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Data Protection Policy & GDPR Compliance Statement

Introduction

The EU General Data Protection Regulation (“GDPR”) came into force across the European Union on 25th May 2018 and brings with it the most significant changes to data protection law in two decades. Based on privacy by design and taking a risk-based approach, the GDPR has been designed to meet the requirements of the digital age.

The 21st Century brings with it broader use of technology, new definitions of what constitutes personal data, and a vast increase in cross-border processing. The new Regulation aims to standardise data protection laws and processing across the EU; affording individuals stronger, more consistent rights to access and control their personal information.

Our Commitment

Ten Intelligence Limited (‘TenIntelligence’ or ‘we’ or ‘us’ or ‘our’) are committed to ensuring the security and protection of the personal information that we process, and to provide a compliant and consistent approach to data protection. In this regard we already hold ISO27001:2013 certification.

We have always had a robust and effective data protection program in place which complies with existing law and abides by the data protection principles. However, we recognise our obligations in updating and expanding this program to meet the demands of the GDPR and the UK’s Data Protection Act 2018 (regardless of the UK’s decision to leave the EU).

We are dedicated to safeguarding the personal information under our remit and in developing a data protection regime that is effective, fit for purpose and demonstrates an understanding of, and appreciation for the new Regulation. Our preparation and objectives for GDPR compliance have been summarised in this statement and include the development and implementation of new data protection roles, policies, procedures, controls and measures to ensure maximum and ongoing compliance.

Controller/Processor

We are a controller of the personal data we collect, process and hold either directly from data subjects or via our clients, agents or sub-contractors. Although in certain circumstances we may only act as a processor for our clients, we have resolved to apply the higher threshold of a “joint controller” to all personal data processing activities we perform.

Description of Services – Reason for processing Personal Data

TenIntelligence provides both overt and covert due diligence and litigation support services as well as pre-employment screening and background checks on individuals and entities at the request of our clients.

Our services include anti-fraud and regulatory due diligence, e.g. Anti-Money Laundering and Anti-Bribery and Corruption checks. As part of our litigation support services, we also conduct fraud investigations, surveillance, test purchases and asset tracing exercises.

Our clients are varied and include (without limitation) law firms, nominated advisors, immigration consultancy companies, investigation and intelligence firms as well as individuals’ future and/or current employers.

In general, the checks and searches carried out as part of our services include verification of current and previous employment, education, professional and technical qualifications, directorships and corporate registry records, address verification and land registry searches, regulatory checks, identity checks, financial checks (source of wealth), Official Gazette searches, criminal record checks, insolvency, civil and criminal litigation searches as well as blacklists, watch-lists and sanctions database checks. We also conduct social media and general media searches.

These checks are all conducted globally, based on where an individual or entity has had a presence in the past or present.

Most of the searches and checks are conducted via open source databases. Where information is not available to the public, enquiries are made directly with the source, e.g. past employers, courts, educational institutions, regulatory bodies etc.

The actual scope of services will depend on the level of due diligence, litigation support or screening the client requires.

Description of Personal Data being processed

The personal data we collect and process as part of the services we provide to our clients include personal data, special categories of personal data as well as data relating to criminal convictions and offences (all as may be defined and/or referred to in the GDPR).

Not all data will be collected and/or processed for every data subject; this will depend on the scope of the services to be provided.

How we are Prepared for the GDPR

We already have a consistent level of data protection and security across our organisation, as part of our continued obligations we examine many areas within our business to remain GDPR compliant.

Our preparation and on-going assessments include:

Information Audit – carrying out a company-wide information audit to identify and assess what personal information we hold, where it comes from, how and why it is processed and if and to whom it is disclosed.

Policies & Procedures – revising current and/or implementing new data protection policies and procedures to meet the requirements and standards of the GDPR and any relevant data protection laws, including:

Data Protection – our main policy and procedure document for data protection has been overhauled to meet the standards and requirements of the GDPR. Accountability and governance measures are in place to ensure that we understand and adequately disseminate and evidence our obligations and responsibilities; with a dedicated focus on privacy by design and the rights of individuals.

Data Retention & Erasure – we have updated our retention policy and schedule to ensure that we meet the ‘data minimisation’ and ‘storage limitation’ principles and that personal information is stored, archived and destroyed compliantly and ethically. We have dedicated erasure procedures in place to meet the new ‘Right to Erasure’ obligation and are aware of when this and other data subject’s rights apply; along with any exemptions, response time frames and notification responsibilities.

Data Breaches – our breach procedures ensure that we have safeguards and measures in place to identify, assess, investigate and report any personal data breach at the earliest possible time. Our procedures are robust and have been disseminated to all employees, making them aware of the reporting lines and steps to follow.

International Data Transfers & Third-Party Disclosures – where we store or transfer personal information outside the EU, we have robust procedures and safeguarding measures in place to secure, encrypt and maintain the integrity of the data. Our procedures include a continual review of the countries with sufficient adequacy decisions, as well as provisions for binding corporate rules; standard data protection clauses or approved codes of conduct for those countries without. We carry out strict due diligence checks with all recipients of personal data to assess and verify that they have appropriate safeguards in place to protect the information, ensure enforceable data subject rights and have effective legal remedies for data subjects where applicable.

Subject Access Request (SAR) – we have revised our SAR procedures to accommodate the revised 30-day timeframe for providing the requested information and for making this provision free of charge. Our new procedures detail how to verify the data subject, what steps to take for processing an access request, what exemptions apply and a suite of response templates to ensure that communications with data subjects are compliant, consistent and adequate.

Legal Basis for Processing – we are reviewing all processing activities to identify the legal basis for processing and ensuring that each basis is appropriate for the activity it relates to. Where applicable, we also maintain records of our processing activities, ensuring that our obligations under Article 30 of the GDPR and Schedule 1 of the Data Protection Act 2018 are met.

Generally, our legal basis under the GDPR for the above processing of personal information is “Legitimate Interests”, i.e. our clients’ commercial interests and/or legal obligations under statue or regulation to perform due diligence or screening.  Our clients’ commercial interests include current or potential litigation, pre-appointment verification and fraud prevention/detection.

We do not regard consent as an appropriate legal basis for processing as, usually, there is an imbalance of power between our client and the data subject concerned.

Privacy Notice/Policy – we have revised our Privacy Notice(s) to comply with the GDPR, ensuring that all individuals whose personal information we process have been informed of why we need it, how it is used, what their rights are, who the information is disclosed to and what safeguarding measures are in place to protect their information.

Direct Marketing – we are revising the wording and processes for direct marketing. At present we only envisage direct marketing by post, based on our legitimate commercial interest to promote our services to our clients, keep our clients abreast of industry trends and developments and to grow our business as a whole. We will provide a clear method for opting out of any subsequent marketing materials.

Data Protection Impact Assessments (DPIA) – where we process personal information that is considered high risk, involves large scale processing or includes special category/criminal conviction data; we have developed stringent procedures and assessment templates for carrying out impact assessments that comply fully with the GDPR’s Article 35 requirements. We have implemented documentation processes that record each assessment, allow us to rate the risk posed by the processing activity and implement mitigating measures to reduce the risk posed to the data subject(s).

Processor Agreements – where we use any third-party to process personal information on our behalf (e. Payroll, Recruitment, Hosting, Verifications, Due Diligence etc), we have included compliant processor terms in our Standard Terms and Conditions of Business and due diligence procedures for ensuring that they (as well as we), meet and understand their/our GDPR obligations. These measures include initial and ongoing reviews of the service provided, the necessity of the processing activity, the technical and organisational measures in place and compliance with the GDPR.

Special Categories Data – where we obtain and process any special category information, we do so in complete compliance with the Article 9 requirements and have high-level encryptions and protections on all such data. Special category data is only processed where necessary and is only processed where we have first identified the appropriate Article 9(2) basis or the Data Protection Act 2018 Schedule 1 condition.

Data Subject Rights

In addition to the policies and procedures mentioned above that ensure individuals can enforce their data protection rights, we provide easy to access information via our privacy notices and/or website of an individual’s right to access any personal information that we process about them and to request information about: –

  1. What personal data we hold about them
  2. The purposes of the processing
  3. The categories of personal data concerned
  4. The recipients to whom the personal data has/will be disclosed
  5. How long we intend to store your personal data for
  6. If we did not collect the data directly from them, information about the source
  7. The right to have incomplete or inaccurate data about them corrected or completed and the process for requesting this
  8. The right to request erasure of personal data (where applicable) or to restrict processing in accordance with data protection laws, as well as to object to any direct marketing from us and to be informed about any automated decision-making that we use
  9. The right to lodge a complaint or seek judicial remedy and who to contact in such instances

Information Security & Technical and Organisational Measures

We the privacy and security of individuals and their personal information very seriously and take every reasonable measure and precaution to protect and secure the personal data that we process. We have robust information security policies and procedures in place to protect personal information from unauthorised access, alteration, disclosure or destruction and have several layers of security measures. For further information about our security policy and management framework, please contact the DPO at dpo@tenintel.com.

GDPR Roles and Employees

We have appointed a Data Protection Officer (DPO) and data privacy team to develop and implement our roadmap for complying with the new data protection regulation. The team are responsible for promoting awareness of the GDPR across the organisation, assessing our GDPR readiness, identifying any gap areas and implementing the new policies, procedures and measures.

We understand that continuous employee awareness and understanding is vital to the continued compliance of the GDPR and have involved our employees in our preparation plans. We are implementing an employee training program specific to the which will be provided to all employees prior to May 25th, 2018, and forms part of our induction and annual training program.

If you have any questions about our preparation for the GDPR, please contact the DPO at dpo@tenintel.com.

For further information, visit tenintel.com/data-protection-privacy/, where you can find out how we support clients with data protection.

Email us at info@tenintel.com and follow us on LinkedIn and Twitter @TenIntelligence for all updates.

Data Protection Policy

Introduction

Background to the General Data Protection Regulation 2016 (‘GDPR’)

The GDPR 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.

Definitions used by the organisation (drawn from the GDPR)

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 behavior of data subjects who are resident in the EU.

Article 4 definitions

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 may be lowered to 13 by Member State 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.

Policy Statement

The Board of Directors and management of Ten Intelligence Ltd (“TenIntelligence”), located at 50 Churchill Square, Suite 33, Kings Hill ME19 4YU 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 TenIntelligence 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 TenIntelligence’s Information Security Policy, along with connected processes and procedures.

The GDPR and this policy apply to all of TenIntelligence’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.

The Data Protection Officer is responsible for reviewing the register of processing annually in the light of any changes to TenIntelligence’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 TenIntelligence such as outsourced suppliers. Any breach of the GDPR of this policy will be dealt with under TenIntelligence’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 TenIntelligence, 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 TenIntelligence without having first entered into a non-disclosure agreement , which imposes on the third-party obligations no less onerous than those to which TenIntelligence is committed, and which gives TenIntelligence the right to audit compliance with the agreement.

Responsibilities and roles under the General Data Protection Regulation

TenIntelligence is a data controller under the GDPR, although in certain circumstances it may act as processor only.

The Management Team and all those in managerial or supervisory roles throughout TenIntelligence are responsible for developing and encouraging good information handling practices within TenIntelligence.

The Data Protection Officer should be a member of the senior management team, is accountable to Board of Directors of TenIntelligence for the management of personal data within TenIntelligence and for ensuring that compliance with data protection legislation and good practice can be demonstrated. This accountability includes:

  1. development and implementation of the GDPR as required by this policy; and
  2. security and risk management in relation to compliance with the policy.

The Data Protection Officer, who Board of Directors considers to be suitably qualified and experienced, has been appointed to take responsibility for TenIntelligence’s compliance with this policy on a day-to-day basis and, in particular, has direct responsibility for ensuring that TenIntelligence complies with the GDPR.

The Data Protection Officer have specific responsibilities in respect of procedures such as the Subject Access Request Procedure (GDPR DOC 2) and are 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 TenIntelligence who process personal data.

TenIntelligence’s Training Policy (GDPR DOC 1.1) sets out specific training and awareness requirements in relation to specific roles and Employees/Staff of TenIntelligence

Employees/Staff of TenIntelligence are responsible for ensuring that any personal data about them and supplied by them to TenIntelligence is accurate and up-to-date.

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. TenIntelligence’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.

TenIntelligence’s Privacy Notice Procedure is set out in GDPR DOC 2.1.

The specific information that must be provided to the data subject must, as a minimum, include:

  1. the identity and the contact details of the controller and, if any, of the controller’s representative;
  2. the contact details of the Data Protection Officer;
  3. the purposes of the processing for which the personal data are intended as well as the legal basis for the processing;
  4. the period for which the personal data will be stored;
  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;
  6. the categories of personal data concerned;
  7. the recipients or categories of recipients of the personal data, where applicable;
  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;
  9. any further information necessary to guarantee fair processing.

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 TenIntelligence’s GDPR register of processing. Privacy Notice Procedure GDPR DOC 2.1 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 TenIntelligence does not collect information that is not strictly necessary for the purpose for which it is obtained.

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.

The Data Protection Officer 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 (Data Protection Impact Assessment Procedure GDPR DOC 2.4 and DPIA Tool GDPR REC 4.4).

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 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 TenIntelligence 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 and third-party suppliers / agents should be required to notify TenIntelligence of any changes in circumstance to enable personal records to be updated accordingly. It is the responsibility of TenIntelligence 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 TenIntelligence, 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).

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 TenIntelligence 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 minimized or encrypted in order to protect the identity of the data subject in the event of a data breach.

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.

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 TenIntelligence’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 TenIntelligence 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:

  1. Password protection;
  2. Automatic locking of idle terminals;
  3. Removal of access rights for USB and other memory media;
  4. Virus checking software and firewalls;
  5. Role-based access rights including those assigned to temporary staff;
  6. Encryption of devices that leave the organisations premises such as laptops;
  7. Security of local and wide area networks;
  8. Privacy enhancing technologies such as pseudonymisation and anonymisation;
  9. Identifying appropriate international security standards relevant to TenIntelligence.

When assessing appropriate organisational measures the Data Protection Officer will consider the following:

  1. The appropriate training levels throughout TenIntelligence;
  2. Measures that consider the reliability of employees (such as references etc.);
  3. The inclusion of data protection in employment contracts;
  4. Identification of disciplinary action measures for data breaches;
  5. Monitoring of staff for compliance with relevant security standards;
  6. Physical access controls to electronic and paper-based records;
  7. Adoption of a clear desk policy;
  8. Storing of paper-based data in lockable fire-proof cabinets;
  9. Restricting the use of portable electronic devices outside of the workplace;
  10. Restricting the use of employee’s own personal devices being used in the workplace;
  11. Adopting clear rules about passwords;
  12. Making regular backups of personal data and storing the media off-site;
  13. The imposition of contractual obligations on the importing organisations to take appropriate security measures when transferring data outside the EEA.

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.

TenIntelligence’s compliance with this principle is contained in its Information Security Management System (ISMS), which has been developed in line with ISO/IEC 27001:2013 and TenIntelligence’s 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.

TenIntelligence 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’ rights

Data subjects have the following rights regarding data processing, and the data that is recorded about them:

  1. To make subject access requests regarding the nature of information held and to whom it has been disclosed.
  2. To prevent processing likely to cause damage or distress.
  3. To prevent processing for purposes of direct marketing.
  4. To be informed about the mechanics of automated decision-taking process that will significantly affect them.
  5. To not have significant decisions that will affect them taken solely by automated process.
  6. To sue for compensation if they suffer damage by any contravention of the GDPR.
  7. To take action to rectify, block, erased, including the right to be forgotten, or destroy inaccurate data.
  8. To request the supervisory authority to assess whether any provision of the GDPR has been contravened.
  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.
  10. To object to any automated profiling that is occurring without consent.

TenIntelligence ensures that data subjects may exercise these rights:

  1. Data subjects may make data access requests as described in Subject Access Request Procedure (GDPR DOC 2); this procedure also describes how TenIntelligence will ensure that its response to the data access request complies with the requirements of the GDPR.
  2. Data subjects have the right to complain to TenIntelligence 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).

Security of data

All Employees/Staff are responsible for ensuring that any personal data that TenIntelligence 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 TenIntelligence 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 (GDPR-C DOC 9.1.1). All personal data should be treated with the highest security and must be kept:

  1. in a lockable room with controlled access; and/or
  2. in a locked drawer or filing cabinet; and/or
  3. if computerised, password protected in line with corporate requirements in the Access Control Policy (GDPR-C DOC 9.1.1); and/or
  4. stored on (removable) computer media which are encrypted in line with Secure Disposal of Storage Media (GDPR-C DOC 11.2.7).

Care must be taken to ensure that PC screens and terminals are not visible except to authorised Employees/Staff of TenIntelligence. 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.

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.

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.

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.

Disclosure of data

TenIntelligence 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. It is important to bear in mind whether or not disclosure of the information is relevant to, and necessary for, the conduct of TenIntelligence’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.

Retention and disposal of data

TenIntelligence 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.

TenIntelligence 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 (GDPR DOC 2.3) along with the criteria used to determine this period including any statutory obligations TenIntelligence has to retain the data.

TenIntelligence’s data retention and data disposal procedures (Secure Disposal of Storage Media Procedure GDPR-C DOC 11.2.7) 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 (GDPR-C DOC 11.2.7).

Data transfers

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:

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.

//ec.europa.eu/justice/data-protection/international-transfers/adequacy/index_en.htm

Privacy Shield

If TenIntelligence wishes to transfer personal data from the EU to an organisation in the United States it should check that the organisation is signed up with the Privacy Shield framework at the U.S. Department of Commerce (“US DOC”). The obligation applying to companies under the Privacy Shield are contained in the “Privacy Principles”. The US DOC is responsible for managing and administering the Privacy Shield and ensuring that companies live up to their commitments. In order to be able to certify, companies must have a privacy policy in line with the Privacy Principles e.g. use, store and further transfer the personal data according to a strong set of data protection rules and safeguards. 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:

  1. the nature of the information being transferred;
  2. the country or territory of the origin, and final destination, of the information;
  3. how the information will be used and for how long;
  4. the laws and practices of the country of the transferee, including relevant codes of practice and international obligations; and
  5. the security measures that are to be taken as regards the data in the overseas location.

Binding corporate rules

TenIntelligence 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 TenIntelligence is seeking to rely upon.

Model contract clauses

TenIntelligence may adopt approved model contract clauses for the transfer of data outside of the EEA. If TenIntelligence adopts the EU Standard Contractual Clauses there is an automatic recognition of adequacy.

Exceptions

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:

  1. the data subject has explicitly consented to the proposed transfer, after having been informed of the possible risks of such transfers for the data subject due to the absence of an adequacy decision and appropriate safeguards;
  2. the transfer is necessary for the performance of a contract between the data subject and the controller or the implementation of pre-contractual measures taken at the data subject’s request;
  3. the transfer is necessary for the conclusion or performance of a contract concluded in the interest of the data subject between the controller and another natural or legal person;
  4. the transfer is necessary for important reasons of public interest;
  5. the transfer is necessary for the establishment, exercise or defence of legal claims; and/or
  6. the transfer is necessary in order to protect the vital interests of the data subject or of other persons, where the data subject is physically or legally incapable of giving consent.

Information asset register/data inventory

TenIntelligence has established a data inventory and data flow process as part of its approach to address risks and opportunities throughout its GDPR compliance project. TenIntelligence’s data inventory and data flow determines (GDPR DOC 2.4, and GDPR REC 4.4):

  1. business processes that use personal data;
  2. source of personal data;
  3. volume of data subjects;
  4. description of each item of personal data;
  5. processing activity;
  6. maintains the inventory of data categories of personal data processed;
  7. documents the purpose(s) for which each category of personal data is used;
  8. recipients, and potential recipients, of the personal data;
  9. the role of TenIntelligence throughout the data flow;
  10. key systems and repositories;
  11. any data transfers; and
  12. all retention and disposal requirements.

TenIntelligence is aware of any risks associated with the processing of particular types of personal data.

TenIntelligence 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 TenIntelligence, and in relation to processing undertaken by other organisations on behalf of TenIntelligence.

TenIntelligence 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, TenIntelligence 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 TenIntelligence 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 TenIntelligence may proceed must be escalated for review to the 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 TenIntelligence’s documented risk acceptance criteria and the requirements of the GDPR.

Document Owner and Approval

The Data Protection Officer is the owner of this document and is responsible for ensuring that this policy document is reviewed in line with the review requirements stated above.

A current version of this document is available to all members of staff on the corporate intranet.

This policy was approved by the Board of Directors on May 17, 2018 and is issued on a version controlled basis under the signature of the Chief Executive Officer (CEO).

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