Last updated 19th October 2022
1. Policy, Scope and Objectives
1.1 The Board of Directors and management of YU (herein after referred to as YU), located in Edinburgh, Scotland are committed to compliance with all relevant UK and EU laws in respect of personal data, and to protecting the “rights and freedoms” of individuals whose information YU collects in accordance with the General Data Protection Regulation (GDPR).
1.2 YU is committed to complying with data protection legislation and good practice including:
a. processing personal information only where this is strictly necessary for legitimate organisational purposes;
b. collecting only the minimum personal information required for these purposes and not processing excessive personal information;
c. providing clear information to individuals about how their personal information will be used and by whom;
d. only processing relevant and adequate personal information;
e. processing personal information fairly and lawfully;
f. maintaining an inventory of the categories of personal information processed by YU;
g. keeping personal information accurate and, where necessary, up to date;
h. retaining personal information only for as long as is necessary for legal or regulatory reasons or, for legitimate organisational purposes;
i. respecting individuals’ rights in relation to their personal information, including their right to subject access;
j. keeping all personal information secure;
k. only transferring personal information outside the EU in circumstances where it can be adequately protected;
l. the application of the various exemptions allowable by data protection legislation;
YU has notified the Information Commissioner that it is a data controller and that it processes certain information about data subjects. YU has identified all the personal data that it processes and this is contained in the Data Inventory Register. A copy of the ICO notification details is retained by YU and the ICO Notification Handbook is used as the authoritative guidance for notification. The ICO notification is renewed annually in August.
The Data Protection Officer is responsible, each year, for reviewing the details of notification, in the light of any changes to YU’s activities (as determined by changes to the Data Inventory Register and the management review) and to any additional requirements identified by means of data protection impact assessments.
The policy applies to all Employees/Staff [and interested parties] of YU such as outsourced suppliers. Any breach of the GDPR will be dealt with under YU’s disciplinary policy and may also be a criminal offence, in which case the matter will be reported as soon as possible to the appropriate authorities. Partners and any third parties working with or for YU, and who have or may have access to personal information, will be expected to have read, understood and comply with this policy. No third party may access personal data held by YU without having first entered into a data confidentiality agreement, which imposes on the third party obligations no less onerous than those to which YU is committed, and which gives YU the right to audit compliance with the agreement.
2. Background to the General Data Protection Regulation (‘GDPR’)
The General Data Protection Regulation 2016 replaces the EU Data Protection Directive of 1995 and supersedes the laws of individual Member States that were developed in compliance with the Data Protection Directive 95/46/EC. Its purpose is to protect the “rights and freedoms” of living individuals, and to ensure that personal data is not processed without their knowledge, and, wherever possible, that it is processed with their consent.
3. Definitions used by the organisation (drawn from the GDPR)
Territorial scope – the GDPR will apply to all controllers that are established in the EU (European Union) who process the personal data of data subjects, in the context of that establishment. It will also apply to controllers outside of the EU that process personal data to offer goods and services, or monitor the behaviour of data subjects who are residents of the EU.
Establishment – the main establishment of the controller in the EU will be the place in which the controller makes the main decisions as to the purpose of its data processing activities. The main establishment of a processor in the EU will be its administrative centre. If a controller is based outside the EU, it will have to appoint a representative in the jurisdiction in which the controller operates, to act on behalf of the controller and deal with supervisory authorities.
Personal data – any information relating to an identified or identifiable natural person ('data subject'); an identifiable natural person 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 to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person.
Special categories of personal data – Personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade-union membership, and the processing of genetic data, biometric data to uniquely identify a natural person, data concerning health or data concerning a natural person's sex life or sexual orientation.
Data controller – the natural or legal person, public authority, agency or other body which, alone or jointly with others, determines the purposes and means of the processing of personal data; where the purposes and means of such processing are determined by Union or Member State law, the controller or the specific criteria for its nomination may be provided for by Union or Member State law.
Data subject – any living individual who is the subject of personal data held by an organisation.
Processing – any operation or set of operations which is performed on personal data or sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction.
Profiling – is any form of automated processing of personal data intended to evaluate certain personal aspects relating to a natural person, or to analyse, or predict that person’s performance at work, economic situation, location, health, personal preferences, reliability, or behaviour. This definition is linked to the right of the data subject to object to profiling and a right to be informed about the existence of profiling, of measures based on profiling and the envisaged effects of profiling on the individual.
Personal data breach – a breach of security leading to the accidental, or unlawful, destruction, loss, alteration, or unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed. There is an obligation on the controller to report personal data breaches to the supervisory authority and where the breach is likely to adversely affect the personal data or privacy of the data subject.
Data subject consent - means any freely given, specific, informed and unambiguous indication of the data subject's wishes by which he or she, by a statement or by clear affirmative action, signifies agreement to the processing of personal data.
Child – the GDPR defines a child as anyone under the age of 16 years old. The processing of the personal data of a child under 13 years of age is only lawful if parental or custodian consent has been obtained.
Third party – a natural or legal person, public authority, agency or body other than the data subject, controller, processor and persons who, under the direct authority of the controller or processor, are authorised to process personal data.
Filing system – any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis.
4. Responsibilities under the General Data Protection Regulation
YU is a data controller and data processor under the GDPR. The board of Directors and all those in managerial or supervisory roles throughout YU are responsible for developing and encouraging good information-handling practices within the organisation; responsibilities are set out in individual job descriptions.
The Data Protection Officer, a member of the senior management team, is accountable to the Board of Directors of YU for the management of personal information within YU and for ensuring that compliance with data protection legislation and good practice can be demonstrated. This accountability includes:
- The Data Protection Officer whom the Board of Directors considers being suitably qualified and experienced, has been appointed to take responsibility for YU’s compliance with this policy on a day-to-day basis and, in particular, has direct responsibility for ensuring that YU complies with the GDPR, as do all staff in respect of data processing that takes place within their area of responsibility.
- The Data Protection Officer has specific responsibilities in respect of procedures such as the Subject Access Request Procedure and is the first point of call for Employees/Staff seeking clarification on any aspect of data protection compliance.
Compliance with data protection legislation is the responsibility of all members of YU who process personal information.
YU’s Training Policy sets out specific training and awareness requirements about specific roles and to members of YU generally.
Members of YU are responsible for ensuring that any personal data supplied by them, and that is about them, to YU is accurate and up-to-date.
5. Risk Assessment
Objective: To ensure that YU is aware of any risks associated with the processing of particular types of personal information.
YU has a process for assessing the level of risk to individuals associated with the processing of their personal information. Assessments will also be carried out about processing undertaken by other organisations on behalf of YU. YU shall manage any risks which are identified by the risk assessment to reduce the likelihood of a non-conformance with this policy. Where a type of processing, in particular using new technologies and taking into account the nature, scope, context and purposes of the processing is likely to result in a high risk to the “rights and freedoms” of natural persons, YU shall, before the processing, assess the impact of the envisaged processing operations on the protection of personal data. A single assessment may address a set of similar processing operations that present similar high risks.
6. Data Protection Principles
All processing of personal data must be done by the following data protection principles of the Regulation, and YU’s policies and procedures are designed to ensure compliance with them.
6.1 Personal data must be processed lawfully, fairly and transparently.
YU abides by the following Fair Processing Procedure: The GDPR introduces the requirement for transparency whereby the controller has transparent and easily accessible policies relating to the processing of personal data and the exercise of individuals’ “rights and freedoms”. The information must be communicated to the data subject in an intelligible form using clear and plain language.The specific information that must be provided to the data subject must as a minimum include:
6.1.1 the identity and the contact details of the controller and, if any, of the controller's representative;
6.1.2 the contact details of the Data Protection Officer, where applicable;
6.1.3 the purposes of the processing for which the personal data are intended as well as the legal basis for the processing;
6.1.4 the period for which the personal data will be stored;
6.1.5 the existence of the rights to request access, rectification, erasure or to object to the processing;
6.1.6 the categories of personal data concerned;
6.1.7 the recipients or categories of recipients of the personal data, where applicable;
6.1.8 where applicable, that the controller intends to transfer personal data to a recipient in a third country and the level of protection afforded to the data;
6.1.9 any further information necessary to guarantee fair processing.
6.2 Personal data can only be collected for specified, explicit and legitimate purposes. Data obtained for specified purposes must not be used for a purpose that differs from those formally notified to the Information Commissioner as part of YU’s GDPR registration.
6.3 Personal data must be adequate, relevant and limited to what is necessary for processing.
6.3.1The Data Protection Officer is responsible for ensuring that information, which is not strictly necessary for the purpose for which it is obtained, is not collected.
6.3.2 All data collection forms (electronic or paper-based), including data collection requirements in new information systems, must be approved by the Data Protection Officer.
6.3.3 The Data Protection Officer will ensure that on an annual basis all data collection methods are reviewed by an internal audit to ensure that collected data continues to be adequate, relevant and not excessive. If data is given or obtained that is excessive or not specifically required by YU’s documented procedures, the Data Protection Officer is responsible for ensuring that it is securely deleted or destroyed.
6.4 Personal data must be accurate and kept up to date
6.4.1 Data that is kept for a long time must be reviewed and updated as necessary. No data should be kept unless it is reasonable to assume that it is accurate.
6.4.2 The Head of HR is responsible for ensuring that all staff are trained in the importance of collecting accurate data and maintaining it.
6.4.3 It is also the responsibility of individuals to ensure that data held by YU is accurate and up-to-date. Completion of an appropriate registration or application form etc. will be taken as an indication that the data contained therein is accurate at the date of submission.
6.4.4 Employees & clients should notify YU of any changes in circumstance to enable personal records to be updated accordingly. It is the responsibility of YU to ensure that any notification regarding a change of circumstances is noted and acted upon.
6.4.5 The Data Protection Officer is responsible for ensuring that appropriate additional steps are taken to keep personal data accurate and up to date, taking into account the volume of data collected, the speed with which it might change and any other relevant factors.
6.4.6 On at least an annual basis, the Data Protection Officer will review all the personal data maintained by YU, by reference to the Data Inventory Register, and will identify any data that is no longer required in the context of the registered purpose and will arrange to have that data securely deleted/destroyed in line with GDPR.
6.4.7 The Data Protection Officer is responsible for making appropriate arrangements, where third party organisations may have been passed inaccurate or out-of-date personal information, for informing them that the information is inaccurate and/or out-of-date and is not to be used to inform decisions about the individuals concerned; and for passing any correction to the personal information to the third party where this is required.
6.5 Personal data must be kept in a form such that the data subject can be identified only as long as is necessary for processing.
6.5.1 Where personal data is retained beyond the processing date, it will be encrypted to protect the identity of the data subject in the event of a data breach.
6.5.2 Personal data will be retained in line with the retention of records procedure and, once its retention date is passed, it must be securely destroyed as set out in this procedure.
6.5.3 The Data Protection Officer must specifically approve any data retention that exceeds the retention periods and must ensure that the justification is identified and in line with the requirements of the data protection legislation. This approval must be written.
6.6 Personal data must be processed in a manner that ensures its security
6.7 Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and accidental loss or destruction of, or damage to, personal data. These controls have been selected based on identified risks to personal data, and the potential for damage or distress to individuals whose data is being processed.
6.8 Personal data shall not be transferred to a country or territory outside the European Union unless that country or territory ensures an adequate level of protection for the ‘rights and freedoms’ of data subjects about the processing of personal data.The transfer of personal data outside of the EU is prohibited unless one or more of the specified safeguards or exceptions apply.
An assessment of the adequacy by the data controller taking into account the following factors:
22.214.171.124 the nature of the information being transferred;
126.96.36.199 the country or territory of the origin, and final destination, of the information;
188.8.131.52 how the information will be used and for how long;
184.108.40.206 the laws and practices of the country of the transferee, including relevant codes of practice and international obligations; and
220.127.116.11 the security measures that are to be taken as regards the data in the overseas location. (This is a UK-specific option.)
6.8.2 Binding corporate rules
YU may adopt approved Binding Corporate Rules for the transfer of data outside the EU. This requires submission to the relevant Supervisory Authority for approval of the rules that YU is seeking to rely upon.
6.8.3 Model contract clauses
YU may adopt approved model contract clauses for the transfer of data outside of the EU. If YU adopts the model contract clauses approved by the relevant Supervisory Authority there is an automatic recognition of adequacy.
In the absence of an adequacy decision, including binding corporate rules, a transfer of personal data to a third country, or an international organisation, shall take place only on one of the following conditions:
- the data subject has explicitly consented to the proposed transfer, after having been informed of the possible risks of such transfers for the data subject due to the absence of an adequacy decision and appropriate safeguards;
- the transfer is necessary for the performance of a contract between the data subject and the controller or the implementation of pre-contractual measures taken at the data subject's request;
- the transfer is necessary for the conclusion or performance of a contract concluded in the interest of the data subject between the controller and another natural or legal person;
- the transfer is necessary for important reasons of public interest;
- the transfer is necessary for the establishment, exercise or defence of legal claims;
- the transfer is necessary to protect the vital interests of the data subject or of other persons, where the data subject is physically or legally incapable of giving consent;
- the transfer is made from a register which according to Union or Member State law is intended to provide information to the public and which is open to consultation either by the public in general or by any person who can demonstrate a legitimate interest, but only to the extent that the conditions laid down in Union or Member State law for consultation are fulfilled in the particular case.
A list of countries that satisfy the adequacy requirements of the Commission is published in the Official Journal of the European Union.
The GDPR introduces the principle of accountability which states that the controller is not only responsible for ensuring compliance but for demonstrating that each processing operation complies with the requirements of the GDPR. Specifically, controllers are required to maintain necessary documentation of all processing operations, implement appropriate security measures, perform DPIAs (Data Processing Impact Assessment), comply with requirements for prior notifications, or approval from supervisory authorities and appoint a Data Protection Officer if required.
7. Data subjects’ rights
Data subjects have the following rights regarding data processing and the data that is recorded about them:
7.1 To make subject access requests regarding the nature of information held and to whom it has been disclosed.
7.2 To prevent processing likely to cause damage or distress.
7.3 To prevent processing for purposes of direct marketing.
7.4 To be informed about the mechanics of the automated decision-making process that will significantly affect them.
7.5 Not to have significant decisions that will affect them taken solely by an automated process.
7.6 To sue for compensation if they suffer damage by any contravention of the GDPR.
7.7 To take action to rectify, block, erased, including the right to be forgotten, or destroy inaccurate data.
7.8 To request the ICO to assess whether any provision of the GDPR has been contravened.
7.9 The right for personal data to be provided to them in a structured, commonly used and machine- readable format, and the right to have that data transmitted to another controller.
7.10 The right to object to any automated profiling without consent.
Data Subjects who wish to complain to YU about how their personal information has been processed may lodge their complaint directly with the Data Protection Officer details provided on our website. Where data subjects wish to complain about how their complaint has been handled, or appeal against any decision made following a complaint, they may lodge a further complaint to the Data Protection Officer.
YU understands ‘consent’ to mean that it has been explicitly and freely given, specific, informed and unambiguous indication of the data subject’s wishes by which he or she by the statement, or by clear affirmative action, signifies agreement to the processing of personal data relating to him or her. The consent of the data subject can be withdrawn at any time. YU understands ‘consent’ to mean that the data subject has been fully informed of the intended processing and has signified their agreement, while in a fit state of mind to do so and without pressure being exerted upon them. Consent obtained under duress or based on misleading information will not be a valid basis for processing. There must be some active communication between the parties which demonstrates active consent. Consent cannot be inferred from non-response to a communication. For sensitive data, explicit written consent of data subjects must be obtained unless an alternative legitimate basis for processing exists.
9. Security of Data
All Employees are responsible for ensuring that any personal data which YU holds and for which they are responsible, is kept securely and is not under any conditions disclosed to any third party unless that third party has been specifically authorised by YU to receive that information and has entered into a confidentiality agreement. All personal data should be accessible only to those who need to use it. You should form a judgement based on the sensitivity and value of the information in question, but personal data must be kept:
- in a lockable room with controlled access; and/or
- in a locked drawer or filing cabinet; and/or
- if computerised, password protected in line with corporate requirements in the Access Control Policy
Care must be taken to ensure that PC screens and terminals are not visible except to authorised Employees of YU. Manual records may not be left where they can be accessed by unauthorised personnel and may not be removed from business premises without explicit authorisation. As soon as manual records are no longer required for day-to-day client support, they must be removed for secure archiving. Personal data may only be deleted or disposed of in line with the Data Retention Procedure. Manual records that have reached their retention date are to be shredded and disposed of as ‘confidential waste’. Hard drives of redundant PCs are to be removed and immediately destroyed before disposal. Processing of personal data ‘off-site’ presents a potentially greater risk of loss, theft or damage to personal data.Staff must be specifically authorised to process data off-site.
10. Rights of Access to Data
Data subjects have the right to access any personal data (i.e. data about them) which is held by YU in electronic format and manual records which form part of a relevant filing system. This includes the right to inspect confidential personal references received by YU, and information obtained from third party organisations about that person.
11. Disclosure of Data
YU must ensure that personal data is not disclosed to unauthorised third parties which includes family members, friends, government bodies, and in certain circumstances, the Police. All Employees should exercise caution when asked to disclose personal data held on another individual to a third party. The GDPR permits certain disclosures without consent so long as the information is requested for one or more of the following purposes:
- to safeguard national security;
- prevention or detection of crime including the apprehension or prosecution of offenders;
- assessment or collection of tax duty;
- discharge of regulatory functions (includes health, safety and welfare of persons at work);
- to prevent serious harm to a third party;
- to protect the vital interests of the individual, this refers to life and death situations.
All requests to provide data for one of these reasons must be supported by appropriate paperwork and all such disclosures must be specifically authorised by the Data Protection Officer.
12. Retention and Disposal of Data
Personal data may not be retained for longer than is required. Once a member of staff has left YU, it may not be necessary to retain all the information held on them. Some data will be kept for longer periods than others. YU’s data retention and data disposal procedures will apply in all cases.
Disposal of records
Personal data must be disposed of in a way that protects the “rights and freedoms” of data subjects (e.g. shredding, disposal as confidential waste, secure electronic deletion) and in line with the secure disposal procedure.
Document Owner and Approval
The Data Protection Officer is the owner of this document and is responsible for ensuring that this policy document is reviewed in line with the review requirements stated above.