+Article 37 Désignation du délégué à la protection des données
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Article 37 Désignation du délégué à la protection des données
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1. Vue d’ensemble
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Réglementation |
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Article 37 1.
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Le responsable du traitement et le sous-traitant désignent en tout état de cause un délégué à la protection des données lorsque:
a)
le traitement est effectué par une autorité publique ou un organisme public, à l'exception des juridictions agissant dans l'exercice de leur fonction juridictionnelle;
b)
les activités de base du responsable du traitement ou du sous-traitant consistent en des opérations de traitement qui, du fait de leur nature, de leur portée et/ou de leurs finalités, exigent un suivi régulier et systématique à grande échelle des personnes concernées; ou
▼C1
c)
les activités de base du responsable du traitement ou du sous-traitant consistent en un traitement à grande échelle de catégories particulières de données visées à l’article 9 ou de données à caractère personnel relatives à des condamnations pénales et à des infractions visées à l’article 10.
▼B
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Article 37 2.
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Un groupe d'entreprises peut désigner un seul délégué à la protection des données à condition qu'un délégué à la protection des données soit facilement joignable à partir de chaque lieu d'établissement.
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Article 37 3.
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Lorsque le responsable du traitement ou le sous-traitant est une autorité publique ou un organisme public, un seul délégué à la protection des données peut être désigné pour plusieurs autorités ou organismes de ce type, compte tenu de leur structure organisationnelle et de leur taille.
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Article 37 4.
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Dans les cas autres que ceux visés au paragraphe 1, le responsable du traitement ou le sous-traitant ou les associations et autres organismes représentant des catégories de responsables du traitement ou de sous-traitants peuvent désigner ou, si le droit de l'Union ou le droit d'un État membre l'exige, sont tenus de désigner un délégué à la protection des données. Le délégué à la protection des données peut agir pour ces associations et autres organismes représentant des responsables du traitement ou des sous-traitants.
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Article 37 5.
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Le délégué à la protection des données est désigné sur la base de ses qualités professionnelles et, en particulier, de ses connaissances spécialisées du droit et des pratiques en matière de protection des données, et de sa capacité à accomplir les missions visées à l'article 39.
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Article 37 6.
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Le délégué à la protection des données peut être un membre du personnel du responsable du traitement ou du sous-traitant, ou exercer ses missions sur la base d'un contrat de service.
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Article 37 7.
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Le responsable du traitement ou le sous-traitant publient les coordonnées du délégué à la protection des données et les communiquent à l'autorité de contrôle.
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1.1 Références
1.2 Exigences identifiées
1.3 Normes associées
2. Exigences identifiées
Exigences
| Source |
Exigence |
3. Normes associées
Normes
| Source |
Exigence |
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SCF
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Data Protection Officer (DPO)
Description
Mechanisms exist to identify and appoint a Data Protection Officer (DPO), or equivalent role:
(1) Based on professional qualifications; and
(2) To be involved in all issues related to how Personal Data (PD) is collected, received, processed, stored, transmitted, shared, updated and/or disposed.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Privacy policy document
∙ Data handling procedures
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Written privacy policy
∙ Data subject request procedures
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Data privacy program
∙ Assigned Data Protection Officer (DPO) role(s)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Data privacy program
∙ Assigned Data Protection Officer (DPO) role(s)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Data privacy program
∙ Assigned Data Protection Officer (DPO) role(s)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Privacy (PRI) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PRI domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PRI domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PRI domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Data privacy management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Data privacy management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and/or contractual data privacy obligations for Personal Data (PD) are properly identified and implemented.
▪ Data/process owners work with IT and/or cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and/or contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
Level 3 Well Defined
Privacy (PRI) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PRI domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PRI domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ A Data Protection Officer (DPO) is appointed:
(1) Based on professional qualifications; and
(2) To be involved in all issues related to how Personal Data (PD) is collected, received, processed, stored, transmitted, shared, updated and/or disposed.
Level 4 Quantitatively Controlled
Privacy (PRI) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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SCF
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Data Protection Officer (DPO)
Description
Mechanisms exist to identify and appoint a Data Protection Officer (DPO), or equivalent role:
(1) Based on professional qualifications; and
(2) To be involved in all issues related to how Personal Data (PD) is collected, received, processed, stored, transmitted, shared, updated and/or disposed.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Privacy policy document
∙ Data handling procedures
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Written privacy policy
∙ Data subject request procedures
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Data privacy program
∙ Assigned Data Protection Officer (DPO) role(s)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Data privacy program
∙ Assigned Data Protection Officer (DPO) role(s)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Data privacy program
∙ Assigned Data Protection Officer (DPO) role(s)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Privacy (PRI) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PRI domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with PRI domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PRI domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Data privacy management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Data privacy management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and/or contractual data privacy obligations for Personal Data (PD) are properly identified and implemented.
▪ Data/process owners work with IT and/or cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and/or contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
Level 3 Well Defined
Privacy (PRI) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with PRI domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with PRI domain capabilities are well-documented and kept current by process owners.
▪ A data privacy team, or similar function, is appropriately staffed and supported to implement and maintain PRI domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of data privacy operations (e.g., privacy notice management software and customer management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with PRI domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ A Data Protection Officer (DPO) is appointed:
(1) Based on professional qualifications; and
(2) To be involved in all issues related to how Personal Data (PD) is collected, received, processed, stored, transmitted, shared, updated and/or disposed.
Level 4 Quantitatively Controlled
Privacy (PRI) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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