1.1 Background to the General Data Protection Regulation (‘GDPR’)
The General Data Protection Regulation 2016 replaces the EU Data Protection Directive of 1995 and supersedes the laws of individual Member States that were developed in compliance with the Data Protection Directive 95/46/EC. Its purpose is to protect the “rights and freedoms” of natural persons (i.e. living individuals) and to ensure that personal data is not processed without their knowledge, and, wherever possible, that it is processed with their consent.
1.2 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.
1.3 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 center. 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 organization.
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, organization, 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 analyze 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, unauthorized 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 authorized 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 authorized to process personal data.
Filing system – any structured set of personal data which are accessible according to specific criteria, whether centralized, decentralized or dispersed on a functional or geographical basis.
2.1 EC Innovations (group of undertakings) has grown into 3 regional Head Quarters (Beijing, Budapest, Chicago) and a total of 11 strategic global offices.
2.2 In line with the GDPR the representative of EC Innovations in the EU is ECI LOCALIZATION Ltd. (as one of its controlled undertakings) located at WestPoint Business Center, Váci út 18., Budapest, Hungary.
2.3 EC Innovations is 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 EC Innovations collects and processes in accordance with the General Data Protection Regulation (GDPR).
2.4 Compliance with the GDPR is described by this policy, along with connected processes and procedures.
2.5 The GDPR and this policy apply to all of EC Innovations’ 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.
2.6 EC Innovations is responsible for reviewing the register of processing annually in the light of any changes to EC Innovations’ 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.
2.7 This policy applies to all Employees/Staff of EC Innovations such as outsourced suppliers. Any breach of the GDPR or this Statement will be dealt with under EC Innovations’ 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.
2.8 Partners and any third parties working with or for EC Innovations, 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 EC Innovations without having first entered into a data confidentiality agreement, which imposes on the third party obligations no less onerous than those to which EC Innovations is committed, and which gives EC Innovations the right to audit compliance with the agreement.
3.1 EC Innovations in some cases is a data controller (when the data processing is necessary for the performance of a Labor Agreement or the External Contract for Supplier) and in other cases is a data processor (when the data processing is necessary for the performance of a Service Level Agreement) under the GDPR.
3.2 Top Management and all those in managerial or supervisory roles throughout EC Innovations are responsible for developing and encouraging good information handling practices within EC Innovations; responsibilities are set out in individual job descriptions.
3.3 EC Innovations takes responsibility for compliance with this policy on a day-to-day basis and, in particular, has direct responsibility for ensuring that EC Innovations complies with the GDPR.
3.4 The EC Innovations has specific responsibilities in respect of procedures such as the Subject Access Request Procedure and are the first point of call for Employees/Staff seeking clarification on any aspect of data protection compliance.
3.5 Compliance with data protection legislation is the responsibility of all Employees/Staff of EC Innovations who process personal data.
3.6 EC Innovations sets out specific training and awareness requirements in relation to specific roles and Employees/Staff of EC Innovations generally.
3.7 EC Innovations sets out specific training on any information security requirements and procedures applicable to data protection and the data processing, including reporting personal data breaches.
3.8 Employees/Staff of EC Innovations is provided with training on dealing with complaints relating to data protection and processing personal data.
3.9 Employees/Staff of EC Innovations are responsible for ensuring that any personal data about them and supplied by them to EC Innovations is accurate and up-to-date.
All processing of personal data must be conducted in accordance with the data protection principles as set out in Article 5 of the GDPR. EC Innovations’ policies and procedures are designed to ensure compliance with the principles.
4.1 Personal data must be processed lawfully, fairly and transparently
Lawful – identify a lawful basis before you can process personal data. These are often referred to as the “conditions for processing”, for example consent.
Fairly – in order for processing to be fair, the data controller has to make certain information available to the data subjects as practicable. This applies whether the personal data was obtained directly from the data subjects or from other sources.
The GDPR has increased requirements about what information should be available to data subjects, which is covered in the ‘Transparency’ requirement.
Transparently – the GDPR includes rules on giving privacy information to data subjects in Articles 12, 13 and 14. These are detailed and specific, placing an emphasis on making privacy notices understandable and accessible. Information must be communicated to the data subject in an intelligible form using clear and plain language.
The specific information that must be provided to the data subject must, as a minimum, include:
4.2 Personal data can only be collected for specific, explicit and legitimate purposes
Data obtained for specified purposes must not be used for a purpose that differs from those formally notified to the data subject.
4.3 Personal data must be adequate, relevant and limited to what is necessary for processing
4.4 Personal data must be accurate and kept up-to-date with every effort to erase or rectify without delay
4.5 Personal data must be kept in a form such that the data subject can be identified only as long as is necessary for processing.
4.6 Personal data must be processed in a manner that ensures the appropriate security
EC Innovations will carry out a risk assessment taking into account all the circumstances of EC Innovations’ controlling or processing operations.
In determining appropriateness, EC Innovations 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 EC Innovations itself, and any likely reputational damage including the possible loss of customer trust.
When assessing appropriate technical measures, EC Innovations will consider the following:
When assessing appropriate organizational measures the EC Innovations will consider the following:
These controls have been selected on the basis of identified risks to personal data, and the potential for damage or distress to individuals whose data is being processed.
To demonstrate the compliance with the abovementioned principles EC Innovations is about to get the ISO/IEC 27001:2013 certification in the year 2018.
4.7 The controller must be able to demonstrate compliance with the GDPR’s other principles (accountability)
The GDPR includes provisions that promote accountability and governance. These complement the GDPR’s transparency requirements. The accountability principle in Article 5(2) requires EC Innovations to demonstrate that EC Innovations comply with the principles and states explicitly that this is EC Innovations responsibility.
EC Innovations 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, breach notification procedures and incident response plans.
5.1 Data subjects have the following rights regarding data processing, and the data that is recorded about them:
5.2 EC Innovations ensures that data subjects may exercise these rights:
6.1 EC Innovations understands ‘consent’ to mean that it has been explicitly and freely given, and a specific, informed and unambiguous indication of the data subject’s wishes that, by statement or by a clear affirmative action, signifies agreement to the processing of personal data relating to him or her. The data subject can withdraw their consent at any time.
6.2 EC Innovations understands ‘consent’ to mean that the data subject has been fully informed of the intended processing and has signified their agreement, while in a fit state of mind to do so and without pressure being exerted upon them. Consent obtained under duress or on the basis of misleading information will not be a valid basis for processing.
6.3 There must be some active communication between the parties to demonstrate active consent. Consent cannot be inferred from non-response to a communication. The Controller must be able to demonstrate that consent was obtained for the processing operation.
6.4 For sensitive data, explicit written consent of data subjects must be obtained unless an alternative legitimate basis for processing exists.
6.5 In most instances, consent to process personal and sensitive data is obtained routinely by EC Innovations using standard consent documents e.g. during induction for participants on programmes.
6.6 Where EC Innovations provides online services to children, parental or custodial authorisation must be obtained. This requirement applies to children under the age of 16 (unless the Member State has made provision for a lower age limit, which may be no lower than 13).
7.1 All Employees/Staff are responsible for ensuring that any personal data that EC Innovations 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 EC Innovations to receive that information and has entered into a confidentiality agreement.
7.2 All personal data should be accessible only to those who need to use it. All personal data should be treated with the highest security and must be kept:
7.3 Care must be taken to ensure that PC screens and terminals are not visible except to authorised Employees/Staff of EC Innovations. All Employees/Staff are required to enter into an Acceptable Use Agreement before they are given access to organisational information of any sort, which details rules on screen time-outs.
7.4 Manual records may not be left where they can be accessed by unauthorised personnel and may not be removed from business premises without explicit authorisation. As soon as manual records are no longer required for day-to-day client support, they must be removed from secure archiving.
7.5 Personal data may only be deleted or disposed of in line with the GDPR. 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 before disposal.
7.6 Processing of personal data ‘off-site’ presents a potentially greater risk of loss, theft or damage to personal data. Staff must be specifically authorised to process data off-site.
8.1 EC Innovations 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. It is important to bear in mind whether or not disclosure of the information is relevant to, and necessary for, the conduct of EC Innovations’ business.
8.2 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 management of EC Innovations.
9.1 EC Innovations 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.
9.2 EC Innovations 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.
9.3 The retention period for each category of personal data will be set out in the Privacy Notice along with the criteria used to determine this period including any statutory obligations EC Innovations has to retain the data.
9.4 EC Innovations’ data retention and data disposal procedures will apply in all cases.
9.5 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.
10.1 All exports of data from within the European Economic Area (EEA) to non-European Economic Area countries (referred to in the GDPR as ‘third countries’) are unlawful unless there is an appropriate “level of protection for the fundamental rights of the data subjects”.
The transfer of personal data outside of the EEA is prohibited unless one or more of the specified safeguards, or exceptions, apply:
10.1.1 An adequacy decision
The European Commission can and does assess third countries, a territory and/or specific sectors within third countries to assess whether there is an appropriate level of protection for the rights and freedoms of natural persons. In these instances no authorisation is required.
Countries that are members of the European Economic Area (EEA) but not of the EU are accepted as having met the conditions for an adequacy decision.
A list of countries that currently satisfy the adequacy requirements of the Commission are published in the Official Journal of the European Union. http://ec.europa.eu/justice/data-protection/international-transfers/adequacy/index_en.htm
10.1.2 Privacy Shield
10.1.3 Binding corporate rules
EC Innovations 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 EC Innovations is seeking to rely upon.
10.1.4 Model contract clauses
EC Innovations may adopt approved model contract clauses for the transfer of data outside of the EEA. If EC Innovations adopts the model contract clauses approved by the relevant supervisory authority there is an automatic recognition of adequacy.
In the absence of an adequacy decision, Privacy Shield membership, binding corporate rules and/or model contract clauses, a transfer of personal data to a third country or international organization shall only take place on one of the following conditions:
11.1 EC Innovations has established a data inventory and data flow process as part of its approach to address risks and opportunities throughout its GDPR compliance project. EC Innovations’ data inventory and data flow determines:
11.2 EC Innovations is aware of any risks associated with the processing of particular types of personal data.
EC Innovations is the owner of this document and is responsible for ensuring that this record is reviewed in line with the reviewed requirements of the GDPR.