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DPIA Approach Methodology

The document outlines the approach, methodology, prerequisites, and techniques for conducting a Data Protection Impact Assessment (DPIA) to evaluate the risks associated with personal data processing. It emphasizes the importance of compliance with privacy regulations and proactive risk management to protect individual rights. The document details a structured process that includes phases from initiation to continuous monitoring, along with various techniques for effective DPIA execution.

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4 views

DPIA Approach Methodology

The document outlines the approach, methodology, prerequisites, and techniques for conducting a Data Protection Impact Assessment (DPIA) to evaluate the risks associated with personal data processing. It emphasizes the importance of compliance with privacy regulations and proactive risk management to protect individual rights. The document details a structured process that includes phases from initiation to continuous monitoring, along with various techniques for effective DPIA execution.

Uploaded by

tactest27
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
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Data Protection Impact Assessment

(DPIA) - Approach, Methodology &


Techniques
1. Introduction
A Data Protection Impact Assessment (DPIA) is a structured process to evaluate the
potential impact of personal data processing activities. It aims to ensure compliance with
privacy regulations, proactively manage risks, and implement data protection by design.
This document outlines the detailed approach, methodology, prerequisites, and techniques
for conducting a comprehensive DPIA.

2. Objective of DPIA
The objective of the DPIA is to systematically identify, assess, and mitigate risks associated
with data processing activities that are likely to result in high risks to the rights and
freedoms of individuals. It ensures legal compliance, builds trust with stakeholders, and
embeds privacy by design in business processes.

3. Prerequisites for DPIA


 - Data Inventory: List of personal data types, sources, storage locations, and data flows.
 - Project/Process Documentation: Details of the project, system, or processing activity
under assessment.
 - Stakeholder Identification: Key internal and external stakeholders (Legal, IT, DPO,
Vendors).
 - Current Controls Overview: Description of existing data protection and security
measures.
 - Legal & Regulatory Requirements: Applicable privacy laws and standards (e.g., GDPR,
DPDP Act).
 - Vendor Agreements: Contracts with third-party processors to review compliance
clauses.

4. Approach & Methodology

Phase 1: Initiation & Planning


 - Identify the need for DPIA and define the scope.
 - Engage stakeholders from Legal, IT, Compliance, and Business teams.
 - Prepare assessment schedule and data collection plan.

Phase 2: Data Processing Description


 - Document personal data types, sources, flow, and storage.
 - Create data flow diagrams and processing inventories.

Phase 3: Legal Basis & Necessity Assessment


 - Validate lawful bases for data processing (consent, contract, legal obligation).
 - Assess data minimization and proportionality.

Phase 4: Risk Identification


 - Identify risks related to data confidentiality, integrity, availability, and compliance.
 - Evaluate impact and likelihood of risks materializing.

Phase 5: Evaluation of Existing Controls


 - Review technical and organizational measures (encryption, access control).
 - Assess control effectiveness and document gaps.

Phase 6: Risk Mitigation Planning


 - Recommend improvements and risk treatment actions.
 - Assign responsibilities and timelines for mitigation.

Phase 7: Stakeholder Consultation


 - Consult DPO, legal experts, and process owners.
 - Document feedback and integrate into the DPIA report.

Phase 8: DPIA Reporting & Documentation


 - Prepare final DPIA report with findings, risks, and recommendations.
 - Obtain approvals and maintain DPIA records.

Phase 9: Review & Continuous Monitoring


 - Schedule periodic reviews and updates of the DPIA.
 - Monitor changes in processing activities or regulations.

5. Techniques to Perform DPIA

Data Mapping & Flow Analysis


Visualize data lifecycle and flows to identify risky transfers. Example: Map KYC data flow in
mobile banking app.

Stakeholder Interviews & Workshops


Gather insights from process owners and technical teams. Example: Interview HR for
employee data practices.
Risk Assessment & Impact Evaluation
Assess privacy risks using a risk matrix. Example: Evaluate risk of data leakage in marketing
data sharing.

Gap Analysis
Compare current practices with regulatory requirements. Example: Identify absence of data
retention policy.

Policy & Contract Review


Review internal policies and third-party agreements. Example: Verify vendor contracts
include breach notification clauses.

DPO/Legal Consultation
Validate findings and legal compliance with experts. Example: Confirm consent mechanisms
meet legal standards.

Risk Treatment Planning


Develop actionable risk mitigation strategies. Example: Implement TLS encryption for data
in transit.

Continuous Monitoring & Review


Ensure DPIA remains current with periodic reviews. Example: Update DPIA after migrating
to cloud services.

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