INSEAD Library

Includes bibliographical references and index

Includes chapter by Thierry Nabeth "User profiling for attention support at school and work", p. 185-200

Digitized

Profiling the European Citizen Cross-Disciplinary Perspectives Contents Contributors........................................................................................................ xvii 1 General Introduction and Overview................................................................ 1 Mireille Hildebrandt and Serge Gutwirth 1.1 Introduction................................................................................................. 1 1.2 Part I: What is Profiling? ............................................................................ 2 1.3 Part II: Applications of Profiling ................................................................ 6 1.4 Part III: Profiling Democracy and Rule of Law........................................ 10 Part I What is Profiling? 2 Defining Profiling: A New Type of Knowledge?............................................. 17 Mireille Hildebrandt 2.1 Introduction............................................................................................... 17 2.2 Identification of Profiling.......................................................................... 18 2.3 Group Profiling and Personalised Profiling................................................. 20 2.3.1 Groups: Communities and Categories........................................... 20 2.3.2 Distributive and Non-distributive Profiles..................................... 21 2.3.3 Actuarial Approach in Marketing, Insurance and Justice.............. 21 2.3.4 Personalisation and Ambient Intelligence..................................... 22 2.4 Automated and Non-automated Profiling................................................. 23 2.4.1 Categorisation, Stereotyping and Profiling................................... 23 2.4.2 Organic Profiling: A Critical Sign of Life..................................... 25 2.4.3 Human Profiling: The Meaning of Autonomous Action............... 26 2.4.4 Machine Profiling: The Meaning of Autonomic Machine Behaviour................................................................................... 27 2.4.5 Organic, Human and Machine Profiling: Autonomic and Autonomous Profiling................................................................ 29 2.5 Conclusions: From Noise to Information, From Information to Knowledge.............................................................................................. 29 2.6 Reply: Further Implications? .................................................................... 30 Thierry Nabeth 2.6.1 Introduction..................................................................................... 31 2.6.2 Profiling as Knowledge................................................................... 31 2.6.3 A Knowledge Ecology Perspective................................................ 32 2.6.4 What to Conclude About This Chapter From Mireille Hildebrandt?........................................................ 34 2.7 Reply: Direct and Indirect Profiling in the Light of Virtual Persons..................................................................................... 34 David-Olivier Jaquet-Chiffelle 2.7.1 Introduction..................................................................................... 35 2.7.2 Individual and Group Profiling....................................................... 35 2.7.3 Virtual Persons................................................................................ 36 2.7.4 Direct and Indirect Profiling........................................................... 40 2.7.5 Conclusion....................................................................................... 43 2.8 Bibliography............................................................................................... 43 3 General Description of the Process of Behavioural Profiling....................... 47 Ana Canhoto and James Backhouse 3.1 Introduction................................................................................................. 47 3.2 The Technical Process................................................................................ 48 3.3 The Social Process...................................................................................... 53 3.4 Reply: Towards a Data Mining De Facto Standard.................................... 58 Mark Gasson, Will Browne 3.5 Bibliography............................................................................................... 63 4 The Role of Algorithms in Profiling................................................................ 65 Bernhard Anrig, Will Browne, and Mark Gasson 4.1 Algorithms as the Engine of Profiling........................................................ 65 4.1.1 Types of Output.............................................................................. 66 4.1.2 Structure Testing Versus Structure Exploring Methods........................................................................................ 66 4.1.3 Supervised and Unsupervised Methods.......................................... 67 4.2 Preparing the Input..................................................................................... 67 4.2.1 Instances and Attributes.................................................................. 68 4.2.2 Denormalisation.............................................................................. 68 4.2.3 Problematic Values......................................................................... 69 4.2.4 Training and Tests........................................................................... 70 4.3 Representing the Output............................................................................. 71 4.3.1 Decision Tables............................................................................... 71 4.3.2 Decision Trees................................................................................. 71 4.3.3 Classification Rules......................................................................... 72 4.3.4 Association Rules............................................................................ 73 4.3.5 Remarks.......................................................................................... 73 4.4 Deterministic Algorithms............................................................................ 73 4.4.1 Regression, Analysis of Variance and Factor Analysis................. 73 4.4.2 1R and Divide and Conquer.............................................................. 74 4.4.3 Clustering....................................................................................... 76 4.4.4 Remarks.......................................................................................... 76 4.5 Probabilistic Algorithms............................................................................. 77 4.5.1 Neural Networks............................................................................ 77 4.5.2 Fuzzy Rule Induction..................................................................... 78 4.5.3 Support-Vector-Machines.............................................................. 79 4.6 Conclusions................................................................................................. 79 4.7 Reply: Neat Algorithms in Messy Environments....................................... 80 Jean Paul van Bendegem 4.7.1 Introduction.................................................................................... 80 4.7.2 A First Issue: How to Deal With Inconsistencies.......................... 80 4.7.3 A Second Issue: Proving the Correctness of Programmes ........... 82 4.7.4 A Third Issue: The Worst is Yet to Come..................................... 82 4.7.5 Afterthought................................................................................... 83 4.8 Reply: Privacy Preserving Data Mining..................................................... 83 Martin Meints 4.9 Bibliography.............................................................................................. 86 5 Behavioural Biometric Profiling and Ambient Intelligence ......................... 89 Angelos Yannopoulos, Vassiliki Andronikou, and Theodora Varvarigou 5.1 Introduction................................................................................................ 89 5.2 Behavioural Biometrics State-of-the-art................................................... 91 5.2.1 Emotion Recognition..................................................................... 91 5.2.2 Gesture........................................................................................... 92 5.2.3 Gait................................................................................................. 93 5.2.4 Voice.............................................................................................. 94 5.2.5 Keystroke Pattern and Mouse Movements.................................... 95 5.2.6 Signature....................................................................................... 96 5.3 Current Limitations.................................................................................... 97 5.3.1 Technological Limitations............................................................. 97 5.3.2 Other Limitations........................................................................... 98 5.4 The Future of Behavioural Biometric Profiling Technology and Applications...................................................................................... 99 5.4.1 Part One: The Grid......................................................................... 99 5.4.2 Part Two: Semantics and Pattern Recognition.............................. 100 5.4.3 Part Three: Sensing/Input/Data Collection.................................... 102 5.4.4 Behavioural Biometric Profiling and Ambient Intelligence ......... 103 5.5 Conclusions................................................................................................ 103 5.6 Reply: Old Metaphorical Wine ­ New Behavioural Bottles..................... 104 James Backhouse 5.7 Bibliography.............................................................................................. 106 6 Personalisation and its Influence on Identities, Behaviour and Social Values........................................................................ 111 Simone van der Hof and Corien Prins 6.1 Introduction............................................................................................... 111 6.2 Setting the Stage: Personalisation and Profiling....................................... 112 6.3 The Dark Side of Personalisation and Profiling....................................... 115 6.3.1 Personal Data, Identities and Behaviour....................................... 115 6.3.2 Transparency and Quality............................................................. 118 6.3.3 Inclusion, Exclusion and Control ................................................. 120 6.4 Concluding Remarks................................................................................ 123 6.5 Reply: Online Personalisation. For the Bad or for the Good? ................. 124 Thierry Nabeth 6.5.1 Online Personalisation: Dr Jekyll and Mr Hyde?......................... 124 6.5.2 van der Hof and Prins' Perspective............................................... 125 6.5.3 Our Comments on the Work of van der Hof and Colleagues........................................................................... 126 6.6 Bibliography.............................................................................................. 127 Part II Applications of Profiling 7 Biometric Profiling: Opportunities and Risks................................................ 131 Vassiliki Andronikou, Angelos Yannopoulos, and Theodora Varvarigou 7.1 Introduction............................................................................................... 131 7.2 Opportunities ............................................................................................ 133 7.2.1 Current Biometric Systems........................................................... 133 7.2.2 Future Applications ...................................................................... 133 7.3 Risks......................................................................................................... 136 7.3.1 System Attack............................................................................... 136 7.3.2 System Performance..................................................................... 137 7.3.3 System Capabilities ...................................................................... 137 7.4 Conclusions.............................................................................................. 139 7.5 Need for Legal Analysis of Biometric Profiling....................................... 139 Els Kindt 7.5.1 Introduction................................................................................... 139 7.5.2 Definition...................................................................................... 140 7.5.3 Legal Aspects................................................................................ 141 7.5.4 Distinction Between `Soft' and 'Hard' Biometric Characteristics........................................................... 142 7.5.5 Informational Privacy.................................................................... 143 7.5.6 Discrimination............................................................................... 144 7.6 Bibliography............................................................................................. 144 8 Profiling and Location-Based Services (LBS)................................................ 147 Lothar Fritsch 8.1 Introduction: Location, Privacy and 'Mobile' Identity............................. 147 8.1.1 Location and Identity.................................................................... 147 8.1.2 Geographical Information Systems (GIS).................................... 149 8.1.3 Data Mining and its Applications................................................. 149 8.1.4 Profiling........................................................................................ 150 8.2 Contextual Profiling................................................................................. 153 8.2.1 Spatial and Temporal Dimensions of Location Tracking...................................................................................... 153 8.2.2 Context Acquisition from Temporal and Spatial Data................. 153 8.2.3 Data Mining, Combination and Profiling..................................... 155 8.3 Countermeasures and Self-Protection......................................................... 155 8.3.1 Identity Protection......................................................................... 155 8.3.2 Camouflage................................................................................... 156 8.4 Legal and Social Framework.................................................................... 159 8.5 Conclusion................................................................................................ 160 8.6 Reply: Mind My Step?.............................................................................. 160 Ronald Leenes 8.6.1 Introduction................................................................................... 161 8.6.2 Location Profiling Decomposed................................................... 161 8.6.3 Getting close to the user................................................................ 162 8.6.4 The Users of Location-Based Profiling........................................ 164 8.6.5 Conclusion.................................................................................... 167 8.7 Bibliography............................................................................................. 167 9 Collecting Data for the Profiling of Web Users............................................. 169 Emmanuel Benoist 9.1 Anonymous Feeling of Web Surfers........................................................ 9.2 Specificities of the Web Architecture...................................................... 9.3 Legitimate Uses of Profiling.................................................................... 9.4 Privacy Threats and Counter Measures.................................................... 9.5 Conclusion................................................................................................ 9.6 Reply: Web Usage Mining for Web Personalisation in Customer Relation Management....................................................... Els Soenens 9.6.1 Introduction................................................................................... 9.6.2 Web Personalisation and Web Usage Mining.............................. 9.6.3 (Informational) Privacy Safeguards: PETs, P3P and Anonymizer.com................................................................. 9.6.4 In Defence of Autonomous Identity Building for Consumers: The Principle of Minimal Data Asymmetry................................................................................. 9.6.5 Conclusion.................................................................................... 9.7 Bibliography............................................................................................. 169 170 172 173 174 175 175 176 178 180 181 182 10 User Profiling for Attention Support at School and Work........................ 185 Thierry Nabeth 10.1 Introduction........................................................................................... 185 10.2 Attention in the Context of Learning and Work................................... 186 10.2.1 What is Attention?.................................................................. 186 10.2.2 Attention in the Knowledge Economy.................................... 187 10.3 Supporting Attention in the Knowledge Economy............................... 188 10.3.1 Enhancing User's Perception (Watching Like a Hawk)....................................................... 188 10.3.2 Providing Attention Metacognitive Support........................... 189 10.3.3 Providing Attention Operational Support............................... 190 10.3.4 Profiling Issues........................................................................ 191 10.4 Attention Support in the AtGentive Project.......................................... 194 10.4.1 AtGentive, an Overview......................................................... 194 10.4.2 Profiling in AtGentive............................................................. 194 10.5 Conclusion and Future Work................................................................. 195 10.6 Acknowledgement................................................................................. 197 10.7 Reply: Profiling Individual and Group E-learning Some Critical Remarks...................................................................... 197 Ruth Halperin 10.7.1 Profiling and Learner-Centred Environments........................ 197 10.7.2 Profiling Individual Learning.................................................. 198 10.7.3 Profiling Group Learning........................................................ 199 10.7.4 Conclusion.............................................................................. 199 10.8 Bibliography.......................................................................................... 199 11 Profiling of Customers and Consumers - Customer Loyalty Programmes and Scoring Practices............................................. 201 Meike Kamp, Barbara Körffer, and Martin Meints 11.1 Introduction........................................................................................... 201 11.2 Customer Loyalty Programmes in Germany......................................... 202 11.2.1 European Legal Grounds........................................................ 203 Credit Scoring 11.2.2 Definition and Purpose of Credit Scoring............................... 205 11.2.3 Credit Scoring Practices.......................................................... 206 11.2.4 Commonly Used Criteria in Credit Scoring Systems................................................................................. 207 11.2.5 Data Protection Aspects of Credit Scoring............................. 207 11.3 Conclusion............................................................................................. 211 11.4 Reply: Profiles in Context: Analysis of the Development of a Customer Loyalty Programme and of a Risk Scoring Practice.. 211 Ana Canhoto 11.4.1 Introduction............................................................................. 212 11.4.2 Customer Loyalty Programmes and Credit-scoring Programmes......................................................................... 213 11.4.3 Conclusion............................................................................. 215 11.5 Bibliography......................................................................................... 215 12 Profiling in Employment Situations (Fraud)............................................. 217 Nils Leopold and Martin Meints 12.1 Introduction.......................................................................................... 217 12.2 Legal Grounds with Respect to Data Protection in the Working Context..................................................................... 218 12.2.1 Data Protection at the Workplace Most Relevant Legislation in the Profiling Context............ 219 12.2.2 Relations Between National Labour Law and Directives...................................................................... 220 12.3 Example 1: Surveillance of E-mail Communication and Internet Access in the Private Sector......................................... 222 12.4 Example 2: Human Resource and Skill Management.......................... 223 12.5 Example 3: Fraud Prevention in Retail................................................ 224 12.6 Summary and Conclusions................................................................... 226 12.7 Reply: The Use of Labour Law to Regulate Employer Profiling: Making Data Protection Relevant Again......... 226 Paul De Hert 12.7.1 The General Framework: An Empty Shell............................ 227 12.7.2 The Data Protection Move Towards Labour Law Instruments: Transcending Technicalities........................... 229 12.7.3 The Turn of Data Protection to Labour Law Instruments: Transcending Individuality and Individual Consent........................................................ 231 12.7.4 Assessing the Role of Labour Law........................................ 233 12.8 Bibliography......................................................................................... 236 Part III Profiling, Democracy and Rule of Law 13 Cogitas, Ergo Sum. The Role of Data Protection Law and Non-discrimination Law in Group Profiling in the Private Sector................................................................................... 241 Wim Schreurs, Mireille Hildebrandt, Els Kindt, and Michael Vanfleteren 13.1 Introduction.......................................................................................... 13.2 Group Profiling and Data Protection Law........................................... 13.2.1 General Introduction to the Data Protection Directive 95/46 EC.............................................................. 13.2.2 Conclusion. How to Enforce Data Protection Rights?................................................................ 241 242 242 256 13.3 Group Profiling and Anti-discrimination Legislation.......................... 257 13.3.1 Introduction............................................................................. 257 13.3.2 Anti-discrimination Legislation.............................................. 258 13.3.3 Group Profiling and the Dangers of Indirect Racial or Ethinc Discrimination..................................................... 261 13.3.4 Concluding Remarks............................................................... 264 13.4 Reply.................................................................................................... 264 Sarah Thatcher 13.4.1 Data Collection....................................................................... 265 13.4.2 Anonymisation........................................................................ 267 13.4.3 Construction of the Profile...................................................... 267 13.4.4 Application of the Profile........................................................ 268 13.4.5 Enforcement of Data Protection Law..................................... 268 13.4.6 Anti-discrimination Law......................................................... 268 13.4.7 Conclusion.............................................................................. 269 13.5 Bibliography......................................................................................... 269 14 Regulating Profiling in a Democratic Constitutional State....................... 271 Serge Gutwirth and Paul De Hert 14.1 Positions and Approaches with Regard to Profiling Practices............ 271 14.1.1 Introduction............................................................................. 271 14.1.2 The Google Case and Recent Dutch Legislation on Demanding Personal Data.............................................. 272 14.1.3 Comparing the Approaches..................................................... 273 14.2 The Democratic Constitutional State and the Invention of Two Complementary Legal Tools of Power Control: Opacity of the Individual and Transparency of Power...................... 275 14.2.1 The Democratic Constitutional State...................................... 275 14.2.2 Opacity Tools: Opacity of the Individuals and Limits to the Reach of Power....................................... 276 14.2.3 Transparency Tools: Channelling Power and Making Power Transparent and Accountable.............. 276 14.2.4 Distinguishing Both: A Different Default Position ............... 277 14.2.5 The Example of Articles 7 and 8 EU-Charter of Human Rights................................................................... 278 14.3 Why Two Legal Default Positions with Regard to Regulation? .......... 279 14.3.1 Privacy: Prohibitive Protection of Autonomy Against (Excessive) Steering................................................ 279 14.3.2 Data Protection: The Regulation of the Processing of Personal Data.................................................................... 281 14.3.3 Combining the Tools............................................................... 284 14.3.4 Is Data Protection a Good Starting Point for Regulating Profiles?........................................................ 285 14.4 Profiling and Data Protection: A Principled Position........................... 286 14.4.1 Correlatable Humans............................................................. 286 14.4.2 Origin and Scope of Data Protection in the Context of a Profiling Society................................... 287 14.4.3 Data Protection and Profiling: A Natural Pair...................... 289 14.5 Conclusion............................................................................................ 291 14.6 Reply: Addressing the Obscurity of Data Clouds................................ 293 Ronald Leenes 14.6.1 Introduction........................................................................... 293 14.6.2 Personalised Profiling and Data Protection........................... 294 14.6.3 Digital Persona...................................................................... 295 14.6.4 Correlatable Humans............................................................. 296 14.6.5 A Different Kind of Protection.............................................. 298 14.6.6 'Code' to the Rescue?............................................................. 299 14.6.7 Conclusion............................................................................. 299 14.7 Bibliography......................................................................................... 301 15 Profiling and the Identity of the European Citizen.................................. 303 Mireille Hildebrandt 15.1 A Changing Landscape for Democracy and the Rule of Law......................................................................... 303 15.2 Risks of Profiling Practices.................................................................. 305 15.2.1 Opportunities and Risks........................................................ 305 15.2.2 Dataveillance......................................................................... 305 15.2.3 Normalisation and Customisation......................................... 306 15.2.4 Privacy, Equality, Fairness and Due Process........................ 308 15.3 The Human and the Legal Person: Positive and Negative Freedom...................................................................... 309 15.4 Privacy: A Public Good....................................................................... 311 15.4.1 Legal Protection of Privacy................................................... 311 15.4.2 Privacy and Identity: Idem and Ipse...................................... 312 15.4.3 Privacy and Identity: Freedom From and Freedom To................................................................. 314 15.4.4 Identity, the Human Person and the Legal Persona.............. 317 15.5 Data Protection .................................................................................... 318 15.5.1 Data Protection in Europe..................................................... 318 15.5.2 Data Protection Against the Risks of Profiling..................... 321 15.6 Concluding Remarks............................................................................ 324 15.7 Reply: Some Reflections on Profiling, Power Shifts and Protection Paradigms................................................................. 326 Bert -- Jaap Koops 15.7.1 Introduction........................................................................... 326 15.7.2 Distinctions in Profiling........................................................ 327 15.7.3 The Effect of Profiling on Fundamental Legal Principles............................................................................ 329 15.7.4 Counter-profiling by 'Weak' Parties....................................... 333 15.7.5 Two Paradigm Shifts in Protection......................................... 334 15.7.6 Suggestions for Protection Measures in Profiling.................. 336 15.7.7 Conclusion.............................................................................. 337 15.8 Reply.................................................................................................... 337 Kevin Warwick 15.8.1 Classification.......................................................................... 338 15.8.2 Being Me................................................................................. 339 15.8.3 Freedom.................................................................................. 340 15.7 Bibliography.......................................................................................... 341 16 Knowing Me, Knowing You -- Profiling, Privacy and the Public Interest................................................................................ 345 Roger Brownsword 16.1 Introduction........................................................................................... 345 16.2 Privacy and Profiling............................................................................. 347 16.2.1 Engaging the Right to Informational Privacy......................... 347 16.2.2 Two Approaches to a Reasonable Expectation of Informational Privacy....................................................... 349 16.2.3 Drift and Shift Arising from the Practice-Based Conception........................................... 350 16.2.4 Marper and the Retention of DNA Profiles............................ 351 16.3 Profiling and the Public Interest............................................................ 354 16.3.1 The Chaplain's Concern.......................................................... 356 16.3.2 Panopticon Profiling............................................................... 357 16.3.3 Exclusionary Profiling............................................................ 359 16.4 Conclusion............................................................................................. 362 16.5 Bibliography.......................................................................................... 362 17 Concise Conclusions: Citizens Out of Control............................................ 365 Mireille Hildebrandt and Serge Gutwirth Index.................................................................................................................... 369