jisc gdpr conference

Jisc GDPR Conference20/12/2017

1

Getting to grips with GDPRDavid Reeve, Head of information strategy, Jisc

20/12/2017 2Getting to grips with GDPR

20/12/2017 3

Global spend estimated at $300 to $500 billion combating the bug

Getting to grips with GDPR

GDPR coverage in the newspapers

20/12/2017 4

“Banks could be stung for €5bn under GDPR, screams latest report on industry readiness”

“Fears data protection rules could close small firms”“Last year’s ICO would be 79 times

higher under GDPR: TalkTalk’s £400,000 penalty was big – how about £59 MILLION?”

“Worldwide climate of fear over GDPR data compliance claims veritas study”

“Cyber insurance ‘unlikely to cover massive GDPR fines’ ”

“Last year’s ICO fines would soar to £69 million post – GDPR””


The dangers of running projects based on FEAR

20/12/2017 6

“I am a GDPR expert offering consultancy”There is no case law or enforcement actions to offer compliance guidance. We don’t know yet what the final GDPR will look like so how can you be an expert…be sceptical!! ££££££££££

“You can buy our GDPR solutions now”

“Our product will make you compliant”There are some solutions that can help with auditing but there is no miraculous product that will make you compliant simply by purchasing and installing it. ££££££££££

“After Brexit the GDPR won’t apply to the UK”Recent survey revealed 44% of firms think the regulation will not apply to UK business after Brexit UK bring this into law by 25 May 2018 and a new bill is going through Parliament for post Brexit. £££££££££

Information Commissioner’s Office:Don’t focus on fines regime “focus on risk, transparency, control and accountability”

There is no silver bullet technology solution. GDPR is still an unknown so claims of compliance is premature. ££££££££


Implementing GDPR

20/12/2017 7

Jan 2017 May 2018

Not applicable to Jisc 11. Children (ICO Step 8) 12. International (ICO Step 12

Dec 2017


Where to go for help

» Information Commissioner’s Office: (https://ico.org.uk/)

» Article 29 Working Group: (https://edps.europa.eu/)

» Legal changes: Number of free sites including: Bird and Bird guide to the GDPR (http://ji.sc/two-birds-data-protection)

» Sector guidance and advice: (jisc.ac.uk/gdpr)


https://ico.org.uk/

https://edps.europa.eu/

http://ji.sc/two-birds-data-protection

http://www.jisc.ac.uk/gdpr

Links to Jisc blogs

Step 1: Awareness

GDPR: Alumni Process (http://ji.sc/regulatory-developments-alumni) Data Protection Bill and Public Authorities (http://ji.sc/gdprdata-protection)

Step 2: Information we hold

GDPR: Information Lifecycle Registers (http://ji.sc/gdpr-moving-information)

Service Categories (http://ji.sc/gdpr-service-categories)

Step 4: Individual rights

Portability Rights and Data Protection Challenges (http://ji.sc/portability-right-data-protection)

GDPR: Backups, Archives and the Right to Erasure (http://ji.sc/gdpr-backups-archives)


http://ji.sc/regulatory-developments-alumni

http://ji.sc/gdprdata-protection

http://ji.sc/gdpr-moving-information

http://ji.sc/gdpr-service-categories

http://ji.sc/portability-right-data-protection

http://ji.sc/gdpr-backups-archives

Links to Jisc blogs

Step 6: Legal basis for processing personal data

What's Your Justification? (http://ji.sc/gdpr-whats-your-justification)

Web forms and consent (http://ji.sc/gdpr-web-forms-and-consent)

GDPR: Student Unions (http://ji.sc/gdpr-student-unions)

Service categories (http://ji.sc/gdpr-service-categories)

Step 7: Consent

GDPR: A New Kind of Consent (http://ji.sc/gdpr-new-kind-of-consent)

Step 9: Data breaches

Incident Response and GDPR (http://ji.sc/incident-response-and-gdpr)


http://ji.sc/gdpr-whats-your-justification

http://ji.sc/gdpr-web-forms-and-consent

http://ji.sc/gdpr-student-unions

http://ji.sc/gdpr-service-categories

http://ji.sc/gdpr-new-kind-of-consent

http://ji.sc/incident-response-and-gdpr

What you should be doing now – top 10 tips

1. Get support …put together a GDPR implementation task force

2. Conduct an audit of what personal data the organisation holds, how it is being used, to whom it is being disclosed and to where it is being transferred

3. The GDPR advocates taking a risk based approach; through the audit identify your systems and services that present most risk and focus on mitigating these

4. Start reviewing data protection clauses used (both for templates and live negotiations) in supplier agreements to include the mandatory GDPR clauses

5. Review breach notification and management systems and procedures, including draft notification forms for both notifications to the supervisory authority and affected individuals

6. Review IT systems and internal processes to ensure that an individual's data can be captured both for the purpose of data portability (ie passing a copy to the data subject or another controller), but also to enable such data to be deleted easily when no longer needed

7. Review and update student and staff privacy notices to reflect the new transparency requirements of the GDPR

8. Develop a template DPIA to be used in any high risk projects with a checklist of when to apply

9. Review existing processes and procedures for subject access requests, including the development of template response forms and assessing whether the one-month response deadline could be met

10. Start putting together training materials to raise staff awareness of the new rules under the GDPR


Final thought

“Don’t forget that 25th May 2018 is……

20/12/2017 12

Day one”


jisc.ac.uk

David Reeve

Head of information strategy


http://www.jisc.ac.uk/


Practical applications of GDPR for FEJoe Yeadon, Godalming College, [email protected]

20/12/2017 14Practical applications of GDPR for FE

Practical applications of GDPR for FE

About Godalming College:

» Sixth Form College in SW Surrey

» 2100 full-time 16-19 students

» <50 14-16 from local schools

» Turnover c £9m, 250 staff

» In-house MIS, online systems

» Planning conversion to Sixth Form Academy



About me:

» Worked in FE since 2001

» Responsible for IT and MIS at Godalming College› ILR, SQL Reporting, Software, etc

» Data Protection Officer

» Dealt with DP Breach in 2011

» No formal DP qualifications!

20/12/2017 16

Joe Yeadon


Where to start?

» Look at the “12 Steps”, JISC website and ICO guidance – it’s free!

» Work out where you are – it might be better than you think!

» Read the Data Protection Bill (and EU Reg 2016/679)

» Work out where you need to be

» Have a data security breach (or just panic – whichever you prefer)

“I’m in FE – where do I start with this GDPR-fangled thing?”


Where to start?

20/12/2017 18

1. Awareness – make sure the College boss knows about GDPR

2. Document – what Personal Information have you got and where is it?

3. Communication – how do your staff/students etc know?

4. Rights – Retention policy, erasure procedure etc

5. SAR – procedures/policy – need a mechanism

6. Lawful basis – statutory duty (Education & Skills Act etc)

7. Consent – to consent or not consent, that is the question

8. Children – what age are the Data Subjects?

9. Breaches – have a procedure

10. Design – ‘Data Protection by Design’

11. Data Protection Officer – you need one!

12. International - (EU – identify the lead authority etc)

12 S

tep

s to

G

DP

R


Good News for FE

» Most College activity is covered by Statutory Duty – contract rather than consent

» Very little automated processing (if any)

» UK implementation of GDPR gives lower age limit for consent

» Most data is only collected for a specific purpose

» Generally, the same sorts of things which make Colleges work well involve centralisation of data

» Generally, there’s already expertise

» Generally, there’s no cross-border transfer of Personal Information


Where did we start?

» DPO in place already – reporting to Principal, will report to Governors. Experience of Breach management

» Good Data Protection Policy already, revamped for GDPR (draft)

» In-house MIS

› Logs of communication, scanned documents, no student files

› Staff, Student and Parent Portals

» Reasonable culture of contract and consent

› We can’t perform our legal duty without Personal Information, but we already seek consent for publicity purposes

20/12/2017 20

Godalming College’s approach (1/2)


Where did we start?

» Use networks

› S7 Group of Sixth Form College

› Principals’ group, MIS managers, new Data Protection Group

› JISC, ICO webinars

» Use common-sense

› Read the Directive, read the Bill, look around the College

» Get the ‘management’ on-board

» Write the policy – get some momentum in the right direction20/12/2017 21

Godalming College’s approach (2/2)


Where to start?

» Lack of experience with GDPR

› Nobody has been tested yet!

» Hype – consultants want it to sound difficult

» Unclear guidance on data retention

» Possibly need new systems to deal with Subject Access?

» Silo mentality – ‘department spreadsheet’, mark-books, separate systems for teaching & learning …

“OK – that sounds easy, what’s the catch?”


Where are we?

“So what’s the problem?”

20/12/2017 23

» Hype –worrying the boss

» Safeguarding – guidance is confusing (age 25, indefinitely?)

» What about UCAS references 10 years-on, COSHH 40 years..?

» Do emails referencing personal information stored elsewhere form part of the record? (Confusing advice)

» Is CCTV Personal Information?

» Information stored/backed-up in the Cloud, paper and tape

» Perception about ‘right to erasure’, education exemptions


Where are we?

Godalming College – progress to date

20/12/2017 24

» Read the documentation, drafted the policy, revised the NFP

» Network – S7 Data Protection group, consulted JISC

› Worked out who the real experts are in the network

» Senior Management Team meetings – clarifying and refining

» Identified need to clarify how data is deleted

» Identified need to develop a one-stop-SAR-shop

» Inset activities planned


» GDPR in FE isn’t necessarily difficult

» We are all travelling in the right direction

» There’s still some confusion of the detail

» Engage with Senior Managers – appoint a DPO if you haven’t already

» Review, refresh DP statements and policies – and communicate

20/12/2017 25

In summary…

Summary


jisc.ac.uk

Joe Yeadon

Head of ILT services

Godalming College

[email protected]




Developing an information asset register from scratchRachael Maguire, Records Manager, London School of Economics

20/12/2017 27Developing an information asset register from scratch

Developing an information asset register

» Why develop an information asset register?

› Why not before now?

– Not covered by Crown Copyright

› GDPR Article 30 requirements

› Internal requirements

– Data Licences agreements

– Secure destruction

– Better records management



» Article 30 requires:» Each controller and, where applicable, the controller’s representative, shall maintain a record of processing activities under its

responsibility. That record shall contain all of the following information:

› the name and contact details of the controller and, where applicable, the joint controller, the controller’s representative and the data protection officer;

› the purposes of the processing;

› a description of the categories of data subjects and of the categories of personal data;

› the categories of recipients to whom the personal data have been or will be disclosed including recipients in third countries orinternational organisations;

› where applicable, transfers of personal data to a third country or an international organisation, including the identification of that third country or international organisation and, in the case of transfers referred to in the second subparagraph of Article 49(1), the documentation of suitable safeguards;

› where possible, the envisaged time limits for erasure of the different categories of data;

› where possible, a general description of the technical and organisational security measures referred to in Article 32(1).


https://gdpr-info.eu/art-49-gdpr/

https://gdpr-info.eu/art-32-gdpr/


How did we go about creating the IAR?

» Checked TNA guidance

» Looked at other examples. What was useful to us? What was worth borrowing?

» Developing the specification

» Refining what the fields should be called

» Getting sign off through the committees



Our IAR includes:

» Core fields – name, owner, description, retention

» Information Security fields – access, classification, security measures

» Business continuity fields – risks to asset, support contacts, backup

» Data protection fields – what sort of personal data, lawful basis, data processor

» Publication fields – is the asset published and if so where

» Data licence agreements – restrictions of use, renewal date

» Systems/unstructured collections



Asset Type Asset Name Asset Description No. of Records Retention Retention Trigger Location Asset Platform Owner Business Area Data Collection ActivityPhysical, Electronic, Database, Office PC, Mobile Device

What is the asset called. Sometimes this will be a database name e.g. SITS, sometimes it will be a description of a collection e.g. personnel files.

Short description of what information the asset contains

How many records are held within the asset? This may be shelf metres, number of records in a database, size in KB/GB/TB, etc

How long should the information asset be kept -NOTE Permanent should only be used on guidance of LSE Archivist

What causes the disposal/archiving of the information asset

Where is the information asset? In general, we would want a specific room number or drive or cloud storage name.

What software manages the information asset e.g. Oracle, proprietary system and/or the format e.g. Word. Excel

Who is responsible for managing the information asset

Department/ Division/ Centre and sub team if necessary

E.g. ongoing, ceased

ElectronicData Protection request case files

The case files for DP requests, organised by DP number 26.2MB 7 years

Last action on case file P Drive

Mainly Word, some Excel, pdf and email

Rachael Maguire

Secretary's Division, Legal Team Ongoing


Developing an Information Asset Register

Getting the IAR filled out

» We have started!

» An Excel template, two examples

» Already filled out by a couple of units at the School, only 140 to go

» Aiming for finishing this by end of January 2018



Next steps

» Where are we keeping the data gathered?

» Spreadsheet, SharePoint or database?

» How will we keep it updated?


jisc.ac.uk

Rachael Maguire

Records Manager

London School of Economics

[email protected]




Simplifying GDPRAndrew Cormack, Chief regulatory adviser, (@Janet_LegReg)

20/12/2017 36Simplifying GDPR

The challenge…

20/12/2017

Smileys © Chris/Chrkl https://commons.wikimedia.org/wiki/SMirC

>80 pages of law

>120 Jisc

services

<150 days to go

37Simplifying GDPR

Need to simplify

20/12/2017 38

Where to start?

What’s needed?

How to explain it?

How to incorporate late guidance?

Simplifying GDPR

Where to start?


Scary services

20/12/2017 40

We may not be able to contact all data subjects

They’re complicated

They probably need individual treatment

Simplifying GDPR

Service categories

Risk level

Relationship Example

1 Service provider has direct interaction with user

helpdesk

Risk-based guide to prioritisation/resource


Service categories

Risk level



helpdesk

2 Service provider has direct long-term relationship with user

eduroam site contact



Service categories

Risk level



helpdesk



3 User has relationship with third party

eduroam user



Service categories

Risk level



helpdesk




eduroam user

4 User may be unaware of service’s existence

incident response



Bundles

Groups of services likely to use same approach

20/12/2017 45

Type 1 (direct interaction): enquiry/response/doneHelpdesk-like

Type 2 (direct relationship): join/nominate/useSiteLicence-like

Type 2 (as above) for site contactType 3 (indirect relationship) for users

FedAuth-like

More…?

Simplifying GDPR

What’s needed?


GDPR instruments

Sources of assurance to provider and user…

20/12/2017 47

• Explain key points to data subjectsUser-friendly privacy notice

• Assign legal responsibilities among partnersContractual terms

and conditions

• Understand/document non-obvious legal bases

Legal analysis

• Analyse risks (to individuals) and mitigations of processing

Data Protection Impact Assessment

Simplifying GDPR

Service categories


20/12/2017 49

Risk level

Relationship Example Privacy notice?

Contract? Legal basis test?

DPIA?


helpdesk




eduroam user


incident response

Simplifying GDPR

Service categories


20/12/2017 50

Risk level



DPIA?


helpdesk X X X




eduroam user


incident response

Simplifying GDPR

Service categories

Risk level



DPIA?


helpdesk X X X



? X


eduroam user


incident response



Service categories

Risk level



DPIA?


helpdesk X X X



? X


eduroam user ?


incident response



Service categories

Risk level



DPIA?


helpdesk X X X



? X


eduroam user ?


incident response

?



How to explain?


Privacy notices

Master Notice» Retention, transfers, exports,

security, exercising rights

» For each of› “service you’ve requested”

› “identify problems or improvements”

› “you asked us to”

› “operating service for 3rd party”

Jisc service approach, pending regulator guidance

20/12/2017 55

Per-service notice (at point of collection)» Purpose(s), link to master

» [Recipients/countries, directories, ISO27001, DPIA, other options]

» For each of› Transaction-based (eg helpdesk)

› Relationship-based (eg subscription)

› Consent-based (eg survey)

jisc.ac.uk/website/privacy-noticeSimplifying GDPR

https://www.jisc.ac.uk/website/privacy-notice

Initial thoughts on employee data


Possible employment activity categories

Same relationship with all, so now based on data type

20/12/2017 57

Risk level

Type of data Example Privacy notice?


DPIA?

1 Optional Social chatter X X X

3 Mandatory, non-sensitive data

IT, HR ?

4 Sensitive data (inc.financial) Payroll, medical ?

Simplifying GDPR

Possible employee privacy notices

Work-in-progress…

20/12/2017 58

Master Notice» Retention, transfers, exports,

security, exercising rights

» For each of› “purposes of employment”

› “law requires us to”

› Vital interests

› “identify problems or improvements”

› “you asked us to”

Per-service notice (at point of collection)» Purpose(s), link to master

» [Other options]

» Not (only) at point of collection› That could be many years ago

› Probably a role for context-awareness

› eg reminders on communications?

jisc.ac.uk/website/privacy-noticeSimplifying GDPR

https://www.jisc.ac.uk/website/privacy-notice

References

Regulators:

» https://ico.org.uk/for-organisations/data-protection-reform/ (UK)

» http://ec.europa.eu/newsroom/just/item-detail.cfm?item_id=50083 (EU)

Regulation (2016/679/EU):

» http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32016R0679

Me:

» https://community.jisc.ac.uk/blogs/regulatory-developments/article/gdpr-service-categories

» https://community.jisc.ac.uk/blogs/regulatory-developments/article/gdpr-privacy-notices


https://ico.org.uk/for-organisations/data-protection-reform/

http://ec.europa.eu/newsroom/just/item-detail.cfm?item_id=50083

http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32016R0679

https://community.jisc.ac.uk/blogs/regulatory-developments/article/gdpr-privacy-notices

https://community.jisc.ac.uk/blogs/regulatory-developments/article/gdpr-privacy-notices

jisc.ac.uk

Thanks

Andrew Cormack

Chief regulatory adviser, Jisc technologies

[email protected]://ji.sc/data-protection-regulationblog




http://ji.sc/data-protection-regulationblog

3 Data Subjects are entitled to have data rectified if it is inaccurate or incomplete.

If the data in question has been disclosed to third parties, you must inform the third parties of the rectification, and the Data Subject about the third parties involved.

The controller must respond within one month. This can be extended by two months where the request for rectification is complex.

If you decide to take no action in response to a request for rectification, then you must explain why, informing the Data Subject of their right to complain to the supervisory authority and to a judicial remedy.

Tribal Group plc 61

Right to Rectification (Article 5(1)(d), 16; Recital 39, 59, 65, 73)

4 Otherwise known as “the right to be forgotten”, this right entitles the

data subject to require an organisation that holds their personal data to delete those data, cease further distribution of the data, and have third parties halt processing of the data where the retention is not GDPR compliant.

The right, however, is not an absolute right. In most cases, provided that an organisation has a lawful basis for processing personal data, it will not be significantly affected by the right to be forgotten.

Tribal Group plc 62

Right to Erasure (Article 17; Recital 65-66, 68)

5 Under the DPA, individuals have a right to ‘block’ or suppress processing

of personal data. The restriction of processing under the GDPR is similar.

When processing is restricted, you are permitted to store the personal data, but not process it further. You can retain just enough information about the individual to ensure that the restriction is respected in future.

If you have disclosed the personal data in question to third parties, you must inform them about the restriction on the processing of the personal data, unless it is impossible or involves a disproportionate effort to do so.

Tribal Group plc 63

Right to Restrict Processing(Article 18, 19; Recital 67)

6 The right to data portability allows individuals to obtain and reuse a

digital copy of their personal data in a safe and secure manner.

Data covered by a portability request includes: ‘personal data’ that the data subject has provided and ‘observed data’ (i.e. anything observed or measured, such as Marks/Grades or Attendance records)

Data excluded includes: ‘derived data’ (e.g. data calculated using other values, for example ranking data) and ‘Inferred data’ (e.g. data created using predictive analytics, such as a student risk/intervention record).

Tribal Group plc 64

Right to Data Portability (Article 20; Recital 68, 73; WP29)

7 Data subjects have the right to object to the processing of their personal

data, where the basis for that processing is either public interest; or legitimate interests of the controller.

The burden of proof is now with the controller who must cease such processing unless it can demonstrate compelling legitimate grounds for the processing which override the interests, rights and freedoms of the data subject; or requires the data in order to establish, exercise or defend legal rights. This is unlikely to impact universities or colleges as they rely upon a different legal basis for processing.

Tribal Group plc 65

Right to Object to Processing(Article 21; Recital 50, 59, 69-70, 73)

8 Data subjects have the right not to be subject to a decision based solely

on automated processing of their personal data which significantly impacts them (including profiling) without human intervention.

Processing is permitted where it is necessary for entering into or performing a contract with the data subject provided that appropriate safeguards are in place; it is authorised by law; or explicit consent has been obtained.

Tribal Group plc 66

Rights related to automated decision making(Article 22; Recital 71, 75)

9 Breach notifications to the ICO are mandatory where they are likely to

“result in a risk for the rights and freedoms of individuals”.

Notification must occur within 72 hours of the breach. Data processors will also be required to notify their customers, the controllers, “without undue delay” of any data breach.

Where a breach is likely to result in a “high risk” to the rights and freedoms of individuals, those concerned must be notified directly “without undue delay,” and be provide with specific information about the steps they should take to protect themselves.

Tribal Group plc 67

Right to Breach Notification (Article 34, A29 WP)

1

0 Any data subject has the right to lodge a complaint with a supervisory

authority (in the UK this is the ICO) if they consider that the processing of personal data relating to him or her infringes the GDPR.

Upon investigation, the supervisory authority shall inform the complainant on the progress and the outcome of the complaint.

The data subject has the right to an effective judicial remedy where the supervisory authority does not handle a complaint or does not inform the data subject within three months on the progress or outcome of the complaint.

Tribal Group plc 68

Right to Lodge a Complaint (Article 77-79; Recital 141, 143, 145)

1

1 Any data subject has the right to compensation for material, or non-

material damage resulting from a GDPR infringement.

Compensation can be sought from the controller and processor.

Tribal Group plc 69

Right to Compensation (Article 82)

Key Takeaways…..

FEES: In most cases, the GDPR does not permit fees to be charge. There is a risk that individuals will attempt to exercise their rights merely because they can, or as a cheap but effective means of protest. This may result in an increase in administrative costs on your organisation. There is no limit on the cost of a SAR. Recent Court of Appeal cap at £120k.

MANDATORY INFORMATION: The GDPR expands the mandatory categories of information which must be supplied in connection with a subject access request. Such requests will place an even greater burden on your DPO’s than currently experienced.

TIME LIMITS: The introduction of specified time limits under the GDPR results in more onerous compliance obligations for controllers.

SUBJECT ACCESS REQUESTS: SAR’s do not have to include the words “Subject Access” or refer to the GDPR to constitute a valid SAR. Just because a SAR ends up sitting in the wrong in-tray, it does not make it any less valid. It’s therefore essential to ensure all staff can recognise a SAR, and know exactly who to pass them on to.

20 December 2017 Tribal Group plc 70

A free pocket book, based on a summary of this presentation will be available in Jan 2018.

To obtain your copy of this pocket book and today’s presentation, just register your interest on our stand or email me at:

71Tribal Group plc

[email protected]

mailto:[email protected]

Contact:

EMAILPHON

E

WWW.TRIBALGROUP.COM

@TRIBALGROUP

[email protected]

+44 771 3189384

I hope you found this useful!

Tribal Group plc 72

mailto:[email protected]

Required contract provisions for data protectionAnjeli Bajaj, Director of information and data compliance, University of Warwick

20/12/2017 73

Anjeli Bajaj - Information and Data Director, University of Warwick

Data Protection Officer

Overview Required Contract Provisions:

GDPR

Required Contract Provisions: Data Protection

Anjeli Bajaj - Information and Data Director, University of Warwick. Data Protection Officer 75

Focus – procuring services of a data processor

Commercial Terms run parallel

Data Compliance Schedule

- Data Protection terms

- PIA ( SIA) Article 25

- Security Measures

- 2% of GTO Article 83


Supplier of Services as Data Processor

» The GDPR enhances the responsibilities and liabilities of Data Processors it is still important to be clear as to the parties respective roles

breach reporting .

» Relevant legislative provision

› See S1(1) DPA, and Article 4(7) GDPR for the definitions of Data Controller and Data Processor.



The Contract between the DP and DC

»Should set out the subject matter, duration, nature, and purpose of the processing, the type of personal data that is processed, the categories of data subjects and the duties and rights of the DC.

»Relevant legislative provision

- Article 28 (3)


Supplier’s Obligations To Act on Instructions

» The DP must only act upon receipt of the Data Controller's documented instructions (evidence – expecting demonstration of compliance ).

» So as to limit the University’s exposure for non-compliant processing of personal data it is important for the University control the way in which the Supplier processes personal data.

» It is important therefore that in any accompanying commercial agreement the scope of the Service(s) to be provided by the Supplier is very clearly specified and that very clear instructions are given to the Supplier so that they can understand what their instructions are.


› Article 28 GDPR - Paragraphs 11 and 12 of Schedule 1 part II DPA.Anjeli Bajaj - Information and Data Director, University of Warwick. Data Protection Officer 78


Third Parties - Engaging Another Processor» The use by the Supplier of third parties needs to be strictly regulated and

expressly approved by the University.

» Only if, the DP has the DC's authorisation,

» the nomination is in a written contract or other legal act,

» has the same duties arranged with the DC,

» specifies the data protection obligations & the initial DP remains liable


› Article 28 (4)



Confidentiality

» Stipulate: Guarantee Confidentiality

» The DP shall ensure that all its staff processing the personal data are committed to confidentiality duties or other appropriate statutory obligation of confidentiality.


› Article 28 (3b) .



Duty of Assistance to the DC

DP must assist to respond the data subject's requests, security processing, the duties in case of a data breach, data protection impact assessment and prior consultation.



Security Measures

» It is a legal requirement for the University to ensure that the Supplier has in place appropriate technical and organisational measures to ensure a level of security appropriate to the risk.

» A security measures appendix to your Data Compliance Schedule will stipulate the Security measures the Supplier will be required to put in place as a minimum.

» Not an exhaustive list .



Security Measures – continued» Contractual provision to ensure that it is the Supplier’s responsibility to

ensure that the measures it puts in place are sufficient to comply the Data Protection Legislation.


› Article 32 GDPR & article 28 (3c) .



Data Breach

» The University is required to notify the Information Commissioner of any personal data breach within 72 hours of becoming aware of it, unless that breach is unlikely to result in a risk to the rights and freedoms of natural persons.

» This is an assessment which the Information and Data Compliance team will need to make. Given the time frames involved it is imperative that Data Compliance Schedule includes provisions for data breaches .


› Article 33 GDPR.



Requests from Data Subjects

» The legislation sets out clearly the steps which the University must take if a data subject requests a copy of his/her personal data. In order to ensure compliance with the legislation it is important that such requests are passed as quickly as possible to the Information and Data Compliance team.


› Articles 13-20 GDPR.



Audit

Demonstrate Compliance

The DP should make available to the DC all the necessary information to demonstrate compliance. Allow carrying out audits, inspections, by the DC or auditor that the DC has mandated, and contribute to these checks.

Relevant legislative provision

› Article 28 (3h)GDPR.



Register of Treatments

Demonstrate Compliance

Unless exempted in line with Art. 30 (5) GDPR, the DP should maintain a register that lists all clients and describes the treatments that its perform on their account. The content is set out in Art. 30 (2) GDPR.


› Article 28 (3h)GDPR – Recital 82



Warning and Advice

The DP must inform the DC without undue delay if, under its opinion, a DC's instruction infringes the GDPR or other Union or Member State data protection law.


Article 28 (3h)



Data Transfers

» The rules governing the transfer of personal data outside the EEA are strict and complex. Generally such transfers should be avoided if at all possible although it is recognised that occasionally they may need to take place. Where there is to be any transfer of data outside of the EEA an assessment needs to be made as to the legal basis for that transfer, the adequacy of the data protection legislation in that country and what other safeguards need to be put in place. Accordingly, clause 5’s initial starting point is that transfers outside the EEA are not permitted but where express approval for these is given those transfers have to be restricted and carefully monitored.


› Articles 13-20 GDPR /Model ContractsAnjeli Bajaj - Information and Data Director, University of Warwick. Data Protection Officer 89


Data Treatment on termination

» Return of data.

» Secure Deletion


› Article 28 GDPR.



Indemnity» The Data Compliance Schedule needs to include comprehensive indemnity

from the Supplier and a requirement for the Supplier to put in place adequate insurance to cover it if the indemnity is called upon.

» It is recognised that often commercial agreements include limitations on liability and more restrictive indemnities. In the circumstances, breach of the Data Compliance Schedule should be expressly carved out of any limitation on liability and this should be borne in mind when discussing the indemnities in any commercial agreement.



Indemnity – continued

» Whilst it is recognised that on occasion suppliers may seek to resist the indemnity in the Data Compliance Schedule however no variation to this should be agreed without the Information and Data Compliance team’s prior agreement.


› Articles 83 GDPR.



Training

» Training is a key component of security and privacy by design and default.


› Article 5,

› Article 28,

› Article 32,

› Article 35.




Type of

contract/agreement

Relationship Requirement T

e

m

p

l

a

t

e

Data sharing

agreement

Controller to controller Data sharing agreement

Controller to processor Draft data sharing agreement and attach data compliance schedule

Institutional agreement

where IDC are asked to

insert a DP schedule

Controller to controller Data sharing agreement

Controller to processor Insert data compliance schedule and where required a data sharing agreement

Supplier legal contract Check if any DP provisions and review. Separate data sharing agreement and data compliance schedule required. Clause in

supplier legal contract to be inserted referring to these documents.

Controller to processor Negotiating point begins with our data compliance schedule

Accreditation bodies Controller to controller Data Sharing Agreement

Auditors speaking to students Informed consent required

Controller to processor External auditing data provision agreement

Auditors Controller to controller Data Sharing

Controller to processor External auditing data provision agreement


Geek-DPR: how you still need ICTTim Rodgers, Compliance and information governance manager, Imperial College London

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GDPR implications for researchAndrew Charlesworth, Reader in IT and the law, University of Bristol

20/12/2017 96

The GDPR and ResearchAndrew Charlesworth

Centre for IT & Law

University of Bristol Law School

I must recognise … that the [Data Protection] Act [1998] is of notorious obscurity…”

Lindsay J. in Douglas v. Hello! Ltd (No.7) (2004)

“Hold our beer…”The GDPR & UK Data Protection Bill

Background

• Cross-disciplinary post in Law & Computer Science (2001-2016)

• Author, Jisc DP Code of Practice for FE and HE (2001 & 2007)

• Empirical Researcher in a Social Sciences Faculty (2001–)

• Member/Chair, Law School Research Ethics Committee (2006-)

• Author, Jisc Data Protection and Research Data (2014-15)

• Member/Chair, University Research Data Access Committee (2015-)

The GDPR: Issues I

• Anonymity & Pseudonymisation – R.26, 28 & 29 + Art.4(5)

• Further processing – R.50 + Art.5(1)(b) (+ Art.89(1) + R.156 + Art.9)

• Storage – Art.5(1)(e) (+ Art.89)

• Lawfulness of processing - Art.6(1)• Consent - Art.6(1)(a) BUT Art.9(2)(j)• Public interest - Art 6(1)(e) + R.45• Legitimate interests Art.6(1)(f) + R.47 (are Universities ‘public authorities’?)

• Consent – R.33 + Art.7

• Special categories of personal data – Art.9 inc. Art.9(2)(j) (+Art.89)• Also Art. 9(2)(g) - further alternatives in the substantial public interest

The GDPR: Issues II

• DSR: Information provided to data subject • Where obtained from data subject - Art.13

• Where not obtained from data subject - Art.14(5)(b) (+ Art.89)

• DSR: Right to erasure – Art.17(3)(d) (+ Art 89)

• DSR: Right to object – Art.21(6) (+ Art.89)

• Freedom of expression and information – Art.85

• Processing for historical, statistical and scientific research purposes – Art.89 + R.156.

The GDPR: Issues III

• Art.89(1) + R156 - requires safeguards for the processing of personal data for research. If provided these derogations/special provisions are enabled:

• Art.5(1)(b) and (e) - further processing and storage• Art.9(2)(j) - processing of special categories of data• Art.14(5)(b) - information requirements-• Art.17(3)(d) - right to erasure• Art.21(6) - right to object

• Technical and organisational approaches must ensure the processing of personal data is limited to the minimum needed

• Anonymous data should be used instead of personal data where possible

The GDPR: Issues IV

• Art.89(2) - Union or Member States can legislate further derogations from the following data subject rights, inc:

• Art.15 - right to subject access

• Art. 16 - right to rectification

• Art. 17a - right to restriction of processing

• Art. 19 - right to object

• + others in R.156

• IF the conditions of A.89(1) are met; AND applying the right would seriously compromise the purpose; AND the derogations are necessary for the purpose to be achieved.

Data Protection Bill

• Currently Sch.2 Pt.6 s.25 & 26 – derogations under Art.86(2) GDPR• Art. 15(1) to (3) (confirmation of processing, access to data and

safeguards for third country transfers);

• Art. 16 (right to rectification);

• Art. 18(1) (restriction of processing);

• Art. 21(1) (objections to processing).

• IF data is processed in accordance with Art. 89(1) AND for Arts. 15(1)-(3), the results of the research or any resulting statistics are not made available in a form which identifies a data subject

Pragmatics I

• The EU is keenly aware of the potential impact of the GDPR on research, both public & private.

• The existing framework for UK research compliance will remain broadly the same.

• BUT there is scope for divergence in exemptions and derogations between EU Member States, with implications for cross-border research collaborations.

• As a social sciences researcher and REC member, my key issues are:• Education of researchers;

• Accountability and research governance;

• Addressing consent as both a legal and ethical requirement, and the alternatives to consent.

Pragmatics II

• Different academic disciplines face varying challenges to existing practices - avoid ‘one-size-fits-all’ solutions and ‘quick fixes’.

• RECs already address DP (to varying degrees) – they can identify discipline-specific risks, good practice and problems with suggested ‘solutions’

• As RECs have varying expertise in DP, it is important that they are not simply used as ‘gatekeepers’, but rather trained/developed as ‘facilitators’.

• Research training, research data management plans, workflow• ‘privacy by design’ and ‘privacy impact assessment’ elements

• Accountability• We do forms and training, but do we really do accountability?

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