1. Policy statement
CA Ventures (sometimes referred to herein as the “firm”) is committed to comply with the General Data Protection Regulation (GDPR) (EU) 2016/679 as an institution, an employer and a service provider. The GDPR is a regulation in EU law on data protection and privacy for individuals in the European Union and European Economic Area. Specific requirements of the GDPR are included as Appendix A.
In order to do this, the firm will:
- obtain consent when collecting personal data or rely on appropriate legal grounds for processing personal
- inform people what is being done with their personal data
- keep personal data safe and secure
- observe the rights of individuals under the GDPR
- ensure staff are appropriately trained in managing personal data
- ensure that records containing personal data are effectively managed
2. Introduction and scope
The GDPR requires the firm to manage personal data of data subjects who are in the European Union according to principles and guidelines provided and or governed by EU Commission.
The Information Commissioner’s Office website contains a wide range of policy and guidance around Data Protection: https://ico.org.uk/
This policy covers all the CA Ventures HQ, Regional and International offices and activities.
Personal data are data which can identify living individuals. As well as images, names and contact details, it can also include numerical or statistical information from which an individual’s identity can be derived.
Sensitive personal data are personal data relating to an individual’s racial or ethnic origin, health, sexual life, trade union membership, criminal records or religious belief. This data requires a greater level of consideration when being collected, processed or transferred.
A Data Subject is the individual who is the subject of personal data.
A Data Controller determines the purposes for which personal data are processed. The controller is ultimately responsible for the personal data, whether they pass the data to a processor or not. This includes the responsibilities of responding to Subject Access Requests and complaints from data subjects.
A Data Processor is any individual or organization who processes personal data on behalf of – and according to the purposes defined by – the data controller.
4. CA Ventures will obtain consent where necessary when collecting personal data
CA Ventures collects personal data in the course of registering and communicating with applicants or prospective or actual residents for residing at residences, employing staff, or providing services to customers. CA Ventures will obtain consent from such data subjects unless at least one of the conditions or exemptions in the GDPR for the processing of personal data without consent applies.
If further processing occurs beyond the purposes for which the data has been collected, then consent should be sought again, unless another condition or exemption in the GDPR applies.
Consent should be obtained using an ‘opt‐in’ by the data subject rather than an ‘opt‐out’. CA Ventures will not assume consent has been given simply by the absence of an objection. The data subject has the right to withdraw his or her consent at any time.
5. CA Ventures will inform people what is being done with their data
Individuals providing their personal data to CA Ventures and or its affiliated entities should be aware who the data controller is and what will be done with their data. CA Ventures will take appropriate steps to ensure any data processors comply with applicable safeguards relating to personal data.
In order to process personal data, a data controller such as CA Ventures has to keep the collected personal data secured and make it available if required to be submitted upon request of the local concerned regulatory authority in compliance with the GDPR’s principles and guidelines.
All new projects or services at CA Ventures involving the processing of personal data should be reported to the legal services team to ensure compliance with the guidelines and principles set by applicable regulatory authorities.
6. CA Ventures will keep personal data safe and secure
The GDPR requires that ‘appropriate technical and organizational measures shall be taken against unauthorized or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data’.
CA Ventures will manage the personal data it processes in a secure way. This applies to paper and electronic records systems. Systems should be access controlled, staff appropriately trained, and security processes should be developed and understood. Appropriate monitoring and reporting on data security risks, initiatives and developments will be undertaken by the CA Ventures’ internal management groups.
In the event that CA Ventures engages a third party as a data processor for its personal data, a specific written contract with the data processor providing assurance of security provisions should be in place. The firm will not rely solely on the data processor’s set ‘terms and conditions’. Transfers of personal data outside the European Economic Area (EEA) will be managed according to the principles and guidelines of the GDPR.
7. CA Ventures will serve the rights of individuals under the Act
Individuals – including firm staff, customers, vendors, and investors – have a number of rights under the GDPR. These include a right to prevent processing likely to cause damage or distress, and a right to prevent processing for the purposes of direct marketing.
The ‘Subject Access Right’ requires CA Ventures to supply data subjects with information about the data which they hold on them (including copies of the data) if requested to do so. Requests must be made in writing. The information requested must be supplied promptly, and no later than 40 days after the receipt of the request. The 40‐day deadline is a statutory requirement, and staff are reminded of the need to ensure that subject access requests are completed within this time period.
8. CA Ventures will ensure staff are appropriately trained in managing personal data
CA Ventures is responsible for ensuring compliance with GDPR by producing policy and training and providing advice on the activities of specific departments or the undertaking of specific projects.
All employees will be responsible for complying with the GDPR and acknowledging this aspect of their employment terms.
CA Ventures shall designate the individual or entity to provide the following training and information for staff with respect to Data Protection:
Targeted training for specific departments and employees will be carried out as is necessary to comply with GDPR training requirements. Such training will be open to any interested staff.
The Data Protection page on ICAV of the staff intranet will feature guidance and practical information for staff around Data Protection. Data Protection issues will be communicated via intranet news items to keep staff informed and maintain awareness.
Response to queries / provision of advice
Staff can contact the legal services team by phone or by email firstname.lastname@example.org for advice on specific issues.
9. CA Ventures will ensure that records containing personal data are effectively managed
Staff can contact the Legal Services team by phone or by email at email@example.com for advice on specific issues.
Good records management is essential to comply with the GDPR. CA Ventures will ensure that the personal data kept is:
- Adequate, relevant and not excessive for the purposes it has been collected for
- Accurate and up‐to‐date
- Kept only for as long as is necessary, according to the retention schedules maintained by CA Ventures
CA Ventures has enacted a Data Protection Policy and Records Retention and Protection Policy to accomplish these goals.
10. Third party access to personal data
CA Ventures may be asked by a third party to disclose information regarding an individual. For example, the firm may be contacted by the police or other authorities where the information is required in connection with matters such as the fraud prevention, the prevention or detection of crime or the assessment or collection of tax, or where disclosure is required by law or is necessary in connection with legal proceedings. CA Ventures will only make disclosures of this kind on receiving a certificate from the authority seeking the information to the effect it falls within a relevant exemption.
Any requests from outside authorities such as the police or the courts for the disclosure of personal data should be made in writing or referred to the Legal Services team at firstname.lastname@example.org
If a third party requests proof, confirmation and/or verification of employment, the requests must be submitted in writing along with the signed consent of the subject and must be submitted via https://www.theworknumber.com.
Any complaints related to Data Protection should be directed to the CA Ventures Legal Services team at: email@example.com. The Legal Services team will respond according to the general guidelines set out in the CA Ventures complaints procedure.
Any questions relating to the Data Protection Act or this policy should be directed to the Legal Services team at: firstname.lastname@example.org
12. Appendix A – The General Data Protection Principles & Guidelines
The regulation contains the following key requirements:
The regulation applies if the data controller (an organization that collects data from EU residents), or processor (an organization that processes data on behalf of a data controller like cloud service providers), or the data subject (person) is based in the EU. Under certain circumstances, the regulation also applies to organizations based outside the EU if they collect or process personal data of individuals located inside the EU.
According to the European Commission, “personal data is any information relating to an individual, whether it relates to his or her private, professional or public life. It can be anything from a name, a home address, a photo, an email address, bank details, posts on social networking websites, medical information, or a computer’s IP address.”
The regulation does not purport to apply to the processing of personal data for national security activities or law enforcement of the EU; however, industry groups concerned about facing a potential conflict of laws have questioned whether Article 48 of the GDPR could be invoked to seek to prevent a data controller subject to a third country’s laws from complying with a legal order from that country’s law enforcement, judicial, or national security authorities to disclose to such authorities the personal data of an EU person, regardless of whether the data resides in or out of the EU. Article 48 states that any judgement of a court or tribunal and any decision of an administrative authority of a third country requiring a controller or processor to transfer or disclose personal data may not be recognized or enforceable in any manner unless based on an international agreement, like a mutual legal assistance treaty in force between the requesting third (non-EU) country and the EU or a member state. The data protection reform package also includes a separate Data Protection Directive for the police and criminal justice sector that provides rules on personal data exchanges at national, European, and international levels.
Single set of rules and one-stop shop
A single set of rules will apply to all EU member states. Each member state will establish an independent supervisory authority (SA) to hear and investigate complaints, sanction administrative offences, etc. SAs in each member state will co-operate with other SAs, providing mutual assistance and organizing joint operations. If a business has multiple establishments in the EU, it will have a single SA as its “lead authority”, based on the location of its “main establishment” where the main processing activities take place. The lead authority will act as a “one-stop shop” to supervise all the processing activities of that business throughout the EU (Articles 46–55 of the GDPR). A European Data Protection Board (EDPB) will coordinate the SAs. EDPB will replace the Article 29 Data Protection Working Party.
There are exceptions for data processed in an employment context or in national security that still might be subject to individual country regulations (Articles 2(2)(a) and 88 of the GDPR).
Responsibility and accountability
To be able to demonstrate compliance with the GDPR, the data controller must implement measures which meet the principles of data protection by design and by default. Privacy by design and by default (Article 25) require data protection measures to be designed into the development of business processes for products and services. Such measures include pseudonymizing personal data, by the controller, as soon as possible (Recital 78). It is the responsibility and the liability of the data controller to implement effective measures and be able to demonstrate the compliance of processing activities even if the processing is carried out by a data processor on behalf of the controller (Recital 74).
Data protection impact assessments (Article 35) have to be conducted when specific risks occur to the rights and freedoms of data subjects. Risk assessment and mitigation is required and prior approval of the national data protection authorities (DPAs) is required for high risks.
Data protection officers (Articles 37–39) are required to ensure compliance within organizations. They have to be appointed: (i) for all public authorities, except for courts acting in their judicial capacity, (ii) if the core activities of the controller or the processor consist of processing operations, which, by virtue of their nature, their scope and/or their purposes, require regular and systematic monitoring of data subjects on a large scale, or (iii) if the core activities of the controller or the processor consist of processing on a large scale of special categories of data pursuant to Article 9 and personal data relating to criminal convictions and offences referred to in Article 10.
Data may not be processed unless there is at least one lawful basis to do so, such as:
The data subject has given consent to the processing of 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 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 controller is subject;
Processing is necessary 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 controller; or
Processing is necessary for the purposes of the legitimate interests pursued by the controller or by a third party unless such interests are overridden by the interests or fundamental rights and freedoms of the data subject, which require protection of personal data, in particular if the data subject is a child.
If consent is used as the lawful basis for processing, consent must be explicit for data collected and the purposes data is used for (Article 7; defined in Article 4). Consent for children must be given by the child’s parent or custodian, and verifiable (Article 8). Data controllers must be able to prove “consent” (opt-in) and consent may be withdrawn.
The area of GDPR consent has a number of implications for businesses who record calls as a matter of practice. The typical “calls are recorded for training and security purposes” warnings will no longer be sufficient to gain assumed consent to record calls. Additionally, when recording has commenced, should the caller withdraw their consent then the agent receiving the call must be able to stop a previously started recording and ensure the recording does not get stored.
Data protection officer
See also: European Commission Data Protection Officer
If the processing is carried out by a public authority, except for courts or independent judicial authorities when acting in their judicial capacity or if, in the private sector, processing is carried out by a controller whose core activities consist of processing operations that require regular and systematic monitoring of the data subjects, a person with expert knowledge of data protection law and practices should assist the controller or processor to monitor internal compliance with this regulation.
The DPO is similar to a compliance officer and is also expected to be proficient at managing IT processes, data security (including dealing with cyberattacks) and other critical business continuity issues around the holding and processing of personal and sensitive data. The skill set required stretches beyond understanding legal compliance with data protection laws and regulations.
The appointment of a DPO in a large organization will be a challenge for the board as well as for the individual concerned. There are myriad governance and human factor issues that organizations and companies will need to address given the scope and nature of the appointment. In addition, the DPO must have a support team and will also be responsible for continuing professional development to be independent of the organization that employs them, effectively as a “mini-regulator.”
More details on the function and the role of data protection officer were given on 13 December 2016 (revised 5 April 2017) in a guideline document.
The GDPR refers to pseudonymization as a process that is required when data is stored (as an alternative to the other option of complete data anonymization) to transform personal data in such a way that the resulting data cannot be attributed to a specific data subject without the use of additional information. An example is encryption, which renders the original data unintelligible and the process cannot be reversed without access to the correct decryption key. The GDPR requires for the additional information (such as the decryption key) to be kept separately from the pseudonymized data.
Another example of pseudonymization is tokenization, which is a non-mathematical approach to protecting data at rest that replaces sensitive data with non-sensitive substitutes, referred to as tokens. The tokens have no extrinsic or exploitable meaning or value. Tokenization does not alter the type or length of data, which means it can be processed by legacy systems such as databases that may be sensitive to data length and type.
That requires much fewer computational resources to process and less storage space in databases than traditionally-encrypted data. That is achieved by keeping specific data fully or partially visible for processing and analytics while sensitive information is kept hidden.
Pseudonymization is recommended to reduce the risks to the concerned data subjects and also to help controllers and processors to meet their data protection obligations (Recital 28).
The GDPR encourages the use of pseudonymization to “reduce risks to the data subjects” (Recital 28).
Under the GDPR, the data controller is under a legal obligation to notify the supervisory authority without undue delay unless the breach is unlikely to result in a risk to the rights and freedoms of the individuals. There is a maximum of 72 hours after becoming aware of the data breach to make the report (Article 33). Individuals have to be notified if adverse impact is determined (Article 34). In addition, the data processor will have to notify the controller without undue delay after becoming aware of a personal data breach (Article 33).
However, the notice to data subjects is not required if the data controller has implemented appropriate technical and organizational protection measures that render the personal data unintelligible to any person who is not authorized to access it, such as encryption (Article 34).
Right of access
The right of access (Article 15) is a data subject right. It gives citizens the right to access their personal data and information about how this personal data is being processed. A data controller must provide, upon request, an overview of the categories of data that are being processed (Article 15(1)(b)) as well as a copy of the actual data (Article 15(3)). Furthermore, the data controller has to inform the data subject on details about the processing, such as the purposes of the processing (Article 15(1)(a)), with whom the data is shared (Article 15(1)(c)), and how it acquired the data (Article 15(1)(g)).
Right to erasure
A right to be forgotten was replaced by a more limited right of erasure in the version of the GDPR that was adopted by the European Parliament in March 2014. Article 17 provides that the data subject has the right to request erasure of personal data related to them on any one of a number of grounds, including noncompliance with Article 6(1) (lawfulness) that includes a case (f) if the legitimate interests of the controller is overridden by the interests or fundamental rights and freedoms of the data subject, which require protection of personal data (see also Google Spain SL, Google Inc. v Agencia Española de Protección de Datos, Mario Costeja González).
A person is to be able to transfer personal data from one electronic processing system to and into another, without being prevented from doing so by the data controller. Data that has been sufficiently anonymized is excluded, but data that has been only de-identified but remains possible to link to the individual in question, such as by providing the relevant identifier, is not. Both data being ‘provided’ by the data subject and data being ‘observed’, such as about behavior, are included. In addition, the data must be provided by the controller in a structured and commonly used standard electronic format. The right to data portability is provided by Article 20 of the GDPR. Legal experts see in the final version of this measure a “new right” created that “reaches beyond the scope of data portability between two controllers as stipulated in [Article 20]”.
Data protection by design and by default
Data protection by design and by default (Article 25) requires data protection to be designed into the development of business processes for products and services. Privacy settings must therefore be set at a high level by default, and technical and procedural measures should be taken by the controller to make sure that the processing, throughout the whole processing lifecycle, complies with the regulation. Controllers should also implement mechanisms to ensure that personal data is not processed unless necessary for each specific purpose.
A report by the European Union Agency for Network and Information Security elaborates on what needs to be done to achieve privacy and data protection by default. It specifies that encryption and decryption operations must be carried out locally, not by remote service, because both keys and data must remain in the power of the data owner if any privacy is to be achieved. The report specifies that outsourced data storage on remote clouds is practical and relatively safe if only the data owner, not the cloud service, holds the decryption keys.
Records of processing activities
Records of processing activities must be maintained that include purposes of the processing, categories involved and envisaged time limits. The records must be made available to the supervisory authority on request (Article 30).
Within GDPR there is a distinct difference between B2C (business to consumer) and B2B (business to business) marketing. Under GDPR there are six grounds to process personal data, these are equally valid. There are two of these which are relevant to direct B2B marketing, they are consent or legitimate interest. Recital 47 of the GDPR states that “The processing of personal data for direct marketing purposes may be regarded as carried out for a legitimate interest.”
Using legitimate interest as the basis for B2B marketing involves ensuring key conditions are met:
“The processing must relate to the legitimate interests of your business or a specified third party, providing that the interests or fundamental rights of the data subject do not override the business’ legitimate interest.”
“The processing must be necessary to achieve the legitimate interests of the organization.”
Additionally, Article 6.1(f) of the GDPR states that the processing is lawful if it is: “Necessary for the purposes of the legitimate interests pursued by the controller or by a third-party, except where such interests are overridden by the interests or fundamental rights and freedoms of the individual which require protection of personal information, in particular where the individual is a child”
The EU Commission stated that, “Unified data privacy laws will create extraordinary opportunities and motivating innovation for businesses not only within Europe but also for the organization who are willing to do business with European states.” The commission aims for companies to maintain communications and build regulation supporting relationships with each other to ensure best data practices through legitimate balance checks.