Data Protection Policy
Last modified: October 13, 2020
1.0 Policy Objective
To ensure that Changefirst shall at all times remain legally compliant with the requirements of the Data Protection Act 2018 (DPA), The Privacy and Electronic Communications Regulations 2003 (PECR) and The General Data Protection Regulation 2016 (GDPR). These acts and regulations describe how organisations, including Changefirst Limited (“Changefirst”), must collect, handle, use and store personal information. Changefirst is committed to protecting the rights and freedoms of data subjects and safely and securely processing their data in accordance with all our legal obligations. We hold personal data about our employees, clients, suppliers and other individuals for a variety of business purposes. This policy sets out how we seek to protect personal data and ensure that Changefirst Employees (“Employee”) and Third Parties understand the rules of the collection, use, retention, transfer, disclosure and destruction of any personal data belonging to a Contact (i.e. the Data Subject). This policy requires Employees and Third Parties to ensure that the Data Protection Lead (DPL) be consulted before any significant new data processing activity is initiated to ensure that relevant compliance steps are addressed. Changefirst’s leadership is fully committed to ensuring continued and effective implementation of this policy and expects all Employees and Third Parties to share in this commitment. Any breach of this policy will be taken seriously and may result in disciplinary action or business sanction.
2.0 Data Protection Definitions
- “data processor”, “data subject”, “personal data”, “processing” and “appropriate technical and organisational measures” shall be interpreted in accordance with applicable Data Protection Legislation; and
- Anonymisation means data amended in such a way that no individuals cannot be identified from the data (whether directly or indirectly) by any means or by any person.
- Business purposes refers to the purposes for which personal data may be used by Changefirst, such as personnel, administrative, financial, regulatory, payroll and business development purposes. Business purposes include the following:
- Compliance with our legal, regulatory and corporate governance obligations and good practice
- Fulfilling contractual obligations
- Granting access to our online services
- Gathering information as part of investigations by regulatory bodies or in connection with legal proceedings or requests
- Ensuring business policies are adhered to (such as policies covering email and internet use)
- Operational reasons, such as recording transactions, training and quality control, ensuring the confidentiality of commercially sensitive information, security vetting, credit scoring and checking
- Investigating complaints
- Checking references, ensuring safe working practices, monitoring and managing staff access to systems and facilities and staff absences, administration and assessments
- Monitoring staff conduct, disciplinary matters
- Marketing our business
- Improving services.
- Contact means any past, current or prospective Changefirst customer.
- Data Protection Legislation means the Data Protection Act 2018 and any legislation and/or regulation implementing or made pursuant to them, or which amends, replaces, re-enacts or consolidates it Data Protection Lead (“DPL”) refers to the point of contact for Changefirst for Data Protection enquiries: email@example.com.
- Employee means an individual who works for Changefirst under a contract of employment, whether oral or written, express or implied, and has recognised rights and duties. Includes temporary employees and independent contractors.
- Special categories of personal data refers to information about an individual's racial or ethnic origin, political opinions, religious or similar beliefs, trade union membership (or non-membership), physical or mental health or condition, criminal offences, or related proceedings, and genetic and bio-metric information —any use of special categories of personal data should be strictly controlled in accordance with this policy.
- Identifiable Natural Person means who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier, or one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person.
3.0 Policy Scope
This policy applies to all Employees and Third Parties, who must be familiar with this policy and comply with its terms.
The policy applies where a Data Subject’s Personal Data is processed:
- In the context of the business activities of the Changefirst.
- For the provision or offer of goods or services to individuals (including those provided or offered free-of-charge) by Changefirst.
- To actively monitor the behaviour of individuals.
- Monitoring the behaviour of individuals includes using data processing techniques such as persistent web browser cookies or dynamic IP address tracking to profile an individual with a view to:
- Taking a decision about them.
- Analysing or predicting their personal preferences, behaviours and attitudes.
This policy applies to all Processing of Personal Data in electronic form (including electronic mail and documents created with word processing software) or where it is held in manual files that are structured in a way that allows ready access to information about individuals.
This Data Protection Policy shall be communicated to all employees, contractors, third party user, external Data Processors, and any other organisation or individual with a bona-fide need to access Personal Data held by the Changefirst.
This policy supplements our other policies relating to internet and email use. We may supplement or amend this policy by additional policies and guidelines from time to time. Any new or modified policy will be circulated to Employees before being adopted.
4.0 Policy Statements
4.1 The Principles
Changefirst shall comply with the principles of data protection (the Principles) enumerated in the EU General Data Protection Regulation. We will make every effort possible in everything we do to comply with these principles. The Principles are:
- Lawful, fair and transparent
Data collection must be fair, for a legal purpose and we must be open and transparent as to how the data will be used. This means Changefirst must tell the Data Subject what Processing will occur (transparency), the Processing must match the description given to the Data Subject (fairness), and it must be for one of the purposes specific in the applicable Data Protection regulation (lawfulness).
- Limited for its purpose
Data can only be collected for a specific purpose and not further Processed in a manner that is incompatible with those purposes. This means Changefirst must specify exactly what the Personal Data collected will be used for and limit the Processing of that Personal Data to only what is necessary to meet the specified purpose.
- Data minimisation
Any data collected must be necessary and not excessive for its purpose. This means Changefirst must not store any Personal Data beyond what is strictly required.
The data we hold must be accurate and kept up to date. This means Changefirst must have in place processes for identifying and addressing out-of-date, incorrect and redundant Personal Data.
We cannot store data longer than necessary. This means Changefirst must, wherever possible, store Personal Data in a way that limits or prevents identification of the Data Subject.
- Integrity and confidentiality
The data we hold must be kept safe and secure. Changefirst must use appropriate technical and organisational measures to ensure the integrity and confidentiality of Personal Data is maintained at all times.
4.2 Accountability and transparency
Changefirst must ensure accountability and transparency in all our use of personal data. We must show how we comply with each Principle. Changefirst record how all data processing activities comply with each of the Principles. This record (found within the Information Asset Register) is regularly reviewed and approved by the DPL, ISM and Senior Management.
To comply with data protection laws and the accountability and transparency Principle of GDPR, Changefirst must demonstrate compliance. Changefirst is responsible for understanding the responsibilities to ensure the organisation meets the following data protection obligations:
- Fully implement all appropriate technical and organisational measures.
- Maintain up to date and relevant documentation on all processing activities.
- Conducting Data Protection Impact Assessments where necessary.
- Implement measures to ensure privacy by design and default, including:
- Data minimisation
- Allowing individuals to monitor processing
- Creating and improving security and enhanced privacy procedures on an ongoing basis.
4.3 Our Procedures
4.3.1 Fair and lawful processing
Changefirst must process personal data fairly and lawfully in accordance with individuals’ rights under the first Principle. This generally means that the organisation should not process personal data unless the individual whose details we are processing has consented to this happening.
If Changefirst cannot apply a lawful basis (explained below), our processing does not conform to the first principle and will be unlawful. Data subjects have the right to have any data unlawfully processed erased.
4.3.2 Controlling vs. processing data
Changefirst is classified as a data controller and data processor. Changefirst must maintain our appropriate registration with the ICO to continue lawfully controlling and processing data. Changefirst is registered with the ICO under registration reference: Z1488323.
As a data processor, Changefirst must comply with our contractual obligations and act only on the documented instructions of the data controller. If Changefirst at any point determine the purpose and means of processing out with the instructions of the controller, Changefirst shall be considered a data controller and therefore breach our contract with the controller and have the same liability as the controller. As a data processor, we must:
- Not use a sub-processor without advanced notification to the data controller.
- Co-operate fully with the ICO or other supervisory authority.
- Ensure the security of the processing.
- Keep accurate records of processing activities.
- Notify the controller of any personal data breaches.
If you are in any doubt about how we handle data, contact firstname.lastname@example.org for clarification.
4.3.3 Lawful basis for processing data
Changefirst must establish a lawful basis for processing data. Ensure that any data you are responsible for managing has a written lawful basis approved by the DPL. It is your responsibility to check the lawful basis for any data you are working with and ensure all your actions comply the lawful basis. At least one of the following conditions must apply whenever we process personal data:
We hold recent, clear, explicit, and defined consent for the individual’s data to be processed for a specific purpose.
The processing is necessary to fulfil or prepare a contract for the individual.
- Legal obligation
We have a legal obligation to process the data (excluding a contract).
- Vital interests
Processing the data is necessary to protect a person’s life or in a medical situation.
- Public function
Processing necessary to carry out a public function, a task of public interest or the function has a clear basis in law.
- Legitimate interest
The processing is necessary for our legitimate interests. This condition does not apply if there is a good reason to protect the individual’s personal data which overrides the legitimate interest.
4.3.1 Deciding which condition to rely on
Changefirst first establishes that the processing is necessary. This means the processing must be a targeted, appropriate way of achieving the stated purpose.
As more than one basis may apply, Changefirst rely on what will best fit the purpose, not what is easiest. Changefirst consider the following factors and document our decisions based on:
- What is the purpose for processing the data?
- Can it reasonably be done in a different way?
- Is there a choice as to whether to process the data?
- Who does the processing benefit?
- After selecting the lawful basis, is this the same as the lawful basis the data subject would expect?
- What is the impact of the processing on the individual?
- Are you in a position of power over them?
- Are they a vulnerable person?
- Would they be likely to object to the processing?
- Are you able to stop the processing at any time on request, and have you factored in how to do this?
Changefirst’s commitment to the first Principle requires documentation of this process and show that we have considered which lawful basis best applies to each processing purpose, and fully justify these decisions.
Assessments of the lawful basis and implementing the privacy notice for the processing activity, are first approved by the DPL.
The lawful basis of processing Personal Data is recorded in the Asset Register.
4.4 Special categories of personal data
4.4.1 What are special categories of personal data?
Previously known as sensitive personal data, this means data about an individual which is more sensitive, so requires more protection. This type of data could create more significant risks to a person’s fundamental rights and freedoms, for example by putting them at risk of unlawful discrimination. The special categories include information about an individual’s:
- ethnic origin
- trade union membership
- bio-metrics (where used for ID purposes)
- sexual orientation.
In most cases if we process special categories of personal data Changefirst require the data subject's explicit consent to do this unless exceptional circumstances apply, or we are required to do this by law (e.g. to comply with legal obligations to ensure health and safety at work). Any such consent will need to clearly identify what the relevant data is, why it is being processed and to whom it will be disclosed.
The condition for processing special categories of personal data must comply with the law. If Changefirst do not have a lawful basis for processing special categories of data that processing activity must cease.
Senior members of Changefirst appointed a Data Protection Lead who has responsibility for the day-to-day implementation of this policy. The appointed person may be reached at email@example.com.
5.1 Changefirst Responsibilities
- Analysing and documenting the type of personal data we hold.
- Checking procedures to ensure they cover all the rights of the individual.
- Identify the lawful basis for processing data.
- Ensuring consent procedures are lawful.
- Implementing and reviewing procedures to detect, report and investigate personal data breaches.
- Store data in safe and secure ways.
- Assess the risk that could be posed to individual rights and freedoms should data be compromised.
5.2 Changefirst Employees
- Fully understand their data protection obligations.
- Check that any data processing activities employees deal with comply with Changefirst policy and are justified.
- Do not use data in any unlawful way.
- Do not store data incorrectly, be careless with it or otherwise cause Changefirst to breach data protection laws and Changefirst policies through employee actions.
- Always comply with this policy.
- Raise any concerns, notify any breaches or errors, and report anything suspicious or contradictory to this policy or our legal obligations without delay.
5.3 Responsibilities of the Data Protection Lead
- Keeping Senior Management updated about data protection responsibilities, risks and issues.
- Reviewing all data protection procedures and policies on a regular basis.
- Arranging data protection training and advice for all Employees and those included in this policy.
- Answering questions on data protection from Employees, board members and other stakeholders.
- Responding to individuals such as clients and Employees who wish to know which data is being held on them by us.
- Checking and approving with third parties that handle the company’s data any contracts or agreement regarding data processing.
- Addressing data protection queries from clients, data subjects.
5.4 Responsibilities of the Development Team
- Ensure all systems, services, software and equipment meet acceptable security standards.
- Checking and scanning security hardware and software regularly to ensure it is functioning properly.
- Researching third-party services, such as cloud services the company is considering using to store or process data.
- Ensure that privacy by design is included as a point of reference in all development decisions for software development in respect of information security.
5.5 Responsibilities of the Marketing Manager
- Approving data protection statements attached to emails and other marketing copy.
- Coordinating with the DPL to ensure all marketing initiatives adhere to data protection laws and this policy.
5.6 Accuracy and relevance
Changefirst will ensure that any personal data we process is accurate, adequate, relevant and not excessive, given the purpose for which it was obtained. Changefirst will not process personal data obtained for one purpose for any unconnected purpose unless the individual concerned has agreed to this or would otherwise reasonably expect this.
Individuals may ask that Changefirst correct inaccurate personal data relating to them. If you believe that information is inaccurate you should record the fact that the accuracy of the information is disputed and inform the DPL.
5.7 Data Security
Changefirst must keep personal data secure against loss or misuse. Where other organisations process personal data as a service on behalf of Changefirst, the DPL will establish what, if any, additional specific data security arrangements need to be implemented in contracts with those third-party organisations.
5.8 Storing data securely
Changefirst are certified to the standard of ISO 27001 and take information security seriously. Changefirst uses processes and procedures in respect of the security management and handling of Personal Data.
Changefirst, when Processing Personal Data on behalf of Data Controller in connection with the Service, shall implement and maintain appropriate technical and organizational security measures for the Processing of such Personal Data. You may find further information of these from our Security Policy and Information Security Policy.
5.9 Data retention
Changefirst must retain personal data for no longer than is necessary. What is necessary will depend on the circumstances of each case, considering the reasons that the personal data was obtained, but should be determined in a manner consistent with our data retention guidelines. Changefirst record and maintain a retention schedule as part of our Information Asset Register.
5.10 Transferring data internationally
There are restrictions on international transfers of personal data. Changefirst must not transfer personal data abroad, or anywhere else outside of normal rules and procedures without express permission from the DPL.
6.0 Rights of individuals
Individuals have rights to their data which Changefirst and its Employees must respect and comply with to the best of our ability. Changefirst must ensure individuals can exercise their rights in the following ways:
- Right to be informed
- Providing privacy notices which are concise, transparent, intelligible and easily accessible, free of charge, that are written in clear and plain language.
- Keeping a record of how we use personal data to demonstrate compliance with the need for accountability and transparency.
- Right of access
- Enabling individuals to access their personal data and supplementary information.
- Allowing individuals to be aware of and verify the lawfulness of the processing activities.
- Right to rectification
- Changefirst must rectify or amend the personal data of the individual if requested because it is inaccurate or incomplete.
- This must be done without delay, and no later than one month. This can be extended to two months with permission from the DPL.
- Right to erasure
- Changefirst must delete or remove an individual’s data if requested and there is no compelling reason for its continued processing.
- Right to restrict processing
- Changefirst must comply with any request to restrict, block, or otherwise suppress the processing of personal data.
- We are permitted to store personal data if it has been restricted, but not process it further. We must retain enough data to ensure the right to restriction is respected in the future.
- Right to data portability
- Changefirst must provide individuals with their data so that they can reuse it for their own purposes or across different services.
- Changefirst must provide it in a commonly used, machine-readable format, and send it directly to another controller if requested.
- Right to object
- Changefirst must respect the right of an individual to object to data processing based on legitimate interest or the performance of a public interest task.
- Changefirst must respect the right of an individual to object to direct marketing, including profiling.
- Changefirst must respect the right of an individual to object to processing their data for scientific and historical research and statistics.
- Rights in relation to automated decision making and profiling
- Changefirst must respect the rights of individuals in relation to automated decision making and profiling.
- Individuals retain their right to object to such automated processing, have the rationale explained to them, and request human intervention.
7.0 Privacy notices
7.1 When to supply a privacy notice
A privacy notice must be supplied at the time the data is obtained if obtained directly from the data subject. If the data is not obtained directly from the data subject, the privacy notice must be provided within a reasonable period of having obtained the data, which mean within one month.
If the data is being used to communicate with the individual, then the privacy notice must be supplied at the latest when the first communication takes place.
If disclosure to another recipient is envisaged, then the privacy notice must be supplied prior to the data being disclosed.
7.1 What to include a privacy notice
Privacy notices must be concise, transparent, intelligible and easily accessible. They are provided free of charge and must be written in clear and plain language.
The following information must be included in a privacy notice to all data subjects:
- Identification and contact information of the data controller and the data protection officer.
- The purpose of processing the data and the lawful basis for doing so.
- The legitimate interests of the controller or third party, if applicable.
- The right to withdraw consent at any time, if applicable.
- The category of the personal data (only for data not obtained directly from the data subject).
- Any recipient or categories of recipients of the personal data.
- Detailed information of any transfers to third countries and safeguards in place.
- The retention period of the data or the criteria used to determine the retention period, including details for the data disposal after the retention period.
- The right to lodge a complaint with the Information Commissioners Office (ICO), and internal complaint procedures.
- The source of the personal data, and whether it came from publicly available sources (only for data not obtained directly from the data subject).
- Any existence of automated decision making, including profiling and information about how those decisions are made, their significance's and consequences to the data subject.
- Whether the provision of personal data is part of a statutory of contractual requirement or obligation and possible consequences for any failure to provide the data (only for data obtained directly from the data subject).
8.0 Subject Access Requests
8.1 What is a subject access request
An individual has the right to receive confirmation that their data is being processed, access to their personal data and supplementary information which means the information which should be provided in a privacy notice.
8.2 How Changefirst handles subject access requests
Changefirst must provide an individual with a copy of the information the request. This must occur without delay, and within 28 days of receipt. Changefirst endeavour to provide data subjects access to their information in commonly used electronic formats, and where possible, provide direct access to the information through a remote accessed secure system.
If complying with the request is complex or numerous, the deadline can be extended by two months, but the individual must be informed within one month. Changefirst employees must obtain approval from the DPL before extending the deadline.
Changefirst can refuse to respond to certain requests, and can, in circumstances of the request being manifestly unfounded or excessive, charge a fee. If the request is for a large quantity of data, Changefirst can request the individual specify the information they are requesting. This can only be done with express permission from the DPL.
Once a subject access request has been made, you must not change or amend any of the data that has been requested. Doing so is a criminal offence.
8.1 Data portability requests
Changefirst must provide the data requested in a structured, commonly used and machine-readable format. This would normally be a CSV file, although other formats are acceptable. We must provide this data either to the individual who has requested it, or to the data controller they have requested it be sent to. This must be done without delay, and no later than one month. This can be extended to two months for complex or numerous requests, but the individual must be informed of the extension within one month and a Changefirst employee must receive express permission from the DPL first.
9.0 Right to erasure
9.1 What is the right to erasure?
Individuals have a right to have their data erased and for processing to cease in the following circumstances:
- Where the personal data is no longer necessary in relation to the purpose for which it was originally collected and/or processed.
- Where consent is withdrawn.
- Where the individual objects to processing and there is no overriding legitimate interest for continuing the processing.
- The personal data was unlawfully processed or otherwise breached data protection laws.
- To comply with a legal obligation.
- The processing relates to a child.
9.1 How Changefirst handle the right to erasure
Changefirst can only refuse to comply with a right to erasure in the following circumstances:
- To exercise the right of freedom of expression and information.
- To comply with a legal obligation for the performance of a public interest task or exercise of official authority.
- For public health purposes in the public interest.
- For archiving purposes in the public interest, scientific research, historical research or statistical purposes.
- The exercise or defence of legal claims.
If personal data that needs to be erased has been passed onto other parties or recipients, they must be contacted and informed of their obligation to erase the data. If the individual asks, C must inform them of those recipients.
10.0 The right to object
Individuals have the right to object to their data being used on grounds relating to their situation. Changefirst must cease processing unless:
- Changefirst have legitimate grounds for processing which override the interests, rights and freedoms of the individual.
- The processing relates to the establishment, exercise or defence of legal claims.
Changefirst must always inform the individual of their right to object at the first point of communication, i.e. in the privacy notice. Changefirst must offer a way for individuals to object online.
10.1 The right to restrict automated profiling or decision making
Changefirst may only carry out automated profiling or decision making that has a legal or similarly significant effect on an individual in the following circumstances:
- It is necessary for the entry into or performance of a contract.
- Based on the individual’s explicit consent.
- Otherwise authorised by law.
In these circumstances, Changefirst must:
- Give individuals detailed information about the automated processing.
- Offer simple ways for them to request human intervention or challenge any decision about them.
- Carry out regular checks and user testing to ensure our systems are working as intended.
11.0 Third parties
9.1 Using third party controllers and processors
As a data controller and data processor, Changefirst must have written contracts in place with any third-party data controllers (and/or) data processors that Changefirst use. The contract must contain specific clauses which set out our and their liabilities, obligations and responsibilities.
As a data controller, Changefirst must only appoint processors who can provide sufficient guarantees under GDPR and that the rights of data subjects will be respected and protected.
As a data processor, Changefirst must only act on the documented instructions of a controller. Changefirst acknowledge our responsibilities as a data processor under GDPR and Changefirst will protect and respect the rights of data subjects.
Our contracts must comply with the standards set out by the ICO. Our contracts with data controllers (and/or) data processors must set out the subject matter and duration of the processing, the nature and stated purpose of the processing activities, the types of personal data and categories of data subject, and the obligations and rights of the controller.
At a minimum, Changefirst contracts must include terms that specify:
- Acting only on written instructions.
- Those involved in processing the data are subject to a duty of confidence.
- Appropriate measures will be taken to ensure the security of the processing.
- Sub-processors will only be engaged with the prior consent of the controller and under a written contract.
- The controller will assist the processor in dealing with subject access requests and allowing data subjects to exercise their rights under GDPR.
- The processor will assist the controller in meeting its GDPR obligations in relation to the security of processing, notification of data breaches and implementation of Data Protection Impact Assessments.
- Delete or return all personal data at the end of the contract.
- Submit to regular audits and inspections and provide whatever information necessary for the controller and processor to meet their legal obligations.
- Nothing will be done by either the controller or processor to infringe on GDPR.
12.0 Criminal offence data
12.1 Criminal record checks
Any criminal record checks are justified by law. Criminal record checks cannot be undertaken based solely on the consent of the subject. Changefirst cannot keep a comprehensive register of criminal offence data. All data relating to criminal offences is a special category of personal data and must be treated as such. Changefirst employees must have approval from the DPL prior to carrying out a criminal record check.
13.0 Audits, monitoring and training
13.1 Data audits
Regular data audits to manage and mitigate risks will inform the Information Asset Register. This contains information on what data is held, where it is stored, how it is used, who is responsible and any further regulations or retention timescales that may be relevant. Changefirst employees must conduct a regular data audit as defined by the DPL and normal procedures.
Everyone must observe this policy. The DPL has overall responsibility for this policy. Changefirst will keep this policy under review and amend or change it as required. Changefirst employees must notify the DPL of any breaches of this policy. Employees must comply with this policy fully and at all times.
Employees will receive adequate training on provisions of data protection law specific for your role. Changefirst employees must complete all training as requested. If an Employee moves role or responsibilities, then they are responsible for requesting new data protection training relevant to the new role or responsibilities.
If Employees require additional training on data protection matters, they are to contact the DPL.
14.0 Reporting breaches
Any breach of this policy or of data protection laws must be reported as soon as practically possible. This means as soon as you have become aware of a breach. Changefirst has a legal obligation to report any data breaches to the ICO within 72 hours.
All Employees have an obligation to report actual or potential data protection compliance failures. This allows us to:
- Investigate the failure and take remedial steps if necessary.
- Maintain a register of compliance failures.
- Notify the ICO of any compliance failures that are material either or as part of a pattern of failures.
Any Employee who fails to notify of a breach or is found to have known or suspected a breach has occurred but has not followed the correct reporting procedures will be liable to disciplinary action.
Please refer to our Information Security Incident Management Policy for our reporting procedure.
14.1 Failure to comply
Changefirst take compliance with this policy very seriously. Failure to comply puts both Employees and the organisation at risk.
The importance of this policy means that failure to comply with any requirement may lead to disciplinary action under our procedures which may result in dismissal.
If you have any questions or concerns about anything in this policy, do not hesitate to contact the DPL.