Understanding new EU Guidance on DPIA/PIA requirements | TRUSTe Webinar

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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Poll Question #1 Does your organization have a PIA process in place?

1. Yes 2. No

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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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Poll Question #2 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

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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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Recommendations for Success •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

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

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Privacy Overview at Kellogg

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Global Privacy Office established in August 2015

4 Strategic Pillars Build a Global Capability

Types of Data Held Employee (PII, PFI, PHI)

Ensure Compliance & Education

Consumer (PII)

Champion Privacy Advocacy

Reporting Line A function within Global Legal & Compliance CPO reports directly to Chief Counsel (access to Global General Counsel & Vice Chair of Company)

Unlock Data Use

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Privacy Overview at Kellogg (continued) Kellogg employs a decentralized business model in addressing data protection and privacy matters.

IT Security Global Privacy Office •

strategy

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training content

•

Defines the “what”

Determines the “how”

Regional/Local Business Functions •

execute strategy

•

conduct training

business compliance

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Execute compliance

•

standards and best practices

•

•

common global tools

Implement standards and best practices

•

privacy impact assessments (PIAs)

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Address PIA results

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requests and complaints

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data breach management

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liaison with regulators

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Internal Audit

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Collaborative Approach Between Privacy & IT Security 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.

Notice Choice Use

Safeguards, Secured Storage and Proper Destruction of Data Focus is on the protection of the data stored, processed, transmitted and destroyed.

Access Confidentiality

Availability Integrity

IT Security

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5 Steps to Operationalizing PIAs

Know your key PIA stakeholders

Align on the role of a PIA

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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.

Where should a PIA be considered?

Review existing vendor statement of work (SOW) New vendor set-up (MSA)

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.

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

New Vendor Set-up Workflow

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PIA Published and Vendor Responds

Responses Reviewed by Legal and IT Security

Additional Followups by Other Key Stakeholders

MSA Approved and Filed

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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.

2.

Build out content (questions and benchmarks) 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

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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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Contacts Beth Sipula Paul Iagnocco

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bsipula@truste.com paul.iagnocco@kellogg.com

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Thank You! 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. © TRUSTe Inc., 2016 v 24 Privacy Insight Series truste.com/insightseries v © TRUSTe Inc., 2016