UK’s Information Commissioner’s Office releases new data protection audit tool-kit framework in an effort to improve compliance
On October 7, 2024, the UK's Information Commissioner’s Office (ICO)—the independent regulator for data protection law—released an updated data protection audit framework to improve compliance with existing privacy legislation. The ICO's jurisdiction covers all public and private organizations in the UK, including businesses of all sizes, government agencies, and non-profits that process personal data. This new framework is freely available to organizations and the public via an interactive page on the ICO website.
The framework is designed to be used by individuals with “some familiarity with the legal framework and are responsible for making sure your organisation complies with data protection law,” such as “senior management, the data protection officer, an internal compliance auditor or [an individual that has] records management or information security responsibilities.” Furthermore, the framework is designed for large businesses or other organizations in the “public, private, or third sectors” and not for small businesses or organizations processing personal data in a manner subject to the DPA.
This framework provides various individual tool-kits covering topic that tend to be overwhelming, yet mandatory, for legal compliance, such as accountability, records management, information and cybersecurity, training and awareness, data sharing, requests for access, personal data breach management, artificial intelligence, and age appropriate design. Each tool-kit covers various subtopics and walks the user through a step-by-step guide of critical questions an organization should ask when assessing their compliance with their ongoing obligations. Additionally, the audit frameworks contains helpful case studies, framework trackers (which are “downloadable version of each toolkit” that “will help you conduct your own assessment of compliance, tracking actions you plan to take in areas needing improvement”) and resources organizations can utilize to enhance their compliance. As the ICO describes it, the tool-kits offer organizations a collection of the ICO’s “audit ‘control measures,’” a list of ways in which an organization can satisfy obligations in relation to the measures, and other best practices.
The ICO states that the framework is a “useful starting point” for organizations and businesses conducting compulsory or optional assessments and privacy audits, but the Commission also notes that it is not exhaustive and that businesses need to be aware of, and consider, their individual circumstances when carrying out these assessments. In essence, the framework is a general and helpful guide that acts as a sort of catch-all for baseline privacy compliance requirements. Resultantly, though this framework, alongside the Accountability tool-kit, which the ICO recommends as a first step when conducting assessments, is an extremely helpful guide when an organization is faced with the daunting task of auditing its privacy practices, the unique circumstances of each organization necessitates the input of seasoned professionals and experts in order for an organization to reach the required goal of full compliance with applicable laws.
If you have any questions about your company’s compliance with cyber regulations, concerns about vulnerability to attacks or other breaches, or if you want to learn more about proactive cybersecurity defense, contact a member of McDonald Hopkins’ national data privacy and cybersecurity team.
