Pandos Intelligence Inc. (PI) is committed to conducting its business in accordance with all applicable Data Protection laws and regulations and in line with the highest standards of ethical conduct.
This policy sets forth the expected behaviours of PI Employees and Third Parties in relation to the collection, use, retention, transfer, disclosure and destruction of any Personal Data belonging to a PI Group Contact (i.e. the Data Subject).
Personal Data is any information (including opinions and intentions) which relates to an identified or Identifiable Natural Person. Personal Data is subject to certain legal safeguards and other regulations, which impose restrictions on how organisations may process Personal Data. An organisation that handles Personal Data and makes decisions about its use is known as a Data Controller. PI, as a Data Controller, is responsible for ensuring compliance with the Data Protection requirements outlined in this policy. Non-compliance may expose PI to complaints, regulatory action, fines and/or reputational damage.
PI’s leadership is fully committed to ensuring continued and effective implementation of this policy and expects all PI Employees and Third Parties to share in this commitment. Any breach of this policy will be taken seriously and may result in disciplinary action or business sanction.
1.1 Legal Framework
General Data Protection Regulations 2016 Data Protection Act 1988
This policy applies to all PI Employees and all third parties responsible for the processing of persona data on behalf of PI services/entities.
3.1.1 Governance Office
To demonstrate our commitment to Data Protection, and to enhance the effectiveness of our compliance efforts, PI has the Governance Office. The Governance Office operates with independence and is staffed by suitability skilled individuals granted all necessary authority. The Governance Office reports to PI’s Group Quality and Governance Manager who is a member of the Executive Team. The Governance Office duties include:
- Informing and advising PI and its Employees who carry out Processing pursuant to Data Protection regulations, national law or Union based Data Protection provisions;
- Ensuring the alignment of this policy with Data Protection regulations, national law or Union based Data Protection provisions;
- Providing guidance with regards to carrying out Data Protection Impact Assessments (DPIAs);
- Acting as a point of contact for and cooperating with Data Protection Authorities (DPAs);
- Determining the need for notifications to one or more DPAs as a result of PI
Group’s current or intended Personal Data processing activities;
- Making and keeping current notifications to one or more DPAs as a result of PI’s current or intended Personal Data processing activities;
- The establishment and operation of a system providing prompt and appropriate responses to Data Subject requests;
- Informing senior managers, officers, and directors of PI of any potential corporate, civil and criminal penalties which may be levied against PI and/or its Employees for violation of applicable Data Protection laws.
Ensuring establishment of procedures and standard contractual provisions for obtaining compliance with this Policy by any Third Party who:
- provides Personal Data to an PI Group Service/Entity
- receives Personal Data from an PI Group Service/Entity
- has access to Personal Data collected or processed by an PI Group Service/Entity
3.1.2 Data Protection by Design
To ensure that all Data Protection requirements are identified and addressed when designing new systems or processes and/or when reviewing or expanding existing systems or processes, each of them must go through an approval process before continuing. Each PI Group Service/Entity must ensure that a Data Protection Impact Assessment (DPIA) is conducted, in cooperation with the Governance team, for all new and/or revised systems or processes for which it has responsibility.
The subsequent findings of the DPIA must then be submitted to the Group Quality and Governance Manager for review and approval. Where applicable, the Information Technology (IT) department, as part of its IT system and application design review process, will cooperate with the Governance Team of Data Protection to assess the impact of any new technology uses on the security of Personal Data.
3.1.3 Compliance Monitoring
To confirm that an adequate level of compliance that is being achieved by all PI Group Services/Entities in relation to this policy, the Governance Office will carry out an annual Data Protection compliance audit for all such Services/Entities. Each audit will, as a minimum, assess:
- Compliance with Policy in relation to the protection of Personal Data, including:
- The assignment of responsibilities.
- Raising awareness.
- Training of Employees.
- The effectiveness of Data Protection related operational practices, including:
- Data Subject rights.
- Personal Data transfers.
- Personal Data incident management.
- Personal Data complaints handling.
- The level of understanding of Data Protection policies and Privacy Notices.
- The currency of Data Protection policies and Privacy Notices.
- The accuracy of Personal Data being stored.
- The conformity of Data Processor activities.
- The adequacy of procedures for redressing poor compliance and Personal Data Breaches. The Governance Office, in cooperation with key business stakeholders from each PI Group Service/Entity, will devise a plan with a schedule for correcting any identified deficiencies within a defined and reasonable time frame. Any major deficiencies and good practice identified will be reported to, monitored and shared by PI Executive Team.
3.2 Data Protection Principles
PI has adopted the following principles to govern its collection, use, retention, transfer, disclosure and destruction of Personal Data:
1. Principle 1: Lawfulness, Fairness and Transparency
Personal Data shall be processed lawfully, fairly and in a transparent manner in relation to the Data Subject. This means, PI must tell the Data Subject what Processing will occur (transparency), the Processing must match the description given to the Data Subject (fairness), and it must be for one of the purposes specified in the applicable Data Protection regulation (lawfulness).
2. Principle 2: Purpose Limitation
Personal Data shall be collected for specified, explicit and legitimate purposes and not further Processed in a manner that is incompatible with those purposes. This means PI must specify exactly what the Personal Data collected will be used for and limit the Processing of that Personal Data to only what is necessary to meet the specified purpose.
3. Principle 3: Data Minimisation
Personal Data shall be adequate, relevant and limited to what is necessary in relation to the purposes for which they are Processed. This means PI must not store any Personal Data beyond what is strictly required.
4. Principle 4: Accuracy
Personal Data shall be accurate and, kept up to date. This means PI must have in place processes for identifying and addressing out-of-date, incorrect and redundant Personal Data.
5. Principle 5: Storage Limitation
Personal Data shall be kept in a form which permits identification of Data Subjects for no longer than is necessary for the purposes for which the Personal Data is Processed. This means PI must, wherever possible, store Personal Data in a way that limits or prevents identification of the Data Subject.
6. Principle 6: Integrity & Confidentiality
Personal Data shall be 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. PI must use appropriate technical and organisational measures to ensure the integrity and confidentiality of Personal Data is maintained at all times.
7. Principle 7: Accountability
The Data Controller shall be responsible for, and be able to demonstrate compliance. This means PI must demonstrate that the six Data Protection Principles (outlined above) are met for all Personal Data for which it is responsible.
3.3 Data Collection
3.3.1 Data Sources
Personal Data should be collected only from the Data Subject unless one of the following apply:
- The nature of the business purpose necessitates collection of the Personal Data from other persons or bodies.
- The collection must be carried out under emergency circumstances in order to protect the vital interests of the Data Subject or to prevent serious loss or injury to another person.
If Personal Data is collected from someone other than the Data Subject, the Data Subject must be informed of the collection unless one of the following apply:
- The Data Subject has received the required information by other means.
- The information must remain confidential due to a professional secrecy obligation
- A national law expressly provides for the collection, Processing or transfer of the Personal Data.
Where it has been determined that notification to a Data Subject is required, notification should occur promptly, but in no case later than:
- One calendar month from the first collection or recording of the Personal Data At the time of first communication if used for communication with the Data Subject
- At the time of disclosure if disclosed to another recipient.
3.3.2 Data Subject Consent
Each PI Service/Entity will obtain Personal Data only by lawful and fair means and, where appropriate with the knowledge and Consent of the individual concerned. Where a need exists to request and receive the Consent of an individual prior to the collection, use or disclosure of their Personal Data, PI is committed to seeking such Consent. The Governance Office, in cooperation with other relevant business representatives, shall establish a system for obtaining and documenting Data Subject Consent for the collection, Processing, and/or transfer of their Personal Data.
3.3.3 Data Subject Notification
Each PI Service/Entity will, when required by applicable law, contract, or where it considers that it is reasonably appropriate to do so, provide Data Subjects with information as to the purpose of the Processing of their Personal Data. When the Data Subject is asked to give Consent to the Processing of Personal Data and when any Personal Data is collected from the Data Subject, all appropriate disclosures will be made, in a manner that draws attention to them, unless one of the following apply:
- The Data Subject already has the information
- A legal exemption applies to the requirements for disclosure and/or Consent. The disclosures may be given orally, electronically or in writing. If given orally, the person making the disclosures should use a suitable script or form approved in advance by the Office of Data Protection. The associated receipt or form should be retained, along with a record of the facts, date, content, and method of disclosure.
3.3.4 External Privacy Notices
Each external website provided by PI will include an online ‘Privacy Notice’ and an online ‘Cookie Notice’ fulfilling the requirements of applicable law.
3.4 Data Use
3.4.1 Data Processing
PI uses the Personal Data of its Contacts for the following broad purposes:
- The general running and business administration of PIs/Entities.
- To provide services to PI Stakeholder.
- The ongoing administration and management of customers services.
The use of a Contact’s information should always be considered from their perspective and whether the use will be within their expectations or if they are likely to object. For example, it would clearly be within a Contact’s expectations that their details will be used by PI to respond to a Contact request for information about the products and services on offer. However, it will not be within their reasonable expectations that PI would then provide their details to Third Parties for marketing purposes.
Each PI service/Entity will Process Personal Data in accordance with all applicable laws and applicable contractual obligations. More specifically, PI will not Process Personal Data unless at least one of the following requirements are met:
- 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 the Data Controller is 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 the Data Controller.
- Processing is necessary for the purposes of the legitimate interests pursued by the Data Controller or by a Third Party (except where such interests are overridden by the interests or fundamental rights and freedoms of the Data Subject, in particular where the Data Subject is a child).
There are some circumstances in which Personal Data may be further processed for purposes that go beyond the original purpose for which the Personal Data was collected. When making a determination as to the compatibility of the new reason for Processing, guidance and approval must be obtained from the Office of Data Protection before any such Processing may commence.
- In any circumstance where Consent has not been gained for the specific Processing in question, PI will address the following additional conditions to determine the fairness and transparency of any Processing beyond the original purpose for which the Personal Data was collected: Any link between the purpose for which the Personal Data was collected and the reasons for intended further Processing.
- The context in which the Personal Data has been collected, in particular regarding the relationship between Data Subject and the Data Controller.
- The nature of the Personal Data, in particular whether Special Categories of Data are being Processed, or whether Personal Data related to criminal convictions and offences are being Processed.
- The possible consequences of the intended further Processing for the Data Subject.
- The existence of appropriate safeguards pertaining to further Processing, which may include Encryption, Anonymisation or Pseudonymisation.
3.4.2 Special Categories of Data
PI will only Process Special Categories of Data (also known as sensitive data) where the Data Subject expressly consents to such Processing or where one of the following conditions apply:
- The Processing relates to Personal Data which has already been made public by the Data Subject.
- The Processing is necessary for the establishment, exercise or defence of legal claims.
- The Processing is specifically authorised or required by law.
- The Processing is necessary to protect the vital interests of the Data Subject or of another natural person where the Data Subject is physically or legally incapable of giving consent.
- Further conditions, including limitations, based upon national law related to the Processing of genetic data, biometric data or data concerning health.
In any situation where Special Categories of Data are to be Processed, prior approval must be obtained from the Governance Office, and the basis for the Processing clearly recorded with the Personal Data in question. Where Special Categories of Data are being Processed, PI will adopt additional protection measures.
3.4.3 Children’s Data
Children under the age of 13 are unable to Consent to the Processing of Personal Data for information society services (any service normally provided for payment, by electronic means and at the individual request of a recipient of services). Consent must be sought from the person who holds parental responsibility over the child. However, it should be noted that where Processing is lawful under other grounds, Consent need not be obtained from the child or the holder of parental responsibility.
3.4.4 Data Quality
Each PI/Entity will adopt all necessary measures to ensure that the Personal Data it collects and Processes is complete and accurate in the first instance, and is updated to reflect the current situation of the Data Subject. The measures adopted by PI to ensure data quality include:
- Correcting Personal Data known to be incorrect, inaccurate, incomplete, ambiguous, misleading or outdated, even if the Data Subject does not request rectification.
- Keeping Personal Data only for the period necessary to satisfy the permitted uses or applicable statutory retention period.
- The removal of Personal Data if in violation of any of the Data Protection principles or if the Personal Data is no longer required.
- Restriction, rather than deletion of Personal Data, insofar as:
- a law prohibits erasure.
- erasure would impair legitimate interests of the Data Subject.
- the Data Subject disputes that their Personal Data is correct and it cannot be clearly ascertained whether their information is correct or incorrect.
3.4.5 Profiling & Automated Decision-Making
PI will only engage in Profiling and automated decision-making where it is necessary to enter into, or to perform, a contract with the Data Subject or where it is authorised by law. Where an PI Group Service/Entity utilises Profiling and automated decision-making, this will be disclosed to the relevant Data Subjects. In such cases the Data Subject will be given the opportunity to:
- Express their point of view.
- Obtain an explanation for the automated decision.
- Review the logic used by the automated system.
- Supplement the automated system with additional data.
- Have a human carry out a review of the automated decision.
- Contest the automated decision.
Object to the automated decision-making being carried out. Each PI Service/Entity must also ensure that all Profiling and automated decision-making relating to a Data Subject is based on accurate data.
3.4.6 Digital Marketing
As a general rule PI will not send promotional or direct marketing material to an PI Contact through digital channels such as mobile phones, email and the Internet, without first obtaining their Consent. Any PI Group Service/Entity wishing to carry out a digital marketing campaign without obtaining prior Consent from the Data Subject must first have it approved by the Governance Office. Where Personal Data Processing is approved for digital marketing purposes, the Data Subject must be informed at the point of first contact that they have the right to object, at any stage, to having their data Processed for such purposes. If the Data Subject puts forward an objection, digital marketing related Processing of their Personal Data must cease immediately and their details should be kept on a suppression list with a record of their opt-out decision, rather than being completely deleted. It should be noted that where digital marketing is carried out in a ‘business to business’ context, there is no legal requirement to obtain an indication of Consent to carry out digital marketing to individuals provided that they are given the opportunity to opt-out.
3.5 Data Retention
To ensure fair Processing, Personal Data will not be retained by PI for longer than necessary in relation to the purposes for which it was originally collected, or for which it was further Processed. The length of time for which PI Group services/Entities need to retain Personal Data is set out in PI ‘Retention and destruction Handbook’. This takes into account the legal and contractual requirements, both minimum and maximum, that influence the retention periods set forth in the schedule. All Personal Data should be deleted or destroyed as soon as possible where it has been confirmed that there is no longer a need to retain it.
3.6 Data Protection
Each PI Group Service/Entity will adopt physical, technical, and organisational measures to ensure the security of Personal Data. This includes the prevention of loss or damage, unauthorised alteration, access or Processing, and other risks to which it may be exposed by virtue of human action or the physical or natural environment. A summary of the Personal Data related security measures is provided below:
- Prevent unauthorised persons from gaining access to data processing systems in which Personal Data are Processed.
- Prevent persons entitled to use a data processing system from accessing Personal Data beyond their needs and authorisations.
- Ensure that Personal Data in the course of electronic transmission during transport cannot be read, copied, modified or removed without authorisation.
- Ensure that access logs are in place to establish whether, and by whom, the Personal Data was entered into, modified on or removed from a data processing system.
- Ensure that in the case where Processing is carried out by a Data Processor, the data can be Processed only in accordance with the instructions of the Data Controller.
- Ensure that Personal Data is protected against undesired destruction or loss.
- Ensure that Personal Data collected for different purposes can and is Processed separately.
- Ensure that Personal Data is not kept longer than necessary
3.7 Data Subject Requests
The Governance Office will establish a system to enable and facilitate the exercise of Data Subject rights related to:
- Information access.
- Objection to Processing.
- Objection to automated decision-making and profiling.
- Restriction of Processing.
- Data portability.
- Data rectification.
- Data erasure. If an individual makes a request relating to any of the rights listed above
PI will consider each such request in accordance with all applicable Data Protection laws and regulations. No administration fee will be charged for considering and/or complying with
such a request unless the request is deemed to be unnecessary or excessive in nature. Data Subjects are entitled to obtain, based upon a request made in writing/email to:
Pandos Intelligence Inc: firstname.lastname@example.org
It should be noted that situations may arise where providing the information requested by a Data Subject would disclose Personal Data about another individual. In such cases, information must be redacted or withheld as may be necessary or appropriate to protect that person’s rights. Detailed guidance for dealing with requests from Data Subjects can be found in PI’s ‘Data Subject Request Handling Procedures’ document.
3.8 Law Enforcement Requests & Disclosures
In certain circumstances, it is permitted that Personal Data be shared without the knowledge or Consent of a Data Subject. This is the case where the disclosure of the Personal Data is necessary for any of the following purposes:
- The prevention or detection of crime.
- The apprehension or prosecution of offenders.
- The assessment or collection of a tax or duty.
- By the order of a court or by any rule of law.
If an PI Group service/Entity Processes Personal Data for one of these purposes, then it may apply an exception to the Processing rules outlined in this policy but only to the extent that not doing so would be likely to prejudice the case in question. If any PI Group Service/Entity receives a request from a court or any regulatory or law enforcement authority for information relating to an PI Group Contact, you must immediately notify the Governance Office who will provide comprehensive guidance and assistance.
3.9 Data Protection Training
All PI Group Employees that have access to Personal Data will have their responsibilities under this policy outlined to them as part of their staff induction training. In addition, each PI Group Service/Entity will provide regular Data Protection training and procedural guidance for their staff.
3.10 Data Transfers
PI Services/Entities may transfer Personal Data to internal or Third Party recipients located in another country where that country is recognised as having an adequate level of legal protection for the rights and freedoms of the relevant Data Subjects. Where transfers need to be made to countries lacking an adequate level of legal protection (i.e. Third Countries), they must be made in compliance with an approved transfer mechanism. PI Services/Entities may only transfer Personal Data where one of the transfer scenarios list below applies:
- The Data Subject has given Consent to the proposed transfer.
- The transfer is necessary for the performance of a contract with the Data Subject
- The transfer is necessary for the implementation of pre-contractual measures taken in response to the Data Subject’s request.
- The transfer is necessary for the conclusion or performance of a contract concluded with a Third Party in the interest of the Data Subject.
- The transfer is legally required on important public interest grounds.
- The transfer is necessary for the establishment, exercise or defence of legal claims.
- The transfer is necessary in order to protect the vital interests of the Data Subject
3.10.1 Transfers between PI Group Services/Entities
In order for PI to carry out its operations effectively across its various
Services/Entities, there may be occasions when it is necessary to transfer Personal Data internally from one Entity to another, or to allow access to the Personal Data from an overseas location. Should this occur, PI Service/Entity sending the Personal Data remains responsible for ensuring protection for that Personal Data.
PI handles the transfer of Personal Data between PIs/Entities, where the location of the recipient Entity is a Third Country, using the Binding Corporate Rules transfer mechanism. Binding Corporate Rules provide legally binding, enforceable rights on Data Subjects with regard to the Processing of their Personal Data and must be enforced by each approved PI Group Service/Entity, including their Employees.
Only transfer the minimum amount of Personal Data necessary for the particular purpose of the transfer (for example, to fulfil a transaction or carry out a particular service).
Ensure adequate security measures are used to protect the Personal Data during the transfer (including password-protection and Encryption, where necessary).
3.10.2 Transfers to Third Parties
Each PI Group Service/Entity will only transfer Personal Data to, or allow access by, Third Parties when it is assured that the information will be Processed legitimately and protected appropriately by the recipient. Where Third Party Processing takes place, each PI Group Service/Entity will first identify if, under applicable law, the Third Party is considered a Data Controller or a Data Processor of the Personal Data being transferred.
Where the Third Party is deemed to be a Data Controller, PI Service/Entity will enter into, in cooperation with the Governance Office, an appropriate agreement with the Controller to clarify each party’s responsibilities in respect to the Personal Data transferred. Where the Third Party is deemed to be a Data Processor, PI Service/Entity will enter into, in cooperation with the Governance Office, an adequate Processing agreement with the Data Processor. The agreement must require the Data Processor to protect the Personal Data from further disclosure and to only Process Personal Data in compliance with PI instructions. In addition, the agreement will require the Data Processor to implement appropriate technical and organisational measures to protect the Personal Data as well as procedures for providing notification of Personal Data Breaches.
PI has a ‘Standard Data Processing Agreement’ document (AQ9.2) that, should be used as a baseline template. When an PI Group Service/Entity is outsourcing services to a Third Party (including Cloud Computing services), they will identify whether the Third Party will Process Personal Data on its behalf and whether the outsourcing will entail any Third Country transfers of Personal Data. In either case, it will make sure to include, in cooperation with the Governance Office, adequate provisions in the outsourcing agreement for such Processing and Third Country transfers.
The Office of Data Protection shall conduct regular audits of Processing of Personal Data performed by Third Parties, especially in respect of technical and organisational measures they have in place. Any major deficiencies identified will be reported to and monitored by the Group Quality and Governance Manager.
3.11 Complaints Handling
Data Subjects with a complaint about the Processing of their Personal Data, should put forward the matter in writing to the Office of Data Protection. An investigation of the complaint will be carried out to the extent that is appropriate based on the merits of the specific case. The Office of Data Protection will inform the Data Subject of the progress and the outcome of the complaint within a reasonable period. If the issue cannot be resolved through consultation between the Data Subject and the Office of Data Protection, then the Data Subject may, at their option, seek redress through mediation, binding arbitration, litigation, or via complaint to the Data Protection Authority within the applicable jurisdiction.
3.12 Breach Reporting
Any individual who suspects that a Personal Data Breach has occurred due to the theft or exposure of Personal Data must immediately notify the Governance Office providing a description of what occurred. Notification of the incident can be made via e-mail, by calling, or by using the independent whistleblowing line;
The Governance Office will investigate all reported incidents to confirm whether or not a Personal Data Breach has occurred. If a Personal Data Breach is confirmed, the Governance Office will follow the relevant authorised procedure based on the criticality and quantity of the Personal Data involved. For severe Personal Data Breaches, PI Executive Team will initiate and chair an emergency response team to coordinate and manage the Personal Data Breach response.
4. Roles & Responsibilities
The management team of each PI Group Service/Entity must ensure that all PI Group Employees responsible for the Processing of Personal Data are aware of and comply with the contents of this policy. In addition, each PI Group Service/Entity will make sure all Third Parties engaged to Process Personal Data on their behalf (i.e. their Data Processors) are aware of and comply with the contents of this policy. Assurance of such compliance must be obtained from all Third Parties, whether companies or individuals, prior to granting them access to Personal Data controlled by PI.
4.2 Support, Advice and Communication
For advice and support in relation to this policy, please contact the Governance Office on email email@example.com
This policy will be reviewed by the Governance Office every three years, unless there are any changes to regulations or legislation that would enable a review earlier.