To support compliance with the GDPR, the Board of Directors has approved and supported the development, implementation, maintenance and continual improvement of a documented personal information management system (‘PIMS’) for Kanda Consulting.
All Employees/Staff of Kanda Consulting and certain external parties identified in the PIMS are expected to comply with this policy and with the PIMS that implements this policy. All Employees/Staff, and certain external parties, will receive appropriate training. The consequences of breaching this policy are set out in Kanda Consulting’s disciplinary policy and in contracts and agreements with third parties.
In determining its scope for compliance for GDPR, Kanda Consulting considers:
The PIMS Scope Statement is documented here GDPR REC 4.10.
Kanda Consulting’s objectives for compliance with the GDPR and a PIMS:
Kanda Consulting documents those objectives in the PIMS and GDPR Objectives Record (GDPR REC 4.11).
In order to achieve these objectives, Kanda Consulting has determined:
Kanda Consulting is a data controller and in circumstances a data processor under the GDPR. Directors and all those in managerial or supervisory roles throughout Kanda Consulting are responsible for developing and encouraging good information handling practices within Kanda Consulting; responsibilities are set out in individual job descriptions.
Data Protection Officer/GDPR Owner (Data Protection Officer (DPO) Job Description GDPR REC 4.3A and Data Protection Job Description Responsibilities GDPR REC 4.3B), a role specified in the GDPR, should be a member of the senior management team, is accountable to Board of Directors of Kanda Consulting for the management of personal data within Kanda Consulting and for ensuring that compliance with data protection legislation and good practice can be demonstrated. This accountability includes:
3. Data protection principles
All processing of personal data must be conducted in accordance with the data protection principles as set out in Article 5 of the GDPR. Kanda Consulting’s policies and procedures are designed to ensure compliance with the principles.
3.1 Personal data must be processed lawfully, fairly and transparently
Lawful – identify a lawful basis before you can process personal data. These are often referred
to as the “conditions for processing”, for example consent.
Fairly – in order for processing to be fair, the data controller has to make certain information available to the data subjects as practicable. This applies whether the personal data was obtained directly from the data subjects or from other sources.
The GDPR has increased requirements about what information should be available to data subjects, which is covered in the ‘Transparency’ requirement.
Transparently – the GDPR includes rules on giving privacy information to data subjects in Articles 12, 13 and 14. These are detailed and specific, placing an emphasis on making privacy notices understandable and accessible. Information must be communicated to the data subject in an intelligible form using clear and plain language. Kanda Consulting’s Privacy Notice Procedure is set out in GDPR DOC 2.1 and the Privacy Notice is recorded in GDPR REC 4.1.
The specific information that must be provided to the data subject must, as a minimum, include:
3.1.1 the identity and the contact details of the controller and, if any, of the controller's representative;
3.1.2 the contact details of the Data Protection Officer;
3.1.3 the purposes of the processing for which the personal data are intended as well as the legal basis for the processing;
3.1.4 the period for which the personal data will be stored;
3.1.5 the existence of the rights to request access, rectification, erasure or to object to the processing, and the conditions (or lack of) relating to exercising these rights, such as whether the lawfulness of previous processing will be affected;
3.1.6 the categories of personal data concerned;
3.1.7 the recipients or categories of recipients of the personal data, where applicable;
3.1.8 where applicable, that the controller intends to transfer personal data to a recipient in a third country and the level of protection afforded to the data;
3.1.9 any further information necessary to guarantee fair processing.
3.2 Personal data can only be collected for specific, explicit and legitimate purposes
Data obtained for specified purposes must not be used for a purpose that differs from those formally notified to the supervisory authority as part of Kanda Consulting’s GDPR register of processing. Privacy Procedure GDPR DOC 2.1 sets out the relevant procedures.
3.3 Personal data must be adequate, relevant and limited to what is necessary for processing
3.3.1 The Data Protection Officer is responsible for ensuring that Kanda Consulting does not collect information that is not strictly necessary for the purpose for which it is obtained.
3.3.2 All data collection forms (electronic or paper-based), including data collection requirements in new information systems, must be include a fair processing statement or link to privacy statement and approved by the Data Protection Officer.
3.3.3 The Data Protection Officer / GDPR Owner will ensure that, on an annual basis all data collection methods are reviewed by internal audit to ensure that collected data continues to be adequate, relevant and not excessive.
3.4 Personal data must be accurate and kept up to date with every effort to erase or rectify without delay
3.4.1 Data that is stored by the data controller must be reviewed and updated as necessary. No data should be kept unless it is reasonable to assume that it is accurate.
3.4.2 The Data Protection Officer is responsible for ensuring that all staff are trained in the importance of collecting accurate data and maintaining it.
3.4.3 It is also the responsibility of the data subject to ensure that data held by Kanda Consulting is accurate and up to date. Completion of a registration or application form by a data subject will include a statement that the data contained therein is accurate at the date of submission.
3.4.4 Employees/Staff/ customers/suppliers and other identified parties should be required to notify Kanda Consulting of any changes in circumstance to enable personal records to be updated accordingly. Instructions for updating records are contained Staff hand book. It is the responsibility of Kanda Consulting to ensure that any notification regarding change of circumstances is recorded and acted upon.
3.4.5 The Data Protection Officer is responsible for ensuring that appropriate procedures and policies are in place to keep personal data accurate and up to date, taking into account the volume of data collected, the speed with which it might change and any other relevant factors.
3.4.6 On at least an annual basis, the Data Protection Officer will review the retention dates of all the personal data processed by Kanda Consulting, by reference to the data inventory, and will identify any data that is no longer required in the context of the registered purpose. This data will be securely deleted/destroyed in line with the Secure Disposal of Storage Media Procedure (GDPR-C DOC 11.2.7).
3.4.7 The Data Protection Officer is responsible for responding to requests for rectification from data subjects within one month (Subject Access Request Procedure GDPR DOC 2.2). This can be extended to a further two months for complex requests. If Kanda Consulting decides not to comply with the request, the Data Protection Officer must respond to the data subject to explain its reasoning and inform them of their right to complain to the supervisory authority and seek judicial remedy.
3.4.8 The Data Protection Officer is responsible for making appropriate arrangements that, where third-party organisations may have been passed inaccurate or out-of-date personal data, to inform them that the information is inaccurate and/or out of date and is not to be used to inform decisions about the individuals concerned; and for passing any correction to the personal data to the third party where this is required.
3.5 Personal data must be kept in a form such that the data subject can be identified only as long as is necessary for processing.
3.5.1 Where personal data is retained beyond the processing date, it will be minimised in order to protect the identity of the data subject in the event of a data breach.
3.5.2 Personal data will be retained in line with the Retention of Records Procedure (GDPR DOC 2.3) and, once its retention date is passed, it must be securely destroyed as set out in this procedure.
3.6 Personal data must be processed in a manner that ensures the appropriate security The Data Protection Officer will carry out a risk assessment taking into account all the circumstances of Kanda Consulting’s controlling or processing operations.
In determining appropriateness, the Data Protection Officer should also consider the extent of possible damage or loss that might be caused to individuals (e.g. staff or customers) if a security breach occurs, the effect of any security breach on Kanda Consulting itself, and any likely reputational damage including the possible loss of customer trust.
When assessing appropriate technical measures, the Data Protection Officer will consider the following:
When assessing appropriate organisational measures, the Data Protection Officer will consider the following:
These controls have been selected on the basis of identified risks to personal data, and the potential for damage or distress to individuals whose data is being processed.
3.7 The controller must be able to demonstrate compliance with the GDPR’s other principles (accountability)
The GDPR includes provisions that promote accountability and governance. These complement the GDPR’s transparency requirements. The accountability principle in Article 5(2) requires you to demonstrate that you comply with the principles and states explicitly that this is your responsibility.
Kanda Consulting will demonstrate compliance with the data protection principles by implementing data protection policies, adhering to codes of conduct, implementing technical and organisational measures, as well as adopting techniques such as data protection by design, DPIAs, breach notification procedures and incident response plans.
4. Data subjects’ rights
4.1 Data subjects have the following rights regarding data processing, and the data that is recorded about them:
4.1.1 To make subject access requests regarding the nature of information held and to whom it has been disclosed.
4.1.2 To prevent processing likely to cause damage or distress.
4.1.3 To prevent processing for purposes of direct marketing.
4.1.4 To be informed about the mechanics of automated decision-taking process that will significantly affect them.
4.1.5 To not have significant decisions that will affect them taken solely by automated process.
4.1.6 To sue for compensation if they suffer damage by any contravention of the GDPR.
4.1.7 To take action to rectify, block, erased, including the right to be forgotten, or destroy inaccurate data.
4.1.8 To request the supervisory authority to assess whether any provision of the GDPR has been contravened.
4.1.9 To have personal data provided to them in a structured, commonly used and machine-readable format, and the right to have that data transmitted to another controller.
4.1.10To object to any automated profiling that is occurring without consent.
4.2 Kanda Consulting ensures that data subjects may exercise these rights:
4.2.1 Data subjects may make data access requests as described in Subject Access Request Procedure (GDPR DOC 2.2); this procedure also describes how Kanda Consulting will ensure that its response to the data access request complies with the requirements of the GDPR.
4.2.2 Data subjects have the right to complain to Kanda Consulting related to the processing of their personal data, the handling of a request from a data subject and appeals from a data subject on how complaints have been handled in line with the Complaints Procedure (GDPR DOC 2.9).
5.1 Kanda Consulting understands ‘consent’ to mean that it has been explicitly and freely given, and a specific, informed and unambiguous indication of the data subject’s wishes that, by statement or by a clear affirmative action, signifies agreement to the processing of personal data relating to him or her. The data subject can withdraw their consent at any time.
5.2 Kanda Consulting understands ‘consent’ to mean that the data subject has been fully informed of the intended processing and has signified their agreement, while in a fit state of mind to do so and without pressure being exerted upon them. Consent obtained under duress or on the basis of misleading information will not be a valid basis for processing.
5.3 There must be some active communication between the parties to demonstrate active consent. Consent cannot be inferred from non-response to a communication. The Controller must be able to demonstrate that consent was obtained for the processing operation.
5.4 For sensitive data, explicit written consent (Consent Procedure GDPR DOC 2.7) of data subjects must be obtained unless an alternative legitimate basis for processing exists.
5.5 In most instances, consent to process personal and sensitive data is obtained routinely by Kanda Consulting using standard consent documents e.g. when a new client signs a contract, or during induction for participants on programmes.
5.6 Where Kanda Consulting provides services to children, parental or custodial authorisation must be obtained. This requirement applies to children under the age of 16
6. Security of data
6.1 All Employees/Staff are responsible for ensuring that any personal data that Kanda Consulting holds and for which they are responsible, is kept securely and is not under any conditions disclosed to any third party unless that third party has been specifically authorised by Kanda Consulting to receive that information and has entered into a confidentiality agreement.
6.2 All personal data should be accessible only to those who need to use it, and access may only be granted in line with the Access Control Policy (GDPR-C DOC 9.1.1). All personal data should be treated with the highest security and must be kept:
6.3 Care must be taken to ensure that PC screens and terminals are not visible except to authorised Employees/Staff of Kanda Consulting. All Employees/Staff are required to enter into an Acceptable Use Agreement (GDPR-C DOC 9.2.1A) before they are given access to organisational information of any sort, which details rules on screen time-outs.
6.4 Manual records may not be left where they can be accessed by unauthorised personnel and may not be removed from business premises without explicit authorisation. As soon as manual records are no longer required for day-to-day client support, they must be removed and placed in secure archiving.
6.5 Personal data may only be deleted or disposed of in line with the Retention of Records Procedure (GDPR DOC 2.3). Manual records that have reached their retention date are to be shredded and disposed of as ‘confidential waste’. Hard drives of redundant PCs are to be removed and immediately destroyed as required by GDPR-C DOC 11.2.7 before disposal.
6.6 Processing of personal data ‘off-site’ presents a potentially greater risk of loss, theft or damage to personal data. Staff must be specifically authorised to process data off-site.
7.0 Kanda Consulting must ensure that personal data is not disclosed to unauthorised third parties which includes family members, friends, government bodies, and in certain circumstances, the Police. All Employees/Staff should exercise caution when asked to disclose personal data held on another individual to a third party and will be required to attend specific training that enables them to deal effectively with any such risk. It is important to bear in mind whether or not disclosure of the information is relevant to, and necessary for, the conduct of Kanda Consulting’s business.
7.1 All requests to provide data for one of these reasons must be supported by appropriate paperwork and all such disclosures must be specifically authorised by the Data Protection Officer.
8.0 Kanda Consulting shall not keep personal data in a form that permits identification of data subjects for longer a period than is necessary, in relation to the purpose(s) for which the data was originally collected.
8.1 Kanda Consulting may store data for longer periods if the personal data will be processed solely for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes, subject to the implementation of appropriate technical and organisational measures to safeguard the rights and freedoms of the data subject.
8.2 The retention period for each category of personal data will be set out in the Retention of Records Procedure (GDPR DOC 2.3) along with the criteria used to determine this period including any statutory obligations Kanda Consulting has to retain the data.
8.3 Kanda Consulting’s data retention and data disposal procedures (Storage Removal Procedure GDPR-C DOC 11.2.7) will apply in all cases.
8.4 Personal data must be disposed of securely in accordance with the sixth principle of the GDPR – processed in an appropriate manner to maintain security, thereby protecting the “rights and freedoms” of data subjects. Any disposal of data will be done in accordance with the secure disposal procedure (GDPR-C DOC 11.2.7).
9.1 All exports of data from within the European Economic Area (EEA) to non-European Economic Area countries (referred to in the GDPR as ‘third countries’) are unlawful unless there is an appropriate “level of protection for the fundamental rights of the data subjects”.
The transfer of personal data outside of the EEA is prohibited unless one or more of the specified safeguards, or exceptions, apply:
9.1.1 An adequacy decision
The European Commission can and does assess third countries, a territory and/or specific sectors within third countries to assess whether there is an appropriate level of protection for the rights and freedoms of natural persons. In these instances, no authorisation is required.
Countries that are members of the European Economic Area (EEA) but not of the EU are accepted as having met the conditions for an adequacy decision.
A list of countries that currently satisfy the adequacy requirements of the Commission are published in the Official Journal of the European Union. http://ec.europa.eu/justice/data-protection/international- transfers/adequacy/index_en.htm
9.1.2 Privacy Shield
Assessment of adequacy by the data controller
In making an assessment of adequacy, the UK based exporting controller should take account of the following factors:
9.1.3 Binding corporate rules
Kanda Consulting may adopt approved binding corporate rules for the transfer of data outside the EU. This requires submission to the relevant supervisory authority for approval of the rules that Kanda Consulting is seeking to rely upon.
9.1.4 Model contract clauses
Kanda Consulting may adopt approved model contract clauses for the transfer of data outside of the EEA. If Kanda Consulting adopts the model contract clauses approved by the relevant supervisory authority there is an automatic recognition of adequacy.
In the absence of an adequacy decision, Privacy Shield membership, binding corporate rules and/or model contract clauses, a transfer of personal data to a third country or international organisation shall only take place on one of the following conditions:
10.1 Kanda Consulting has established a data inventory and data flow process as part of its approach to address risks and opportunities throughout its GDPR compliance project. Kanda Consulting’s data inventory and data flow determines (GDPR DOC 2.4, and GDPR REC 4.4):
10.2 Kanda Consulting is aware of any risks associated with the processing of particular types of personal data.
10.2.1 Kanda Consulting assesses the level of risk to individuals associated with the processing of their personal data. Data protection impact assessments (DPIAs) (DPIA Procedure GDPR DOC 2.4 and GDPR REC 4.4) are carried out in relation to the processing of personal data by Kanda Consulting, and in relation to processing undertaken by other organisations on behalf of Kanda Consulting.
10.2.2 Kanda Consulting shall manage any risks identified by the risk assessment in order to reduce the likelihood of a non-conformance with this policy.
10.2.3 Where a type of processing, in particular using new technologies and taking into account the nature, scope, context and purposes of the processing is likely to result in a high risk to the rights and freedoms of natural persons, Kanda Consulting shall, prior to the processing, carry out a DPIA of the impact of the envisaged processing operations on the protection of personal data. A single DPIA may address a set of similar processing operations that present similar high risks.
10.2.4 Where, as a result of a DPIA it is clear that Kanda Consulting is about to commence processing of personal data that could cause damage and/or distress to the data subjects, the decision as to whether or not Kanda Consulting may proceed must be escalated for review to the Data Protection Officer/GDPR Owner.
10.2.5 The Data Protection Officer / GDPR Owner shall, if there are significant concerns, either as to the potential damage or distress, or the quantity of data concerned, escalate the matter to the supervisory authority.
Document Owner and Approval
John Greenshields – email@example.com