The European Commission’s first review into the EU-US DPF adequacy decision has highlighted some key areas of focus for organisations seeking to self-certify or maintain compliance with the framework
Robb Taylor-Hiscock
Privacy Content Lead, CIPP/E, CIPM
November 4, 2024
In 2023, the introduction of the EU-US Data Privacy Framework (EU-US DPF) represented the re-instatement of a crucial mechanism for businesses aiming to transfer personal data from the EU to the US. One year on and the European Commission published its first review into the framework’s adequacy decision concluding that “the necessary structures and procedures to ensure that the Data Privacy Framework functions effectively” are in place. While obtaining certification against the EU-US DPF remains an important step for organizations wanting to transfer personal data across the Atlantic, the Commission’s report has highlighted that maintaining compliance with the framework’s principles is equally essential.
Throughout this blog we’ll explore three important areas of focus for companies looking to self-certify, or maintain compliance, with the EU-US DPF as highlighted by the report. In particular, we’ll look at drafting EU-US DPF compliant privacy policies ready for submitting to the Department of Commerce (DoC) and conducting self-assessments to evaluate whether your organization is effectively meeting the “recourse, enforcement, and liability”, “access”, “choice”, and “accountability for onwards transfer” principles.
As part of its report, the European Commission draws attention to the importance of creating a privacy policy that meets the requirements of the EU-US DPF. A draft privacy policy that satisfies the conditions of the framework is a foundational element of the application and certification process. This draft privacy policy must contain certain information about your data processing operations and is your opportunity to be transparent with individuals about how your company handles their personal information.
When preparing to self-certify with the framework a good starting place is to produce a comprehensive draft privacy policy that details all aspects of data collection, use, storage, and sharing. To comply with the conditions of the EU-US DPF, the draft privacy policy must include specific information relating to:
Download the checklist to understand the steps needed to self-certify and maintain compliance with the EU-US DPF.
The "recourse, enforcement, and liability" principle is designed to provide data subjects with enforceable rights and ensure organizations are equipped with robust mechanisms for handling complaints. Feedback received by the European Commission has brought to light that organizations are turning to self-assessment or external reviews to ensure they’re maintaining compliance with this principle.
This principle requires your organization to provide mechanisms to ensure compliance with the EU-US DPF principles and offer individuals a resolution service to handle complaints about non-compliance. This includes establishing an independent recourse mechanism used to investigate complaints and disputes free of charge. Processes must also be put in place to follow up on your organization’s privacy practices to establish where remedy has been implemented in cases of non-compliance.
A thorough self-assessment is one avenue outlined by the Commission for ensuring your program aligns with the enforcement and liability principle of the EU-US DPF. When approaching a task of this nature you can start by reviewing all internal processes related to complaint handling and ensuring you have proper documentation for dispute resolutions. Regularly audit these procedures to ensure that they work as intended and consider leveraging checklists or compliance management software to track each element of the recourse principle. Moreover, you must verify that the self-assessment has been completed via a statement signed by a corporate officer or other authorized representative of the organization at least once a year and made available upon request by individuals or in the context of an investigation or a complaint about non-compliance.
It’s sensible to regularly consult with privacy experts to confirm your company meets evolving legal standards and with stakeholders from different business functions to ensure that your organization is doing what is says it’s doing.
These principles safeguard individuals’ rights to control their personal data, choose how it's shared, and ensure that third parties respect the same level of protection. As outlined by the Commission’s report, compliance with these principles comes under specific scrutiny from private-sector independent recourse mechanisms (IRMs) to the extent that organizations are subject to audits and random checks against these principles.
Under the EU-US DPF, individuals have the right to access their personal information and the ability to opt out of certain uses of their information. It’s important to understand how your organization grants individuals access to their personal information. To build this understanding you can first seek to implement processes that allow individuals to easily request and receive a copy of the personal data you hold. This could be through an online portal or by email, but the process should be efficient and - as a best practice - easy to navigate. You should then turn your focus to operationalizing effective choice mechanisms, ensuring they are readily available and affordable mechanism for data subjects to exercise their opt-out options, particularly for data sharing or use in secondary functions like marketing. As a best practice, you should also ensure these choices are easily accessible and that users can change their preferences simply.
Onward transfer forms are an important area to consider under the EU-US DPF, especially if you share personal data with third-party service providers. To maintain compliance, it's essential to establish and document proper agreements with these third parties, establishing contracts that specifically reference onward data transfers. Such contracts must ensure that the third party will adhere to the same principles as your organization and those of the framework as well as detailing the security and privacy obligations of the third party. To verify third-party compliance with the framework, clauses should be included in contracts that allow your organization to monitor compliance. This will allow your organization to perform regular audits and ensure continued compliance with the requirements of the onward transfer principle. Your company must have measures in place to terminate relationships with non-compliant vendors swiftly.
The European Commission’s first annual review into the adequacy decision of the EU-US DPF serves as a good reflection point for organizations hoping to self-certify, and for those who are looking to maintain compliance, with the framework. The report has highlighted several areas that should be considered following a year of the framework being in operation based on the findings of its participants, industry groups, and government departments involved in the framework’s implementation and development.
For organizations, focusing on creating a transparent privacy policy, conducting a thorough self-assessment, and ensuring compliance with the access, choice, and onward transfer principles, you will be able meet, maintain, and document some of the key requirements needed for participation in the framework.
OneTrust Privacy Operations features key capabilities that can help you develop, manage, and report on an EU-US DPF compliant privacy program. From privacy notice management to data flow mapping, OneTrust Privacy Operations equips you with the tools needed to streamline your privacy program activities and demonstrate accountability and transparency.
Download the checklist to understand the steps needed to self-certify and maintain compliance with the EU-US DPF or request a demo to speak to one of our experts.
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Watch this webinar to learn how responding to all kinds of incidents big and small creates a culture of trust.
Webinar
Join us for a discussion on the latest trends in trusted data and how you can take critical steps to build trust in data practices
Webinar
Watch this webinar as we discuss the EU's Digital Markets Act (DMA) and the Digital Services Act (DSA) as well as the UK Online Safety Bill (UK OSB)
Webinar
Watch our webinar on Thailand Personal Data Proctection Act (PDPA) and what it means for data processors and controllers.
Webinar
Join OneTrust and Microsoft in this webinar where we discuss our automated tool for processesing DSAR requests.
eBook
Download our guide and learn how automation allows teams to address broader aspects of their privacy programs such as DSARs, incident management, and more.
Resource Kit
These resources provide key information on US privacy law through blogs, webinars, and eBooks.
Webinar
Watch this webinar and see how the COVID-19 pandemic forced companies to accelerate automation and scale their third-party management.
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Join our UK legal experts as they discuss data subject rights access requests (DSAR) and how automation streamlines fulfilment and protects privacy.
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As part of our Privacy Automation webinar series, we discuss why it's important to automate DSAR fulfillment and the latest regulatory trends.
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Watch our masterclass webinar for a deep dive on sensitive personal information (SPI) and best practices for compliance.
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Watch this webinar to learn about US consumer privacy rights in 2023 and practical steps you can take to make compliance.
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Watch this webinar and prepare for compliance with the CPRA's employee rights requirements.
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Attend our webinar, to better understand privacy laws in the US.
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Watch our webinar as we discuss privacy impact assessments and how they relate to US privacy laws.
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Watch our US Privacy Law masterclass to learn about opt-out of sales and share requirements and best practices for approaching compliance.
Webinar
As part of our Privacy Automation webinar series, we discuss why it's important to automate DSAR fulfillment and the latest regulatory trends.
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Join us for this instalment of our Future of Privacy Automation Series for a discussion of the challenges, key components, and building blocks of DSAR automation.
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In this webinar, learn about the risks of unstructured data and effective strategies in automating discovery.
Webinar
Join CrossCountry Consulting and OneTrust to learn everything you need to get the fundamentals of building a privacy program.
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Watch our webinar on US privacy laws and gain insight on effective personal information managment strategies.
Webinar
Join LevelUp and OneTrust to learn everything you need to get started in building or improving an existing privacy program.
Webinar
Join Red Clover Advisors and OneTrust to learn everything you need to get the fundamentals of building a privacy program.
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Watch this free webinar and learn about the recent Austrain DSB ruling on Google Analytics and the implicactions on data transfers under the GDPR.
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Watch our webinar on global data residency requirements and learn about their implications and challenges.
Webinar
Watch this webinar and learn how to achieve real time visibility into you data and the policies for an effective privacy program.
Infographic
Automate your privacy program and reduce manual inefficiencies
Webinar
Watch this webinar where we discuss the Israel Privacy Protection Bill, its proposed amendments, and what it means for your organization.
Webinar
Join us for an overview of US privacy laws and strategies for dealing with compliance.
Webinar
In this free webinar, learn how to automate the classification and mapping of sensitive data and speed compliance.
eBook
The CPRA enters into effect on Jan 1, 2023 expanding the CCPA's requirements. This eBook outlines the next steps from CCPA to CPRA compliance.
Webinar
Prepare for 2022 Trends in Third-Party Risk Management and future-proof your Third-Party Trust program.
Webinar
In the first part of our US Privacy Series, we discuss US privacy laws such as the CPRA and best practices towards compliance.
Webinar
Watch our webinar on implementing account deletion for iOS apps and best practices.
Checklist
Download the checklist and discover the steps you can take to automate critical processes across your privacy program.
Webinar
Learn the benefits of using Google Consent Mode with the OneTrust CMP (Cookie Consent) to balance compliance and marketing objectives.
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Watch this webinar to learn about Global Privacy Control (GPC), how it centralizes user opt-out preferences, and streamlines compliance with CCPA and CPRA.
Webinar
As organizations become more data-driven, one of their biggest challenges is managing data retention strategies.
Webinar
Prepare for privacy and security incidents by building an incident management playbook.
Infographic
Download this infographic comparing the Virginia CDPA to the California CCPA.
Webinar
Join the OneTrust DataGuidance privacy analyst team for a deep-dive webinar examining Japan's APPI and what it means for organizations.
Webinar
Access this free webinar to learn how to be a trusted vendor.
Webinar
Join this webinar to hear more about the UK Adequacy Decision and what it means for data flows between the UK and the EU.
eBook
Download the Ultimate Guide to Privacy Management to understand the major factors that contribute to a privacy management program.
Video
Watch this demo video to learn how OneTrust Consent and Preference Management Cloud streamlines the consent lifecycle and accelerates fulfillment.
White Paper
Download our white paper and learn about OneTrust's Privacy Governance Framework and how it can serve as a blueprint for your privacy program.
Webinar
Join this US Privacy Masterclass series as we delve into the evolving US privacy landscape and how you can build a trust-based privacy program in 2023.
Webinar
Watch the OneTrust US Privacy Masterclass series and gain insight on the major US privacy law and best practices.
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Join OneTrust and expert speakers from PA Consulting for a webinar series discussing the need-to-knows for creating a successful privacy management program in your organization.
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Learn how to mature your data privacy program beyond reactive compliance to become a strategic enabler for your business.
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OneTrust DataGuidance and Sidley are joined by industry experts for the annual Data Protection in Financial Services Week.
Webinar
Join our webinar to learn how to effectively manage DSARs and comply with Quebec's Law 25, ensuring your organization meets customer and regulatory expectations.