Jisc GDPR conference

Jisc GDPR Conference04/01/2018
1

Getting to grips with GDPR
David Reeve, Head of information strategy, Jisc
04/01/2018 2Getting to grips with GDPR

04/01/2018 3
Global spend estimated
at $300 to $500 billion
combating the bug

GDPR coverage in the newspapers
04/01/2018 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
04/01/2018 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
04/01/2018 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 29Working 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)

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)

Links to Jisc blogs
Step 6: Legal basis for processing personal data
What'sYour 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)

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. TheGDPR 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
mandatoryGDPR 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 theGDPR
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……
04/01/2018 12
Day one”

jisc.ac.uk
David Reeve
Head of information strategy

Practical applications of GDPR for FE
JoeYeadon, GodalmingCollege, jxy@godalming.ac.uk
04/01/2018 14Practical 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
FormAcademy

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!
04/01/2018 16
JoeYeadon

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?
04/01/2018 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)
12Stepsto
GDPR

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 forGDPR (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
04/01/2018 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 direction
04/01/2018 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?”
04/01/2018 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
04/01/2018 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 ManagementTeam 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
04/01/2018 25
In summary…
Summary

jisc.ac.uk
JoeYeadon
Head of ILT services
Godalming College
jxy@godalming.ac.uk

Developing an information asset register
from scratch
Rachael Maguire, Records Manager, London School of Economics
04/01/2018 28Developing an information asset register from scratch

»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 or
international 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).

How did we go about creating the IAR?
»CheckedTNA 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 Activity
Physical,
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
Electronic
Data 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
r.e.maguire@lse.ac.uk

Simplifying GDPR
Andrew Cormack, Chief regulatory adviser, (@Janet_LegReg)
04/01/2018 37Simplifying GDPR

The challenge…
04/01/2018
Smileys © Chris/Chrkl https://commons.wikimedia.org/wiki/SMirC
>80
pages
of law
>120
Jisc
services
<150
days
to go
38Simplifying GDPR

Need to simplify
04/01/2018 39
Where to start?
What’s needed?
How to explain it?
How to incorporate late guidance?
Simplifying GDPR

Where to start?

Scary services
04/01/2018 41
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
long-term relationship with
user
eduroam site
contact

Service categories
Risk
level
helpdesk
user
eduroam site
contact
3 User has relationship with
third party
eduroam user

Service categories
Risk
level
helpdesk
user
eduroam site
contact
third party
eduroam user
4 User may be unaware of
service’s existence
incident
response

Bundles
Groups of services likely to use same approach
04/01/2018 46
Type 1 (direct interaction): enquiry/response/done
Helpdesk-like
Type 2 (direct relationship): join/nominate/use
SiteLicence-like
Type 2 (as above) for site contact
Type 3 (indirect relationship) for users
FedAuth-like
More…?
Simplifying GDPR

What’s needed?

GDPR instruments
Sources of assurance to provider and user…
04/01/2018 48
• Explain key points to data subjects
User-friendly
privacy notice
• Assign legal responsibilities among partners
Contractual 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
04/01/2018 50
Risk
level
Relationship Example Privacy
notice?
Contract? Legal basis
test?
DPIA?
helpdesk
user
eduroam site
contact
third party
eduroam user
incident
response
Simplifying GDPR

Service categories
04/01/2018 51
Risk
level
notice?
test?
DPIA?
helpdesk  X X X
user
eduroam site
contact
third party
eduroam user
incident
response
Simplifying GDPR

Service categories
Risk
level
notice?
test?
DPIA?
helpdesk  X X X
user
eduroam site
contact
 ?  X
third party
eduroam user
incident
response

Service categories
Risk
level
notice?
test?
DPIA?
helpdesk  X X X
user
eduroam site
contact
 ?  X
third party
eduroam user    ?
incident
response

Service categories
Risk
level
notice?
test?
DPIA?
helpdesk  X X X
user
eduroam site
contact
 ?  X
third party
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
04/01/2018 56
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-notice
Simplifying GDPR

Initial thoughts on employee data

Possible employment activity categories
Same relationship with all, so now based on data type
04/01/2018 58
Risk
level
Type of data Example Privacy
notice?
test?
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…
04/01/2018 59
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-notice
Simplifying GDPR

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

jisc.ac.uk
Thanks
Andrew Cormack
Chief regulatory adviser, Jisc technologies
Andrew.Cormack@jisc.ac.uk
http://ji.sc/data-protection-
regulationblog

Student data and GDPR: what are their rights?
Paul Duller, IM consultancy director, services and solutions,Tribal
04/01/2018 63

Student Data and the GDPR:
What are their rights?
Dr Paul Duller
IM Consultancy Director
Tribal Group plc
6th December, 2017
Tribal Group plc

Tribal and the GDPR
TRIBAL provides services and technology to the education sector.
Many of our customers, rely on TRIBAL to manage, host and process
their student and staff data. As such, data protection is at the heart of
everything we do.
We are committed to ensuring that our systems, services and staff fully
comply with the GDPR (and that our clients do too!).
We are also delighted to be the sole sponsor today’s conference.
Tribal Group plc 65

Agenda
1. Overview
2. The Principles
3. Students Rights
4. The Guide for Students
Tribal Group plc 66

1. Overview
Tribal Group plc 67

The GDPR is the biggest
change to Data Protection
Law in 20 years …..

GDPR FINES: Up to €20M or 4% of global
turnover
Tribal Group plc 69

The
Timeframe
Effects
personal
data of all
EU citizens
Fines for
Non
complianc
e
NEW
Appointment
Data
Protection
Officer
Starting
point:
Review,
audit &
report
Plan &
provision
for
resources
and time
Appoint a
GDPR
Champion
Most activity is compliance-led
Discussion focused on what you and your team needs to know,
but not necessarily what your students need to know.
Tribal Group plc 70
This paper presents a more student-centric view of the GDPR, and forms the
basis of a student-friendly pocket book on GDPR, available in Jan 2018.

1. The
Principles
Tribal Group plc 71

General Data
Protection Regulation
•Replaces the UK Data Protection Act
•Effects any EU based organisation
processing personal data, and
•Effects any organisation processing
personal data or trading with individuals
within the EU.
2018
GDPR comes into force on the 25th May 2018
Tribal Group plc 72

What is Personal Data? (Article 4(1))
Tribal Group plc 73
Personal data is any data relating to a living individual who is or
can be identified directly or indirectly from the data.
• The GDPR applies to both automated personal data and to manual filing systems.
• Personal data that have been pseudonymised are within the scope of the GDPR, however
anonymised data is not.
• Personal data relating to criminal convictions & offences are not covered by GDPR (Article 10)

What is Processing? (Article 4(2))
Tribal Group plc 74
Processing is almost every act relating to personal data.
“Processing means any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated
means, such as collection, recording, organization, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by
transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction.”
Collection Storage Use Transfer
Retention &
Destruction
Personal data lifecycle
The GDPR applies to both electronic personal data processing and to manual filing systems.

Where is my data processed?
Tribal Group plc 75
It no longer matters if the data processing takes place
within the European Union or not, as long as data of
natural persons in the Union are processed.
This is an important advance for the privacy of individuals. In the past, major internet giants like Google and Amazon
could escape European privacy laws as they had a headquarters in Silicon Valley. Now the GDPR will also apply to
them as soon as they process personal data of European residents.

The GDPR Principles (Article 5(1))
 A key objective of the GDPR is to protect and strengthen the rights of data subjects.
 In general, the GDPR builds on existing data protection principles and adds tighter
obligations and restrictions on businesses.
 The GDPR does not have principles relating to individuals’ rights or the overseas
transfer of personal data. These are addressed in separate sections of the GDPR
legislation.
 The GDPR features new accountability and documentation duty (comply and be able to
demonstrate compliance)

1. Processed lawfully, fairly and in a transparent manner
2. Collected for specified, explicit and legitimate purposes
3. Adequate, relevant and limited to what is necessary
4. Accurate and, where necessary, kept up to date
5. Retained in an identifiable form for no longer than necessary
6. Processed in an appropriate manner to maintain security
Accountability(Article5(2))
The GDPR Principles (Article 5(1))

Lawfulness of Processing (Article 6 and 7)
All data processing must have a lawful basis to be legal under the GDPR.
 The majority of personal data processing undertaken by universities and colleges is
carried out under a contract between the student and the establishment, not by
consent.
 When reliant on consent to process data, the student will generally have stronger
rights, e.g. to have their data deleted, than if any other lawful basis apply.
 Requests for consent must be given in an intelligible and easily accessible form using
clear and plain language, together with the purpose for data processing.
 Consent must be a freely given, specific, informed and unambiguous. It must involve
some form of positive opt-in, and cannot be inferred from silence, pre-ticked boxes
or inactivity.
04 January 2018 Tribal Group plc 78

Identifying Data Subjects (Article 12(2),12(6); Recital 57, 64)
 The GDPR explicitly enables controllers to require data subjects to provide proof of
identity before giving effect to their rights.
 If there are reasonable doubts regarding the identity of the data subject, the controller
may request the provision of additional information to confirm the identity of the data
subject, but is not required to do so.

Time Limits (Article 12(3), 12(4); Recital 59)
 You will have less time to comply with a subject access request under the GDPR.
 Information must be provided without delay and at the latest within one month of
receipt.
 If you fail to meet this deadline, the data subject may complain to the ICO and may
seek a judicial remedy.
 If the controller receives large numbers of requests, or especially complex requests, the
time limit may be extended by a maximum of two further months.
 If this is the case, however, you must inform the individual within one month of the
receipt of the request and explain why the extension is necessary.

Fees for Access Requests (Article 12(5), 15(3), 15(4); Recital
59).
 The rights of access, rectification, erasure and the right to object, must be
provided free of charge.
 The controller may charge a reasonable fee for "repetitive requests",
"manifestly unfounded or excessive requests" or "further copies".
 This may have a significant effect on organisations who receive large numbers of
requests and may result in an increase in administrative costs.
 At present there is insufficient guidance on what is meant by “manifestly
unfounded or excessive”, so approach this with some caution.

2. Students Rights
Tribal Group plc 82

1. Right to basic information
2. Right of access
3. Right to rectification
4. Right to erasure (new)
5. Right to restrict processing
6. Right to data portability (new)
7. Right to object
8. Rights related to automated decision making and profiling
9. Right to breach notification
10. Right to lodge a complaint
11. Right to compensation
Students Rights

 Under the GDPR data subjects (the “students”) have the right to
confirmation as to whether their personal data is being processed, and
the to receive a minimum set of information regarding the purposes for
processing.
 This includes the identity of the controller, the reasons for processing
their personal data and other relevant information necessary to ensure
the fair and transparent processing. (This is usually documented in a
Privacy Notice).
Tribal Group plc 84
1 Right to basic information
(Article 13-14; Recital 58, 60)

Content of a Privacy Notice
 Identity and contact details of the controller and
the data protection officer (DPO)
 Purpose of the data processing
 Lawful basis for the processing
 Legitimate interests of the controller/third party
 Categories of personal data processed
 The recipient or categories of recipients of the
personal data
 Details of transfers to third country and
safeguards
 Retention period or criteria used to determine
the retention period
 The right to withdraw consent at any time, where
relevant
 The right to lodge a complaint to the ICO
 Whether the provision of personal data is part of
a statutory or contractual requirement or
obligation
 The possible consequences of failing to provide
the personal data
 The existence of automated decision making,
including profiling and information about how
decisions are made, the significance and the
consequences.
Information must be provided in a concise, transparent, intelligible and easily accessible form, using clear and plain language.
The information given to the data subject should not consist of privacy policies that are excessively lengthy or difficult to understand.

2 Data Subjects are also entitled to access the following information:
 the reasons why their data is being processed;
 the description of the personal data concerning them;
 Details of who has received or will receive their personal data; and
 details of the origin of their data if it was not collected from them.
Tribal Group plc 86
Right of Access
(Article 15; Recital 63)

2  If a student wishes to exercise their subject access right and receive
a copy of their personal data, a subject access request (SAR)must be
made in writing.
 This request does not have to include the words “Subject Access” or
refer to the GDPR for it to constitute a SAR.
 Subject Access Requests may be made electronically. If they are, the
information should also be provided in a commonly-used electronic
format, unless otherwise requested.
Tribal Group plc 87
Right of Access
(Article 15; Recital 63)

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 88
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 89
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 90
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 91
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 92
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 93
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 94
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 95
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 96
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.

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:
98Tribal Group plc
Paul.duller@tribalgroup.com

Contact:
EMAIL
PHON
E
WWW.TRIBALGROUP.COM
@TRIBALGROUP
Paul.duller@tribalgroup.com
+44 771 3189384
I hope you found this useful!
Tribal Group plc 99

Required contract provisions for data protection
Anjeli Bajaj, Director of information and data compliance,
University ofWarwick
04/01/2018 100

Anjeli Bajaj - Information and Data Director,University of Warwick
Data ProtectionOfficer
Overview Required Contract Provisions:
GDPR

Required Contract Provisions: Data Protection
Anjeli Bajaj - Information and Data Director, University of Warwick. Data Protection Officer 102
Focus – procuring services of a data processor
CommercialTerms 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 ObligationsTo 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.

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 ofTreatments
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)

DataTransfers
» 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 Contracts

DataTreatment 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 ICT
Tim Rodgers, Compliance and information governance manager,
Imperial College London
04/01/2018 123

GDPR implications for research
Andrew Charlesworth, Reader in IT and the law, University of Bristol
04/01/2018 124

The GDPR and Research
Andrew 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?

Jisc GDPR Conference04/01/2018
136

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