Merit Event - Understanding and Managing Data Protection

Data Protection Act 1998 Introduction to Data Protection Alan Shipman Group 5 Training Limited

BSI Training Objective for Session To help you understand the Data Protection Act 1998, and be able to assess your organisations level of compliance

BSI Training Workshop Agenda Definitions Data Protection Principles Responsibilities Policies and Notification Dealing with Data Processors Subject Access Procedures Manual Records Human Resource

BSI Training Workshop Agenda Do you need to audit How to audit Data audit Responsibilities Procedures and processes How an audit is carried out Corrective Procedures Demonstrating compliance

The Act Data Protection Act 1998 ‘An Act to make provision for the regulation of the processing of information relating to individuals …’

The Act EU Data Protection Directive 95/46/EC Objectives … No restriction on personal data flow in EU Right to privacy Deadline for implementation 24 October 1998

Definitions Personal Data Data which relates to a living individual who can be identified from those data, or from those data and other information which is in, or likely to come into, the possession of the data controller

Definitions Processing Includes obtaining, holding and carrying out any operation on data No requirement that processing is by reference to data subject

Principles The 8 Data Protection Principles (Schedule 1)

First Principle Personal data shall be processed fairly and lawfully, and in particular, shall not be processed unless:- a) at least 1 of the conditions in Schedule 2 is met, and b) in the case of sensitive personal data, at least 1 of the conditions in Schedule 3 is also met

Schedule 2 What is fair? Consent Contract Legal obligation Vital interests Public functions Legitimate interests

Sensitive Data Personal data relating to: Racial or ethnic origin Political beliefs Religious or other beliefs Trade union membership Physical or mental health Sexual life Commission of any offence Proceedings / convictions for any offence

Schedule 3 What is fair? Explicit consent Employment law Vital interests Activities of political, religious or trade unions Information made public Legal / regulatory proceedings Administration of justice Medical purposes

Second Principle Personal data shall be obtained only for one or more specified purposes, and shall not be further processed in any manner incompatible with that purpose or purposes

Third Principle Personal data shall be adequate, relevant and not excessive in relation to the purpose for which it is processed

Fourth Principle Personal data shall be accurate and where necessary, kept up to date

Fifth Principle Personal data processed for any purpose shall not be kept for longer than is necessary for that purpose

Sixth Principle Personal data shall be processed in accordance with the rights of data subjects under this Act

Seventh Principle Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data

Eighth Principle Personal data shall not be transferred to a country or territory outside the EEA unless that country or territory ensures an adequate level of Data Protection Note: Does not apply if at least 1 of the conditions in Schedule 4 is met

Schedule 4 When can you do it? Consent Performance of contract with data subject Performance of contract with other Substantial public interest Legal proceedings Vital interests Public register Authorised by the Commissioner

Responsibilities The ‘Data Controller’ is the organization, but…….. Someone must have overall responsibility co-ordination role ensure that notification is up to date ensure that appropriate strategy is implemented focal point for queries reporting of issues

Responsibilities Policy Who writes it Who approves it Approval by top management (e.g. the Board) demonstrates support and buy-in

Responsibilities Compliance audit Is the policy being implemented Are individuals following the procedures Audit report Resolve non-compliances Annual report (maybe)

Responsibilities Who! Who is actually responsible Who will be the first to get it wrong? Any member of staff who handles personal data

Responsibilities Training Do individuals know what they must do when talking to data subjects when handling personal data during system design when deciding security issues Ensure no-one acts recklessly

Responsibilities Training Give everyone guidelines Do they understand their responsibilities And what happens if they get it wrong

Responsibilities Subject access Who deals with subject access requests How are they dealt with procedures time scales fees

Notification What you have to do Review current registration(s) Determine timescales Categorise your data Use the Notification Handbook Check security arrangements

Notification Notification Check for exemptions from notification from the Act Decide method phone web

Notification Current registration(s) Get details of all registrations Find out when each one expires As current registrations run out - combine When last registration run out - notify Or just notify ASAP

Notification Categorise Personal Data Get relevant OIC notification template Compare with information audit results Categorise data why have you got it (purpose) - Handbook 3.1.8 who is it about (data subject) - Handbook 3.1.9 what have you got (data class) - Handbook 3.1.10 who might it be disclosed to (recipients) - Handbook 3.1.11

Notification Check security arrangements Comply with BS 7799? Security policy / procedures Disaster recovery plans Security during transfer physical encryption

Notification Notification What information do you need identity purposes for each purpose data subject data class recipients what countries are involved security measures

Notification How? Method phone web What happens next check form pay fees check register Keep it up to date (28 days)

Notification Phone Notification Be ready Contact by phone Answer questions

Notification Web Notification Where to go What do you see How does it work

Data Processors Definition Process personal data on behalf of a Data Controller, and does not implement its own purposes

Data Processors Responsibilities Who is responsible for data processed by a Data Processor? The Data Controller - i.e. you!

Subject Access Whole purpose of Data Protection law is to protect information about living individuals and guard their privacy

Subject Access Procedures Who will deal with requests How will request be verified identity in writing fees What has been requested (reasonable?) Keep an audit trail of requests

Subject Access Procedures How to respond is processing occurring don’t correct it! copy of the data source (if known) not disclosed due to exemption disproportionate effort what if a third party is identified When to respond by (40 days)

Subject Access Procedures How to handle blocking requests made by data subject validity ensure action audit trails Compensation

Subject Access Procedures Automatic processing manual decision override

Manual Records Types Now included: paper microfilm CCTV voice recording Be prepared!

Human Resources Issues Personnel files Managers own copies e-mails References

Need to audit? Do you know: Where you store personal data? Who has access to it? How do they use it? Are the security measures adequate? If NO to any, you need to audit!

Audit objectives What should be achieved? Demonstration of compliance Improved confidence Better procedures

Audit objectives Who is being audited? Your own organization whole part A third party data processor

Audit objectives Who undertakes DP audits? Internal auditor External auditor Information Commissioner Customers

Data audit Who knows what is processed? Department managers Records managers IT staff Users

Data audit How to audit Don’t ask open questions What data have you got? Create a survey form Use the ‘headers’ from the Notification Handbook

Responsibilities Are these responsibilities defined? Who has specific responsibility Who approves policy Who audits compliance Who trains staff Who deals with subject access requests Who deals with security issues

Processes & procedures Data Protection Policy Is there one? Has it been approved? Is it available to all? Are responsibilities included? Is the policy policed?

Processes & procedures Data Protection Co-ordinator Is there one? Conversant with the Act? Known to all staff? Able to liaise with other departments?

Data Use Fair processing When collecting data, is it performed fairly? Do users know what they can do (and cannot do)

Data Use Disclosure of data Do staff know when to disclose? Does the policy include guidelines and training requirements?

People Management of people Are there appropriate management strategies for all staff? Does this include: recruitment? training / direction? supervision / discipline?

People Management of people Is there an effective communications system? Is DP compliance in contract of employment? Is there a disciplinary procedure?

Documentation Management of documentation Are there adequate audit trails? Are there documented procedures: collection, access, use? disclosure? transfer? disposal?

Documentation Management of documentation Are there procedures for: data subject explanations? recording of subject access requests? how to use data correctly? staff obligations / authority?

Data quality Data audit Are there procedures for ensuring that data is: adequate, relevant and not excessive? accurate? retention and destruction? security?

Data quality Data audit Do you review data quality? effective training and communications? authority? procedures? review new systems?

Data quality Data audit Have you reviewed your processing? information needs? storage formats? purposes? fair collection? fair use?

Data quality Data audit Have you reviewed your processing? deleted unwanted data? information need policy? review procedures? review responsibilities? results documented?

Data quality Data audit Have you reviewed your processing? results reviewed? identify ‘sensitive’ data? actions implemented? review complete? established need?

Data quality Data acquisition Is data collection: restricted to a minimum? justified?

Data quality Data acquisition Do data collection procedures: identify data need? identify minimum requirement? justify each item? check for alternative source? act in the best interests of subject authorise collection?

Data quality Data acquisition Are data collection forms appropriate? paper? web? verbal? Does they include consent requirements?

Data quality Data accuracy Do you avoid recording of opinions? Where inaccurate data is held: is it retained where it is a true record? are reasonable steps taken? is the data subject notified if necessary?

Data quality Data retention Are retention periods justifiable? Are retention periods sufficient? Has legal advice been taken? Have you checked for relevant Codes of Practice?

Data quality Data retention Are records up to date? Is accuracy checked? Is frequency of checking adequate? Is inaccurate data deleted where necessary?

Data quality Data destruction Is there a retention and destruction policy? Are these supported by procedures? Is compliance monitoring included? Is the retention schedule appropriate?

Data quality Data destruction Are there destruction procedures? Is inadvertent destruction prevented? Are destruction procedures audited?

Security Security procedures Is security on the DP agenda? technical? procedural? Supervision and training included?

Security Security measures Is there an information security policy, including DP? Monitored and reviewed? Responsibilities? Staff procedures?

Security Security measures Suitable technology used? Security levels appropriate? Security in Data Processor contracts? BS ISO 17799?

Security Security threats Have these been identified? Contingency plans appropriate? Recovery times acceptable?

Security Security procedures Security of data transfers? Security of destruction?

Subject Access Request Procedures Is there a documented procedure? Does it check for request validity? Do you: confirm you are processing? provide copy of the data?

Subject Access Request Procedures Is there a manual override for automated processing? Are amendments stopped when a request is being processed? Is there a fee charging policy?

Subject Access Request Procedures Is the request processed in time? Is there an identification procedure? Is the person who deals with requests known? Do searches include data processors?

Subject Access Request Procedures Is data supplied in permanent form? Is there a procedure where disproportionate effort is claimed? Is the data source disclosed? Is there a telephone request procedure?

Subject Access Request Procedures Is there a request form? Is there a procedure for requests by minors? Is there a procedure for requests on behalf of minors?

Subject Access Request Procedures Is there a procedure for requests for references? are the rights of third parties considered? Is there a procedure where objections to processing are received?

Audit process How to audit? Project plan Identify: who should be interviewed which processes to review how to audit security measures Creating awareness Use the Workbook!

Audit process BSI-DISC Pre-Audit Workbook PD 0012-5 Assists and documents audit Provides statement of compliance Links to procedural documentation

Audit process Document results Necessary to demonstrate process and results Provides an audit trail of compliance Workbook is a great help!

Corrective Actions What to do Are there any gaps? Each gap should be reviewed and corrective action taken Look at subject access procedures first Use common sense! Pretend that it is your data!

Data Protection Demonstrating Compliance Completed Workbook Training records Policies Records of breaches and actions Records of subject access requests

Thank you Any Questions? Alan Shipman 07702-125265 [email_address]

Merit Event - Understanding and Managing Data Protection

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Merit Event - Understanding and Managing Data Protection