Annex

Title

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A.

Risk Assessment

A.2

  A.1

  The Components of Risk

A.2

  A.2

  Scoring the Risk

A.2

  A.3

  Other Factors

A.3

B.

Sampling Criteria

B.1

C.

Audit Pro formas

C.1

  C.1

  Audit Schedule

C.2

  C.2

  Pre-Audit Questionnaire

C.3

  C.3

  Audit Management Checklist

C.5

  C.4

  Adequacy Audit Report

C.7

  C.5

  Audit Plan

C.8

  C.6

  Non-compliance Record

C.9

  C.7

  Observation Note

C.10

  C.8

  Compliance Audit Report

C.11

D.

Meeting Pro formas

  D.1

  Preparatory Meeting Agenda

D.1

  D.2

  Opening Meeting Agenda

D.3

  D.3

  Closing Meeting Agenda

D.4

  D.4

  Interview/Focus Group Record Sheet

D.5

E.

Adequacy Audit Checklist

E.1

  E.1

  Organisational & Management Issues

E.1

  E.2

  The Eight Data Protection Principles

E.2

  E.3

  Other Data Protection Issues

E.6

F.

Compliance Audit Checklists: Organisational & Management Issues

F.1

  F.1

  The Data Protection System

F.1

  F.2

  Documentation Issues

F.9

  F.3

  Key Business Processes

F.12

G.

Compliance Audit Checklists: The Eight Data Protection Principles

G.1

  G.1

  The First Data Protection Principle

G.1

  G.2

  The Second Data Protection Principle

G.11

  G.3

  The Third Data Protection Principle

G.15

  G.4

  The Fourth Data Protection Principle

G.17

  G.5

  The Fifth Data Protection Principle

G.21

  G.6

  The Sixth Data Protection Principle

G.26

  G.7

  The Seventh Data Protection Principle

G.38

  G.8

  The Eighth Data Protection Principle

G.47

H.

Compliance Audit Checklists: Other Data Protection Issues

H.1

  H.1

  Using Data Processors

H.1

  H.2

  Notification

H.7

  H.3

  Transitional Provisions

H.10

J.

Process Audit Checklist

J.1