UK GDPR: Data Protection Impact Assessments (Articles 35-36)
Data Protection Impact Assessments [Arts 35-36]
Rule: You must carry out a DPIA before processing that is likely to result in high risk to individuals’ rights and freedoms.
When is a DPIA required? [Art 35(1), 35(3)]
| Situation | Required? | Citation |
|---|---|---|
| High risk to rights and freedoms | Yes | Art 35(1) |
| Systematic and extensive profiling with significant effects | Yes | Art 35(3)(a) |
| Large-scale processing of special category data | Yes | Art 35(3)(b) |
| Large-scale processing of criminal conviction data | Yes | Art 35(3)(b) |
| Systematic monitoring of publicly accessible area | Yes | Art 35(3)(c) |
| On ICO’s list of required DPIAs | Yes | Art 35(4) |
| New technologies | Likely yes | Art 35(1) |
What must a DPIA contain? [Art 35(7)]
| Element | Description | Citation |
|---|---|---|
| Description of processing | Operations and purposes | Art 35(7)(a) |
| Necessity and proportionality | Assessment against purposes | Art 35(7)(b) |
| Risk assessment | Risks to rights and freedoms | Art 35(7)(c) |
| Mitigation measures | Safeguards and mechanisms to address risks | Art 35(7)(d) |
Prior consultation with ICO [Art 36]
| Situation | Action | Citation |
|---|---|---|
| High risk remains after mitigation | Must consult ICO before processing | Art 36(1) |
| ICO response time | Up to 8 weeks (can extend by 6 weeks) | Art 36(2) |
| ICO can prohibit processing | If would infringe GDPR | Art 36(2) |
Source Text
Article 35(1): Where a type of processing in particular using new technologies, and taking into account the nature, scope, context and purposes of the processing, is likely to result in a high risk to the rights and freedoms of natural persons, the controller shall, prior to the processing, carry out an assessment of the impact of the envisaged processing operations on the protection of personal data.
Article 35(3): A data protection impact assessment referred to in paragraph 1 shall in particular be required in the case of:
(a) a systematic and extensive evaluation of personal aspects relating to natural persons which is based on automated processing, including profiling, and on which decisions are based that produce legal effects concerning the natural person or similarly significantly affect the natural person;
(b) processing on a large scale of special categories of data referred to in Article 9(1), or of personal data relating to criminal convictions and offences referred to in Article 10; or
(c) a systematic monitoring of a publicly accessible area on a large scale.
Article 35(7): The assessment shall contain at least:
(a) a systematic description of the envisaged processing operations and the purposes of the processing, including, where applicable, the legitimate interest pursued by the controller;
(b) an assessment of the necessity and proportionality of the processing operations in relation to the purposes;
(c) an assessment of the risks to the rights and freedoms of data subjects referred to in paragraph 1; and
(d) the measures envisaged to address the risks, including safeguards, security measures and mechanisms to ensure the protection of personal data and to demonstrate compliance with this Regulation taking into account the rights and legitimate interests of data subjects and other persons concerned.
Article 36(1): The controller shall consult the supervisory authority prior to processing where a data protection impact assessment under Article 35 indicates that the processing would result in a high risk in the absence of measures taken by the controller to mitigate the risk.
Citation
Article 35, UK GDPR | Article 36 | ICO DPIA Guidance