Understanding new EU Guidance on DPIA/PIA requirements [Webinar Slides]

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vPrivacy Insight Series - truste.com/insightseries
© TRUSTe Inc., 2016
v © TRUSTe Inc., 2016
Understanding new EU Guidance
on DPIA/PIA requirements
November 10, 2016

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Today’s Speakers
Beth Sipula
Senior Privacy Consultant
TRUSTe
Paul Iagnocco
Chief Privacy Officer
Kellogg

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The GDPR and When to Use
DPIAs/PIAs
Beth Sipula, Senior Privacy Consultant TRUSTe

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PIA definition
A privacy impact assessment (PIA) is a
tool or process for identifying and
assessing privacy risks throughout the
development life cycle of a program or
system.
- Information Commissioner's Office

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Does your organization have a PIA process in place?
1. Yes
2. No
Poll Question #1

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Frameworks and Jurisdictions
•Many countries and regions of the world have been
using PIAs dating back to the mid 90’s
–Papers published regarding PIAs often started in the private
sector
•A handful of countries have the most presence; more
countries are emerging in LATAM and APAC
•The GDPR has drawn a spotlight onto DPIAs and
adopting a framework as part of compliance
•While there are differences in the methodologies, the
goals are the same: to identify risks to privacy and
determine ways of overcoming those risks
•DPIAs/PIAs are not “one size fits all”

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How many PIAs will your organization complete in 2016?
1. Less than 10
2. 11 - 50
3. 51-100
4. 100+
5. I have no idea
Poll Question #2

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GDPR Triggers for DPIAa/PIAs
DPIAs are required for any processing that may result in “high risk”, and for:
• Systematic and extensive automated processing, including profiling, if the
decisions produce legal effects or significantly affect the individual
Example: Making predictions based on a person’s behavior, credit decisions,
economic situation, location
• Processing special categories of data (i.e. genetic or biometric data) or
criminal records on a large scale
• Systematic monitoring of a publicly accessible area on a large scale
• As otherwise indicated by the DPAs or EUDPB
• GDPR requires you to conduct PIAs for “high risk” activities and implement
operational changes
Note: Most common “high risk” areas tend to center around new products/systems
that change the way the business uses / collects / stores personal data.

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Triggers for when to use a DPIA/PIA
•Implementing a new system in your organization;
•Launching a new product or service;
•Providing new third party provider with access to PI;
•Conversion of records from paper-based to electronic form;
•Conversion of information from anonymous to identifiable form;
•System management changes involving significant new uses and/or
application of new technologies;
•Significant merging, matching or other manipulation of multiple databases
containing personal data;
•Incorporation into existing databases of personal data obtained from
commercial or public sources;
•Alteration of a business process resulting in significant new collection, use
and/or disclosure of personal data

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•Assign clearly defined roles for all stages
•Having an Executive “Champion” or Sponsor is critical
•PIAs need to be simple, repeatable, concise, and they need to map to
the GDPR requirements
•One size does not fit all – consider the level of risk
–Also consider a bifurcated PIA process, with traditional PIAs for all projects and
EU DPIAs for projects that trigger EU DP rules
•Build a robust process with scalability in mind
–Consider the system you are using, what it’ll take to make the process more
efficient and automate
•Monitor - Article 29 Working Party will be releasing guidance for
controllers and processors on high-risk assessments by end of 2016
Recommendations for Success

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Paul Iagnocco
Chief Privacy Officer
Operationalizing a PIA Solution
within the Enterprise

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Privacy Overview at Kellogg
.
Global Privacy
Office
established in
August 2015
4 Strategic Pillars
Build a Global
Capability
Ensure Compliance
& Education
Champion Privacy
Advocacy
Unlock Data Use
Types of Data
Held
Employee
(PII, PFI, PHI)
Consumer
(PII)
Reporting Line
A function within
Global Legal &
Compliance
CPO reports directly
to Chief Counsel
(access to Global
General Counsel & Vice
Chair of Company)

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Privacy Overview at Kellogg (continued)
Global
Privacy
Office
Regional/Local
Business
Functions
Internal
Audit
Defines
the
“what”
Determines
the
“how”
IT Security
Kellogg employs a decentralized business model in addressing
data protection and privacy matters.
• strategy
• training content
• business compliance
• standards and best practices
• common global tools
• privacy impact assessments (PIAs)
• requests and complaints
• data breach management
• liaison with regulators
• execute strategy
• conduct training
• Execute compliance
• Implement standards and best
practices
• Address PIA results

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Collaborative Approach Between Privacy & IT Security
Notice
Choice
Use
Availability
Integrity
Access
Confidentiality
Acquisition and Use of Data
Focus is on whether the
Company is allowed to possess
consumer or employee data
and what we are allowed to do
with it.
Safeguards, Secured Storage
and Proper Destruction of Data
Focus is on the protection of
the data stored, processed,
transmitted and destroyed.
IT Security

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5 Steps to Operationalizing PIAs
Know your
key PIA
stakeholders
Align on the
role of a PIA
Design the
PIA workflow
Build and
implement
the PIA
solution
Refine and
scale the
PIA Process

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Know your key stakeholders
Objective:
Implementing anything new within an organization is challenging. People fear the uncertainty of
change. Need to identify key stakeholders that that see value in a PIA.
Recommendation:
Leverage these stakeholders to drive change within their function. These are your early adopters
(evangelists).
Key Stakeholders How would a PIA benefit their function?
Legal Counsel - Transactions Provides intelligence to incorporate into MSA or SOW
Risk Management Provides intelligence that may require change in risk policy
Procurement Ensures that data protection and privacy are addressed
IT Security Ensures that data protection and authorization is addressed
Human Resources External data processors are vetted and deliver expected
services for our employees
Marketing External data processors are vetted and deliver expected
services for our consumers
Internal Audit Provides an audit trail
Outside Consultants N/A

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Align on the role of the PIA
Objective:
With your key stakeholders, determine what you want to solve for using a PIA.
Recommendation:
Start small and scale. It might be easier to start leveraging PIAs externally since you will likely have
less resistance to change.
Common Components of a PIA What are we assessing?
Internal Procedures and Policies Overall program accountability
Data Collection What data is collected?
Choice and Consent How was the data collected?
Use, Retention and Disposal What is the intended use, storage and purge of
the collected data?
Disclosures to Third Parties Are we sharing this data?
Access Does the data subject have access?
Data Security How is the data secured?

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Design the PIA workflow
Objective:
Leveraging the PIA alignment gained in step 2,
now design the PIA workflow.
Recommendation:
Again start small and scale. Look at how new
data processes and vendor agreements/SOWs
commence. Review existing workflows and
determine best means to intersect without being
disruptive.
Where should a PIA be considered?
Review existing vendor statement of work (SOW)
New vendor set-up (MSA)
Changes to internal data processing
Significant IT infrastructure changes
Mergers and acquisitions
New product development
(that engages data)
Annual assessments
To assess new regulations
Process starts in
Contract
Database
Privacy
Threshold
Questions
Answered
PIA Published
and Vendor
Responds
Responses
Reviewed by
Legal and IT
Security
Additional Follow-
ups by Other Key
Stakeholders
Changes
negotiated in
MSA
MSA Approved
and Filed
New Vendor Set-up Workflow

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Build and Implement the PIA Solution
Objective:
Identify what PIA solution needs to be built and eventually implemented.
Recommendation:
Review step 2 to ensure you are building a PIA solution that achieves your goal. Also, be mindful that
of the expected annual volume. Do NOT over engineer. In addition, be sure to produce communication
materials and a simple user-guide to facilitate adoption beyond the key stakeholders. You MUST be
prepared to Sell, Sell, Sell.
Simple PIA Solution
1. Build out content (questions and
benchmarks)
2. Load spreadsheet – use macros to
create “flags”
3. Develop Email Template with purpose,
deadline, etc. along with spreadsheet
4. Publish to XYZ, collect responses
5. Review and analyze
6. Take necessary action
7. File
Complex PIA Solution
1. Conduct privacy threshold assessment
2. Add Respondent to TRUSTe
Assessment Manager
3. Select or customize PIA
4. Publish to XYZ, collect responses
5. Centrally review and analyze
6. Assign necessary follow-up action
7. Archive and set calendar to
automatically re-send in12 months

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Refine and scale the PIA Solution
Objective:
Identify what’s working and what’s not working and refine solution accordingly. What other areas
(identified in Step 3) should we scale this PIA solution to address?
Recommendation:
Identify a means to gather on-going feedback on how to improve the solution. Always look for
opportunities to further imbed the PIA into normal business operations. As you expand follow the
process – Step and Repeat.
Potential Refinements
Customized PIA questions based on specific target audience (e.g., EU data processors)
Implement for additional business scenarios (e.g., internal infrastructure or data processing changes)
New PIA questions to assess internal or external compliance with new regulation (e.g., EU GDPR)
Provide additional access to responses and analysis
Add new functions to overall process
Expand user-guides to reflect changes
Expand communication plan – Sell, Sell, Sell

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Summary
1. Cultivate evangelists for the PIA solution
2. Define value of the PIA solution
3. Align on initial PIA solution goals
4. Start small – scale later
5. Look for new opportunities
6. Listen to feedback
7. Keep it simple
8. Over communicate
Be sure to commit and start somewhere.

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Questions?

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Beth Sipula bsipula@truste.com
Paul Iagnocco paul.iagnocco@kellogg.com
Contacts

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Register now for the final webinar in our our 2016 Summer/Fall Webinar
Series on December 8 “Metrics for Success: Quantifying the Value of the
Privacy Function”
See http://www.truste.com/insightseries for the 2016 Privacy Insight Series
and past webinar recordings.
Thank You!

Understanding new EU Guidance on DPIA/PIA requirements [Webinar Slides]

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