Data Protection Act 1998

1
Data Protection Act 1998

• Introduction to
• Data Protection
• Alan Shipman
• Group 5 Training Limited

2
BSI Training

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

3
BSI Training Workshop

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

4
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

5
Introductions
6
Definitions
7
The Act

• Data Protection Act 1998
• An Act to make provision for the regulation of
  the processing of information relating to
  individuals

8
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

9
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

10
Definitions

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

11
The Eight Principles
12
Principles

• The 8 Data Protection Principles
• (Schedule 1)

13
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

14
Schedule 2

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

15
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

16
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

17
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

18
Third Principle

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

19
Fourth Principle

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

20
Fifth Principle

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

21
Sixth Principle

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

22
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

23
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

24
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

25
Responsibilities
26
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

27
Responsibilities

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

28
Responsibilities

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

29
Responsibilities

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

30
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

31
Responsibilities

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

32
Responsibilities

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

33
Notification
34
Notification

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

35
Notification

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

36
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

37
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

38
Notification

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

39
Notification

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

40
Notification

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

41
Notification

• Phone Notification
• Be ready
• Contact by phone
• Answer questions

42
Notification

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

43
Data Processors
44
Data Processors

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

45
Data Processors

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

46
Subject Access Procedures
47
Subject Access

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

48
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

49
Subject Access

• Procedures
• How to respond
• is processing occurring
• dont 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)

50
Subject Access

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

51
Subject Access

• Procedures
• Automatic processing
• manual decision override

52
Manual Records
53
Manual Records

• Types
• Now included
• paper
• microfilm
• CCTV
• voice recording
• Be prepared!

54
Human Resources
55
Human Resources

• Issues
• Personnel files
• Managers own copies
• e-mails
• References

56
Do you need to audit?
57
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!

58
What an audit should achieve
59
Audit objectives

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

60
Audit objectives

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

61
Audit objectives

• Who undertakes DP audits?
• Internal auditor
• External auditor
• Information Commissioner
• Customers

62
Data audit
63
Data audit

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

64
Data audit

• How to audit
• Dont ask open questions
• What data have you got?
• Create a survey form
• Use the headers from the Notification Handbook

65
Review responsibilities
66
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

67
Procedures and processes
68
Processes procedures

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

69
Processes procedures

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

70
Data Use

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

71
Data Use

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

72
People

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

73
People

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

74
Documentation

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

75
Documentation

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

76
Data quality

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

77
Data quality

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

78
Data quality

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

79
Data quality

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

80
Data quality

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

81
Data quality

• Data acquisition
• Is data collection
• restricted to a minimum?
• justified?

82
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?

83
Data quality

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

84
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?

85
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?

86
Data quality

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

87
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?

88
Data quality

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

89
Security

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

90
Security

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

91
Security

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

92
Security

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

93
Security

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

94
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?

95
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?

96
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?

97
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?

98
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?

99
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?

100
How to carry out an audit
101
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!

102
Audit process

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

103
Audit process

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

104

• Corrective Actions

105
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!

106

• Demonstrating Compliance

107
Data Protection

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

108
Thank youAny Questions? Alan
Shipman07702-125265a.shipman_at_group5.co.uk