Introduction

The firm needs to gather and use certain information about individuals.

These can include customers, suppliers, business contacts, employees and other people the organisation has a relationship with or may need to contact.

This policy describes how this personal data must be collected, handled and stored to meet the company’s data protection standards — and to comply with the law.

Why this policy exists

This data protection policy ensures that we:

Comply with data protection law
Protects the rights of staff, customers and partners
Is open about how it stores and processes individuals’ data
Protects itself from the risks of a data breach

Data protection law

The Data Protection Act (2018) UK describes how we must collect, handle and store personal information.

These rules apply regardless of whether data is stored electronically, on paper or on other materials.

To comply with the law, personal information must be collected and used fairly, stored safely and not disclosed unlawfully.

The Data Protection Act is underpinned by the GDPR in which Article 5 sets out 6 important principles:

1. Lawfulness, fairness and transparency	Processed lawfully, fairly and in a transparent manner.
2. Purpose limitation	Collected for specified, express and legitimate purposes and not processed in a manner that is incompatible with those purposes.
3. Data minimisation	Relevant and limited to what is necessary in relation to the purpose for which they are processed.
4. Data quality	Accurate and, where necessary, kept up to date; every reasonable step must be taken to ensure that personal data that are inaccurate, having regard to the purposes for which they are processed, are erased or rectified without delay.
5. Data retention	Kept for no longer than is necessary for the purposes for which they are processed.
6. Data security	Processed in a manner that ensures appropriate security of the personal data, including protection against unauthorised or unlawful processing and against accidental loss, destruction, damage, using appropriate technical or organisational measures.

Accountability

The GDPR creates a principle of accountability for the Firm. This means that the Firm must maintain records to demonstrate its processing activities and its compliance with the data protection principles.

2 People, risks and responsibilities

Policy scope

This policy applies to:

Head office
All branches
All staff (including where applicable, volunteers)
All contractors, suppliers and other people working on behalf the firm

It applies to all data that we hold relating to identifiable individuals, even if that information technically falls outside of the Data Protection Act. This can include:

Names of individuals
Postal addresses
Email addresses
Telephone numbers

…plus any other information relating to individuals

Data protection risks

This policy helps to protect the firm from some very real data security risks, including:

Breaches of confidentiality. For instance, information being given out inappropriately.

Failing to offer choice. For instance, all individuals should be free to choose how the company uses data relating to them.

Reputational damage. For instance, the firm could suffer if hackers successfully gained access to sensitive data.

Responsibilities

Everyone who works for the firm has some responsibility for ensuring data is collected, stored and handled appropriately.

Each team that handles personal data must ensure that it is handled and processed in line with this policy and data protection principles.

However, these people have key areas of responsibility:

The Board of Directors is ultimately responsible for ensuring that the firm meets its legal obligations and ensuring where appropriate the reporting of any breach within 72 hours of the firm becoming aware of it and where there is a risk that the breach may result in identity theft, fraud, financial loss, damage to the data subject(s)’ reputation, loss of confidentiality, unauthorised reversal of pseudonymisation, discrimination or other significant economic or social disadvantages.

A data protection breach can be notified to the ICO on 03031231113. The ICO’s helpline is opened from Monday to Friday between 9am and 5pm. A data protection breach can be reported to the ICO online by following this link: https://ico.org.uk/for-organisations/report-a-breach/personal-data-breach/.

The Compliance Officer is responsible for:

Breach reporting in any instance including working with the board in respect of significant breaches detailed above
Keeping the board updated about data protection responsibilities, risks and issues.

Reviewing all data protection procedures and related policies, in line with an agreed schedule.
Arranging data protection training and advice for the people covered by this policy.

Handling data protection questions from staff and anyone else covered by this policy.

Dealing with requests from individuals to see the data the firm holds about them (also called ‘subject access requests’).
Checking and approving any contracts or agreements with third parties that may handle the company’s sensitive data.

The IT Manager is responsible for:

Ensuring all systems, services and equipment used for storing data meet acceptable security standards.

Performing regular checks and scans to ensure security hardware and software is functioning properly.

Evaluating any third-party services the firm is considering using to store or process data. For instance, cloud computing services.

The Marketing Manager is responsible for:

Approving any data protection statements attached to communications such as emails and letters.
Addressing any data protection queries from journalists or media outlets like newspapers.

Where necessary, working with other staff to ensure marketing initiatives abide by data protection principles.

3 General staff guidelines

The only people able to access data covered by this policy should be those who need it for their work.

Data should not be shared informally. When access to confidential information is required, employees can request it from their line managers.

The firm will provide training to all employees to help them understand their responsibilities when handling data.

Employees should keep all data secure, by taking sensible precautions and following the guidelines below.

In particular, strong passwords must be used and they should never be shared.

Personal data should not be disclosed to unauthorised people, either within the company or externally.

Data should be regularly reviewed and updated if it is found to be out of date. If no longer required, it should be deleted and disposed of.

Employees should request help from their line manager or the data protection officer if they are unsure about any aspect of data protection.

4 Data storage

These rules describe how and where data should be safely stored. Questions about storing data safely can be directed to the IT manager or the Data Controller.

When data is stored on paper, it should be kept in a secure place where unauthorised people cannot see it.

These guidelines also apply to data that is usually stored electronically but has been printed out for some reason:

When not required, the paper or files should be kept in a locked drawer or filing cabinet.
Employees should make sure paper and printouts are not left where unauthorised people could see them, like on a printer.
Data printouts should be shredded and disposed of securely when no longer required.

When data is stored electronically, it must be protected from unauthorised access, accidental deletion and malicious hacking attempts:

Data should be protected by strong passwords that are changed regularly and never shared between employees.

If data is stored on removable media (like a CD or DVD), these should be kept locked away securely when not being used.

Data should only be stored on designated drives and servers, and should only be uploaded to an approved cloud computing services.

Servers containing personal data should be sited in a secure location, away from general office space.

Data should be backed up frequently. Those backups should be tested regularly, in line with the company’s standard backup procedures.

Data should never be saved directly to laptops or other mobile devices like tablets or smart phones.

All servers and computers containing data should be protected by approved security software and a firewall.

5 Data use

Personal data is of no value to the firm unless we can make use of it. However, it is when personal data is accessed and used that it can be at the greatest risk of loss, corruption or theft:

When working with personal data, employees should ensure the screens of their computers are always locked when left unattended.
Personal data should not be shared informally. In particular, it should never be sent by email, as this form of communication is not secure.
Data must be encrypted before being transferred electronically. The IT manager can explain how to send data to authorised external contacts.
Personal data should never be transferred outside of the European Economic Area.
Employees should not save copies of personal data to their own computers. Always access and update the central copy of any data.

6 Data accuracy

The law requires the firm to take reasonable steps to ensure data is kept accurate and up to date.

The more important it is that the personal data is accurate, the greater the effort the firm should put into ensuring its accuracy.

It is the responsibility of all employees who work with data to take reasonable steps to ensure it is kept as accurate and up to date as possible.

Data will be held in as few places as necessary. Staff should not create any unnecessary additional data sets.
Staff should take every opportunity to ensure data is updated. For instance, by confirming a customer’s details when they call.
The firm will make it easy for data subjects to update the information it holds about them. For instance, via the company website.
Data should be updated as inaccuracies are discovered. For instance, if a customer can no longer be reached on their stored telephone number, it should be removed from the database.
It is the marketing manager’s responsibility to ensure marketing databases are checked against industry suppression files every six months.

7 Data Subject Access Requests (DSAR)

All individuals who are the subject of personal data held by the firm are entitled to:

Ask what information we hold about them and why.
Ask how to gain access to it.
Be informed how to keep it up to date.
Be informed how the firm is meeting its data protection obligations.

If an individual contacts the firm requesting this information, this is called a subject access request.

Subject access requests from individuals should be made by email, addressed to the data controller at [email address]. The data controller can supply a standard request form, although individuals do not have to use this.

The Firm shall action a DSAR within one month of receipt. The Firm shall not charge for a DSAR unless it is a repeat request. In the event of a repeat request the Firm will communicate the cost of the request to the data subject before actioning the request.
The data controller will always verify the identity of anyone making a subject access request before handing over any information.

8 Disclosing data for other reasons

In certain circumstances, the Data Protection Act allows personal data to be disclosed to law enforcement agencies without the consent of the data subject.

Under these circumstances, the firm will disclose requested data. However, the data controller will ensure the request is legitimate, seeking assistance from the board and from the firm’s legal advisers where necessary.

9 Providing information & the Data Subjects Rights

The firm aims to ensure that individuals are aware that their data is being processed, and that they understand:

How the data is being used
How to exercise their rights

Access

The Firm maintains an Individual Rights’ Register to monitor the timescales for responding to data subject access requests (DSARs).

Please refer to section 7 above.

Rectification

Where the Firm makes personal data public or shares it with other third parties it will take reasonable steps to inform the third parties which are processing the personal data that the data subject has requested rectification of their personal data.

The Firm shall action a rectification request within one month of receipt.

Erasure

The data subject’s right to erasure applies where:

The personal data is no longer necessary in relation to the purposes for which they were collected or otherwise processed;
The data subject withdraws consent for the Firm to process their personal information if the processing is based on consent;
The data subject objects to the Firm processing their personal data;
The personal data has been processed unlawfully; or
The personal data has to be erased for compliance with a legal obligation to which the Firm is subject.

The data subject’s right to erasure does not apply where the processing is necessary:

For exercising the right of freedom of expression and information;
For compliance with a legal obligation which requires processing;
For the performance of a task carried out in the public interest or in the exercise of official authority vested in the Firm;
For public health reasons;
For archiving purposes in the public interest, scientific or historical research or statistical purposes; or
For the establishment, exercise or defence of legal claims.

The Firm shall action an erasure request within one month of receipt.

Restriction

A data subject can submit a restriction/suppression request to the Firm in the following circumstances:

The accuracy of the personal data is contested by the data subject and they request restriction/suppression to enable the Firm to verify the accuracy of the personal data;
The Firm no longer needs the personal data for the purposes of the processing but the personal data is required by the data subject for the establishment, exercise or defence of legal claims; or
The data subject has exercised their right to object to the Firm processing their personal data and the Firm restricts/suppresses the processing whilst it investigates whether it has legitimate grounds that override the rights of the data subject.

The Firm will only be able to store personal data (and nothing else) when a data subject makes a restriction/suppression request. The Firm will inform the data subject before the restriction of processing is lifted.

The Firm shall action a restriction/suppression request within one month of receipt.

Data portability

Where a data subject requests a copy of their personal data in a machine-readable format (e.g. Excel, CSV file) the Firm will provide this where:

The processing is based on the data subject’s consent; and
The processing is carried out by automated means.

The Firm shall action the above request within one month of receipt.

Where a data subject requests that the Firm transmit their personal data, in a machine-readable format, to another Firm the Firm will action such a request within one month of receipt.

Objection

The data subject has the right to object to the processing of their personal data where the processing is carried out by a public body or for a legitimate interest pursued by the Firm or a third party.

The Firm will stop processing the data subject’s personal data in these circumstances unless it has compelling legitimate grounds for the processing which overrides the rights of the data subject or if the processing is necessary for the establishment, exercise or defence of legal claims.

A data subject can request that the Firm ceases to process their personal data for direct marketing purposes.

The Firm shall action an objection request within one month of receipt.

Automated decision making and profiling

A data subject’s rights to object to be subject to a decision based solely on automated processing will not apply if the decision is:

Necessary to enter into or perform a contract between the data subject and the Firm;
Based on the data subject’s verbal or written consent; or
Authorised by law.

Where the processing is based on the contract basis or on the data subject’s verbal or written consent the Firm will give the data subject to right to contest the automated decision, express their point of view and to request human intervention on the part of the Firm.

To these ends, the firm has a privacy statement, setting out how data relating to individuals is used by the company.

This is available on request. A version of this is also available on our website

Review

Policy prepared by: Richard Norris
Approved by board / management on: 27/10/2017

Policy became operational on: 27/10/2017 (reviewed 10/12/2020)

Next review date: 10/12/2022
Reviewed/ amended: March 2021
Next Review Date: July 2021