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.
The GDPR is a European Regulation (law) that applies to any organisation (regardless of global location) if it processes personal data of individuals in the EU.
Specifically, the GDPR requires the Halma group:
- Process individuals’ personal data in a secure and transparent manner (i.e. they are aware of why and how Halma is processing their data, how long it is kept for, who it is shared with and where it is sent)
- Uphold the legal rights of individuals regarding their personal data (Section 5)
- Adhere to the principles set out in Section 4.
- Policy statement
2.1 The Board of Directors and management of Halma group (Sensorex) are committed to compliance with all relevant EU and Member State laws in respect of personal data, and the protection of the “rights and freedoms” of individuals whose information the Halma group collects and processes in accordance with the General Data Protection Regulation (GDPR).
2.2 Compliance with the GDPR is described by this policy and other relevant policies, along with connected processes and procedures.
2.3 The GDPR and this policy shall apply to all Halma group 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 (i.e. from the individuals themselves or a 3rd party).
2.4 Halma’s Data Protection Officer is responsible for:
2.4.1 Reviewing annually personal data processing in the light of any changes to Halma group activities and
2.4.2 to any additional requirements identified by means of data protection impact assessments.
2.5 This policy applies to all employees of Halma and third-party suppliers. Any breach of the GDPR will be dealt with under Halma’s disciplinary policy.
2.5.1 Breaches of the GDPR may subject the Halma group to administrative fines and/or litigation. This guidance also highlights the fact that certain EU member states may be willing to consider custodial sentences for breaches of the GDPR.
2.6 Partners and any third parties working with or for Halma group, 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 Halma group without having first entered into a data confidentiality agreement which imposes on the third-party obligations no less onerous than those to which Halma is committed, and which gives Halma the right to audit compliance with the agreement.
- Responsibilities and roles under the General Data Protection Regulation
3.1 Halma is a data controller and processor under the GDPR. In certain cases, it may be a joint controller regarding subsidiaries or 3rd parties.
3.2 The Halma Board and all those in managerial or supervisory roles throughout the Halma group are responsible for developing and encouraging good information handling practices and responsibilities are set out in individual job descriptions.
3.3 The Data Protection Officer is a member of the senior management team, is accountable only to the Board of Directors in matters pertaining to the management of personal data within Halma group and for ensuring that compliance with data protection legislation and good practice can be demonstrated. This accountability includes:
3.3.1 development and implementation of the GDPR obligations as required by this policy; and
3.3.2 security and risk management in relation to compliance with the policy.
3.4 Data Protection Officer, appointed by Halma Board of Directors in accordance with the requirements of the GDPR (Articles 37-39), has been appointed to take responsibility for Halma’s compliance with this policy and, in particular, has direct responsibility for ensuring that the Halma group complies with the GDPR.
3.5 The Data Protection Officer/subsidiary GDPR lead have specific responsibilities (available at …) in respect of procedures such as the Subject Access Request Procedure (A13.12) and are the first point of call for employees seeking clarification on any aspect of data protection compliance.
3.6 Compliance with data protection law is the responsibility of all employees of Halma group who process personal data.
3.7 Employees of Halma group are responsible for ensuring that any personal data about them and supplied by them to Halma is accurate and up-to-date.
- Data protection principles
All processing of personal data must be conducted in accordance with the data protection principles as set out in Article 5 of the GDPR and listed below. Halma’s policies and procedures are designed to ensure compliance with these 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:
4.1.1 the identity and the contact details of the controller and, if any, of the controller’s representative;
4.1.2 the contact details of the Data Protection Officer;
4.1.3 the purposes of the processing for which the personal data are intended as well as the legal basis for the processing;
4.1.4 the period for which the personal data will be stored;
4.1.5 the existence of the rights to request access, rectification, erasure or to object to the processing, and the conditions (or lack of) relating to exercising these rights, such as whether the lawfulness of previous processing will be affected;
4.1.6 the categories of personal data concerned;
4.1.7 the recipients or categories of recipients of the personal data, where applicable;
4.1.8 where applicable, that the controller intends to transfer personal data to a recipient in a third country and the level of protection afforded to the data;
4.1.9 any further information necessary to guarantee fair processing.
4.2 Personal data can only be collected for specific, explicit and legitimate purposes
Personal data obtained for specified purposes must not be used for a purpose that is incompatible with the original purpose for which they were collected. These have been captured in the Halma’s GDPR Data and Purpose Review.
Privacy Procedure A13.2 sets out the relevant procedures.
4.3 Personal data must be adequate, relevant and limited to what is necessary for processing
4.3.1 The Data Protection Officer is responsible for ensuring that the Halma group does not collect information that is not – necessary for the purpose for which it is obtained.
4.3.2 All data collection forms (electronic or paper-based), including data collection requirements in new information systems, must – link to a privacy statement or ‘notification’ that is specific to type of processing that will be undertaken and approved by the Data Protection Officer.
4.3.3 The Data Protection Officer shall, on an annual basis, review all data collection methods to ensure that collected data continues to be adequate, relevant and not excessive. (Data and purpose review A13.3 and A13.4).
4.3.4 The Data Protection Office shall be responsible for ensuring that a review is undertaken whenever there is a risk to the ‘rights and freedoms’ of the individual.
4.4 Personal data must be accurate and kept up to date with every effort to erase or rectify without delay
4.4.1 Data that is stored by the data controller must be reviewed and updated as necessary. No data should be kept unless it is reasonable to assume that it is accurate.
4.4.2 The Data Protection Officer shall be responsible for ensuring that all staff are trained in the importance of collecting accurate data and maintaining it.
4.4.3 It is also the responsibility of the data subject to ensure that data held by the Halma group is accurate and up to date. Completion of a registration or application form by a data subject will include a statement that the data contained therein is accurate at the date of submission.
4.4.4 Employees shall notify Halma of any changes in circumstance to enable personal records to be updated accordingly. It is the responsibility of Halma to ensure that any notification regarding change of circumstances is recorded and acted upon.
4.4.5 The Data Protection Officer shall be responsible for ensuring that appropriate procedures and policies are created and maintained to support all staff to keep personal data accurate and up to date, considering the volume of data collected, the speed with which it might change and any other relevant factors.
4.4.6 On at least an annual basis, the Data Protection Officer will review the retention dates of all the personal data processed by Halma group, by reference to the Data and Purpose review, and will identify any data that is no longer required in the context of the stated purpose. This data will be securely deleted/destroyed.
4.4.7 The Data Protection Officer/ subsidiary GDPR lead is responsible for responding to requests for rectification from data subjects within one month (Subject Access Request Procedure A13.12). This can be extended to a further two months for complex requests. If Halma group decides not to comply with the request, the Data Protection Officer/ subsidiary GDPR lead shall respond to the data subject to explain its reasoning and inform them of their right to complain to the supervisory authority and seek judicial remedy.
4.4.8 Data Protection Officer/ subsidiary GDPR lead is responsible for making appropriate arrangements that, where third-party organisations may have been passed inaccurate or out-of-date personal data, to inform them that the information is inaccurate and/or out of date and is not to be used to inform decisions about the individuals concerned; and for passing any correction to the personal data to the third party where this is required.
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.
4.5.1 Where personal data is retained beyond the processing date, it shall be encrypted to protect the identity of the data subject in the event of a data breach.
4.5.2 Personal data shall be retained in line with Data Retention guidelines (IS 004) and, once its retention date is passed, it must be securely destroyed as set out in this procedure.
4.5.3 Data Protection Officer/ subsidiary GDPR lead must specifically approve any data retention that exceeds the retention periods defined in (A13.4) and must ensure that the justification is clearly identified and in line with the requirements of the data protection law. This approval must be written.
4.6 Personal data must be processed in a manner that ensures the appropriate security
The Data Protection Officer/ subsidiary GDPR lead will carry out a risk assessment considering all the circumstances of Halma’s controlling or processing operations.
In determining appropriateness, the Data Protection Officer/ subsidiary GDPR lead shall consider the extent of possible damage, loss or distress that might be suffered by individuals (e.g. staff or customers) if a security breach occurs, the effect of any security breach on Halma itself, and any likely reputational damage including the possible loss of customer trust and cost of remediation.
When assessing appropriate organisational measures the Data Protection Officer/ subsidiary GDPR lead shall consider the following:
- The appropriate training levels throughout the Halma group;
- Measures that consider the reliability of employees (such as references etc.);
- The inclusion of data protection and related obligations in employment contracts;
- Identification of disciplinary measures for data breaches;
- Monitoring of staff for compliance with Halma group security standards;
- Physical access controls to electronic and paper-based records containing personal data;
- Adoption of a clear desk policy;
- Storing of paper-based data in lockable fire-proof cabinets;
- Restricting the use of portable electronic devices outside of the workplace;
- Restricting the use of employee’s own personal devices being used in the workplace;
- Adopting clear rules about passwords;
- Making regular backups of personal data and storing the media off-site;
- The imposition of contractual obligations on the importing organisations to take appropriate security measures when transferring data outside the EEA.
These controls have been selected on the basis of identified risks to personal data, and the potential for damage or distress to individuals whose data is processed by Halma group.
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 demonstration of compliance with the principles and states explicitly whose responsibility this is.
The Halma group shall demonstrate compliance with the data protection principles by implementing, amongst others, data protection policies, adhering to codes of conduct, implementing technical and organisational measures, as well as adopting techniques such as data protection by design and default, DPIAs, breach notification procedures, records and processing and associated notifications and incident response plans.
- Data subjects’ rights
5.1 Data subjects have the following legal rights regarding their personal data processed by Halma group:
5.1.1 Confirmation as to whether their personal data is processed and if so the:
220.127.116.11 Purposes of processing
18.104.22.168 Categories of data being processed (if their personal data was provided by a 3rd party)
22.214.171.124 Recipients of data disclosed by controller, or categories of recipient
126.96.36.199 In particular, recipients (excluding categories) in third countries
188.8.131.52 Intended retention period (or, if not possible, criteria)
184.108.40.206 Rights of Rectification, Erasure, Restriction, and Objection
220.127.116.11 Right to complain to regulators
18.104.22.168 Any(all) available information as to the sources immediately providing the data (where not the data subject)
5.1.2 Rectification of inaccurate personal data and incomplete personal data completed, both without undue delay.
5.1.3 To be notified if the Halma group communicates any rectification, erasure or restriction of processing to any 3rd party where the Halma group has disclosed the individual’s personal data
5.1.4 To have their personal data erased if:
22.214.171.124 It is no longer needed for the purposes for which it was collected or processed
126.96.36.199 Consent is withdrawn and here is no other legal ground for processing it
188.8.131.52 The data subject objects to processing and there are no other legitimate grounds for processing it
184.108.40.206 Their personal data have been unlawfully processed
220.127.116.11 Their personal data have to be erased for compliance with a legal obligation
18.104.22.168 Their personal data have been collected for information society services offered to a child.
5.1.5 To restrict processing where:
22.214.171.124 The accuracy of the personal data is contested
126.96.36.199 Processing in unlawful
188.8.131.52 The personal data is held for longer than the original purpose required.
5.1.6 To be informed about the mechanics (including meaningful information about the logic involved) of automated decision-taking process and to obtain human intervention.
5.1.7 To receive compensation for material or non-material damage suffered as a result of an infringement of the GDPR
5.1.8 To request the supervisory authority to assess whether any provision of the GDPR has been contravened.
5.1.9 To have personal data provided to them in a structured, commonly used and machine-readable format, and the right to have that data transmitted to another controller.
5.1.10 To object to any automated decision-making or profiling that is not based on their consent or which is not necessary for contractual purposes
5.1.11 To object to their personal data being used for the purposes of direct marketing
5.2 Halma ensures that data subjects may exercise these rights:
5.2.1 Data subjects may make data access requests as described in Subject Access Request Procedure (A13.12); this procedure also describes how Halma will ensure that its response to the data access request complies with the requirements of the GDPR.
5.2.2 Data subjects have the right to complain to Halma or a supervisory authority (e.g. the ICO) related to the processing of their personal data, the handling of a request from a data subject and appeals from a data subject on how complaints have been handled in line with the Complaints Procedure (A13.8).
6.1 Halma 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.
6.2 The data subject can withdraw their consent at any time.
6.3 Halma 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.
6.4 There must be some active communication between the parties to demonstrate active consent.
6.5 Consent cannot be inferred from non-response to a communication.
6.6 Halma group must be able to demonstrate that consent was obtained for the processing operation.
6.7 For sensitive data, explicit written consent (Consent Procedure A13.6) of data subjects must be obtained unless an alternative legitimate basis for processing exists.
6.8 In most instances, consent to process personal and sensitive data is obtained routinely by the Halma group using standard consent documents e.g. during induction for participants on programmes.
6.9 Where Halma group 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).
6.10 Halma group shall record all consent provision and withdrawal at the same level of granularity as described above
6.11 Halma group shall seek advice of the DPO/GDPR lead if
6.11.1 The purpose for processing data based on consent changes – consent must always be specific and informed
6.11.2 Consent and other lawful means of processing are considered for the same personal data.
- Security of data
7.1 All employees are responsible for ensuring that any personal data that The Halma group 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 Halma/local business unit to receive that information and has entered into a confidentiality agreement and the data subject notified at least of the category of recipient of their personal data
7.2 All personal data shall be accessible only to those who need to use it. All personal data should be treated with the highest security and must be kept:
- in a lockable room with controlled access; and/or
- in a locked drawer or filing cabinet; and/or
- if computerised, password protected in line with corporate requirements in CS 008; and/or
- stored on (removable) computer media which are encrypted.
7.3 Care must be taken to ensure that all screens and terminals are not visible except to authorised employees of the Halma group. All employees are required to enter into an Acceptable Use Agreement (CS 008) before they are given access to organisational information.
7.4 Manual records shall 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, they must be removed from secure archiving and shredded.
7.5 Personal data may only be deleted or disposed of in line with the retention specified in (A13.4). 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.
- Disclosure of data
8.1 Halma group shall ensure that personal data is not disclosed to unauthorised third parties which includes family members, friends, government bodies, and in certain circumstances, law enforcement agencies. All employees shall exercise caution when asked to disclose personal data held on another individual to a third party. IIt is important to bear in mind if disclosure of the information is relevant to, and necessary for, the conduct of Halma group business. If any request is suspicious this should be raised with the DPO/GDPR Lead without undue delay before disclosure.
8.2 All requests to provide data for one of these reasons must be supported by appropriate approvals and all such disclosures must be specifically authorised by the Data Protection Officer/ subsidiary GDPR lead.
- Retention and disposal of data
9.1 Halma 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 Halma group 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 Retention of Records Procedure (IS 004) along with the criteria used to determine this period including any statutory obligations Halma is required to meet to retain the data.
9.4 Personal data must be disposed of securely in accordance with the sixth principle of the GDPR – processed in an appropriate manner to maintain security, thereby protecting the “rights and freedoms” of data subjects.
- Data transfers
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
Assessment of adequacy by the data controller
In making an assessment of adequacy, the UK based exporting controller should take account of the following factors:
- the nature of the information being transferred;
- the country or territory of the origin, and final destination, of the information;
- how the information will be used and for how long;
- the laws and practices of the country of the transferee, including relevant codes of practice and international obligations; and
- the security measures that are to be taken as regards the data in the overseas location.
10.1.3 Binding corporate rules
Halma group 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 Halma is seeking to rely upon.
10.1.4 Model contract clauses
Halma group may adopt approved model contract clauses for the transfer of data outside of the EEA. If Halma group adopts the model contract clauses approved by the relevant supervisory authority there is an automatic recognition of adequacy.
In the absence of an adequacy decision, Privacy Shield membership, binding corporate rules and/or model contract clauses, a transfer of personal data to a third country or international organisation shall only take place on one of the following conditions:
- the data subject has explicitly consented to the proposed transfer, after having been informed of the possible risks of such transfers for the data subject due to the absence of an adequacy decision and appropriate safeguards;
- the transfer is necessary for the performance of a contract between the data subject and the controller or the implementation of pre-contractual measures taken at the data subject’s request;
- the transfer is necessary for the conclusion or performance of a contract concluded in the interest of the data subject between the controller and another natural or legal person;
- the transfer is necessary for important reasons of public interest;
- the transfer is necessary for the establishment, exercise or defence of legal claims; and/or
- the transfer is necessary in order to protect the vital interests of the data subject or of other persons, where the data subject is physically or legally incapable of giving consent.
- Data and Purpose Review
11.1 Halma has established a data inventory and data flow process as part of its approach to address risks and opportunities throughout its GDPR compliance project. This inventory is disclosable with respect to Halma group’s obligations under Records of Processing (Article 30)
11.2 This inventory shall be:
11.2.1 Referenced and updated as necessary at any change in technology, process or other transformation to determine any impact on the lawful processing of personal data to assist in Halma group’s obligations under Data Protection Impact Assessments (Article 35)
11.3 This inventory is used in the construction of notifications (Articles 13 and 14)
11.4 Halma’s data inventory and data flow determines (A13.3, and A13.4)
- business processes that use personal data;
- source of personal data;
- volume of data subjects;
- description of each item of personal data;
- processing activity;
- maintains the inventory of data categories of personal data processed;
- documents the purpose(s) for which each category of personal data is used;
- recipients, and potential recipients, of the personal data;
- the role of the Organisation Name throughout the data flow;
- key systems and repositories;
- any data transfers; and
- all retention and disposal requirements.
Appendix – Definitions
Definitions used by Halma group (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 to offer goods and services or monitor the behavior of data subjects who are resident in the EU.
Article 4 definitions:
Establishment – the main establishment of the controller in the EU will be the place in which the controller makes the main decisions as to the purpose and means of its data processing activities. The main establishment of a processor in the EU will be its administrative centre. If a controller is based outside the EU, it will have to appoint a representative in the jurisdiction in which the controller operates to act on behalf of the controller and deal with supervisory authorities.
Personal data – any information relating to an identified or identifiable natural person (‘data subject’); an identifiable natural person is one who can be identified, directly or indirectly, 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 uniquely identifying a natural person, data concerning health or data concerning a natural person’s sex life or sexual orientation.
Data controller – the natural or legal person, public authority, agency or other body which, alone or jointly with others, determines the purposes and means of the processing of personal data; where the purposes and means of such processing are determined by Union or Member State law, the controller or the specific criteria for its nomination may be provided for by Union or Member State law.
Data subject – any living individual who is the subject of personal data held by an organisation.
Processing – any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction.
Profiling – is any form of automated processing of personal data intended to evaluate certain personal aspects relating to a natural person, or to analyse or predict that person’s performance at work, economic situation, location, health, personal preferences, reliability, or behavior. This definition is linked to the right of the data subject to object to profiling and a right to be informed about the existence of profiling, of measures based on profiling and the envisaged effects of profiling on the individual.
Personal data breach – a breach of security leading to the accidental, or unlawful, destruction, loss, alteration, unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed. There is an obligation on the controller to report personal data breaches to the supervisory authority and where the breach is likely to adversely affect the personal data or privacy of the data subject.
Data subject consent – means any freely given, specific, informed and unambiguous indication of the data subject’s wishes by which he or she, by a statement or by a clear affirmative action, signifies agreement to the processing of personal data.
Child – the GDPR defines a child as anyone under the age of 16 years old, although this may be lowered to 13 by Member State law. The processing of personal data of a child is only lawful if parental or custodian consent has been obtained. The controller shall make reasonable efforts to verify in such cases that consent is given or authorised by the holder of parental responsibility over the child.
Third party – a natural or legal person, public authority, agency or body other than the data subject, controller, processor and persons who, under the direct authority of the controller or processor, are authorised to process personal data.
Filing system – any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis.