Introduction and importance of documentation:
The documentation of a data protection impact assessment (DPIA) is an essential part of data protection management in accordance with the General Data Protection Regulation (GDPR). It serves as proof of compliance with data protection regulations and provides a structured presentation of the assessment and management of data protection risks. The requirements and steps for documenting a DPIA are explained in detail here:
Documentation requirements according to Article 35 GDPR:
- Detailed description of the processing operations:
- Purposes of processing: The documentation should contain a clear and precise description of the purposes of the data processing. This helps to assess the necessity and proportionality of the processing.
- Type of data processed: The categories of personal data processed should be specified, such as contact details, financial data or health data.
- Affected persons: The documentation should indicate which groups of people are affected, e.g. customers, employees or suppliers.
- Technologies and methods: The technologies and methods used for data processing should be described in detail.
- Assessment of necessity and proportionality:
- Purpose limitation: It should be documented that processing is limited to specific, explicit and legitimate purposes and will not be further processed in a manner incompatible with those purposes.
- Data minimization: The documentation should show that only the data necessary for the purposes of the processing are collected and processed.
- Storage limitation: It should be specified how long the data will be stored and that it will be deleted or anonymized as soon as it is no longer needed.
- Risk assessment:
- Identification of risks: The documentation should contain a detailed list of the identified risks associated with the processing of personal data.
- Risk assessment: The likelihood and severity of the risks identified should be assessed to determine their potential impact on the rights and freedoms of data subjects.
- Rights and freedoms affected: The specific rights and freedoms of the data subjects that could be jeopardised by the identified risks should be documented.
- Risk reduction measures:
- Technical and organizational measures: The documentation should describe the technical and organizational risk mitigation measures that have been implemented or are planned. This includes measures such as encryption, pseudonymization, access controls, training and data protection policies.
- Effectiveness of measures: It should be documented how the effectiveness of risk reduction measures is monitored and verified.
Process of documenting a DPIA:
- Preparation:
- Collection of all relevant information: Before starting documentation, all relevant information about the processing operations, the technologies used and the persons concerned should be collected.
- Collaboration with different departments: Collaboration with different departments, such as IT, legal and data protection, is often necessary to ensure comprehensive and accurate documentation.
- Creation of documentation:
- Describe processing operations: A detailed description of the processing operations is created, including the purposes of the processing, the type of data processed and the persons concerned.
- Conduct a risk assessment: The identified risks are assessed and the results of that assessment are documented. This includes the likelihood and severity of the risks, as well as the potential impact on the rights and freedoms of data subjects.
- Identify risk mitigation measures: The risk mitigation measures identified are described, including technical and organizational measures, and their effectiveness is assessed.
- Review and update:
- Regular review: The DPIA documentation should be regularly reviewed and updated to ensure that it complies with current processing operations and data protection requirements.
- Adaptation in case of changes: If the processing operations change or new risks are identified, the documentation should be adapted and updated accordingly.
Relevant articles of the GDPR:
- Article 35: Data protection impact assessment
- Article 32: Security of processing
- Recital 84: Scope of the DPIA
- Recital 90: Implementation of the DPIA
Practical examples for documenting a DPIA:
- Introduction of new technologies: A company is planning to introduce a new facial recognition technology. The DPIA documentation includes a detailed description of the technology, the assessment of data protection risks and the measures to mitigate the risks, such as the implementation of access controls and the pseudonymization of the data.
- Processing of sensitive data: A medical facility documents a DPIA for the processing of sensitive health data. The documentation contains a description of the processing operations, the risk assessment and the measures to reduce the risk, such as data encryption and employee training.
Summary:
Documenting a data protection impact assessment (DPIA) is an essential part of data protection management under the GDPR. It serves as evidence of compliance with data protection regulations and provides a structured presentation of the assessment and management of data protection risks. The documentation includes a detailed description of the processing operations, the assessment of necessity and proportionality, the risk assessment and the measures to mitigate the risks. Regular reviews and updates of the documentation ensure that it corresponds to the current processing operations and data protection requirements. Proper documentation of a DPIA ensures the protection of personal data and ensures compliance with the GDPR.
