GDPR Article 6: What are the 7 Legal Bases for Data Processing?

What is GDPR Article 6?

The General Data Protection Regulation (GDPR) is the European Union’s primary data protection framework. Article 6, a section within the GDPR, outlines the lawful bases for processing personal data. It establishes specific conditions under which personal data can be lawfully processed, while ensuring the data protection rights of EU citizens.

Understanding GDPR Article 6 is crucial for any organization handling personal data within the European Union or dealing with EU citizens’ data. By delineating the permissible grounds for data processing, Article 6 clarifies how organizations can collect data in a compliant manner and avoid the risk of fines and penalties.

For your reference, here is the primary portion of GDPR Article 6:

Processing shall be lawful only if and to the extent that at least one of the following applies:

(a) the data subject has given consent to the processing of his or her personal data for one or more specific purposes;

(b) processing is necessary for the performance of a contract to which the data subject is party or in order to take steps at the request of the data subject prior to entering into a contract;

(c) processing is necessary for compliance with a legal obligation to which the controller is subject;

(d) processing is necessary in order to protect the vital interests of the data subject or of another natural person;

(e) processing is necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the controller;

(f) processing is necessary for the purposes of the legitimate interests pursued by the controller or by a third party, except where such interests are overridden by the interests or fundamental rights and freedoms of the data subject which require protection of personal data, in particular where the data subject is a child.

Point (f) of the first subparagraph shall not apply to processing carried out by public authorities in the performance of their tasks.

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GDPR Article 6: The Lawful Bases for Processing 

Article 6 lays out six lawful bases for processing personal data. Each basis addresses different contexts and needs, ensuring flexibility while maintaining strict data protection standards. This section breaks down each basis, highlighting its applicability and requirements.

(a) Consent

Consent is a primary legal basis under GDPR Article 6. It requires that individuals voluntarily agree to data processing activities. Consent must be explicit, specific, informed, and unambiguous, meaning that users must know exactly what they are consenting to and that they have provided clear, affirmative agreement.

However, obtaining valid consent is challenged by the need for transparency and simplicity. Consent should be easily withdrawable at any time, putting individuals in control of their data. 

(b) Contractual Necessity

Contractual necessity as a lawful basis applies when data processing is required to fulfill a contract with the data subject. For instance, when someone purchases a product, their address and payment data are necessary for transaction completion and delivery. This basis ensures business operations align with customer expectations and service delivery.

Compliance with this basis requires that data processing be directly tied to contractual obligations. Companies must ensure that they do not process more data than is necessary for the contract’s fulfillment, emphasizing a minimalistic approach in data collection and usage.

(c) Compliance with Legal Obligations

Organizations can process data to comply with their legal obligations. This means if a law or regulation mandates specific data processing activities, such as tax reporting or employment records maintenance, these activities are lawful under GDPR. This basis ensures that businesses cannot disregard mandatory legal requirements.

To align with this basis, companies must clearly understand applicable legal requirements and ensure their data processing strictly follows these mandates.

(d) Vital Interests

Vital interests are another lawful basis, allowing data processing to protect an individual’s life or health. This basis is typically invoked in emergency situations where immediate action is necessary, such as medical emergencies. The focus is on the necessity of the data processing for preserving vital interests.

This basis requires careful consideration, as its application is narrow and specific. Organizations must ensure that such processing is genuinely necessary and that no other legal grounds are more appropriate. This underscores the importance of balancing data protection with needs during emergencies.

(e) Public Interest or Official Authority

Data processing necessary for the performance of a task carried out in the public interest or exercising official authority is another lawful basis. Public authorities and other organizations performing tasks of a public nature often rely on this basis. Examples include data processing for election administration or public health programs.

Organizations leveraging this basis must ensure clarity and transparency about their public tasks and legal frameworks governing their actions.

(f) Legitimate Interests

Legitimate interests provide a flexible basis, allowing data processing for purposes related to an organization’s necessary and legitimate interests. This could include activities like fraud prevention, direct marketing, and data analytics. The legitimate interests must not override the rights and freedoms of data subjects.

This balancing act requires organizations to assess their interests against potential risks and impacts on individual privacy. Proper documentation and thorough impact assessments are essential to justify reliance on this basis and demonstrate compliance with GDPR’s requirements.

Best Practices for Compliance with GDPR Article 6

Achieving compliance with GDPR Article 6 requires a clear understanding and application of the lawful bases for data processing. Organizations must identify the appropriate basis in advance of any processing activity, ensuring thorough documentation and adherence to GDPR principles.

Determine the Appropriate Legal Basis

Selecting the appropriate legal basis for data processing is fundamental to GDPR compliance. This involves assessing the context of data processing activities and matching them with the suitable lawful basis outlined in Article 6. Organizations should methodically document their rationale for each legal basis chosen.

Evaluating the appropriateness of a legal basis includes considering the nature of the data, the purpose of processing, and potential impacts on individual rights. This process requires a deep understanding of both GDPR requirements and organizational needs, ensuring that data protection aligns with operational objectives.

Ensure Valid Consent

Ensuring valid consent involves obtaining clear, explicit agreement from data subjects before processing their personal data. Consent must be freely given, specific, informed, and unambiguous. Organizations should use straightforward language and provide information about the data processing.

Consent mechanisms should be user-friendly, allowing individuals to easily provide and withdraw consent. This entails integrating consent processes into user interfaces and maintaining systems that accommodate consent management, ensuring ongoing compliance with GDPR requirements.

Keep Records of Consent

Keeping detailed records of consent is critical for demonstrating compliance with GDPR. Records should include who consented, when, and what they were informed about. This documentation proves that consent was validly obtained and helps mitigate risks of non-compliance allegations.

Records should also indicate any changes in consent status, including withdrawals or modifications. Maintaining updated consent records involves regular reviews and audits to ensure data processing activities consistently reflect the current consent status of data subjects.

Facilitate Withdrawal of Consent

Facilitating the withdrawal of consent requires providing straightforward and accessible methods for individuals to revoke their agreement to data processing. Organizations should implement mechanisms allowing data subjects to easily withdraw consent at any time without cause.

Upon withdrawal, data processing activities based solely on consent must cease immediately. Procedures should be in place to remove or anonymize the data previously collected under the withdrawn consent, reflecting a proactive approach to upholding data subject rights.

Identify Necessary Processing

Identifying necessary processing activities requires determining the data processing essential for achieving specific purposes under a legal basis. Organizations must assess whether the processing is proportionate to the intended goals and whether less intrusive means could achieve the same results.

This assessment involves a careful analysis of data processing needs, ensuring minimal data collection and tailor-fitting processing activities to the necessary scope. Documentation and periodic reviews validate the necessity and proportionality of data processing actions.

Process Only the Data Necessary for the Protection of Vital Interests

Processing data solely for the protection of vital interests is specific and limited in scope. Organizations must ensure such processing is unequivocally necessary to protect someone’s life or health. This basis is generally reserved for emergencies where no other legal basis suffices.

Entities must document each instance of using this basis, providing clear justification for its necessity. Regular reviews and updates to emergency response protocols help ensure that data processing under vital interests remains compliant and transparent.

Serve the Public Interest or Exercise Official Authority

Processing data to serve the public interest or execute official authority demands clear justification and legal backing. This basis is often applicable to public sector entities or tasks benefiting society, such as public health monitoring or administering elections.

Organizations must transparently communicate their public interest roles and adhere strictly to the legal frameworks governing their activities. This involves public accountability and an ongoing commitment to clarifying the societal benefits and legal compliance of their data processing efforts.

Implement Data Protection Measures

Implementing data protection measures ensures compliance with GDPR principles and safeguarding personal data integrity. This includes technical and organizational measures like encryption, access controls, regular audits, and employee training to protect against unauthorized access or breaches.

Continuous evaluation and enhancement of data protection measures are crucial in adapting to evolving threats and regulatory changes.

GDPR Compliance with Exabeam

Exabeam helps organizations meet both the technological and operational requirements of GDPR including:

• External Threat Reduction: Exabeam works alongside existing security solutions, using machine learning and behavioral analytics to identify unusual activity that may be indicative of an adversary’s attempt to find and access data. Exabeam threat timelines combine events from anomalies and correlation rules to group events by user or device. 
• Internal Threat Reduction: Exabeam works alongside identity and access management solutions to prevent security incidents resulting from the accidental or malicious abuse of allocated permissions. By flagging activity that falls outside the norm for a given user, Exabeam helps to detect potential incidents that could lead to data theft. Ideal log sources mapped to use cases and the MITRE ATT&CK^Ⓡ framework show which tools in the security arsenal can combine to show the clearest picture of events.

Visualization and Dashboards: Exabeam offers clear compliance-based GDPR Dashboards for easy download, export, or emailing regularly in support of GDPR mandates and the needs of the data privacy officer.