A data protection impact assessment (DPIA) is indeed mandatory in certain circumstances under the UK General Data Protection Regulation (GDPR compliance). It is an essential tool that helps organizations fulfill their data protection obligations by identifying and addressing the risks associated with data processing, particularly those that could impact data subjects.
By conducting a DPIA, organizations can take a proactive approach to assess and mitigate risks, thereby reducing the likelihood of data breaches. The primary goal of a DPIA is to eliminate or minimize risks through the implementation of appropriate risk control measures. Even when not legally required, conducting a DPIA as a "best practice" can bring significant benefits to organizations.
In some cases, despite implementing mitigation measures, there may still be a high residual risk associated with a particular processing activity. In such situations, organizations may need to consult with the Information Commissioner's Office (ICO) before proceeding with the processing or consider accepting the risk or ceasing the activity altogether.
To guide organizations in conducting a DPIA, we provide a high-level outline of suggested steps in our blog. However, before delving into the steps, it is important to identify when a DPIA should be conducted in the first place.
When is a DPIA required?
Under the UK GDPR, there are key triggers that indicate when a Data Protection Impact Assessment (DPIA) should be conducted. These triggers are as follows:
The processing involves systematic and extensive evaluation of personal aspects relating to individuals, which is based on automated processing (including profiling) and has legal or significant effects on individuals.
Processing of special categories of data on a large scale.
Processing of personal data relating to criminal convictions and offenses on a large scale.
Systematic monitoring of a publicly accessible area on a large scale, such as deploying CCTV in a public area.
When a processing operation is likely to result in a high risk to the rights and freedoms of individuals.
Processing involving the use of new technologies.
Introduction of new processing activities that have not been previously used by the organization.
Processing a significant amount of personal data at a regional, national, or supranational level that may impact a large number of data subjects.
Processing activities that make it challenging for data subjects to exercise their rights.
These triggers serve as indicators that a DPIA should be conducted to assess the potential risks and take appropriate measures to protect individuals' rights and freedoms. It is important for organizations to carefully evaluate their processing activities against these triggers and conduct a DPIA when necessary.
How do you conduct a DPIA?
To ensure a systematic and comprehensive DPIA process, it is recommended to follow a sequence of steps. Here is a summary of what should be done at each step:
Step 1: Initial Assessment
Determine if a DPIA is required by referring to the types of processing outlined in the UK GDPR.
Use predefined screening questions, such as those available from the ICO website, to assess the need for a DPIA.
Consult relevant stakeholders, employees, senior management, and third parties involved in the processing for their input and insights.
Step 2: Data Flows
Identify the sources of data, how it is processed, stored, and destroyed.
Refer to the record of processing activities (ROPA), information audit, or data flow maps to assist in identifying and categorizing personal information handled by the organization.
Step 3: Identify the Risks and Privacy Issues
Analyze the responses from the assessment questions and data flow analysis to identify privacy issues and associated risks.
Categorize risks into three main categories:
Risks to Individuals: Any risk that affects data subjects, their privacy, rights, or the security of their data.
Compliance Risks: Risks related to non-compliance with laws, regulations, or data protection obligations.
Corporate Risks: Risks that could impact the organization's reputation, revenue, or result in fines or sanctions.
Step 4: Identify and Evaluate Privacy Solutions
Develop and document corrective actions, solutions, and controls to mitigate or eliminate identified risks.
Assess and evaluate potential solutions and controls to address privacy issues and reduce risks to an acceptable level.
Step 5: Integrate Outcomes
Incorporate the identified solutions and actions into the project plan to reassess risks with the implemented mitigations.
Create an action plan for implementing the identified solutions and measures.
Step 6: Authorization and Recording
Document all stages of the DPIA process and obtain sign-off from the data protection lead/officer and the executive board member responsible for privacy strategy.
Maintain a record of the DPIA outcomes for future reference and guidance.
It is worth noting that URM's GDPR consultants are available to provide assistance and guidance throughout the DPIA process, including the organization's first or subsequent DPIAs.