ATTORNEY GENERAL OF THE STATE OF NEW YORK
INTERNET BUREAU
_________________________________________________

In the Matter of

Assurance No. 15-185

Investigation by ERIC T. SCHNEIDERMAN,
Attorney General of the State of New York, of
Uber Technologies, Inc.,
Respondent.
_________________________________________________

ASSURANCE OF DISCONTINUANCE
The Office of the Attorney General of the State of New York (sometimes referred to as
“NYAG”) commenced an investigation pursuant to, inter alia, Executive Law § 63(12) and
General Business Law (“GBL”) § 349(b), into the protection of geo-location information by, and
the breach of driver private information of, Uber Technologies, Inc. (“Uber” or “Respondent”).
This Assurance of Discontinuance (“Assurance”) contains the findings of NYAG’s investigation
and the relief agreed to by NYAG and Respondent.
NYAG FINDINGS
1.

Respondent Uber is a Delaware company with a principal place of business in San

Francisco, California.
2.

Uber owns and operates a mobile application platform that allows riders to

connect with drivers for trips using their mobile phone. Uber collects certain personal
information from riders including name, email address, phone number, and payment instrument
(which is stored by a third-party payment service). Uber also collects information from drivers
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 to determine whether they meet the requirements to use the Uber platform, including driver
licensing information, vehicle registration and licensing information, and vehicle inspection
documentation, as well as information related to their use of the Uber platform.
3.

Uber also collects the geographic location of riders and drivers in real time (“Geo-

location Information”). Uber collects precise Geo-location Information passed from a rider’s
mobile device if the rider chooses to authorize that collection. As soon as a driver begins a trip,
Uber collects the precise Geo-location Information of the route of the trip from the driver’s
mobile device.
4.

Prior to the emergence of the technology underlying Uber’s service, New York

consumers could hire a taxi or commercial vehicle by hailing one on the street and paying in
cash, thereby not providing personal information or any Geo-location Information passed from a
mobile device.
5.

On November 20, 2014, the NYAG wrote a letter to Uber out of concern

regarding how it collects, maintains and discloses its Geo-location Information including display
of the information in a system providing an aerial view of the cars driving within a city, formerly
known internally at Uber as “God View.”
6.

Shortly before that date, Uber had retained the law firm Hogan Lovells to review

the company’s privacy program and to recommend enhancements to its practices. Lawyers from
Hogan Lovells’ Privacy and Information Management Practice assessed Uber’s policies and
procedures related to the handling of consumer data against a set of privacy standards, such as
the expectations of the U.S. Federal Trade Commission, the Fair Information Practice Principles,

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 and the American Institute of CPAs’ Generally Accepted Privacy Principles. In January 2015,
the law firm issued a report and recommendations.
7.

Uber has represented that it has removed all personally identifiable information of

riders from its system that provides an aerial view of cars active in a city, has limited employee
access to personally identifiable information of riders, and has begun auditing employee access
to personally identifiable information in general.
8.

On July 15, 2015, Uber updated its privacy policy regarding how it collects Geo-

location Information. Among other things, it reserved the right to collect Geo-location
Information from riders even when the Uber app is not open in the foreground. In particular, the
new privacy policy provides:
Location Information:
When you use the Services for transportation or delivery, we
collect precise location data about the trip from the Uber app used
by the Driver. If you permit the Uber app to access location
services through the permission system used by your mobile
operating system (“platform”), we may also collect the precise
location of your device when the app is running in the foreground
or background. We may also derive your approximate location
from your IP address.
(Emphasis added.)
9.

Uber has represented to the NYAG that it is not currently collecting Geo-location

Information from the rider Uber app when the app is closed or in the background. Uber further
represented that if it does so, it will adopt additional notification and messaging to riders
regarding this collection, and permit riders to opt out without having to give up using the Uber
service.

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 Uber Notifies NYAG of a Data Breach
10.

On February 26, 2015, Uber provided notice to NYAG and the affected drivers

about a data breach that was discovered by Uber in September 2014 and that occurred on or
about May 12, 2014 (the “Data Breach”).
11.

Uber represents that in the fall of 2014, a former employee of a competitor of

Uber provided information to it suggesting that someone at the competitor company had access
to what the competitor believed to be an Uber security key.
12.

Upon investigation by Uber, on September 17, 2014, Uber discovered that in

early 2014, an Uber engineer posted an access ID for Uber’s third-party cloud storage service on
Github.com, a website designed to allow software engineers to collaborate. The engineer did not
realize that the post was accessible to the general public.
13.

Uber investigated use of this access ID. Uber represented that its investigation

revealed a use of the access ID on or around May 12, 2014, by someone associated with an IP
address that Uber could not readily attribute to authorized Uber personnel, to access a stored,
“pruned” copy of an Uber database located on servers of Uber’s third-party cloud storage
provider. Although Uber had deleted most personal information and “salted and hashed”
passwords within the file before it was stored, the file contained driver’s license numbers capable
of being matched to driver names stored elsewhere within the file.
14.

Uber represented that it removed the GitHub posts and revoked the permission of

the access ID and reissued access IDs to authorized users of that account. Uber also increased its
use of encryption, implemented additional developmental controls that require multi-factor
authentication, hired additional security personnel and enhanced security training.
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 15.

Pursuant to GBL § 899-aa(2), any person or business which owns or licenses

computer data that includes “private information,” as that term is defined in GBL § 899-aa(1)(b),
shall disclose any breach of the security of the system following discovery to any resident of
New York whose private information was, or is reasonably believed to have been, acquired by a
person without valid authorization. The disclosure must be made in the most expedient time
possible and without unreasonable delay. Pursuant to GBL § 899-aa(8), notice must also be
provided to the NYAG and other state agencies.
16.

GBL § 899-aa(1)(b) defines “private information” as “personal information…

[plus] any one or more of the following data elements, when either the personal information or
the data element is not encrypted, or encrypted with an encryption key that has also been
acquired: (1) social security number; (2) driver’s license number or non-driver identification
number; or (3) account number, credit or debit card number, in combination with any required
security code, access code, or password that would permit access to an individual’s financial
account.” GBL § 899-aa(1)(a) defines “personal information” as “any information concerning a
natural person which, because of name, number, personal mark, or other identifier, can be used
to identify such natural person.”
17.

GBL § 899-aa(6)(a) provides that when a “person or business violated this article

knowingly or recklessly, the court may impose a civil penalty of the greater of five thousand
dollars or up to ten dollars per instance of failed notification, provided that the latter amount
shall not exceed one hundred fifty thousand dollars.”
18.

By not providing notice to affected New York residents and the NYAG about the

Data Breach in the “most expedient time possible and without unreasonable delay,” Uber
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 violated GBL § 899-aa(2). Uber did so knowingly or recklessly in violation of GBL § 899aa(6)(a).
PROSPECTIVE RELIEF
WHEREAS, Respondent neither admits nor denies NYAG Findings (1)-(18) above;
WHEREAS, NYAG is willing to accept the terms of this Assurance pursuant to New York
Executive Law § 63(15) and to discontinue its investigation; and
WHEREAS, the parties each believe that the obligations imposed by this Assurance are
prudent and appropriate;
IT IS HEREBY UNDERSTOOD AND AGREED, by and between the parties, that:
19.

Respondent shall comply with consumer protection and data security laws

Executive Law § 63(12), GBL § 349 and GBL § 899-aa.
20.

Respondent shall provide notice of data security breaches to affected New York

residents and the NYAG when and in the manner required by GBL §§ 899-aa(2) and (8).
21.

Respondent shall maintain, and to the extent already in place shall continue to

maintain, reasonable security policies and procedures designed to protect private information as
defined in GBL § 899-aa(1).
22.

Respondent shall, at least bi-annually, review its existing internal policies and

procedures regarding the collection, storage, transfer and transportation of private information,
and, where necessary, amend such policies and procedures to protect more adequately the
privacy and confidentiality of the private information.
23.

Such policies and procedures shall provide for, at a minimum and to the extent

not already implemented, the following:

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 a. Designation of an employee or employees to coordinate and supervise
Respondent’s program designed to protect the privacy and security of private
information;
b. Annual employee training to, at a minimum, inform employees who are
responsible for handling private information about Uber’s data security practices,
the importance of consumer privacy and their duty to help maintain its integrity;
c. Adoption of protective technologies for the storage, access, and transfer of
private information, and credentials related to its access, including the adoption of
multi-factor authentication, or similarly protective access control methodologies
that may in future be developed;
d. Regular assessments of the effectiveness of Respondent’s internal controls and
procedures related to the securing of private information and Geo-location
Information and the implementation of updates to such controls based on those
assessments; and
e. Responding to events involving unauthorized acquisition, access, use or
disclosure of private information including training all appropriate staff on data
breach notification law.
24.

To further enhance the privacy and security of private information held by

Respondent, Respondent shall:
a. maintain and store WiFi, cell-based, or GPS-based location information passed
by a mobile device using the device’s location services and that is associated with
other information that identifies a specific individual or a device in a passwordprotected environment, and encrypt the information when in transit where
technically feasible;
b. limit access to Geo-location Information to designated employees with a
legitimate business purpose, and enforce this limitation through technical access
controls, and a formal authorization and approval or permissions process;
c. maintain a separate section in Respondent’s consumer-facing privacy policy
describing its policies regarding Geo-location Information collected from riders;
and
d. inform the NYAG if Uber adopts the practice of collection of Geo-location
Information from the rider Uber app when the app is not open in the foreground
and any proposed additional notice and choice mechanism for such collection.
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 25.

Respondent shall tender to NYAG $20,000 in costs and penalties by certified

check payable to the State of New York Department of Law, and delivered to:
Eric T. Schneiderman
Attorney General of the State of New York
120 Broadway
New York, New York 10271
Attention: Internet Bureau
Any payment shall reference AOD No. 15-185.
Miscellaneous
26.

NYAG has agreed to the terms of this Assurance based on, among other things,

the representations made to NYAG by Respondent and its counsel and NYAG’s own factual
investigation as set forth in Findings (1)-(18) above. To the extent that any material
representations made by Uber to the NYAG prior to the date of this Assurance are inaccurate or
misleading, this Assurance is voidable by the NYAG in its sole discretion.
27.

If the Assurance is voided or breached, Respondent agrees that any statute of

limitations or other time-related defenses applicable to the subject of the Assurance and any
claims arising from or relating thereto are tolled from and after the date of this Assurance. In the
event the Assurance is voided or breached, Respondent expressly agrees and acknowledges that
this Assurance shall in no way bar or otherwise preclude NYAG from commencing, conducting or
prosecuting any investigation, action or proceeding, however denominated, related to the
Assurance, against the Respondent, or from using in any way any statements, documents or other
materials produced or provided by Respondent prior to or after the date of this Assurance.

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 28.

No representation, inducement, promise, understanding, condition, or warranty not

set forth in this Assurance has been made to or relied upon by Respondent in agreeing to this
Assurance.
29.

Respondent represents and warrants, through the signatures below, that the terms

and conditions of this Assurance are duly approved, and execution of this Assurance is duly
authorized. Respondent shall not take any action or make any statement denying, directly or
indirectly, the propriety of this Assurance or expressing the view that this Assurance is without
factual basis. Nothing in this paragraph affects Respondent’s (i) testimonial obligations or
(ii) right to take legal or factual positions in defense of litigation or other legal proceedings to
which NYAG is not a party. This Assurance is not intended for use by any third party in any
other proceeding and is not intended, and should not be construed, as an admission of liability by
Respondent.
30.

This Assurance may not be amended except by an instrument in writing signed on

behalf of all the parties to this Assurance. If, at any time after the execution of this Assurance,
Respondent believes that any of the specific prohibitions or affirmative obligations imposed by
this Assurance should be altered on account of changes in technology or the law, it may request
agreement to such an amendment from the NYAG.
31.

This Assurance shall be binding on and inure to the benefit of the parties to this

Assurance and their respective successors and assigns, provided that no party, other than NYAG,
may assign, delegate, or otherwise transfer any of its rights or obligations under this Assurance
without the prior written consent of NYAG.

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 32.

In the event that any one or more of the provisions contained in this Assurance

shall for any reason be held to be invalid, illegal, or unenforceable in any respect, in the sole
discretion of the NYAG such invalidity, illegality, or unenforceability shall not affect any other
provision of this Assurance.
33.

To the extent not already provided under this Assurance, Respondent shall, upon

request by NYAG, and no more than once per year, provide documentation and information
sufficient to show that it is in compliance with this Assurance.
34.

All notices, reports, requests, and other communications to any party pursuant to

this Assurance shall be in writing and shall be directed as follows:
If to Respondent Uber, to:
General Counsel
Uber Technologies, Inc.
1455 Market Street
San Francisco, CA 94102
If to the NYAG, to:
Attorney General of the State of New York
120 Broadway
New York, New York 10271
Attention: Chief, Internet Bureau
35.

Acceptance of this Assurance by NYAG shall not be deemed approval by NYAG

of any of the practices or procedures referenced herein, and Respondent shall make no
representation to the contrary.
36.

Pursuant to Executive Law § 63(15), evidence of a violation of this Assurance

shall constitute prima facie proof of violation of the applicable law in any action or proceeding
thereafter commenced by NYAG.
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 37.

If a court of competent jurisdiction determines that Respondent has breached this

Assurance, Respondent shall pay the cost, if any, of such determination and of enforcing this
Assurance, including without limitation legal fees, expenses, and court costs.
38.

The NYAG finds the relief and agreements contained in this Assurance appropriate

and in the public interest. The NYAG is willing to accept this Assurance pursuant to Executive
Law § 63(15), in lieu of commencing a statutory proceeding.
39.

This Assurance shall be governed by the laws of the State of New York without

regard to any conflict of laws principles.
40.

Nothing contained herein shall be construed as to deprive any person of any private

right under the law.
41.

This Assurance may be executed in counterparts, each of which shall be deemed to

be an original, but all of which, taken together, shall constitute one and the same agreement.
WHEREFORE, THE SIGNATURES EVIDENCING ASSENT TO THIS Assurance have been
affixed hereto on the dates set forth below.
ERIC T. SCHNEIDERMAN
NEW YORK ATTORNEY GENERAL
INTERNET BUREAU

UBER TECHNOLOGIES, INC.

__________________________
By: Clark Russell
Deputy Bureau Chief, Internet Bureau

___________________________
By: Katherine M. Tassi
Managing Counsel, Privacy

Date: January 5, 2016

Date: December 28, 2015

120 Broadway
New York, NY 10271-0332
Phone: (212) 416-8433
Fax: (212) 416-8369
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