Manual Privacy Audits

Manual Privacy Audits

While automated testing catches many issues, manual audits remain essential for validating subjective aspects of privacy compliance. Manual audits evaluate whether privacy notices accurately reflect data practices, consent mechanisms provide genuine choice, and data practices align with user expectations. These audits require privacy expertise and understanding of both technical implementations and regulatory requirements.

Manual audits should follow structured methodologies to ensure consistency and completeness. Checklists guide auditors through all privacy aspects while allowing for professional judgment. Documentation requirements ensure findings are actionable and audit trails demonstrate compliance efforts to regulators.

// Manual privacy audit framework
class ManualPrivacyAudit {
  constructor() {
    this.checklists = {
      consent: this.getConsentChecklist(),
      dataFlow: this.getDataFlowChecklist(),
      userRights: this.getUserRightsChecklist(),
      security: this.getSecurityChecklist(),
      thirdParty: this.getThirdPartyChecklist(),
      documentation: this.getDocumentationChecklist()
    };
  }

  getConsentChecklist() {
    return {
      name: 'Consent Mechanism Audit',
      items: [
        {
          id: 'consent-1',
          description: 'Consent request is clear and unambiguous',
          guidance: 'Review consent language for clarity, avoid legal jargon',
          evidence: ['Screenshots of consent interfaces', 'Consent text']
        },
        {
          id: 'consent-2',
          description: 'Granular consent options available',
          guidance: 'Verify users can consent to specific purposes separately',
          evidence: ['Consent configuration', 'UI showing granular options']
        },
        {
          id: 'consent-3',
          description: 'Consent withdrawal is as easy as giving consent',
          guidance: 'Test withdrawal process, should not require more steps',
          evidence: ['Withdrawal flow documentation', 'Comparative analysis']
        },
        {
          id: 'consent-4',
          description: 'Pre-ticked boxes are not used',
          guidance: 'Verify all consent requires affirmative action',
          evidence: ['Code review results', 'UI testing results']
        },
        {
          id: 'consent-5',
          description: 'Consent records include required metadata',
          guidance: 'Check timestamp, version, method, specific purposes',
          evidence: ['Sample consent records', 'Database schema']
        }
      ]
    };
  }

  async performAudit(scope) {
    const audit = {
      id: this.generateAuditId(),
      startDate: new Date().toISOString(),
      scope,
      auditor: this.getAuditorInfo(),
      findings: {},
      recommendations: [],
      executiveSummary: ''
    };

    // Execute each checklist
    for (const [category, checklist] of Object.entries(this.checklists)) {
      if (scope.includes(category)) {
        audit.findings[category] = await this.executeChecklist(checklist);
      }
    }

    // Generate recommendations
    audit.recommendations = this.generateRecommendations(audit.findings);
    
    // Create executive summary
    audit.executiveSummary = this.createExecutiveSummary(audit);
    
    // Sign audit report
    audit.signature = await this.signAudit(audit);
    
    return audit;
  }

  async executeChecklist(checklist) {
    const results = {
      checklistName: checklist.name,
      items: []
    };

    for (const item of checklist.items) {
      const result = {
        id: item.id,
        description: item.description,
        status: null, // 'pass', 'fail', 'partial', 'not-applicable'
        findings: '',
        evidence: [],
        recommendations: ''
      };

      // Auditor manually evaluates and fills in results
      result.status = await this.evaluateItem(item);
      result.findings = await this.documentFindings(item);
      result.evidence = await this.collectEvidence(item);
      
      if (result.status !== 'pass') {
        result.recommendations = await this.provideRecommendations(item);
      }

      results.items.push(result);
    }

    results.overallStatus = this.calculateOverallStatus(results.items);
    return results;
  }

  generateRecommendations(findings) {
    const recommendations = [];
    
    // Analyze findings for patterns
    const criticalIssues = this.identifyCriticalIssues(findings);
    const systemicIssues = this.identifySystemicIssues(findings);
    
    // Priority 1: Critical compliance gaps
    for (const issue of criticalIssues) {
      recommendations.push({
        priority: 'critical',
        category: issue.category,
        issue: issue.description,
        recommendation: issue.remediation,
        timeline: '30 days',
        effort: issue.effort
      });
    }
    
    // Priority 2: Systemic improvements
    for (const issue of systemicIssues) {
      recommendations.push({
        priority: 'high',
        category: 'process',
        issue: issue.description,
        recommendation: issue.improvement,
        timeline: '90 days',
        effort: 'medium'
      });
    }
    
    return recommendations;
  }
}

// Privacy audit automation tools
class PrivacyAuditAutomation {
  async scanDataFlows() {
    const scanner = new DataFlowScanner();
    
    // Scan code for data flows
    const codeFlows = await scanner.scanCodebase({
      patterns: [
        'fetch(*)',
        'axios.*',
        'database.query(*)',
        'localStorage.setItem(*)'
      ],
      analyze: true
    });
    
    // Scan network traffic
    const networkFlows = await scanner.scanNetworkTraffic({
      duration: 3600000, // 1 hour
      includeInternal: true
    });
    
    // Map and categorize flows
    const dataFlowMap = this.createDataFlowMap(codeFlows, networkFlows);
    
    // Identify privacy risks
    const risks = this.analyzeDataFlowRisks(dataFlowMap);
    
    return {
      flows: dataFlowMap,
      risks,
      visualization: this.generateFlowDiagram(dataFlowMap)
    };
  }

  async testRetentionCompliance() {
    const retentionTester = new RetentionComplianceTester();
    
    // Get configured retention policies
    const policies = await this.getRetentionPolicies();
    
    // Test each policy
    const results = [];
    
    for (const policy of policies) {
      // Insert test data with known timestamp
      const testData = await this.insertTestData(policy.dataType);
      
      // Advance time
      await this.advanceTime(policy.retentionPeriod + 1);
      
      // Check if data was deleted
      const stillExists = await this.checkDataExists(testData);
      
      results.push({
        policy: policy.name,
        configured: policy.retentionPeriod,
        tested: policy.retentionPeriod + 1,
        dataDeleted: !stillExists,
        passed: !stillExists
      });
      
      // Cleanup
      await this.cleanupTestData(testData);
    }
    
    return results;
  }
}