-033] Breach Detection

[REQ-PRIV-034] Breach Notification (72 Hours)

[REQ-PRIV-035] Data Subject Notification

11. Conformance

11.1 Privacy Profile

11.2 Privacy Audit

11.3 Testing