Data Protection Impact Assessment (DPIA) Procedure (PRV-PROC-004)

1. Purpose

The purpose of this procedure is to establish a systematic process for conducting Data Protection Impact Assessments (DPIAs) as required under GDPR Article 35 for high-risk data processing activities, particularly those involving large-scale use of new technologies such as recommendation algorithms, AI systems, and automated decision-making tools used in the video streaming platform.

2. Scope

This procedure applies to all new features, system changes, and processing activities that are likely to result in high risk to the rights and freedoms of natural persons, including but not limited to: large-scale processing using new technologies, systematic monitoring of publicly accessible areas, processing of sensitive personal data, automated decision-making with legal or significant effects, innovative use of AI and machine learning algorithms, and changes to recommendation systems that process user behavior data.

3. Overview

This procedure ensures systematic assessment of privacy risks through structured DPIA methodology, mandatory consultation with the [Senior Privacy Role, e.g., DPO], thorough evaluation of necessity and proportionality of data processing, comprehensive risk assessment and mitigation planning, and detailed documentation of outcomes to demonstrate GDPR compliance and protect data subject rights.

4. Procedure

Step Who What
1 Product/Engineering Team Identify potential need for DPIA during feature planning or system design phase by assessing processing activities against GDPR Article 35 criteria and company DPIA trigger checklist.
2 Project Manager Submit DPIA initiation request to [Privacy Department/Team Name] including project description, data processing details, technologies involved, user impact assessment, and timeline requirements.
3 [Senior Privacy Role, e.g., DPO] Review DPIA request within 5 business days, confirm DPIA requirement, assign DPIA team members, and establish assessment timeline aligned with project milestones.
4 DPIA Team Lead Conduct preliminary assessment including scope definition, stakeholder identification, data flow mapping, legal basis confirmation, and initial risk categorization using standardized DPIA templates.
5 Privacy Analyst Document detailed description of processing operations including data categories, processing purposes, data subjects affected, retention periods, third-party involvement, and automated decision-making elements.
6 Technical Team Provide technical architecture documentation including system design specifications, data security measures, access controls, encryption protocols, and integration with existing privacy controls.
7 [Legal Department/Team Name] Assess legal basis for processing, evaluate compliance with data minimization principles, confirm lawful basis under GDPR Article 6, and identify any special category data requiring Article 9 legal basis.
8 DPIA Team Evaluate necessity and proportionality by assessing whether processing is necessary for specified purposes, proportionate to legitimate aims, considers less intrusive alternatives, and implements appropriate safeguards.
9 Risk Assessment Specialist Conduct comprehensive risk analysis identifying potential risks to data subject rights and freedoms, likelihood and severity assessment, impact on vulnerable groups, and potential for discriminatory effects.
10 [Senior Privacy Role, e.g., DPO] Review risk assessment findings, provide expert guidance on risk mitigation measures, ensure alignment with privacy principles, and approve risk treatment strategy.
11 DPIA Team Develop detailed risk mitigation plan including technical safeguards, organizational measures, policy updates, staff training requirements, monitoring procedures, and contingency plans.
12 Stakeholder Consultation Conduct consultation with relevant stakeholders including affected data subjects (where appropriate), privacy advocates, technical teams, and business stakeholders to gather input on proposed processing and safeguards.
13 [Senior Privacy Role, e.g., DPO] Conduct mandatory DPO consultation including formal review of DPIA findings, assessment of risk mitigation adequacy, recommendations for additional safeguards, and final approval or rejection of processing proposal.
14 Supervisory Authority Consultation If residual high risks cannot be adequately mitigated, initiate prior consultation with relevant supervisory authority including DPIA submission, risk explanation, proposed mitigation measures, and request for regulatory guidance.
15 DPIA Documentation Complete comprehensive DPIA report including executive summary, detailed risk assessment, mitigation measures, implementation timeline, monitoring plan, and review schedule using approved DPIA template.
16 Management Approval Obtain formal management approval for DPIA findings and proposed risk mitigation measures, including budget allocation for privacy safeguards and timeline commitment for implementation.
17 Implementation Monitoring Implement approved privacy safeguards according to DPIA recommendations, monitor effectiveness of risk mitigation measures, and conduct regular compliance checks during development and deployment phases.
18 DPIA Review and Update Conduct periodic DPIA reviews at major project milestones, update risk assessments based on actual implementation, document any changes to processing activities, and maintain current DPIA documentation.

5. DPIA Trigger Criteria

5.1 Mandatory DPIA Requirements Processing activities requiring DPIA under GDPR Article 35:

  • Systematic and extensive evaluation of personal aspects based on automated processing, including profiling with legal or significant effects
  • Large-scale processing of special categories of personal data or personal data relating to criminal convictions
  • Systematic monitoring of publicly accessible areas on a large scale
  • Processing activities listed in supervisory authority guidance as requiring DPIA

5.2 Company-Specific DPIA Triggers Additional criteria requiring DPIA for video streaming platform:

  • Implementation or modification of recommendation algorithms using machine learning or AI
  • New automated decision-making systems affecting user experience or content access
  • Large-scale behavioral analytics or user profiling systems (>10,000 users)
  • Cross-border data transfers to countries without adequacy decisions
  • Processing of biometric data for identification purposes
  • Use of new tracking technologies or data collection methods
  • Integration with third-party services involving personal data sharing
  • Processing activities targeting children or vulnerable populations
  • Implementation of new advertising targeting or monetization features

6. Risk Assessment Methodology

6.1 Risk Categories

  • Privacy Rights Risks: Impact on data subject access, rectification, erasure, portability, and objection rights
  • Data Security Risks: Potential for unauthorized access, data breaches, or security incidents
  • Discrimination Risks: Potential for biased or discriminatory outcomes from automated processing
  • Transparency Risks: Lack of clear information about processing purposes and methods
  • Consent Risks: Issues with consent validity, granularity, or withdrawal mechanisms

6.2 Risk Severity Levels

  • Low Risk: Minimal impact on data subjects with effective mitigation measures in place
  • Medium Risk: Moderate impact requiring specific safeguards and monitoring procedures
  • High Risk: Significant potential impact requiring comprehensive mitigation and ongoing oversight
  • Very High Risk: Severe impact requiring supervisory authority consultation before processing

7. Standards Compliance

Procedure Step(s) Standard/Framework Control Reference
1-3 GDPR Art. 35.1
1-3 PCI DSS v4.0 Req. 12.2
4-8 GDPR Art. 35.7
4-8 PCI DSS v4.0 Req. 12.2.1
9-11 GDPR Art. 35.7(c)
9-11 PCI DSS v4.0 Req. 3.1, 7.1
13 GDPR Art. 35.2
13 PCI DSS v4.0 Req. 12.3
14 GDPR Art. 36
14 PCI DSS v4.0 Req. 12.1
15-16 GDPR Art. 35.7(d)
15-16 PCI DSS v4.0 Req. 3.4, 8.2
17-18 GDPR Art. 35.11
17-18 PCI DSS v4.0 Req. 12.2.2

8. Artifact(s)

Completed DPIA Report including:

  • Executive summary with key findings and recommendations
  • Detailed description of processing operations and data flows
  • Necessity and proportionality assessment documentation
  • Comprehensive risk assessment with severity ratings
  • Risk mitigation plan with implementation timeline
  • DPO consultation record and recommendations
  • Management approval documentation
  • Monitoring and review schedule

Supporting Documentation:

  • DPIA initiation request and approval
  • Technical architecture and security documentation
  • Legal basis assessment and compliance analysis
  • Stakeholder consultation records and feedback
  • Supervisory authority consultation (if required)
  • Implementation monitoring reports and updates

9. Definitions

Data Protection Impact Assessment (DPIA): A process designed to describe the processing, assess its necessity and proportionality, and help manage the risks to the rights and freedoms of natural persons resulting from the processing of personal data.

High-Risk Processing: Processing activities likely to result in high risk to the rights and freedoms of natural persons, particularly involving new technologies, large-scale processing, or vulnerable populations.

Necessity and Proportionality: Assessment of whether data processing is necessary to achieve specified purposes and proportionate to the legitimate aims pursued, considering less intrusive alternatives.

Automated Decision-Making: Processing that involves making decisions about individuals solely through automated means without human intervention.

Large-Scale Processing: Processing involving substantial amounts of personal data at regional, national, or supranational level affecting a large number of data subjects.

Prior Consultation: Mandatory consultation with supervisory authority when DPIA indicates high risk that cannot be adequately mitigated through other means.

10. Responsibilities

Role Responsibility
[Senior Privacy Role, e.g., DPO] Oversee DPIA process, provide expert guidance, conduct mandatory consultation, approve risk mitigation strategies, and maintain DPIA documentation repository.
DPIA Team Lead Coordinate DPIA activities, manage assessment timeline, facilitate stakeholder collaboration, and ensure comprehensive documentation.
Privacy Analysts Conduct detailed risk assessments, develop mitigation strategies, analyze data flows and processing activities, and monitor implementation effectiveness.
Product/[Development Department/Team Name] Identify DPIA requirements, provide technical specifications, implement privacy safeguards, and participate in risk assessment activities.
[Legal Department/Team Name] Assess legal basis and compliance requirements, provide regulatory guidance, support supervisory authority consultation, and review DPIA legal conclusions.
Risk Management Provide risk assessment methodology, validate risk severity ratings, integrate privacy risks into enterprise risk management, and support management decision-making.
Project Management Integrate DPIA requirements into project planning, allocate resources for privacy safeguards, monitor implementation timelines, and ensure deliverable quality.

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