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El. knyga: Risk-Based Approach to Data Protection

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(Assistant Professor in ICT and Private Law, Radboud University, Nijmegen)
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The concept of a risk-based approach to data protection came to the fore during the overhaul process of the EU's General Data Protection Regulation (GDPR). At its core, it consists of endowing the regulated organizations that process personal data with increased responsibility for complying with data protection mandates. Such increased compliance duties are performed through risk management tools. This book provides a comprehensive analysis of this legal and policy development, which considers a legal, historical, and theoretical perspective.

By framing the risk-based approach as a sui generis implementation of a specific regulation model 'known as meta regulation, this book provides a recollection of the policy developments that led to the adoption of the risk-based approach in light of regulation theory and debates. It also discusses a number of salient issues pertaining to the risk-based approach, such as its rationale, scope, and meaning; the role for regulators; and its potential and limits. The book also looks at they way it has been undertaken in major statutes with a focus on key provisions, such as data protection impact assessments or accountability.

Finally, the book devotes considerable attention to the notion of risk. It explains key terms such as risk assessment and management. It discusses in-depth the role of harms in data protection, the meaning of a data protection risk, and the difference between risks and harms. It also critically analyses prevalent data protection risk management methodologies and explains the most important caveats for managing data protection risks.
Table of Authorities xvii
List of Abbreviations xxiii
Introduction: The risk-based approach as the opposite of the rights-based approach, or as an opportunity to analyse the links between law, regulation, and risk? 1(25)
1 The risk-based approach: a contradiction in terms?
1(4)
2 On the links between law and regulation
5(2)
3 On data protection as regulation
7(2)
4 The links between risk and regulation: the role of the proportionality principle
9(6)
4.1 The proportionality principle as the missing link between law/regulation and risk
9(1)
4.2 Defining the proportionality principle: two balancing tests associated with risk mitigation measures/safeguards
10(5)
4.2.1 Risk mitigation or safeguards?
11(1)
4.2.2 Proportionality as two balancing tests
12(1)
4.2.3 Test 1: pressing social need
13(1)
4.2.4 Test 2: proportionality stricto sensu
14(1)
5 Proportionality as the common root of law/regulation and risk: some first lessons
15(3)
5.1 Proportionality at the core of regulation and risk: closely intertwined practices
16(1)
5.2 Proportionality as the hallmark of regulatory law: what consequences for data protection?
16(2)
6 Approaching variations
18(6)
7 Structure of the argument
24(2)
1 Fundamental notions: Risk and regulation 26(28)
1 Introduction
26(1)
2 Risk
27(14)
2.1 Etymology and meaning of the concept
27(1)
2.2 Risk and risk management
28(1)
2.3 The technique of risk and risk management
29(2)
2.4 Risk (management) as a matter of two balancing tests associated to risk mitigation measures
31(1)
2.5 Different methods for assessing risks
32(1)
2.6 Different ways to manage risks
33(4)
2.6.1 Risk management as an exercise in standard setting
33(1)
2.6.2 How to balance the costs and benefits
34(1)
2.6.3 The choice of the best risk mitigation measures
34(3)
2.7 Challenges to risk management: beyond objectivity
37(3)
2.7.1 Rise of risk analysis
37(3)
2.8 Beyond risk analysis: sketching contemporary practices of risk management
40(1)
3 Regulation
41(11)
3.1 Defining regulation
41(1)
3.2 Regulation and law
42(4)
3.2.1 Regulation, more than an economic concept
42(2)
3.2.2 The characteristics of regulatory law
44(2)
3.3 The object of regulation: harms
46(2)
3.4 Studying the constitutive elements of regulation more in depth
48(7)
3.4.1 Standard setting
48(1)
3.4.2 Monitoring and behaviour control
48(1)
3.4.3 Redefining the opposition between monitoring and behaviour control types of safeguards
49(2)
3.4.4 The difference between enforcement and safeguards
51(1)
4 Risk and regulation as variations on the proportionality principle: a grid's eye view
52(2)
2 Data protection as command and control regulation 54(33)
1 Introduction: data protection as command and control regulation
54(1)
2 Data protection and standard setting
55(15)
2.1 Data quality and legitimacy principles embody standard setting in data protection, and more in particular performance standards
56(1)
2.2 Article 7: data legitimacy as the first balancing test
57(7)
2.2.1 Data legitimacy is both about the legitimacy of the processing operation and its necessity
57(1)
2.2.2 Data legitimacy in practice (1): presumptions
58(1)
2.2.3 Data legitimacy in practice (2): Heinz Huber
59(2)
2.2.4 Comparison with other views that do not support the existence of the first balancing test within data protection legislations
61(3)
2.3 Article 6: data quality
64(5)
2.3.1 Article 6(1)(c) as the embodiment of the second balancing test
64(2)
2.3.2 Safeguard 1 = Transparency: principle of lawfulness, fairness and transparency + principle of purpose limitation
66(1)
2.3.3 Safeguard 2 = Lawfulness, fairness, and legitimacy: principle of lawfulness, fairness and transparency + principle of purpose limitation
66(1)
2.3.4 Safeguard 3 = reduction in scope: purpose limitation, data minimisation, storage limitation principles
67(1)
2.3.5 Safeguard 4 = accuracy of the data: data accuracy principle
68(1)
2.3.6 Safeguard 5 = security: principle of integrity and confidentiality
69(1)
2.4 Data protection, standard setting, and proportionality: conclusions
69(1)
3 Formal safeguards
70(8)
3.1 Formal safeguards (1): deferred control
70(4)
3.1.1 Advance determination and corrective intervention
70(1)
3.1.2 Advance determination in data protection: licence, notification/registration, and prior checking
71(1)
3.1.3 Advance determination as a good example as to why the distinction between monitoring and behaviour modification is of little relevance
72(1)
3.1.4 Corrective intervention: the data protection authorities' powers
73(1)
3.2 Formal safeguards (2): regulation through organisation
74(1)
3.3 Formal safeguards (3): beyond the Data Protection Directive
75(1)
3.3.1 Facilities v requirements
75(1)
3.3.2 Regulation by classification
75(1)
3.4 Formal safeguards (4): beyond Freund's classification: data subject rights
75(4)
3.4.1 Data subject rights as safeguards: formal safeguards of deferred control
75(1)
3.4.2 Data subject's right to be informed (Arts 10 and 11): advance determination
76(1)
3.4.3 Rights of access and to object: corrective intervention
76(2)
4 Substantive safeguards
78(1)
5 Safeguards and data legitimacy
79(5)
5.1 Presumption: the main safeguard
80(1)
5.2 Consent
80(3)
5.2.1 Consent as a safeguard in data protection
80(2)
5.2.2 Consent as a safeguard in other fields
82(1)
5.2.3 Consent as advance determination: prior approval, and transparency
83(1)
5.3 The legitimate interests of the data controller
83(1)
6 Enforcement
84(1)
7 Conclusions: data protection as command and control regulation and the proportionality principle
84(3)
3 Issues with data protection as command and control regulation 87(22)
1 Introduction: data protection and issues with command and control regulation
87(2)
2 Issues resulting from the "diagnosis-prescription" aspect of command and control regulation
89(3)
3 Issues revolving around enforcement
92(2)
4 List of challenges related to evolutions in data processing practices
94(2)
5 Command and control issues at the data protection level
96(13)
5.1 Inefficiency of the data protection core principles/congruence
96(2)
5.2 Uncertainty/lack of clarity, predictability, transparency
98(3)
5.3 Simplicity and accessibility
101(5)
5.4 Enforcement
106(4)
5.4.1 Under enforcement
106(1)
5.4.2 Issues with advances in technology
107(2)
4 Changes of regulatory models: from command and control to meta regulation 109(27)
1 Introduction
109(1)
2 The plinth of meta regulation: the "risk management agenda"
110(4)
2.1 The rise of corporate governance
110(1)
2.2 The role of corporate governance in the transformation of risk and risk management: emphasis on process
111(1)
2.3 Governance and the neoliberal logic of risk: responsibilisation and risk taking
112(1)
2.4 Governance and the transformation of organisational activity as risk taking: from risk governance to the risk management agenda (or risk management 2.0): the turning inside out of organisations
113(1)
3 The risk management agenda in practice
114(5)
3.1 Role of internal controls
115(1)
3.1.1 Original meaning of internal controls
115(1)
3.1.2 The transformation of internal controls as risk management: the role of audit and quality control
115(1)
3.2 The risk management agenda's methodologies
116(1)
3.3 The values of the risk management agenda: responsibility as a "social licence" to operate
117(2)
4 The ISO 31000 Standard as an embodiment of the risk management agenda
119(4)
4.1 Risk management principles
119(1)
4.2 Risk management framework
120(3)
4.3 Risk management process
123(1)
5 Addressing the command and control issues
123(2)
5.1 Command and control shortcomings: lack of expertise and resources
123(1)
5.2 Command and control as responsive regulation: deterrence and compliance
124(1)
6 Smart regulation
125(5)
6.1 Defining smart regulation
125(2)
6.2 Smart regulation and data protection
127(3)
7 From smart regulation to meta regulation
130(2)
7.1 Defining meta regulation
130(2)
8 The role of internal controls and the risk management agenda in collaborative models of regulation
132(3)
8.1 Risk management at the heart of collaborative models of regulation
132(1)
8.2 Summarising the collaborative shifts taking place
133(2)
9 Conclusion: meta regulation and data protection, towards the risk-based approach
135(1)
5 Meta regulation in data protection law: the risk-based approach 136(49)
1 Introduction
136(1)
2 The risk-based approach to data protection: meta regulation with a regulatory focus
137(34)
2.1 Introduction
137(1)
2.2 The regulatory oriented approach's goal: making the regulatory architecture more efficient
138(1)
2.3 Responsibilisation of the data controller through accountability
139(6)
2.3.1 Risk-based approach, responsibility or accountability?
139(1)
2.3.2 History of the accountability principle: the-data protection-principle of accountability: origins
140(1)
2.3.3 The modern accountability principle: responsibility following the risk management agenda
141(4)
2.4 Internal and external responsibility: the value dimension of responsibilisation
145(4)
2.4.1 The alignment of regulatory goals
145(3)
2.4.2 The dual dimension of the risk management agenda's values: democratic ethos and business efficiency, and their recoding as a matter of business goals
148(1)
2.5 The risk-based approach as accountability and, possibly, data protection by design
149(1)
2.6 Accountability, or the risk-based approach? And beyond
150(2)
2.7 Risk-based accountability and the risk-based transformation of the data controller
152(1)
2.8 The risk-based approach as a contradictory implementation of meta regulation?
153(2)
2.9 The scope of the risk-based approach: a focus on safeguards
155(2)
2.10 Summarising the risk-based approach in the GDPR and its rationale
157(3)
2.11 The "regulatory focus" of the risk-based approach in the GDPR, and beyond
160(4)
2.11.1 The GDPR
160(1)
2.11.2 Council of Europe, Convention 108+
160(1)
2.11.3 Canada: PIPEDA and the Privacy Management Program
161(1)
2.11.4 A similar regulatory oriented approach in Canada: Cavoukian's Privacy by Design
162(1)
2.11.5 The Revised OECD Guidelines
162(1)
2.11.6 The APEC Privacy Framework: a more risk-prone risk-based approach?
163(1)
2.12 Beyond the responsibilisation of the regulatees: internal controls, regulatory resources, and enforcement
164(7)
2.12.1 Internal controls: regulatory resource only-or most exclusively-at the internal level
164(1)
2.12.2 The GDPR: a much more collaborative iteration of the risk-based approach
165(3)
2.12.3 The risk-based approach: a piecemeal implementation of the risk management agenda?
168(2)
2.12.4 Enforcement: enforced self-regulation and the ladder of enforcement
170(1)
2.13 Concluding thoughts on the risk-based approach
171(1)
3 The standard setting oriented risk-based approach
171(14)
3.1 Introduction
171(1)
3.2 The standard setting oriented risk-based approach as a response to regulatory failures
172(2)
3.2.1 Implementation shortcomings
172(1)
3.2.2 Conflicting logic(s): purpose requirement vs purposeless processing, or the conflict between collection based and use based risk assessment
172(2)
3.3 The Microsoft approach
174(6)
3.3.1 A use-based risk-based approach
174(1)
3.3.2 A neoliberal take on risk analysis
175(1)
3.3.3 From a neoliberal take on risk analysis to a deregulatory approach?
176(3)
3.3.4 Concluding remarks on the Microsoft risk-based approach
179(1)
3.4 A new pragmatism: less risky risk and more optimistic approaches
180(8)
3.4.1 Presenting new pragmatisms
180(3)
3.4.2 New pragmatisms and the ideal of natural compliance at the heart of meta regulation
183(2)
6 Risk and the risk-based approach: Between data protection risks and compliance risks 185(27)
1 Introduction: various notions of risk at play
185(2)
2 The ISO's constitutive elements of risk
187(1)
3 Defining a data protection risk
188(10)
3.1 The computer: the risk source
188(1)
3.2 Risk factors, risks, and harms
189(1)
3.3 Risk factor (1): extent of the processing: increased data quantity
189(1)
3.3.1 Risk from risk factor (1): inaccuracy
190(1)
3.3.2 Harms stemming from inaccuracy
190(1)
3.4 Risk factor (2): properties of the processing: opaque and increased access to, and use of data
190(3)
3.4.1 Risk (1) from risk factor (2): "dragnet effect"
191(1)
3.4.2 Harms stemming from the "dragnet effect"
191(1)
3.4.3 Risk (2) from risk factor (2): loss of control over personal data
191(1)
3.4.4 Harms stemming from loss of control over personal data
191(2)
3.5 Risk factor (3): type of processing: new bureaucratic and managerial practices
193(2)
3.5.1 Risk from risk factor (3): social control
193(1)
3.5.2 Harms stemming from social control
194(1)
3.6 Concluding thoughts on the concept of a data protection risk
195(1)
3.7 The NIST Privacy Engineering and Risk Management in Federal Systems Framework as a risk analysis methodology embodying the notion of data protection risk
196(2)
3.7.1 The notion of data protection risk in the NIST methodology: three feared events
197(1)
4 The notion of risk in the GDPR: compliance risk
198(10)
4.1 Better understanding compliance risk
198(2)
4.2 Traces of the GDPR risk as compliance risk
200(2)
4.3 The risk-based approach as "data protection on the ground": doing a risk analysis with the CNIL methodology
202(4)
4.4 Other compliance risk management methodologies
206(2)
5 Conclusion: The difference between compliance and "proper" data protection risk, and the logic of meta regulation
208(4)
7 The risk-based approach in practice: Caveats 212(27)
1 Introduction
212(1)
2 Methodological issues
213(10)
2.1 Risk criteria step: taking risks
213(1)
2.2 Different possibilities to assess risks
214(6)
2.2.1 The difference between toxicology and epidemiology
214(4)
2.2.2 Additional caveats surrounding the assessment of risks
218(1)
2.2.3 Examples from DPIA methodologies concerning the different possibilities of assessment
219(1)
2.3 Risk management sensu stricto (ss)
220(2)
2.4 Risk management and data legitimacy
222(1)
3 Regulatory issues
223(7)
3.1 Discretion and consistency: two contradictory requirements
223(4)
3.2 Institutional or secondary risks: competing risks
227(1)
3.3 The risk-based approach and risk-based regulation, or the risk transformation of the regulators themselves
228(2)
4 Risk management on the ground
230(6)
4.1 Adequate collection and use of data
230(1)
4.2 Misplaced pretences at objectivity
231(2)
4.3 Complexity and lack of adequate expertise
233(1)
4.4 The risk-based approach and resource efficiency: a zero-sum game?
234(1)
4.5 Evaluation of efficiency
235(1)
4.6 A new organisational mindset
235(1)
5 Conclusions: meta regulation and utopia
236(3)
Conclusions: Back to the rights/risk-based approaches, and the future of data protection 239(14)
1 Summary of the findings: approaching the debate on rights/risk-based approaches from a different perspective
239(9)
2 The risk-based approach and the future of data protection
248(5)
Bibliography 253(18)
Index 271
Raphaėl Gellert is an assistant professor in ICT and private law at Radboud University, where he is a member of the Radboud Business Law Institute, and of the interdisciplinary Hub for Security, Privacy and Data Governance. He is also an affiliated researcher at the Research Group on Law, Science, Technology & Society (LSTS) of the Vrije Universiteit Brussel (VUB).
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