Privacy Notice and Information regarding your right to object

Privacy Notice and Information regarding your right to object

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Data protection information for staff and similar data subjects

As at January 2019

Note: This documents is intended for employees of HSBC Deutschland, for applicants and individuals with whom we have entered into a service contract, a contract for works, an agreement for the supply of contract labour, or a consultancy agreement

The following information is intended to provide you with an overview of the way in which we process your personal data and of your rights under data protection law. The specific data processed, and the uses to which that data is put, is determined by statutory provisions and the contractual agreements between you and us. This information is intended for individuals with whom we have concluded an employment contract (employee), and for applicants and individuals with whom we have entered into a service contract, a contract for works, an agreement for the supply of contract labour, or a consultancy agreement (similar data subjects). It may therefore be that not all the information below relates to you.

1. Who is responsible for data processing and who can I contact?

The data controller is:

HSBC Trinkaus & Burkhardt AG
Königsallee 21/23
40212 Düsseldorf, Germany
Tel: +49 (0)211 9100
Fax: +49 (0)211 910 616
Email address: info@hsbc.de

Our data protection officer can be reached at the following address

HSBC Trinkaus & Burkhardt AG
Data Protection Officer
Königsallee 21/23
40212 Düsseldorf, Germany
Tel: +49 (0)211 910 2006
Fax: +49 (0)211 9109 2125
Email address: datenschutz@hsbc.de

2. Which sources and data do we use?

We process personal data that we obtain from our employees and similar data subjects during the initiation of employment relationships or in the course of such relationships. Where it is necessary in order for us to establish or conduct an employment relationship, we also process personal data that we lawfully obtain from publicly available sources (e.g. press, internet, professional networks) or that is legitimately provided to us by other companies within the HSBC Group. In certain circumstances, your personal data is also collected by other organisations on the basis of statutory provisions. This includes, in particular, ad hoc requests for tax-relevant information by the competent tax authority and information concerning periods of incapacity for work collected by the relevant health insurance company. We may also have received data from third parties (e.g. an employment agency).

The categories of personal data processed include, in particular,

- core data (such as name, address and other contact details, personnel number, date and place of birth and nationality),
- credentials (e.g. ID data),
- family information (e.g. marital status, information about your children),
- religious affiliation,
- social data, social insurance number, pension insurance number, tax identification number, bank account details and salary data,
- health data (so far as this is relevant to the employment relationship, e.g. if severely disabled),
- any previous convictions (police certificate of good conduct),
- information about your financial situation (e.g. borrowings, garnishment of salary),
- information about and evidence of qualifications and details of previous employers.

We also process order-related information (e.g. if a remote workstation has been requested), the log files created when IT systems are used, and other data arising from the employment relationship (e.g. time records, holiday periods, periods of incapacity, electronic communication, recording of telephone calls, as well as skills data and activity-related performance data), data from the fulfilment of our contractual obligations (e.g. salary payments) and other data comparable to the above categories.

3. Why do we process your data (purpose of data processing) and what is the legal basis for this?

We process personal data in accordance with the provisions of the EU General Data Protection Regulation (GDPR) and the German Data Protection Act (BDSG):

a. For the fulfilment of contractual duties (Art. 6 (1) b GDPR in conjunction with Art. 88 GDPR and section 26 (1) sentence 1 BDSG)

The primary purpose of processing data is to establish, carry out, or terminate employment relationships or to take steps, upon request, prior to entering into a contract. If you make use of additional benefits (e.g. subsidised childcare places, use of the pme family service, participation in healthcare days, etc.), your data will be processed to the extent necessary for us to provide these additional benefits.

b. As part of the balancing of interests (Art. 6 (1) f GDPR in conjunction with Art. 88 GDPR and section 26 (1) BDSG)

If necessary, we will process data that goes beyond what is necessary simply for the fulfilment of the contract, in order to safeguard our own legitimate interests or those of a third party (e.g. public authorities). Examples:

- Personal development planning measures
- Organisational change measures
- Contingency planning
- Assertion of legal claims and defence in the event of legal disputes
- Assurance of IT security and the Bank's IT operations
- Prevention and investigation of crimes or serious breaches of duty (cf. also section 26 (1) BDSG)
- Video surveillance and other measures to guarantee undisturbed possession of our premises
- Building and site security measures (e.g. access controls)
- Internal communication and other administrative measures

c. On the basis of your consent (Art. 6 (1) a GDPR in conjunction with Art. 88 GDPR and section 26 (2) BDSG)

If you have given us your consent to process personal data for specific purposes (e.g. storing application details for an extended period, photographs on the intranet), the processing of this data is lawful on the basis of your consent. Consent can be withdrawn at any time. This also applies to the withdrawal of declarations of consent granted to us before the entry into force of the General Data Protection Regulation, i.e. before 25 May 2018. Withdrawal of consent only has future effect and will not affect the lawfulness of the data processed before consent was withdrawn.

d. On the basis of statutory or other legal provisions (Art. 6 (1) c GDPR and Art. 88 GDPR and section 26 BDSG) or in the public interest (Art. 6 (1) e GDPR)

As a bank, we are also subject to a range of legal obligations, i.e. statutory requirements (under German social security law, the German Health and Safety at Work Act (ASiG), the German Working Hours Act (ArbZG), the German Part-Time and Fixed Term Employment Act (TzBfG) the German Banking Act (KWG), the German Anti-Money Laundering Act (GwG), the German Securities Trading Act (WpHG), and German tax legislation, for example) and regulatory requirements (imposed by institutions such as the European Central Bank, the European Banking Authority, Deutsche Bundesbank and the German Federal Financial Supervisory Authority). Data is also processed for verifying identity, checking employee reliability, preventing fraud and money laundering, fulfilling monitoring, reporting and documentation obligations under social insurance and tax law, and managing risks within the Bank and the HSBC Group.

e. On the basis of collective agreements (Art. 6 (1) b GDPR in conjunction with Art. 88 GDPR and section 26 (4) BDSG

We also process your data so far as this is necessary to exercise rights or fulfil obligations arising from a collective agreement or an agreement between management and the Group works council or an individual company works council (e.g. company agreement on employee name screening).

f. Special categories of personal data

If special categories of personal data pursuant to Art. 9 (1) GDPR are processed, the purpose of such processing within the context of the employment relationship is to exercise rights or fulfil legal duties under employment law, social security law, and social protection (e.g. provision of medical data to the health insurance company, documentation of severe disability for extra vacation and for calculation of the levy payable by employers failing to employ a sufficient proportion of disabled workers as required by law). Such data is processed on the basis of Art. 9 (2) b GDPR in conjunction with section 26 (3) BDSG. The processing of medical data may also be necessary for the assessment of fitness to work pursuant to Art. 9 (2) h in conjunction with section 22 (1) b BDSG.

The processing of special categories of personal data may also be based on consent pursuant to Art. 9 (2) a GDPR in conjunction with section 26 (2) BDSG (e.g. occupational health management).

4. Who will receive my data?

Access to your data is provided only to those individuals and departments within the Bank that need this data in order to meet our contractual and legal obligations, e.g. line managers, HR, the works council, the representative committee for the severely disabled, and the equal opportunities representative. Service providers and agents used by us may also be provided with data for these purposes. These are companies that provide support in the areas of payroll, pensions, consultancy (e.g. tax and legal advisors), auditors, insurance companies, training providers, IT services, logistics companies, removal companies and relocation services, printing and translation service providers, providers of occupational health management services, and telecommunications service providers.

With regard to the sharing of data with recipients outside our Bank, please note that as an employer, we disclose the data of our employees only if we are required to do so by law, if the data subject has given their consent, or if we are otherwise authorised to do so. Subject to these conditions, recipients of personal data could include the following:

- Other banks and financial service institutions or similar bodies to which we provide personal data in order to perform our contractual relationship with you (e.g. for salary payments)
- Professional associations
- Social security providers
- Health insurance providers
- Pension funds
- Tax authorities
- Organizations to which data must be provided in order to ensure that entitlements under company pension plans are received
- Organizations to which data must be provided in order to ensure that benefits under employer-funded capital-formation scheme are paid out
- Public bodies and institutions (e.g. the European Central Bank, the European Banking Authority, Deutsche Bundesbank, the German Federal Financial Supervisory Authority, fiscal authorities, and law enforcement authorities) if a legal or official obligation exists, auditors and wage tax auditors
- Service providers to which we outsource data processing services.

Other data recipients could include bodies to which we are entitled to provide information based on the consent you have given us or to which we are entitled to transfer personal information, based on a balancing of interests.

5. Will data be transferred to a third country or an international organisation?

Data is transferred to bodies in countries outside the European Union and outside the European Economic Area ('third countries') if

- prescribed by law (e.g. reporting obligations under tax law),
- you have given us your consent,
- it forms part of commissioned data processing activities,
- standard data protection clauses have been agreed with the recipient.

In the case of commissioned data processing activities, service providers are contractually bound by our instructions and have to adhere to strict technical and organisational security requirements. Explicit agreements are made to limit the use of data to specific circumstances and to prohibit the use of data for the service provider's own purposes.

The processors used and other recipients of data may be based in countries for which an adequacy decision has been issued by the European Commission as well as in countries that do not offer comparable data protection standards to those of the EU. If data is transferred to recipients in third countries for which no adequacy decision has been issued, the Bank requires such recipients to comply with European data protection standards by agreeing to use of the EU standard contractual clauses for data protection. In the case of service providers, this requirement is in addition to the written instructions. The 'standard contractual clauses (processors)' can be accessed at https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32010D0087&from=EN (attachment to the Commission Decision of 5 February 2010, document C(2010) 593).

6. How long is my data stored?

We process and store your personal data for as long as is required in order to fulfil our contractual and statutory duties. It should be noted that the employment relationship is a contract for the performance of continuing obligation that is intended to run for a long period.

If the data is no longer required for the fulfilment of contractual or statutory duties, it is erased unless its continued processing - for a limited time - is necessary for the following purposes:

- Compliance with statutory retention periods that could arise, for example under the German Working Hours Act (ArbZG), the German Works Constitution Act (BetrVG), the German Transparency of Pay Act (EntgTranspG), the German Social Security Code (SGB IV), the German Commercial Code (HGB), the German Tax Code (AO), the German Anti-Money Laundering Act (GwG), the German Banking Act (KWG), and the German Securities Trading Act (WpHG). The time periods specified in these laws for the retention of records and/or documentation generally range from five to ten years.
- Preservation of evidence in line with the statutory limitation periods. In accordance with section 195 et seq. of the German Civil Code (BGB), these may last up to 30 years although the standard limitation period is three years.

If the data processing is in our legitimate interest or the legitimate interest of a third party, the personal data will be erased as soon as this interest ceases to apply. The exceptions referred to above apply.

The same applies to the processing of data on the basis of consent. As soon as you withdraw your consent with future effect, the personal data will be erased, unless one of the aforementioned exceptions applies.

7. What data protection rights do I have?

Each data subject has the right of access under Article 15 GDPR, the right to rectification under Article 16 GDPR, the right to erasure under Article 17 GDPR, the right to restriction of processing under Article 18 GDPR, the right to object under Article 21 GDPR, and the right to data portability under Article 20 GDPR. The right of access and the right to erasure are subject to limitations under sections 34 and 35 BDSG.

Data subjects may consult the Bank's data protection officer for any matters in relation to the processing of their personal data and the exercise of their rights in this regard (Article 38 (4) GDPR).

There is also a right to lodge a complaint with a supervisory authority (Article 77 GDPR in conjunction with section 19 BDSG).

You can withdraw any consent given to us for the processing of personal data at any time. This also applies to the withdrawal of declarations of consent granted to us before the entry into force of the General Data Protection Regulation, i.e. before 25 May 2018. Please note that this withdrawal of consent is not retroactive. Data processing that took place before consent was withdrawn is not affected.

8. Do I have a duty to provide data?

Within the scope of the employment relationship, you must provide any personal data that is necessary for the commencement, performance, and termination of the employment relationship and the fulfilment of the associated contractual duties, and any information that we are obliged to collect by law or on the basis of a collective agreement. Without this data, we will generally be unable to conclude a contract with you or to continue performing the contract.

In some situations, you may suffer a disadvantage if you do not provide certain personal data, e.g. lack of equipment to make work easier for severely disabled people, or additional nursing care insurance contributions for childless employees.

If you do not provide us with the necessary information and documents, it may be difficult for us to commence or continue the employment relationship.

9. To what extent is automated decision-making used? Is profiling used?

We do not use fully automated decision-making processes within the meaning of Article 22 GDPR. Nor do we use profiling.






Information regarding your right to object pursuant to Article 21 of the General Data Protection Regulation (GDPR)

The following information is prescribed by law. As you can see from our data protection information, we do not undertake some of the specified types of processing. In particular, the following provisions may not be relevant to our relationship with you.

1. Right to object on a case-by-case basis

You have the right to object, on grounds relating to your particular situation, at any time to the processing of personal data concerning you that is based on Article 6 (1) e GDPR (data processing in the public interest) or Article 6 (1) f GDPR (data processing on the basis of a balancing of interests); this also applies to any profiling based on this provision within the meaning of Article 4 no. 4 GDPR.

If you object, we will no longer process your personal data unless we can demonstrate compelling legitimate grounds for processing the data which override your interests, rights and freedoms, or for the establishment, exercise, or defence of legal rights.

2. Objection to the processing of data for direct marketing

In individual cases, we use your personal data for direct marketing purposes. You have the right to object at any time to the processing of personal data concerning you for such marketing; this also applies to profiling, to the extent that it is related to such direct marketing.

If you object to processing for direct marketing purposes, we will no longer process your personal data for this purpose.

The objection is not subject to any particular requirements of form and should, if possible, be addressed to:

HSBC Trinkaus & Burkhardt AG
Data Protection Officer
Königsallee 21/23
40212 Düsseldorf, Germany
Tel: +49 (0)211 910 2006
Fax: +49 (0)211 9109 2125
Email: datenschutz@hsbc.de

Deutsche Version

Datenschutzhinweise und Information zum Widerspruchsrecht in deutscher Sprache finden Sie hier.