The General Data Protection Regulation 2016 replaces the EU Data Protection Directive of 1995 and supersedes the laws of individual Member States that were developed in compliance with the Data Protection Directive 95/46/EC. Its purpose is to protect the “rights and freedoms” of natural persons (i.e. living individuals) and to ensure that personal data is not processed without their knowledge, and, wherever possible, that it is processed with their consent.
Material scope (Article 2) – The GDPR applies to the processing of personal data wholly or partly by automated means (i.e. by computer) and to the processing other than by automated means of personal data (i.e. paper records) that form part of a filing system or are intended to form part of a filing system.
Territorial scope (Article 3) – The GDPR will apply to all controllers that are established in the EU (European Union) who process the personal data of data subjects, in the context of that establishment. It will also apply to controllers outside of the EU that process personal data in order to offer goods and services, or monitor the behaviour of data subjects who are resident in the EU.
Establishment – the main establishment of the controller in the EU will be the place in which the controller makes the main decisions as to the purpose and means of its data processing activities. The main establishment of a processor in the EU will be its administrative centre. If a controller is based outside the EU, it will have to appoint a representative in the jurisdiction in which the controller operates to act on behalf of the controller and deal with supervisory authorities.
Personal data – any information relating to an identified or identifiable natural person (‘data subject’); an identifiable natural person is one who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person.
Special categories of personal data – personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade-union membership, and the processing of genetic data, biometric data for the purpose of uniquely identifying a natural person, data concerning health or data concerning a natural person’s sex life or sexual orientation.
Data controller – the natural or legal person, public authority, agency or other body which, alone or jointly with others, determines the purposes and means of the processing of personal data; where the purposes and means of such processing are determined by Union or Member State law, the controller or the specific criteria for its nomination may be provided for by Union or Member State law.
Data subject – any living individual who is the subject of personal data held by an organisation.
Processing – any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction.
Profiling – is any form of automated processing of personal data intended to evaluate certain personal aspects relating to a natural person, or to analyse or predict that person’s performance at work, economic situation, location, health, personal preferences, reliability, or behavior. This definition is linked to the right of the data subject to object to profiling and a right to be informed about the existence of profiling, of measures based on profiling and the envisaged effects of profiling on the individual.
Personal data breach – a breach of security leading to the accidental, or unlawful, destruction, loss, alteration, unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed. There is an obligation on the controller to report personal data breaches to the supervisory authority and where the breach is likely to adversely affect the personal data or privacy of the data subject.
Data subject consent – means any freely given, specific, informed and unambiguous indication of the data subject’s wishes by which he or she, by a statement or by a clear affirmative action, signifies agreement to the processing of personal data.
Child – The GDPR defines a child as anyone under the age of 16 years old, although this has been lowered to 13 by UK law. The processing of personal data of a child is only lawful if parental or custodian consent has been obtained. The controller shall make reasonable efforts to verify in such cases that consent is given or authorised by the holder of parental responsibility over the child.
Third party – a natural or legal person, public authority, agency or body other than the data subject, controller, processor and persons who, under the direct authority of the controller or processor, are authorised to process personal data.
Filing system – any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis.
The Board of Directors and management of Cardinal Security Limited, located at Stanley House Station Approach Great Chesterford Essex CB10 1NY UK are committed to compliance with all relevant EU and Member State laws in respect of personal data, and the protection of the “rights and freedoms” of individuals whose information Cardinal Security Limited collects and processes in accordance with the General Data Protection Regulation (GDPR).
Compliance with the GDPR is described by this policy and other relevant policies such as the Information Security Policy along with connected processes and procedures.
The GDPR and this policy apply to all of Cardinal Security Limited’s personal data processing functions, including those performed on customers’, clients’, employees’, suppliers’ and partners’ personal data, and any other personal data the organisation processes from any source.
Cardinal Security Limited has established objectives for data protection and privacy, which are in PIMS and GDPR Objectives Record
The Data Protection Officer is responsible for reviewing the register of processing annually in the light of any changes to Cardinal Security Limited’s activities (as determined by changes to the data inventory register and the management review) and to any additional requirements identified by means of data protection impact assessments. This register needs to be available on the supervisory authority’s request.
This policy applies to all Employees/Staff and interested parties of Cardinal Security Limited such as outsourced suppliers. Any breach of the GDPR or this PIMS will be dealt with under Cardinal Security Limited’s disciplinary policy and may also be a criminal offence, in which case the matter will be reported as soon as possible to the appropriate authorities.
Partners and any third parties working with or for Cardinal Security Limited, and who have or may have access to personal data, will be expected to have read, understood and to comply with this policy. No third party may access personal data held by Cardinal Security Limited without having first entered into a data confidentiality agreement which imposes on the third party obligations no less onerous than those to which Cardinal Security Limited is committed, and which gives Cardinal Security Limited the right to audit compliance with the agreement.
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 Cardinal Security Limited.
All Employees/Staff of Cardinal Security Limited and any 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, or be required to provide evidence of, appropriate training. The consequences of breaching this policy are set out in Cardinal Security Limited’s disciplinary policy and in contracts and agreements with third parties.
In determining its scope for compliance with BS 10012:2017 and the GDPR, Cardinal Security Limited considers:
The PIMS Scope Statement is documented in document reference
Cardinal Security Limited’s objectives for compliance with the GDPR and a PIMS:
Cardinal Security Limited documents those objectives in the PIMS and GDPR Objectives Record
In order to achieve these objectives, Cardinal Security Limited has determined:
Cardinal Security Limited is a data controller and/or data processor under the GDPR.
Top Management and all those in managerial or supervisory roles throughout Cardinal Security Limited are responsible for developing and encouraging good information handling practices within the Company. Responsibilities are set out in individual job descriptions:
The Data Protection Officer a role specified in the GDPR, should be a member of the senior management team, is accountable to Board of Directors of Cardinal Security Limited for the management of personal data within the Company and for ensuring that compliance with data protection legislation and good practice can be demonstrated. This accountability includes:
The Data Protection Officer has specific responsibilities in respect of procedures such as the Subject Access Request Procedure and is the first point of call for Employees/Staff seeking clarification on any aspect of data protection compliance.
Compliance with data protection legislation is the responsibility of all Employees/Staff of Cardinal Security Limited who process personal data.
Cardinal Security Limited’s Training Policy sets out specific training and awareness requirements in relation to specific roles and Employees/Staff of Cardinal Security Limited generally.
Employees/Staff of Cardinal Security Limited are responsible for ensuring that any personal data about them and supplied by them to Cardinal Security Limited is accurate and up-to-date.
All processing of personal data must be conducted in accordance with the data protection principles as set out in Article 5 of the GDPR. Cardinal Security Limited’s policies and procedures are designed to ensure compliance with the principles.
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.
The specific information that must be provided to the data subject must, as a minimum, include:
The identity and the contact details of the controller and, if any, of the controller’s representative;
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 Cardinal Security Limited’s GDPR register of processing. Privacy Procedure sets out the relevant procedures.
Personal data must be adequate, relevant and limited to what is necessary for processing
The Data Protection Officer is responsible for ensuring that Cardinal Security Limited does not collect information that is not strictly necessary for the purpose for which it is obtained (refer to DPIA Tool for the data flow/mapping).
All data collection forms (electronic or paper-based), including data collection requirements in new information systems, must include a fair processing statement or link to privacy statement and approved by The Data Protection Officer.
The Data Protection Officer will ensure that, on at least 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 Data Protection Impact Assessment Procedure and DPIA Tool
Personal data must be accurate and kept up to date with every effort to erase or rectify without delay
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.
The Data Protection Officer (or Data Protection Officer if no DOP appointed) is responsible for ensuring that all staff are trained in the importance of collecting accurate data and maintaining it.
It is also the responsibility of the data subject to ensure that data held by Cardinal Security Limited 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.
Employees/Staff/customers/others should be required to notify Cardinal Security Limited of any changes in circumstance to enable personal records to be updated accordingly. It is the responsibility of Cardinal Security Limited to ensure that any notification regarding change of circumstances is recorded and acted upon.
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.
On at least an annual basis, The Data Protection Officer will review the retention dates of all the personal data processed by Cardinal Security Limited, 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.
The Data Protection Officer is responsible for responding to requests for rectification from data subjects within one month. This can be extended to a further two months for complex requests. If Cardinal Security Limited 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.
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.
Personal data must be kept in a form such that the data subject can be identified only as long as is necessary for processing.
Where personal data is retained beyond the processing date, it will be subject to the company Data retention policy.
Personal data will be retained in line with the Retention of Records Procedure and, once its retention date is passed, it must be securely destroyed as set out in this procedure.
The Data Protection Officer must specifically approve any data retention that exceeds the retention periods defined in Retention of Records Procedure (GDPR DOC 2.3) and must ensure that the justification is clearly identified and in line with the requirements of the data protection legislation. This approval must be written.
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 Cardinal Security Limited’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 Cardinal Security Limited 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.
Cardinal Security Limited’s compliance with this principle is contained in its Information Security Management System (ISMS), which is being developed in line with ISO/IEC 27001:2013 and the information security policy.
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.
Cardinal Security Limited 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.
Data subjects have the following rights regarding data processing, and the data that is recorded about them:
Cardinal Security Limited ensures that data subjects may exercise these rights:
Data subjects may make data access requests as described in Subject Access Request Procedure this procedure also describes how Cardinal Security Limited will ensure that its response to the data access request complies with the requirements of the GDPR.
Data subjects have the right to complain to Cardinal Security Limited 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.
Cardinal Security Limited 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.
Cardinal Security Limited 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.
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.
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.
In most instances, consent to process personal and sensitive data is obtained routinely by Cardinal Security Limited using standard consent documents, e.g. when a new client signs a contract, or during induction for participants on programmes.
Where Cardinal Security Limited provides online services to children, parental or custodial authorisation must be obtained. This requirement applies to children under the age of 16 (unless the in the UK, where provision for a lower age limit of 13 has been made.
All Employees/Staff are responsible for ensuring that any personal data that Cardinal Security Limited 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 Cardinal Security Limited to receive that information and has entered into a confidentiality agreement.
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. All personal data should be treated with the highest security and must be kept:
Care must be taken to ensure that PC screens and terminals are not visible except to authorised Employees/Staff of Cardinal Security Limited. All Employees/Staff are required to enter into an Acceptable Use Agreement before they are given access to organisational information of any sort, which details rules on screen time-outs.
Manual records may not be left where they can be accessed by unauthorised personnel and may not be removed from business premises without explicit written authorisation. As soon as manual records are no longer required for day-to-day client support, they must be removed from secure archiving.
Personal data may only be deleted or disposed of in line with the Retention of Records Procedure. 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 before disposal.
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.
Cardinal Security Limited 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 Cardinal Security Limited’s business.
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.
Cardinal Security Limited 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.
Cardinal Security Limited 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.
The retention period for each category of personal data will be set out in the Retention of Records Procedure along with the criteria used to determine this period including any statutory obligations Cardinal Security Limited has to retain the data.
Cardinal Security Limited’s data retention and data disposal procedures (Storage Removal Procedure will apply in all cases.
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
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 specified safeguards, or exceptions, apply:
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
2. Privacy Shield
If Cardinal Security Limited wishes to transfer personal data from the EU to an organisation in the United States it will check that the organisation is signed up with the Privacy Shield framework at the U.S. Department of Commerce.
The obligation applying to companies under the Privacy Shield are contained in the “Privacy Principles”.
The protection given to the personal data applies regardless of whether the personal data is related to an EU resident or not. Organisations must renew their “membership” to the Privacy Shield on an annual basis. If they do not, they can no longer receive and use personal data from the EU under that framework.
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:
3. Binding corporate rules
Cardinal Security Limited 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 Cardinal Security Limited is seeking to rely upon.
4. Model contract clauses
Cardinal Security Limited may adopt approved model contract clauses for the transfer of data outside of the EEA. If Cardinal Security Limited 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:
Cardinal Security Limited has established a data inventory and data flow process as part of its approach to address risks and opportunities throughout its GDPR compliance project.
Cardinal Security Limited’s data inventory and data flow determines
Cardinal Security Limited is aware of any risks associated with the processing of particular types of personal data.
Cardinal Security Limited assesses the level of risk to individuals associated with the processing of their personal data. Data protection impact assessments (DPIAs) are carried out in relation to the processing of personal data by Cardinal Security Limited, and in relation to processing undertaken by other organisations on behalf of Cardinal Security Limited.
Cardinal Security Limited shall manage any risks identified by the risk assessment in order to reduce the likelihood of a non-conformance with this policy.
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, Cardinal Security Limited 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.
Where, as a result of a DPIA it is clear that Cardinal Security Limited 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 Cardinal Security Limited may proceed must be escalated for review to the Data Protection Officer/Data Protection Officer.
The Data Protection Officer 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.
Appropriate controls will be selected and applied to reduce the level of risk associated with processing individual data to an acceptable level, by reference to Cardinal Security Limited’s documented risk acceptance criteria and the requirements of the GDPR.