dpia-biometric-systems

DPIA for Biometric Systems

Overview

Biometric data processing for uniquely identifying natural persons falls under GDPR Article 9(1) special category data and triggers a mandatory DPIA under Article 35(3)(b) — "processing on a large scale of special categories of data." The European Data Protection Board (EDPB) Guidelines on DPIA list biometric processing as an inherently high-risk activity requiring assessment regardless of scale. This skill provides a structured DPIA methodology specifically designed for biometric identification and authentication systems.

When a DPIA Is Mandatory for Biometric Systems

Under EDPB WP248rev.01, a DPIA is required when processing meets two or more criteria from the nine-factor list. Biometric systems commonly trigger:

EDPB Criterion	Biometric Relevance
Special category data (Criterion 4)	Biometric data under Art. 9(1) when used for unique identification
Systematic monitoring (Criterion 3)	Facial recognition CCTV, continuous gait analysis
Large-scale processing (Criterion 5)	Organisation-wide deployment of fingerprint scanners
Innovative technology (Criterion 8)	Behavioural biometrics, emotion detection, multimodal biometrics
Vulnerable data subjects (Criterion 7)	Employees (power imbalance), children, patients
Automated decision-making (Criterion 2)	Biometric-based access decisions without human review

National DPA blacklists universally include biometric processing:

• CNIL (France): Deliberation 2018-327, List 11 — Biometric processing for identification
• ICO (UK): DPIA required for biometric data processing at any scale
• AEPD (Spain): List includes biometric processing for access control
• BfDI (Germany): All biometric employee processing requires DPIA

DPIA Assessment Structure

Section 1: Processing Description (Art. 35(7)(a))

Document the biometric system in detail:

System Architecture:

• Biometric modality: fingerprint, facial recognition, iris, voice, behavioural, or multimodal
• Capture device specifications: sensor type, resolution, liveness detection capability
• Template extraction algorithm: vendor, version, ISO/IEC 19795 compliance
• Template storage: on-device (token/badge), local server, centralised database, cloud
• Matching architecture: 1:1 verification or 1:N identification
• Integration points: access control, time and attendance, HR systems, CCTV

Data Flows:

• Raw biometric data capture (image, audio, behavioural signal)
• Feature extraction and template creation
• Template storage location and encryption
• Matching and decision process
• Audit logging
• Template deletion and lifecycle

Data Subjects and Scale:

• Number of enrolled individuals
• Number of daily biometric transactions
• Categories of data subjects (employees, visitors, contractors, customers)
• Vulnerable groups affected (employees with power imbalance, children)

Section 2: Necessity and Proportionality (Art. 35(7)(b))

Lawful Basis Assessment:

Basis	Art. 6(1)	Art. 9(2)	Assessment
Consent	Art. 6(1)(a)	Art. 9(2)(a)	Problematic for employees (power imbalance); may be valid for voluntary customer opt-in
Legal obligation	Art. 6(1)(c)	Art. 9(2)(b)	Valid where national law mandates biometric verification (nuclear facilities, pharmaceutical production)
Legitimate interest	Art. 6(1)(f)	Not available	Art. 9(2) does not include legitimate interest; must pair with another Art. 9(2) condition
Public interest	Art. 6(1)(e)	Art. 9(2)(g)	Valid for border control, law enforcement with Member State law basis
Employment law	Art. 6(1)(b)	Art. 9(2)(b)	Valid where national employment law authorises biometric processing with appropriate safeguards

Necessity Test:

1. Define the specific, concrete purpose (not "security" but "controlling access to pharmaceutical clean room")
2. Demonstrate that biometric processing achieves the purpose more effectively than alternatives
3. Document why less intrusive alternatives are insufficient (badge sharing documented incidents, PIN security breaches)
4. Confirm processing is limited to what is necessary (no function creep, no secondary uses)

Proportionality Assessment:

• Severity of the security risk vs. intrusiveness of biometric processing
• Scope: targeted deployment (specific areas/roles) vs. blanket deployment
• Alternative non-biometric method available for those who object
• Safeguards proportionate to the heightened risk of special category data

Section 3: Risk Identification and Assessment (Art. 35(7)(c))

Biometric-Specific Risk Categories:

Risk ID	Risk Category	Description	Typical Severity
BIO-R1	Template breach	Unauthorised access to biometric template database; unlike passwords, biometric characteristics cannot be changed	Very High
BIO-R2	Function creep	Biometric data collected for access control repurposed for monitoring, emotion detection, or performance tracking	High
BIO-R3	Discrimination	Biometric system accuracy varies by demographic group (skin tone, age, disability), causing disproportionate false rejections	High
BIO-R4	Covert collection	Facial recognition or behavioural biometrics collected without active data subject participation or awareness	High
BIO-R5	Cross-system linkage	Biometric templates matched across unrelated systems enabling tracking beyond original purpose	Very High
BIO-R6	Spoofing and fraud	Biometric data used to create synthetic representations (deepfakes, artificial fingerprints)	High
BIO-R7	Chilling effect	Employees alter behaviour due to awareness of biometric monitoring, impacting freedom of expression and association	Medium
BIO-R8	Irrevocability	Compromised biometric data cannot be reset like a password; lifetime impact on data subjects	Very High

Section 4: Mitigation Measures (Art. 35(7)(d))

Technical Safeguards:

Measure	Standard Reference	Implementation
Biometric template protection	ISO/IEC 24745:2022	Cancelable biometrics or biometric encryption ensuring templates cannot be reverse-engineered to raw data
On-device template storage	CNIL Reglement Type Biometrie	Templates stored on employee-held badges/tokens; no centralised database
Liveness detection	ISO/IEC 30107	Anti-spoofing measures: 3D depth sensing, pulse detection, challenge-response
Encryption at rest	AES-256 minimum	All biometric templates and audit logs encrypted
Encryption in transit	TLS 1.3	All biometric data transmission between capture device and matching engine
Template irreversibility	ISO/IEC 24745 Section 6	One-way transformation ensuring raw biometric cannot be reconstructed
System isolation	Network segmentation	Biometric systems on dedicated VLAN, no internet connectivity
Audit logging	Immutable logs	All enrolment, matching, and administrative access events logged

Organisational Safeguards:

Measure	Implementation
DPIA review cycle	Annual reassessment or upon system change
Alternative access method	Non-biometric alternative (PIN + badge) available for all data subjects
Employee objection procedure	Formal objection mechanism with no adverse consequences
Deletion upon termination	Biometric templates deleted within 24 hours of employment termination
Access restriction	Biometric database access limited to named security administrators with MFA
Vendor due diligence	Biometric vendor assessed for Art. 28 compliance, subprocessor chain, international transfers
Training	All operators trained on biometric system operation and data protection obligations
Incident response	Specific breach procedure for biometric data compromise including notification of irrevocability risk

DPO Consultation Requirements

Under Art. 35(2), the controller shall seek the advice of the DPO when carrying out a DPIA. For biometric systems, the DPO should specifically assess:

1. Whether the Art. 9(2) exception is robustly established
2. Whether the necessity test has been rigorously applied
3. Whether less intrusive alternatives have been genuinely evaluated (not dismissed pro forma)
4. Whether the proposed safeguards are adequate for the heightened risk
5. Whether Art. 36 prior consultation with the supervisory authority is required

Art. 36 Prior Consultation Triggers

If the DPIA concludes that residual risk remains high after all mitigation measures, the controller must consult the supervisory authority under Art. 36(1) before commencing processing. For biometric systems, prior consultation is typically required when:

• Large-scale facial recognition is deployed in public or semi-public spaces
• Biometric processing involves vulnerable populations (children, patients) without explicit legal basis
• Centralised biometric database stores templates for more than 10,000 individuals
• Biometric system operates in 1:N identification mode across multiple sites
• No adequate alternative to biometric processing can be provided for objecting individuals

Integration Points

• Employee Biometric Data: Detailed guidance on biometric processing in employment (see employee-biometric-data skill)
• DPIA Risk Scoring: Risk scoring methodology for DPIA findings (see dpia-risk-scoring skill)
• DPIA Mitigation Plan: Structured mitigation planning (see dpia-mitigation-plan skill)
• DPIA Stakeholder Consult: Data subject consultation requirements (see dpia-stakeholder-consult skill)
• Employee Monitoring DPIA: Broader employee monitoring assessment (see employee-monitoring-dpia skill)