aUK Ltd needs to collect personal information to effectively and compliantly carry out our everyday business functions and activities and to provide the products and services defined by our business type. Such data is collected from employees, customers, suppliers and clients and includes (but is not limited to), name, address, email address, data of birth, IP address, identification numbers, private and confidential information, sensitive information and bank/credit card details.
In addition, we may be required to collect and use certain types of personal information to comply with the requirements of the law and/or regulations, however we are committed to collecting, processing, storing and destroying all information in accordance with the General Data Protection Regulation, Irish data protection laws and specific data protection codes of conduct (herein collectively referred to as ‘the GDPR’).
aUK Ltd has developed policies, procedures, controls and measures to ensure maximum and continued compliance with the GDPR and its principles, including staff training, procedure documents, audit measures and assessments. Ensuring and maintaining the security and safety of personal and/or special category data belonging to the individuals with whom we deal is paramount to our company ethos and aUK Ltd adheres to the GDPR and its associated principles in every process and function. We are proud to operate a ‘Privacy by Design’ approach and aim to be proactive not reactive; assessing changes and their impact from the start and designing systems and processes to protect personal information at the core of our business.
The purpose of this policy is to ensure that aUK Ltd is meeting its legal, statutory and regulatory requirements under the GDPR and to ensure that all personal and special category information is safe, secure and processed compliantly whilst in use and/or being stored and shared by us. We are dedicated to compliance with the GDPR’s principles and understand the importance of making personal date safe within our organisation. The GDPR includes provisions that promote accountability and governance and as such aUK Ltd has put comprehensive and effective governance measures into place to meet these provisions. The aim of such measures is to ultimately minimise the risk of breaches and uphold the protection of personal data.
The policy relates to all staff (meaning permanent, fixed term, and temporary staff, any third-party representatives or sub-contractors, agency workers and agents/suppliers engaged with aUK Ltd in the UK) within the organisation and has been created to ensure that staff deal with the area that this policy relates to in accordance with legal, regulatory, contractual and business expectations and requirements.
- GDPR means the General Data Protection Regulation and for the purposes of this document, the acronym is also used to collectively describe all of the data protection laws that aUK Ltd complies with.
- Personal data means 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.
- Processing means 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.
- Data subject means an individual who is the subject of personal data
- Data controller means, 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 processor, means a natural or legal person, public authority, agency or other body which processes personal data on behalf of the controller.
- Third Party means a natural or legal person, public authority, agency or body other than the data subject, under our direct authority
- Profiling means any form of automated processing of personal data consisting of the use of personal data to evaluate certain personal aspects relating to a natural person, in particular to analyse or predict aspects concerning that natural person’s performance at work, economic situation, health, personal preferences, interests, reliability, behaviour, location or movements.
- Recipient means a natural or legal person, public authority, agency or another body, to which the personal data are disclosed, whether a third party or not. However, public authorities which may receive personal data in the framework of a particular inquiry in accordance with Union or Member State law shall not be regarded as recipients; the processing of those data by those public authorities shall be in compliance with the applicable data protection rules according to the purposes of the processing.
- Consent of the data subject 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 relating to him or her.
- Genetic data means personal data relating to the inherited or acquired genetic characteristics of a natural person which give unique information about the physiology or the health of that natural person and which result, in particular, from an analysis of a biological sample from the natural person in question.
- Biometric data means personal data resulting from specific technical processing relating to the physical, physiological or behavioural characteristics of a natural person, which allow or confirm the unique identification of that natural person, such as facial images or dactyloscopic data.
- Supervisory Authority means an independent public authority which is established by a Member State. In the UK it is the ICO (Information Commissioner’s Office).
Data Protection Background
The EU Directive 95/46/EC for the protection of personal data came into force in 1995 and required each EU Member State to implement their own legislation in response to its aims and objectives. The UK has enacted the Data Protection Act 1988 (DPA), which was amended by the Data Protection (Amendment) Act 2003.
However, with advances in technology and growing cross-border operations, data protection laws that address the risks of the digital age and provide consistency for those obligated under it, have become a necessity. Thus, in January 2012, the European Commission proposed a new regulation applying to all EU Member States and bringing a standardised and consistent approach to the processing and sharing of personal information across the EU.
The General Data Protection Regulation (GDPR) (EU)2016/679) was approved by the European Commission in April 2016 and will apply to all EU Member States from 25th May 2018. As a ‘Regulation’ rather than a ‘Directive’, its rules apply directly to all Member States, repealing and replacing Directive 95/46/EC and its Member State implementing legislation.
General Data Protection Regulation (GDPR)
The General Data Protection Regulation (GDPR) (EU)2016/679) was approved by the European Commission in April 2016 and will apply to all EU Member States from 25th May 2018. As a ‘Regulation’ rather than a ‘Directive’, its rules apply directly to the Member States, replacing their existing local data protection laws and repealing and replacing Directive 95/46/EC and its Member State implementing legislation.
As aUK Ltd processes personal information regarding individuals (data subjects), we are obligated under the General Data Protection Regulation (GDPR) to protect such information, and to obtain, use, process, store and destroy it, only in compliance with the GDPR and its principles. Information protected under the GDPR is known as “personal data” and is defined as: – “Any information relating to an identified or identifiable natural person; 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.”
aUK Ltd ensures that even greater care and attention is given to personal data falling within the GDPR’s ‘special categories’ (previously referred to under the DPA as sensitive personal data), due to the assumption that this type of information could be used in a negative or discriminatory way and is of a sensitive, personal nature to the persons it relates to.
In relation to the ‘Special categories of Personal Data’ the GDPR advises that: – Processing of 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 shall be prohibited – unless one of the Article 9 clauses applies.
The GDPR regulates the processing of personal data, which includes organisation, altering, adapting, retrieving, consulting on, storing, using, disclosing, transmitting, disseminating or destroying any such data. As aUK Ltd uses personal data in one or more of the above capacities, we have put into place robust measures, policies, procedures and controls concerning all aspects of personal data handling.
The GDPR Principles
Article 5 of the GDPR requires that personal data shall be:
- Processed lawfully, fairly and in a transparent manner in relation to the data subject (‘lawfulness, fairness and transparency’)
- Collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes; further processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes shall, in accordance with Article 89(1), not be considered to be incompatible with the initial purposes (‘purpose limitation’)
- Adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed (‘data minimisation’)
- Accurate and, where necessary, kept up to date; every reasonable step must be taken to ensure that personal data that are inaccurate, having regard to the purposes for which they are processed, are erased or rectified without delay (‘accuracy’)
- Kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the personal data are processed; personal data may be stored for longer periods insofar as the personal data will be processed solely for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes in accordance with Article 89(1) subject to implementation of the appropriate technical and organisational measures required by this Regulation in order to safeguard the rights and freedoms of the data subject (‘storage limitation’)
- Processed in a manner that ensures appropriate security of the personal data, including protection against unauthorised or unlawful processing and against accidental loss, destruction or damage, using appropriate technical or organisational measures (‘integrity and confidentiality’).
Article 5(2) requires that ‘the controller shall be responsible for, and be able to demonstrate, compliance with the GDPR principles’ (‘accountability’) and requires that businesses show how they comply with the principles, detailing and summarising the measures and controls that they have in place to protect personal information and mitigate the risks of processing.
Reason & Requirements of collecting Personal Data
- Contractual necessity
- Data processed must be necessary for the Service and defined in the contract with the individual
- Requires a freely given, specific, informed and unambiguous consent by clear affirmative action
- People have a right to withdraw consent, which must be brought to their attention
- Must be from a person over the age of consent specified in that Member State, otherwise given by or authorised by a parent/guardian
- Explicit consent is required for some processing (e.g. special categories of personal data)
- If a business or a third party has legitimate interests that are not overridden by individuals’ rights or interests.
- Processing must be paused if an individual objects to it
We are committed to ensuring that all personal data obtained and processed by aUK Ltd is done so in accordance with the GDPR and its principles, along with any associated regulations and/or codes of conduct laid out by the Supervisory Authority and local law. We are dedicated to ensuring the safe, secure, ethical and transparent use of all personal data and to uphold the highest standards of data processing.
aUK Ltd uses the below objectives to meet the regulatory requirements of the GDPR and to develop measures, procedures and controls for maintaining and ensuring compliance. aUK Ltd ensures that:
- We protect the rights of individuals with regards to the personal information known and held about them by aUK Ltd in the course of our business.
- We develop, implement and maintain a data protection policy, procedure, audit plan and training program for compliance with the GDPR.
- Every business practice, task and process carried out by aUK Ltd, is monitored for compliance with the GDPR and its principles.
- Data is only obtained, processed or stored when we have met the lawfulness of processing requirements
- We record consent at the time it is obtained and evidence such consent to the Supervisory Authority where requested.
- All employees (including new starters) are competent and knowledgeable about their GDPR obligations and are provided with in-depth training in the GDPR principles, regulations and how they apply to our business and services.
- Customers feel secure when providing us with personal information and know that it will be handled in accordance with their rights under the GDPR.
- We maintain a continuous program of monitoring, review and improvement with regards to compliance with the GDPR and to identify gaps and non-compliance before they become a risk.
- We monitor the Supervisory Authority, European Data Protection Board (EDPB) and GDPR news and updates, to stay abreast of updates, notifications and additional requirements.
- We have robust and recorded Complaint Handling and Breach Incident controls and procedures in place for identifying, investigating, reviewing and reporting any breaches or complaints with regards to data protection.
- We have appointed Sian Davies as our Data Protection Officer who takes responsibility for the overall supervision and implementation of the GDPR and its principles and remains informed on the regulations and how they relate to aUK Ltd.
- We carry out regular checks, assessments and audits on how the personal data we process is obtained, used, stored and shared.
- We provide clear lines of reporting and supervision with regards to data protection compliance.
- Develop and maintain strict and robust DPA procedures, controls and measures to ensure continued compliance with the Act.
- We store and destroy all personal information, in accordance with the GDPR timeframes and requirements.
- Any information provided to an individual in relation to personal data held or used about them, with be provided in a concise, transparent, intelligible and easily accessible form, using clear and plain language.
- Employees are aware of their own rights under the GDPR and are provided with the Article 13 & 14 information disclosures
Data Protection Officer
A Data Protection Officer (DPO) must be appointed by business where: –
- The processing is carried out by a public authority or body (except for courts acting in their judicial capacity)
- the core activities of the controller/processor consist of processing operations which, by virtue of their nature, their scope and/or their purposes, require regular and systematic monitoring of data subjects on a large scale
- the core activities of the controller/processor consist of processing on a large scale of special categories of data pursuant to Article 9 and personal data relating to criminal convictions and offences referred to in Article 10 aUK Ltd have appointed a Data Protection Officer DPO due to the nature of our business activities of processing on a large scale of special categories i.e. health data. We have utilised our existing due diligence measures and procedures, along with extensive employee screening methods, to ensure that the appointed Data Protection Officer has been designated on the basis of their professional qualities.
We provide support, training, mentoring and CPD for the DPO, to ensure that they have an expert knowledge of data protection law, practices and principles and the ability to fulfil the tasks referred to in Article 39 of the GDPR. The DPO reports to the highest level of management and provides adequate and effective management information on the compliance, measures, controls, reviews, gaps and improvement actions plans.
aUK Ltd are registered with the Supervisory Authority and appear on the Data Protection Register as a controller and processer of personal information. The DPO and their contact details have been published on this register, as well as being provided directly to the Supervisory Authority.
Duties of the Data Protection Officer
The Data Protection Officer has assumed the below duties in compliance with GDPR Article 39:
- To inform and advise aUK Ltd and any employees carrying out processing, of their obligations pursuant to the GDPR, the Supervisory Authorities guidelines and any associated data protection provisions
- To monitor compliance with the GDPR, associated data protection provisions and aUK Ltd’s own data protection policies, procedures and objectives
- To oversee the assignment of responsibilities, awareness-raising and training of staff involved in processing operations
- To carry out and review audits of the above-mentioned policies, procedures, employee duties and training programs
- To cooperate with the Supervisory Authority where required
- To act as the point of contact for the Supervisory Authority on issues relating to processing, including the prior consultation referred to in Article 36, and to consult, where appropriate, with regard to any other matter
- In accordance with Article 35 (type of processing is likely to result in a high risk to the rights and freedoms of natural persons), the DPO will provide advice where requested with regards to any data protection impact assessment and monitor its performance pursuant
- Have due regard to, and be aware of, the risk associated with processing operations, considering the nature, scope, context and purposes of processing
Designated Data Protection Officer
NAME: Sian Davies
POSITION: Data Protection Officer
ADDRESS: The Old Malthouse, Commercial Road, Grantham NG31 6DE.
TEL: 01476 568 378
Deputy Data Protection Officer
NAME: Richard Apparicio-Davies
POSITION: Deputy Data Protection Officer
ADDRESS: The Old Malthouse, Commercial Road, Grantham NG31 6DE.
TEL: 01476 568 378
Accountability & Compliance
Due to the nature, scope, context and purposes of processing undertaken by aUK Ltd we carry out frequent risk assessments and information audits to identify, assess, measure and monitor the impact of such processing. We have also implemented adequate and appropriate technical and organisational measures to ensure the safeguarding of personal data and compliance with the GDPR and any codes of conduct that we have obligations under.
We can demonstrate that all processing activities are performed in accordance with the GDPR and that we have in place robust policies, procedures, measures and controls for the protection of data. We operate a transparent workplace and work diligently to guarantee and promote a comprehensive and proportionate governance program. Our main governance objectives are to:
- Educate senior management and employees about the requirements under the GDPR and the possible impact of non-compliance
- Provide a dedicated and effective data protection training program for all staff
- Identify key senior stakeholders to support the data protection compliance program
- Allocate responsibility for data protection compliance and ensure that the designated person has sufficient access, support and budget to perform the role
- Identify, create and disseminate the reporting lines within the data protection governance structure.
The technical and organisational measures that aUK Ltd has in place to ensure and demonstrate compliance with the data protection laws, regulations and codes of conduct, are detailed in this document and associated policies (e.g. Training Policy, Audit Procedures etc).
These measures include: –
- Data Protection (GDPR) Policy & Procedure
- Data Retention Policy
- Data Breach Policy
- HR Policy
- Staff Training & Development Policy
- Internal Audits & Monitoring Policy & Procedures
- Information Security Policy & Procedures
- Outsourcing Policy & Due Diligence Procedures
- Clear Desk Policy
- Remote Access Policy
- Information Audit
- Appointed Data Protection Officer
- Business Continuity Plan & Daily Data Backups
Privacy By Design
We operate a ‘Privacy by Design’ approach and ethos, with the aim of mitigating the risks associated with processing personal data through prevention via our processes, systems and activities. We therefore have additional measures in place to adhere to this ethos, including: – Data Minimisation Under Article 5 of the GDPR, principle (c) advises that data should be ‘limited to what is necessary’, which forms the basis of our minimal approach. We only ever obtain, retain, process and share the data that is essential to carry out our services and legal obligations and we only keep if for as long as is necessary.
Our systems, employees, processes and activities are designed to limit the collection of personal information to that which is directly relevant and necessary to accomplish the specified purpose. Data minimisation enables us to reduce data protection risks and breaches and supports our compliance with the GDPR. Measures to ensure that only the necessary data is collected includes:
- Electronic collection (i.e. forms, website, surveys etc) only have the fields that are relevant to the purpose of collection and subsequent processing. We do not include ‘optional’ fields, as optional denotes that it is not necessary to obtain
- Physical collection (i.e. face-to-face, telephone etc) is supported using scripts and internal forms where the required data collection is ascertained using predefined fields. Again, only that which is relevant and necessary is collected
- We have documented destruction procedures in place where a data subject or third-party provides us with personal information that is surplus to requirement.
We utilise encryption as a risk prevention measure for securing the personal data that we hold. Encryption is used to make data indecipherable unless decryption of the dataset is carried out using the correct credentials.
We utilise encryption for transferring personal data to any external party and supply the credentials required to decrypt the item to the receiver using a method different than the one used to send the encrypted item.
Our Privacy by Design approach means that we use restriction methods in all personal data activities. Restricting access is built into aUK Ltd’s processes, systems and structure and ensures that only those with authorisation and/or a relevant purpose, have access to personal information. Special category data is restricted at all levels and can only be accessed by aUK Ltd Support staff.
Information Flow Audit
To enable aUK Ltd to fully prepare for and comply with the GDPR, we have carried out a companywide data protection information flow assessment to better enable us to record, categorise and protect the personal data that we hold and process. The audit has identified, categorised and recorded all personal information obtained, processed and shared by our company in our capacity as a controller/processor and has been compiled on a central register which includes:
- What personal data we hold
- Where it came from
- Who we share it with
- Legal basis for processing it
- What format(s) is it in
- Who is responsible for it?
- Disclosures and Transfers
Lawfulness of Processing
At the core of all personal information processing activities undertaken by aUK Ltd, is the assurance and verification that we are complying with Article 6 of the GDPR and our lawfulness of processing obligations. Prior to carrying out any processing activity on personal information, we always identify and establish the legal basis for doing so and verify these with the regulations.
This legal basis is documented on our information flow register and where applicable, is provided to the data subject and Supervisory Authority as part of our information disclosure obligations. Data is only obtained, processed or stored when we have met the lawfulness of processing requirements, where:
- The data subject has given consent to the processing of their personal data for one or more specific purposes
- Processing is necessary for the performance of a contract to which the data subject is party or in order to take steps at the request of the data subject prior to entering into a contract
- Processing is necessary for compliance with a legal obligation to which we are subject
- Processing is necessary in order to protect the vital interests of the data subject or of another natural person
- Processing is necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in aUK Ltd
- Processing is necessary for the purposes of the legitimate interests pursued by aUK Ltd or by a third party (except where such interests are overridden by the interests or fundamental rights and freedoms of the data subject which require protection of personal data, in particular where the data subject is a child).
Records of Processing Activities
As an organisation with less than 250 employees, aUK Ltd maintains records of all processing activities where:
- Processing personal data could result in a risk to the rights and freedoms of individual
- The processing is not occasional
- We process special categories of data.
- Such records are maintained in writing, are provided in a clear and easy to read format and are readily available to the Supervisory Authority upon request.
Third Party Processors
aUK Ltd utilise external processors for certain processing activities. We use information audits to identify, categorise and record all personal data that is processed outside of the company, so that the information, processing activity, processor and legal basis are all recorded, reviewed and easily accessible. Such external processing includes (but is not limited to):
- IT Systems and Services
- Legal Services
- Human Resources
- Accounts Services
- Payroll Services
- Direct Marketing Services We have strict due diligence measures in place and review, assess and background check all processors prior to forming a business relationship. We obtain company documents, certifications, references and ensure that the processor is adequate, appropriate and effective for the task we are employing them for.
We audit their processes and activities prior to contract and during the contract period to ensure compliance with the data protection regulations and review any codes of conduct that they are obligated under to confirm compliance. The continued protection of the rights of the data subjects is our priority when choosing a processor and we understand the importance of outsourcing processing activities as well as our continued obligations under the GDPR even when a process is handled by a third-party.
We draft bespoke Service Level Agreements (SLAs) and contracts with each processor and among other details, outlines:
- The processors data protection obligations
- Our expectations, rights and obligations
- The processing duration, aims and objectives
- The data subjects’ rights and safeguarding measures
- The nature and purpose of the processing
- The type of personal data and categories of data subjects
Each of the areas specified in the contract are monitored, audited and reported on. Processors are notified that they shall not engage another processor without our prior specific authorisation and any intended changes concerning the addition or replacement of existing processors must be done in writing, in advance of any such changes being implemented.
That contract or other legal act shall stipulate, in particular, that the processor:
- Processes the personal data only on our documented instructions
- Seeks our authorisation to transfer personal data to a third country or an international organisation (unless required to do so by a law to which the processor is subject)
- Shall inform us of any such legal requirement to transfer data before processing
- Ensures that persons authorised to process the personal data have committed themselves to confidentiality or are under an appropriate statutory obligation of confidentiality
- Takes all measures to security the personal data at all times
- Respects, supports and complies with our obligation to respond to requests for exercising the data subject’s rights
- Assists aUK Ltd in ensuring compliance with our obligations for data security, mitigating risks, breach notification and privacy impact assessments
- When requested, deletes or returns all personal data to aUK Ltd after the end of the provision of services relating to processing, and deletes existing copies where possible
- Makes available to aUK Ltd, all information necessary to demonstrate compliance with the obligations set out here and in the contract
- Allows and supports audits, monitoring, inspections and reporting as set out in the contract
- Informs aUK Ltd immediately of any breaches, non-compliance or inability to carry out their duties as detailed in the contract
Data Retention & Disposal
aUK Ltd have defined procedures for adhering to the retention periods as set out by the relevant laws, contracts and business requirements, as well as adhering to the GDPR requirement to only hold and process personal information for as long as is necessary. All personal data is disposed of in a way that protects the rights and privacy of data subjects (e.g. shredding, disposal as confidential waste, secure electronic deletion) and priorities the protection of the personal data at all times.
Please refer to our Data Retention Policy for full details on our retention, storage, periods and destruction processes.
Data Protection Impact Assessments (DPIA)
Individuals have an expectation that their privacy and confidentiality will be upheld and respected at all times whilst their data is being stored and processed by aUK Ltd. We therefore utilise several measures and tools to reduce risks and breaches for general processing, however when the processing is likely to be high risk or cause significant impact to a data subject, we utilise proportionate methods to map out and assess the impact ahead of time. Where aUK Ltd must or are considering carrying out processing that utilises new technologies, where there is a likelihood that such processing could result in a high risk to the rights and freedoms of data subjects, we always carry out a Data Protection Impact Assessments (DPIA).
Pursuant to Article 35(3) and Recitals 84, 89-96, we consider processing that is likely to result in a high risk to include:
- Systematic and extensive evaluation of personal aspects relating to natural persons which is based on automated processing, including profiling, and on which decisions are based that produce legal effects concerning the natural person or similarly significantly affect the natural person(s)
- Processing on a large scale of special categories of data
- Processing on a large scale of personal data relating to criminal convictions and offences
- Systematic monitoring of a publicly accessible area on a large scale (i.e. CCTV)
- Where a processing operation is likely to result in a high risk to the rights and freedoms of an individual
- Those involving the use of new technologies
- New processing activities not previously used
- Processing considerable amounts of personal data at regional or national level, which could affect many data subjects
- Processing activities making it difficult for the data subject(s) to exercise their rights Carrying out DPIAs enables us to identify the most effective way to comply with our data protection obligations and ensure the highest level of data privacy when processing. It is part of our Privacy by Design approach and allows us to assess the impact and risk before carrying out the processing, thus identifying and correcting issues at the source, reducing costs, breaches and risks.
The PIA enables us to identify possible privacy solutions and mitigating actions to address the risks and protection of privacy and the impact. Solutions and suggestions are set out in the PIA and all risks are rated to assess their likelihood and impact. The aim of solutions and mitigating actions for all risks is to ensure that the risk is either: –
Data Protection Impact Assessment Process (DPIA)
A lead is always appointed to carry out the DPIA, follow the process, record the necessary information and report the results to the Senior Management Team. All DPIAs are carried out in conjunction with the Data Protection Officer who provides advice and support for the compliance of the processes with the GDPR rules.
The DPIA lead ascertains if an assessment is required by assessing the answers to the below questions. Where one or more questions result in a ‘yes’ answer, the assessment is carried out. Screening questions include:
- Does the processing require systematic and/or extensive evaluation (via automated means) of personal aspects an individual(s)?
- Will decisions be based on such evaluations that are likely to produce legal effects concerning the individual(s)?
- Is the processing on a large scale and involves special categories of data?
- Is the processing on a large scale and involves data relating to criminal convictions and offences?
- Does the processing involve systematic monitoring of a publicly accessible area on a large scale? (i.e. CCTV)
- Will the project involve the collection of new information about individuals?
- Will the project compel individuals to provide information about themselves?
- Are you using information about individuals for a purpose it is not currently used for, or in a way it is not currently used?
- Is the information about individuals likely to raise high risk privacy concerns or expectations?
- Will information about individuals be disclosed to organisations or people who have not previously had routine access to the information or a third-party without adequate safeguards in place?
- Does the processing involve the use of new technology or systems which might be perceived as being privacy intrusive?
- Could the processing result in decisions being made or action being taken against individual(s), in ways that could have a significant impact on them?
- Will the project require you to contact individuals in ways which they may find intrusive? The DPIA is carried out using our predefined document and each stage is recorded to demonstrate compliance and to show that all high-risk processing activities have been assessed prior to being operational. DPIAs are retained for 6 years from the date they were first carried out and are readily available for the Supervisory Authority upon request. The DPIA includes:
- The aims and objectives of the DPIA
- The scope of the DPIA (if covering more than one processing activity)
- Clarify the legal basis for processing
- Which activity/high risk reason is the DPIA required for (i.e. which of the initial screening
questions above have been identified)
- A description of the processing operations
- The purpose(s) of the processing and where applicable, the legitimate interests pursued by the controller
- An assessment of the necessity and proportionality of the processing in relation to the purpose
- An assessment of the risks to individuals (including possible intrusions on privacy where appropriate)
- Assess the corporate risks (including regulatory action, non-compliance, reputational damage, loss of customer trust etc)
- Conduct a compliance check against the GDPR, relevant legislation and any Codes of Conduct
- Maintain a record of the identified risks
- Where appropriate, we seek the views of data subject(s) or their representatives on the intended processing
- The measures in place to address, reduce or remove the risk (i.e. security, proposed solutions, mitigating actions etc)
- Data flow – what the information is, where it is coming from, who it is going to
- Authorisation from the DPO and sign off by Senior Management
- Record all PIA outcomes & add risk rating & next action
Consent and the Right to be Informed
The collection of personal and sometimes special category data is a fundamental part of the products/services offered by aUK Ltd and we therefore have specific measures and controls in place to ensure that we comply with the conditions for consent under the GDPR. The GDPR defines consent as; ‘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 relating to him or her’. Where processing is based on consent, aUK Ltd have reviewed and revised all consent mechanisms to ensure that:
- Consent requests are transparent, using plain language and is void of any illegible terms,
jargon or extensive legal terms
- It is freely given, specific and informed, as well as being an unambiguous indication of the individual’s wishes
- Consent is always given by a statement or a clear affirmative action (positive opt-in) which signifies agreement to the processing of personal data
- Consent mechanisms are upfront, clear, granular (in fine detail) and easy to use and understand
- Pre-ticked, opt-in boxes are never used
- Where consent is given as part of other matters (i.e. terms & conditions, agreements, contracts), we ensure that the consent is separate from the other matters and is not be a precondition of any service (unless necessary for that service)
- Along with our company name, we also provide details of any other categories of third parties who will use or rely on the consent
- Consent is always verifiable, and we have controls in place to ensure that we can demonstrate consent in every case
- We keep detailed records of consent and can evidence at a minimum:
o that the individual has consented to the use and processing of their personal data
o that the individual has been advised of our company name and any third party using the data
o what the individual was told at the time of consent
o how and when consent was obtained
- We have ensured that withdrawing consent is as easy, clear and straightforward as giving it and is available through multiple options, including:
o Opt-out links in mailings or electronic communications
o Opt-out process explanation and steps on website and in all written communications
o Ability to opt-out verbally, in writing or by email
- Consent withdrawal requests are processed immediately and without detriment
- Where services are offered to children, age-verification and parental-consent measures have been developed and are in place to obtain consent.
- Controls and processes have been developed and implemented to refresh consent, especially those relating to parental consents
- For special category data, the consent obtained is explicit (stated clearly and in detail, leaving no room for confusion or doubt) with the processing purpose(s) always being specified
aUK Ltd maintain rigid records of data subject consent for processing personal data and are always able to demonstrate that the data subject has consented to processing of his or her personal data where applicable. We also ensure that the withdrawal of consent is as clear, simple and transparent as it is to give consent.
Where the data subject’s consent is given in the context of a written declaration which also concerns other matters, the request for consent is presented in a manner which is clearly distinguishable from the other matters, in an intelligible and easily accessible form, using clear and plain language. All such written declarations are reviewed and authorised by the Data Protection Officer prior to being circulated.
The GDPR states that where processing is based on consent and the personal data relates to a child who is below the age of 13 years, such processing is only carried out by aUK Ltd, where consent has been obtained by the holder of parental responsibility over the child.
Consent to obtain, process, store and share (where applicable), is obtained by aUK Ltd through:
- In Writing
- Electronic (i.e. via website form)
- Points 1-5 are enforced using scripts, checklists, on-screen prompts and signed customer agreements to ensure that consent has been obtained and to remind employees of their additional consent obligations, as below.
Privacy Notices are used in all forms of consent to ensure that we are compliant in disclosing the information required in the GDPR in an easy to read and accessible format.
Alternatives to Consent
aUK Ltd recognise that there are six lawful bases for processing and that consent is not always the most appropriate option. We have reviewed all processing activities and only use consent as an option where the individual has a choice.
Where personal data is obtained directly from the individual (i.e. through consent, by employees, written materials and/or electronic formats (i.e. website forms, subscriptions, email etc), we provide the below information in all instances, in the form of a consent/ privacy notice:
- The identity and the contact details of the controller and, where applicable, of the controller’s representative
- The contact details of our data protection officer
- The purpose(s) of the processing for which the personal information is intended
- The legal basis for the processing
- Where the processing is based on point (f) of Article 6(1) “processing is necessary for the purposes of the legitimate interests pursued by the controller or by a third party”, details of the legitimate interests
- The recipients or categories of recipients of the personal data (if applicable)
- The period for which the personal data will be stored, or if that is not possible, the criteria used to determine that period
- The existence of the right to request access to and rectification or erasure of, personal data or restriction of processing concerning the data subject or to object to processing as well as the right to data portability
- Where the processing is based on consent under points (a) of Article 6(1) or Article 9(2), the existence of the right to withdraw consent at any time, without affecting the lawfulness of processing based on consent before its withdrawal
- The right to lodge a complaint with the Supervisory Authority
- Whether providing personal data is a statutory or contractual requirement, or a requirement necessary to enter into a contract, as well as whether the data subject is obliged to provide the personal data and of the possible consequences of failure to provide such data
- The existence of any automated decision-making, including profiling, as referred to in Article 22(1) and (4) and explanatory information about the logic involved, as well as the significance and the envisaged consequences of such processing for the data subject The above information is provided to the data subject at the time the information is collected and records pertaining to the consent obtained are maintained and stored for 6 years from the date of consent, unless there is a legal requirement to keep the information longer.
Where aUK Ltd obtains personal data from a data subject or a third-party, we utilise Privacy Notices. Our privacy notice is easily accessible, legible, jargon-free and inclusive of all information and is available in several formats as applicable to the method of data collection:
- Via our website
- Linked to or written in full in the footer of emails
- Worded in full in agreements, contracts, forms and other materials where data is collected in writing or face-to-face
- In employee contracts and recruitment materials
- Verbally via telephone or face-to-face
- Printed media, adverts and financial promotions
- Digital Products/Services
- On Mobile Apps
With lengthy content being provided in the privacy notice and with informed consent being based on its contents, we have tested, assessed and reviewed our privacy notice to ensure usability, effectiveness and understanding.
- Privacy Notices are drafted by the Data Protection Officer using the GDPR requirements and with Supervisory Authority guidance
- We utilise a select customer base to test the Privacy Notice in its varying formats and provide a feedback form for completion, verifying the below points: –
- How did you use the Privacy Notice (e.g. website, agreement, orally)?
- Did you find the information in the Privacy Notice easy to read, understand and access?
- Did you gain a full understanding of how we intend to use your data, who it will be shared with and what your rights are?
- Did you feel confident in giving consent to use your personal data after reading the notice information?
- Was there anything you did not understand?
- Did you find any errors?
- What, if anything, would you like to see changed about the Privacy Notice?
- All feedback responses are saved with a copy of the used Privacy Notice and improvements are made and recorded where applicable
- Re-testing is carried out on a new set of customers to ensure variety and independent assessment and verification
- After a successful test, the acceptable Privacy Notice is rechecked against the GDPR and Supervisory Authority regulations and guidelines to ensure it still complies and is adequate and effective
- The final Privacy Notice(s) are then authorised by Senior Management/Director(s) before being rolled out Where we rely on consent to obtain and process personal information, we ensure that it is:
- Displayed clearly and prominently
- Asks individuals to positively opt-in
- Gives them sufficient information to make an informed choice
- Explains the different ways we will use their information
- Provides a clear and simple way for them to indicate they agree to different types of processing
- Includes a separate unticked opt-in box for direct marketing
Personal Data Not Obtained from the Data Subject
Where aUK Ltd obtains and/or processes personal data that has not been obtained directly from the data subject, aUK Ltd ensures that the information noted in section 9.1.1 of this policy is provided to the data subject within 30 days of our obtaining the personal data (except for advising if the personal data is a statutory or contractual requirement). In addition to the information provided to the data subject in section 9.1.1, we also provide information about:
- The categories of personal data
- The source the personal data originated from and whether it came from publicly accessible sources. Where the personal data is to be used for communication with the data subject, or a disclosure to another recipient is envisaged, the information will be provided at the latest, at the time of the first communication or disclosure. Where aUK Ltd intends to further process any personal data for a purpose other than that for which it was originally obtained, we communicate this intention to the data subject prior doing so and where applicable, process only with their consent. Whilst we follow best practice in the provision of the information noted in section
9.1.1 of this policy, we reserve the right not to provide the data subject with the information if:
- They already have it and we can evidence their prior receipt of the information
- The provision of such information proves impossible and/or would involve a disproportionate effort
- Obtaining or disclosure is expressly laid down by Union or Member State law to which aUK Ltd is subject and which provides appropriate measures to protect the data subject’s legitimate interest
- Where the personal data must remain confidential subject to an obligation of professional secrecy regulated by Union or Member State law, including a statutory obligation of secrecy
Employee Personal Data
As per the GDPR guidelines, we do not use consent as a legal basis for obtaining or processing employee personal information. Our HR policies have been updated to ensure that employees are provided with the appropriate information disclosure and are aware of how we process their data and why.
All employees are provided with our Staff Handbook which informs them of their rights under the GDPR and how to exercise these rights.
The Right of Access
We have ensured that appropriate measures have been taken to provide information referred to in Articles 13 and 14 and any communication under Articles 15 to 22 and 34 (collectively, The Rights of Data Subjects), relating to processing to the data subject in a concise, transparent, intelligible and easily accessible form, using clear and plain language.
Such information is provided free of charge and is in writing, or by other means where authorised by the data subject and with prior verification as to the subject’s identity (i.e. verbally, electronic).
Information is provided to the data subject at the earliest convenience, but at a maximum of 30 days from the date the request was received. Where the retrieval or provision of information is particularly complex or is subject to a valid delay, the period may be extended by two further months where necessary. However, this is only done in exceptional circumstances and the data subject is kept informed in writing throughout the retrieval process of any delays or reasons for delay.
Where we do not comply with a request for data provision, the data subject is informed within 30 days of the reason(s) for the refusal and of their right to lodge a complaint with the Supervisory Authority.
Subject Access Request
Where a data subject asks us to confirm whether we hold and process personal data concerning him or her and requests access to such data; we provide them with:
- The purposes of the processing
- The categories of personal data concerned
- The recipients or categories of recipient to whom the personal data have been or will be disclosed
- If the data has or will be disclosed to a third countries or international organisations and the appropriate safeguards pursuant to the transfer
- Where possible, the envisaged period for which the personal data will be stored, or, if not possible, the criteria used to determine that period
- The existence of the right to request rectification or erasure of personal data or restriction of processing of personal data concerning the data subject or to object to such processing
- The right to lodge a complaint with a Supervisory Authority
- Where personal data has not been collected by aUK Ltd from the data subject, any available information as to the source and provider
- The existence of automated decision-making, including profiling and meaningful information about the logic involved, as well as the significance and the envisaged consequences of such processing for the data subject
Subject Access Requests (SAR) are passed to Sian Davies, The Data Protection Officer, as soon as received and a record of the request is noted. The type of personal data held about the individual is checked against our Information Audit to see what format it is held in, who else has it has been shared with and any specific timeframes for access.
SARs are always completed within 30-days and are provided free of charge. Where the individual makes the request by electronic means, we provide the information in a commonly used electronic format, unless an alternative format is requested.
Please refer to our external Subject Access Request Procedures for the guidelines on how an SAR can be made and what steps we take to ensure that access is provided under the GDPR.
aUK Ltd provides all personal information pertaining to the data subject, to them on request and in a format, that is easy to disclose and read. We ensure that we comply with the data portability rights of individuals by ensuring that all personal data is readily available and is in a structured, commonly used and machine-readable format, enabling data subjects to obtain and reuse their personal data for their own purposes across different services.
To ensure that we comply with Article 20 of the GDPR concerning data portability, we keep a commonly used and machine-readable format of personal information where the processing is based on:
- Consent pursuant to point (a) of Article 6(1)
- Consent pursuant to point (a) of Article 9(2)
- A contract pursuant to point (b) of Article 6(1); and
- the processing is carried out by automated means
Where requested by a data subject and if the criteria meet the above conditions, we will transmit the personal data directly from aUK Ltd to a designated controller, where technically feasible. We utilise the below formats for the machine-readable data:
All requests for information to be provided to the data subject or a designated controller are done so free of charge and within 30 days of the request being received. If for any reason, we do not act in responding to a request, we provide a full, written explanation within 30 days to the data subject or the reasons for refusal and of their right to complain to the supervisory authority and to a judicial remedy.
All transmission requests under the portability right are assessed to ensure that no other data subject is concerned. Where the personal data relates to more individuals than the subject requesting the data/transmission to another controller, this is always without prejudice to the rights and freedoms of the other data subjects.
Correcting Inaccurate or Incomplete Data
Pursuant to Article 5(d), all data held and processed by aUK Ltd is reviewed and verified as being accurate wherever possible and is always kept up to date. Where inconsistencies are identified and/or where the data subject or controller inform us that the data we hold is inaccurate, we take every reasonable step to ensure that such inaccuracies are corrected with immediate effect.
Sian Davies the DPO is notified of the data subjects request to update personal data and are responsible for validating the information and rectifying errors where they have been notified. The information is altered as directed by the data subject, with the information audit being checked to ensure that all data relating to the subject is updated where incomplete or inaccurate. Once updated, we add an addendum or supplementary statement where applicable.
Where notified of inaccurate data by the data subject, we will rectify the error within 30 days and inform any third party of the rectification if we have disclosed the personal data in question to them. The data subject is informed in writing of the correction and where applicable, is provided with the details of any third-party to whom the data has been disclosed.
If for any reason, we are unable to act in response to a request for rectification and/or completion, we always provide a written explanation to the individual and inform them of their right to complain to the Supervisory Authority and to a judicial remedy.
The Right To Erasure
Also, known as ‘The Right to be Forgotten’, aUK Ltd complies fully with Article 5(e) and ensures that personal data which identifies a data subject, is not kept longer than is necessary for the purposes for which the personal data is processed. All personal data obtained and processed by aUK Ltd is categorised when assessed by the information audit and is either given an erasure date or is monitored so that it can be destroyed when no longer necessary.
These measures enable us to comply with a data subjects right to erasure, whereby an individual can request the deletion or removal of personal data where there is no compelling reason for its continued processing. Whilst our standard procedures already remove data that is no longer necessary, we still follow a dedicated process for erasure requests to ensure that all rights are complied with and that no data has been retained for longer than is needed.
Where we receive a request to erase and/or remove personal information from a data subject, the below process is followed:
- The request is allocated to the Data Protection Officer and recorded on the Erasure Request Register
- The DPO locates all personal information relating to the data subject and reviews it to see if it is still being processed and is still necessary for the legal basis and purpose it was originally intended
- The request is reviewed to ensure it complies with one or more of the grounds for erasure:
- the personal data is no longer necessary in relation to the purposes for which it was collected or otherwise processed
- the data subject has withdrawn consent on which the processing is based and where there is no other legal ground for the processing
- the data subject objects to the processing and there are no overriding legitimate grounds for the processing
- the personal data has been unlawfully processed
- the personal data must be erased for compliance with a legal obligation
- the personal data has been collected in relation to the offer of information society services to a child
- If the erasure request complies with one of the above grounds, it is erased within 30 days of the request being received
- The DPO writes to the data subject and notifies them in writing that the right to erasure has been granted and provides details of the information erased and the date of erasure
- Where aUK Ltd has made any of the personal data public and erasure is granted, we will take every reasonable step and measure to remove public references, links and copies of data and to contact related controllers and/or processors and inform them of the data subjects request to erase such personal data.
If for any reason, we are unable to act in response to a request for erasure, we always provide a written explanation to the individual and inform them of their right to complain to the Supervisory Authority and to a judicial remedy. Such refusals to erase data include:
- Exercising the right of freedom of expression and information
- Compliance with a legal obligation for the performance of a task carried out in the public interest
- For reasons of public interest in the area of public health
- For archiving purposes in the public interest, scientific or historical research purposes or statistical purposes, in so far as the right to erasure is likely to render impossible or seriously impair the achievement of the objectives of that processing
- For the establishment, exercise or defence of legal claims
The Right To Restrict Processing
There are certain circumstances where aUK Ltd restricts the processing of personal information, to validate, verify or comply with a legal requirement of a data subjects request. Restricted data is removed from the normal flow of information and is recorded as being restricted on the information audit. Any account and/or system related to the data subject of restricted data is updated to notify users of the restriction category and reason. When data is restricted it is only stored and not processed in any way.
aUK Ltd will apply restrictions to data processing in the following circumstances:
- Where an individual contests the accuracy of the personal data and we are in the process verifying the accuracy of the personal data and/or making corrections
- Where an individual has objected to the processing (where it was necessary for the performance of a public interest task or purpose of legitimate interests), and we are considering whether we have legitimate grounds to override those of the individual
- When processing is deemed to have been unlawful, but the data subject requests restriction as oppose to erasure
- Where we no longer need the personal data, but the data subject requires the data to establish, exercise or defend a legal claim
The Data Protection Officer reviews and authorises all restriction requests and actions and retains copies of notifications from and to data subjects and relevant third-parties. Where data is restricted, and we have disclosed such data to a third-party, we will inform the third-party of the restriction in place and the reason and re-inform them if any such restriction is lifted.
Data subjects who have requested restriction of data are informed within 30 days of the restriction application and are also advised of any third-party to whom the data has been disclosed. We also provide in writing to the data subject, any decision to lift a restriction on processing. If for any reason, we are unable to act in response to a request for restriction, we always provide a written explanation to the individual and inform them of their right to complain to the Supervisory Authority and to a judicial remedy.
Objections & Automated Decision Making
Data subjects are informed of their right to object to processing in our Privacy Notices and at the point of first communication, in a clear and legible form and separate from other information. We provide opt-out options on all direct marketing material and provide an online objection form where processing is carried out online. Individuals have the right to object to:
- Processing of their personal information based on legitimate interests or the performance of a task in the public interest/exercise of official authority (including profiling)
- Direct marketing (including profiling)
- Processing for purposes of scientific/historical research and statistics
Where aUK Ltd processes personal data for the performance of a legal task, in relation to our legitimate interests or for research purposes, a data subjects’ objection will only be considered where it is on ‘grounds relating to their particular situation’. We reserve the right to continue processing such personal data where:
- We can demonstrate compelling legitimate grounds for the processing, which override the interests, rights and freedoms of the individual
- The processing is for the establishment, exercise or defence of legal claims
Where we are processing personal information for direct marketing purposes under a previously obtained consent, we will stop processing such personal data immediately where an objection is received from the data subject. This measure is absolute, free of charge and is always adhered to.
Where a data subject objects to data processing on valid grounds, aUK Ltd will cease the processing for that purpose and advise the data subject of cessation in writing within 30 days of the objection being received.
We have carried out a system audit to identify automated decision-making processes that do not involve human intervention. We also assess new systems and technologies for this same component prior to implementation. aUK Ltd understands that decisions absent of human interactions can be biased towards individuals and pursuant to Articles 9 and 22 of the GDPR, we aim to put measures into place to safeguard individuals where appropriate. Via our Privacy Notices, in our first communications with an individual and on our website, we advise individuals of their rights not to be subject to a decision when:
- It is based on automated processing
- It produces a legal effect or a similarly significant effect on the individual
In limited circumstances, aUK Ltd will use automated decision-making processes within the guidelines of the regulations. Such instances include:
- Where it is necessary for entering into or performance of a contract between us and the individual
- Where it is authorised by law (e.g. fraud or tax evasion prevention)
- When based on explicit consent to do so
- Where the decision does not have a legal or similarly significant effect on someone
Where aUK Ltd uses, automated decision-making processes, we always inform the individual and advise them of their rights. We also ensure that individuals can obtain human intervention, express their point of view and obtain an explanation of the decision and challenge it.
Security ↦ Breach Management
Alongside our ‘Privacy by Design’ approach to protecting data, we ensure the maximum security of data that is processed, including as a priority, when it is shared, disclosed and transferred. Our Information Security Policy & Procedures provide the detailed measures and controls that we take to protect personal information and to ensure its security from consent to disposal.
We carry out information audits to ensures that all personal data held and processed by us is accounted for and recorded, alongside risk assessments as to the scope and impact a data breach could have on data subject(s).
We have implemented adequate and appropriate technical and organisational measures to ensure a level of security appropriate to the risk. Whilst every effort and measure is taken to reduce the risk of data breaches, aUK Ltd has dedicated controls and procedures in place for such situations, along with the notifications to be made to the Supervisory Authority and data subjects (where applicable). Please refer to our Data Breach Policy & Procedures for specific protocols.
Passwords are a key part of aUK Ltd protection strategy and are used throughout the company to secure information and restrict access to systems. We use a multi-tiered approach which includes passwords at user, management, device, system and network levels to ensure a thorough and encompassing approach. Whilst passwords are also directly related to Information Security and Access Control, aUK Ltd recognises to strong, effective and robust password controls and measures are imperative to the protection and security of personal information.
Passwords afford a high level of protection to resources and data and are mandatory requirements for all employees and/or third-parties who are responsible for one or more account, system or have access to any resource that requires a password. Full procedures and guidelines for passwords, access and security can be found in our Information Security Program.
Restricted Access & Clear Desk Policy
aUK Ltd may on occasions and at its discretion, place all or part of its files onto a secure computer network with restricted access to all/some personnel data. When implemented, access to personal information will only be granted to the person/department that has a specific and legitimate purpose for accessing and using such information.
aUK Ltd operates a zero-tolerance Clear Desk Policy and does not permit personal data to be left unattended on desks or in meeting rooms, or in visible formats, such as unlocked computer screens or on fax machines, printers etc. Access to areas where personal information is stored (both electronic and physical) are on a restricted access basis with secure controlled access functions throughout the building. Only staff authorised to access data or secure areas can do so. All personal and confidential information in hard copy is stored safely and securely.
Transfers & Data Sharing
aUK Ltd takes proportionate and effective measures to protect personal data held and processed by us at all times, however we recognise the high-risk nature of disclosing and transferring personal data and as such, place an even higher priority on the protection and security of data being transferred. Data transfers within EU are deemed less of a risk than a third country or an international organisation, due to the GDPR covering the former and the strict regulations applicable to all EU Member States.
Where data is being transferred for a legal and necessary purpose, compliant with all Articles in the Regulation, we utilise a process that ensures such data is encrypted with a secret key and where possible is also subject to our data minimisation methods. We use approved, secure methods of transfer and have dedicated points of contact with each Member State organisation with whom we deal. All data being transferred is noted on our information audit so that tracking is easily available, and authorisation is accessible. The Data Protection Officer authorises all EU transfers and verifies the encryption and security methods and measures.
In the absence of a decision by the Commission on an adequate level of protection by a third country or an international organisation, we restrict transfers to those that are legally binding or essential for the provision of our business obligations or in the best interests of the data subject. In such instances, we develop and implement appropriate measures and safeguards to protect the data, during transfer and for the duration it is processed and/or stored with the third country or international organisation.
Such measures include ensuring that the rights of data subjects can be carried out and enforced and that effective legal remedies for data subjects are available. The appropriate safeguards can be provided without Supervisory Authority authorisation by:
- A legally binding and enforceable instrument between public authorities or bodies
- Binding corporate rules
- Standard data protection clauses adopted by the Commission
- Standard data protection clauses adopted by a Supervisory Authority and approved by the Commission
- An approved code of conduct together with binding and enforceable commitments of the controller or processor in the third country to apply the appropriate safeguards, including as regard data subjects’ rights
- An approved certification mechanism together with binding and enforceable commitments of the controller or processor in the third country to apply the appropriate safeguards, including as regard data subjects’ rights
With authorisation from the Supervisory Authority, the appropriate safeguards may also be provided for by:
- Contractual clauses between aUK Ltd and the controller, processor or the recipient of the personal data in the third country or international organisation
- Provisions to be inserted into administrative arrangements between public authorities or bodies which include enforceable and effective data subject rights aUK Ltd does not transfer personal data to any third country or international organisation without one or more of the above safeguards being in place or without the authorisation of the Supervisory Authority where applicable. We verify that any safeguards, adhere to the GDPR Principles, enforce the rights of the data subject and protect personal information in accordance with the Regulation.
Pursuant to Article 46, we ensure that any agreement, contract or binding corporate rules for transferring personal data to a third country or international organisation, are drafted in accordance with any Supervisory Authority and/or the Commission’s specification for format and procedures (where applicable). As a minimum standard, we verify that the below are specified:
- The structure and contact details of the group engaged in the activity and of each of its members
- The data transfers or set of transfers, including:
o the categories of personal data
o the type of processing and its purposes
o the type of data subjects affected
- the identification of the third country or countries in question
- Their legally binding nature, both internally and externally
- The application of the general data protection principles, in particular:
o purpose limitation
o data minimisation
o limited storage periods
o data quality
o data protection by design and by default
o legal basis for processing
o processing of special categories of personal data
o measures to ensure data security
o the requirements in respect of onward transfers to bodies not bound by the binding corporate rules
- The rights of data subjects regarding processing and the means to exercise those rights, including the right:
o not to be subject to decisions based solely on automated processing (inc profiling)
o to lodge a complaint with the competent Supervisory Authority and before the competent courts of the Member States
o to obtain redress and, where appropriate, compensation for a breach of the binding corporate rules
- Our acceptance (and that of any processor acting on our behalf) of liability for any breaches of the binding corporate rules by the third country or international organisation to whom the data is being transferred (with exemption from that liability, in whole or in part, only where we prove that we are not responsible for the event giving rise to the damage)
- How the information on the binding corporate rules and the information disclosures (Articles 13 & 14) is provided to the data subjects (with particular reference to the application of the GDPR Principles, the data subjects rights and breach liability)
- The tasks of any Data Protection Officer and/or person(s) in charge of monitoring compliance with the binding corporate rules, as well as monitoring training and complaint-handling
- The complaint procedures
- The mechanisms within the group engaged in the activity, for ensuring the verification of compliance with the binding corporate rules, including:
o data protection audits
o methods for ensuring corrective actions to protect the rights of the data subject
o providing the Data Protection Officer and controlling board with such verification results
- The mechanisms for reporting and recording changes to the rules and reporting those changes to the Supervisory Authority
- The cooperation mechanism with the Supervisory Authority to ensure compliance by any member of the group, in particular by making available to the Supervisory Authority, the results of verifications of the measures referred to above
- The mechanisms for reporting to the competent Supervisory Authority any legal requirements to which a member of the group is subject in a third country which are likely to have a substantial adverse effect on the guarantees provided by the binding corporate rules
- The appropriate data protection training to personnel having permanent or regular access to personal data
aUK Ltd do not transfer any personal information to a third country or international organisation without an adequacy decision by the Commission or with Supervisory Authority authorisation and the appropriate safeguarding measures; unless one of the below conditions applies. The transfer is:
- made with the explicit consent of the data subject, after having been informed of the possible risks and the absence of an adequacy decision and appropriate safeguards
- necessary for the performance of a contract between the data subject and aUK Ltdor the implementation of pre-contractual measures taken at the data subject’s request
- necessary for the conclusion or performance of a contract concluded in the interest of the data subject between aUK Ltdand another natural or legal person
- necessary for important reasons of public interest
- necessary for the establishment, exercise or defence of legal claims
- 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
- made from a register which under Irish or EU law is intended to provide information to the
public (and which is open to consultation by either the public in general or those able to show a legitimate interest in inspecting the register). Transfer made under this exception must not involve the entire personal data or categories of the personal data in the register and if the register is intended for consultation by persons having a legitimate interest, the transfer shall be made only at the request of those persons or if they are to be the recipients.
Where a transfer is not valid under Article 45 or 46 and none of the above derogations apply, aUK Ltd complies with the Article 49 provision that a transfer can still be affected to a third country or an international organisation where all the below conditions apply. The transfer:
- cannot be made by a public authority in the exercise of its public powers
- is not repetitive
- concerns only a limited number of data subjects
- is necessary for the purposes of compelling legitimate interests pursued by aUK Ltd which are not overridden by the interests or rights and freedoms of the data subject
- aUK Ltd has assessed all the circumstances surrounding the data transfer and has on the basis of that assessment, provided suitable safeguards with regard to the protection of personal data.
Where the above transfer must take place for legal and/or compelling legitimate reasons, the Supervisory Authority is notified of the transfer and the safeguards in place, prior to it taking place. The data subject in such instances is provided with all information disclosures pursuant to Articles 13 and 14, as well as being informed of the transfer, the compelling legitimate interests pursued and the safeguards utilised to affect the transfer.
Audits & Monitoring
This policy and procedure document details the extensive controls, measures and methods used by aUK Ltd to protect personal data, uphold the rights of data subjects, mitigate risks, minimise breaches and comply with the GDPR and associated laws and codes of conduct. In addition to these, we also carry out regular audits and compliance monitoring processes that are detailed in our Compliance Monitoring & Audit Policy & Procedure, with a view to ensuring that the measures and controls in place to protect data subjects and their information, are adequate, effective and compliant at all times.
The Data Protection Officer has overall responsibility for assessing, testing, reviewing and improving the processes, measures and controls in place and reporting improvement action plans to the Senior Management Team where applicable. Data minimisation methods are frequently reviewed and new technologies assessed to ensure that we are protecting data and individuals to the best of our ability.
All reviews, audits and ongoing monitoring processes are recorded by the Data Protection Officer and copies provided to Senior Management and are made readily available to the Supervisory Authority where requested. The aim of internal data protection audits is to:
- Ensure that the appropriate policies and procedures are in place
- To verify that those policies and procedures are being followed
- To test the adequacy and effectiveness of the measures and controls in place
- To detect breaches or potential breaches of compliance
- To identify risks and assess the mitigating actions in place to minimise such risks
- To recommend solutions and actions plans to Senior Management for improvements in protecting data subjects and safeguarding their personal data
- To monitor compliance with the GDPR and demonstrate best practice 12 TRAINING Through our strong commitment and robust controls, we ensure that all staff understand, have access to and can easily interpret the GDPR requirements and its Principles and that they have ongoing training, support and assessments to ensure and demonstrate their knowledge, competence and adequacy for the role. Our Training & Development Policy & Procedures and Induction Policy detail how new and existing employees are trained, assessed and supported and include:
- GDPR Workshops & Training Sessions
- Assessment Tests
- Coaching & Mentoring
- 1:1 Support Sessions
- Scripts and Reminder Aids
- Access to GDPR policies, procedures, checklists and supporting documents Employees are continually supported and trained in the GDPR requirements and out own objectives and obligations around data protection.
aUK Ltd understands our obligations and responsibilities under the GDPR and Supervisory Authority and comprehend the severity of any breaches under the Regulation. We respect the Supervisory Authority’s authorisation under the legislation to impose and enforce fines and penalties on us where we breach the regulations, fail to mitigate the risks where possible and operate in a knowingly non-compliant manner. Employees have been made aware of the severity of such penalties and their proportionate nature in accordance with the breach. We recognise that:
- Breaches of the obligations of the controller, the processor, the certification body and the monitoring body, are subject to administrative fines up to €10,000,000 or 2 % of the total worldwide annual turnover of the preceding financial year, whichever is higher
aUK Ltd have appointed a Data Protection Officer, Sian Davies whose role it is to identify and mitigate any risks to the protection of personal data, to act in an advisory capacity to the business, its employees and upper management and to actively stay informed and up-to-date with all legislation and changes relating to data protection. The DPO will work in conjunction with the Compliance Officer, IT Manager and Training Officer to ensure that all processes, systems and staff are operating compliantly and within the requirements of the GDPR and its principles.
The DPO has overall responsibility for due diligence, privacy impact assessments, risk analysis and data transfers where personal data is involved and will also maintain adequate and effective records and management reports in accordance with the GDPR and our own internal objectives and obligations.
Staff who manage and process personal or special category information will be provided with extensive data protection training and will be subject to continuous development support and mentoring to ensure that they are competent and knowledge for the role they undertake.