Data Protection Manual

Policy Applicable: All Divisions

Policy Owners: Data Protection Officer

Last Updated: January 2024

Summary

The data protection manual sets out OCU’s approach to collecting, using and safeguarding personal data. The policy addresses and provides guidance covering the following areas: -

Quick links - related information

Diversity, Equity & Inclusion Policy

Criminal Records Information Policy

Information Security Policy

Records Retention Policy

1 The most important bits

To assist in the understanding of how our Data Protection Manual works, we’ve provided the set of bullet points below with a summary of what this manual includes: -

1.1 the data protection principles with which OCU must comply;

1.2 what is meant by personal data (or information) and special category data (or information);

1.3 how we gather, use and (ultimately) delete personal data and special category data in accordance with the data protection principles;

1.4 where more detailed privacy information can be found, e.g. about the personal data we gather and use about you, how it is used, stored and transferred, for what purposes, the steps taken to keep that data secure and for how long it is kept;

1.5 your rights and obligations in relation to data protection; and

1.6 the consequences of failure to comply with these requirements.

2 Introduction

2.1 Privacy and Data Protection affects us all. Whether it is our own information that is being used, or we are processing someone else’s information, we have a duty to treat it with care and respect.

2.2 As we all have a responsibility to contribute to our company’s data protection compliance, we think the language we use when talking about data protection is important. We want our policies and guidance to be easy to understand, and sometimes, policies can seem very formal and are sometimes hard to follow.

2.3 To help make our data protection policies accessible to everyone, we use phrases like “We will do”, rather than “OCU will”, and “Our employees”, rather than “OCU’s employees”. You may also find that our policies are more conversational, and we hope that they are easy to follow and digest.

2.4 That said, we collect, store and use personal data (also referred to as personal information) for a number of specific lawful purposes (also known as a ‘lawful basis’). We provide Privacy Notices that explain to individuals how we might use their personal information. A Privacy Notice shouldn’t be mistaken for, or treated like, Terms and Conditions. A Privacy Notice doesn’t need an individual’s consent or agreement, it is essentially a notification telling individuals about how their personal information will be processed. We provide Privacy Notices to individuals in various contexts, including:

2.4.1     job applicants

2.4.2     current and former employees,

2.4.3     temporary and agency workers

2.4.4     apprentices,

2.4.5     current and prospective clients,

2.4.6     contractors,

2.4.7     volunteers, and

2.4.8     the general public.

2.5 This policy sets out how we comply with our data protection obligations and seek to protect personal data relating to our workforce. Its purpose is also to ensure that staff understand and comply with the rules governing the collection, use and deletion of personal data to which they may have access in the course of their work.

2.6 We are committed to complying with our data protection obligations, and to being concise, clear and transparent about how we obtain and use personal data relating to our workforce, and latterly, how and when we delete that personal data once it is no longer required.

2.7 Our Group Data Protection Officer, Dean Hogarth, is responsible for informing and advising our business and our employees on data protection obligations, and for monitoring compliance with those obligations and with our policies. If you have any questions or comments about the content of this policy or if you need further information, you should contact the Data Protection Officer, dpo@ocugroup.com. 

3 Scope

3.1 This policy applies to the personal data of job applicants, current and former staff, including employees, temporary and agency workers, interns, volunteers and apprentices.

3.2 Individuals should refer to our Employee Privacy Notice, Recruitment Privacy Notice, Contractor Privacy Notice and, where appropriate, to our other relevant policies including in relation tointernet, email and communications, monitoring, social media, information security and data retention,which contain further information regarding the protection of personal data in those contexts.

3.3 This policy has been drafted with the assistance of a representative group of employees to ensure that it is clear and easy to understand.We will review and update this policy regularly in accordance with our data protection obligations. It does not form part of any employee’s contract of employment, and we may amend, update or supplement it from time to time. We will circulate any new or modified policy to staff when it is adopted.

4 Definitions

5 Data protection principles

5.1 We comply with the following data protection principles when processing personal data:

5.1.1 we will process personal data lawfully, fairly and in a transparent manner;

5.1.2 we will collect personal data for specified, explicit and legitimate purposes only, and will not process it in a way that is incompatible with those legitimate purposes;

5.1.3 we will only process the personal data that is adequate, relevant and necessary for the relevant purposes;

5.1.4 we will keep accurate and up to date personal data, and take reasonable steps to ensure that inaccurate personal data are deleted or corrected without delay;

5.1.5 we will keep personal data for no longer than is necessary for the purposes for which the data are processed; and

5.1.6 we will take appropriate technical and organisational measures to ensure that personal data are kept secure and protected against unauthorised or unlawful processing, and against accidental loss, destruction or damage.

6 Basis for processing personal data

6.1 In relation to any processing activity we will, before the processing starts for the first time, and then regularly while it continues:

6.1.1 review the purposes of the particular processing activity, and select the most appropriate lawful basis (or bases) for that processing, i.e.:

(a)that the data subject has consented to the processing;

(b)that the processing is necessary for the performance of a contract to which the data subject is party or in order to take steps at the request of the data subject prior to entering into a contract;

(c)that the processing is necessary for compliance with a legal obligation to which we are subject;

(d)that the processing is necessary for the protection of the vital interests of the data subject or another natural person; or

(e)that the processing is necessary for the purposes of our legitimate interests or a third parties interests, except where those interests are overridden by the interests of fundamental rights and freedoms of the data subject as set out in see clause 6.2 below.

6.1.2 except where the processing is based on consent, satisfy ourselves that the processing is necessary for the purpose of the relevant lawful basis (i.e. that there is no other reasonable way to achieve that purpose);

6.1.3 document our decision as to which lawful basis applies, to help demonstrate our compliance with the data protection principles;

6.1.4 include information about both the purposes of the processing and the lawful basis for it in our relevant privacy notice(s);

6.1.5 where special category data is processed, also identify a lawful basis for processing that data (see paragraph 6.2.2 below), and document it; and

6.1.6 where criminal records data is processed, also identify a lawful basis for processing that data, and document it.

6.2 When determining whether our legitimate interests are the most appropriate basis for lawful processing, we will:

6.2.1 conduct a legitimate interest assessment (LIA) and keep a record of it, to ensure that we can justify our decision;

6.2.2 if the LIA identifies a significant privacy impact, consider whether we also need to conduct a data protection impact assessment (DPIA);

6.2.3 keep the LIA under review, and repeat it if circumstances change; and

6.2.4 include information about our legitimate interests in our relevant privacy notice(s).

7 Special category data

7.1 Special category data is sometimes referred to as ‘sensitive personal data’ or ‘sensitive personal information’.

7.2 We may from time to time need to process special category data. We will only process special category data if:

7.2.1 we have a lawful basis for doing so as set out in paragraph 5.1.1 above, e.g. it is necessary for the performance of the employment contract, to comply with our legal obligations or for the purposes of our legitimate interests; and

7.2.2 one of the special conditions for processing special category data applies, e.g.:

(a) the individual has given explicit consent;

(b) the processing is necessary for the purposes of exercising employment law rights or our legal obligations or the individual’s obligations;

(c) the processing is necessary to protect the individual’s vital interests, and the individual is physically incapable of giving consent;

(d) processing relates to personal data which are manifestly made public by the individual;

(e) the processing is necessary for the establishment, exercise or defence of legal claims; or

(f) the processing is necessary for reasons of substantial public interest.

7.3 Before processing any special category data, staff must notify the Data Protection Officer of the proposed processing, in order to assess whether the processing complies with the criteria noted above.

7.4 Special category data will not be processed until:

7.4.1 the assessment referred to in paragraph 7.3 has taken place; and

7.4.2 the individual has been properly informed (by way of a privacy notice or otherwise) of the nature of the processing, the purposes for which it is being carried out and the legal basis for it.

7.5 We will not carry out automated decision-making (including profiling) based on any individual’s special category data.

7.6 Our employee privacy notices set out the types of special category data that we process, what it is used for and the lawful basis for the processing.

7.7 In relation to special category data, we will comply with the procedures set out in paragraphs 7.8 and 7.9 below to make sure that we comply with the data protection principles set out in paragraph 5 above.

7.8 During the recruitment process: the Recruitment Team and HR department, with guidance from the Data Protection Officer, will ensure that (except where the law permits otherwise):

7.8.1 during the short-listing, interview and decision-making stages, no questions are asked relating to special category data, e.g. race or ethnic origin, trade union membership or health;

7.8.2 if special category data is received, e.g. the applicant provides it without being asked for it within their CV or during the interview, no record is kept of it and any reference to it is immediately deleted or redacted;

7.8.3 any completed equal opportunities monitoring form is kept separate from the individual’s application form, and not be seen by the person shortlisting, interviewing or making the recruitment decision;

7.8.4 ‘right to work’ checks are carried out before an offer of employment is made unconditional, and not during the earlier short-listing, interview or decision-making stages;

7.8.5 we will only ask health questions once an offer of employment has been made.

7.9 During employment: the HR department, with guidance from the Data Protection Officer, will:

7.9.1  process health data for the purposes of administering sick pay, keeping sickness absence records, monitoring staff attendance and facilitating employment-related health and sickness benefits;

7.9.2 process special category data for the purposes of equal opportunities monitoring and pay equality reporting. Where possible, this data will be anonymised;

7.9.3 process where necessary or appropriate, trade union membership data for the purposes of staff administration and administering ‘check off’; and

7.9.4 support the SHEQ department who may monitor and report on accident and injury occurrences, in line with legal obligations.

8 Criminal records data

8.1 Criminal records data will be processed in accordance with our Criminal Records Information Policy.

9 Data protection impact assessments (DPIAs)

9.1 Where processing is likely to result in a high risk to an individual’s data protection rights (e.g. where we are planning to use a new form of technology), we will, before commencing the processing, carry out a DPIA to assess:

9.1.1 whether the processing is necessary and proportionate in relation to its purpose;

9.1.2 the risks to individuals in relation to the proposed data processing; and

9.1.3 what measures can be put in place to address those risks and protect personal data.

9.2 Before any new form of technology is introduced, the manager responsible should therefore contact the Data Protection Officer in order that a DPIA can be carried out.

9.3 During the course of any DPIA, the employer should seek the advice of the Data Protection Officer and the views of appropriate Privacy Advocates and any other relevant stakeholders, such as Information Security.

10 Documentation and records

10.1 We will keep written records of processing activities, including:

10.1.1  the name and details of the employer’s organisation (and where applicable, of other controllers, the employer's representative and DPO);

10.1.2  the purposes of the processing;

10.1.3  a description of the categories of individuals and categories of personal data;

10.1.4  categories of recipients of personal data;

10.1.5  where relevant, details of transfers to third countries, including documentation of the transfer mechanism safeguards in place;

10.1.6  where possible, retention schedules; and

10.1.7  where possible, a description of technical and organisational security measures.

10.2 As part of our record of processing activities we document, or link to documentation, on:

10.2.1  information required for privacy notices;

10.2.2  records of consent;

10.2.3  controller-processor contracts;

10.2.4  the location of personal data;

10.2.5  DPIAs; and

10.2.6  records of data breaches.

10.3 If we process special category data or criminal records data, we will keep written records of:

10.3.1  the relevant purpose(s) for which the processing takes place, including (where required) why it is necessary for that purpose;

10.3.2  the lawful basis for our processing; and

10.3.3  whether we retain and erase the personal data in accordance with our policy document and, if not, the reasons for not following our policy.

10.4 We will conduct regular reviews of the personal data we process and update our documentation accordingly. This includes:

10.4.1  carrying out data audits to find out what personal data we hold;

10.4.2  distributing questionnaires and talking to staff across OCU to get a more complete picture of our processing activities; and

10.4.3 reviewing our policies, procedures, contracts and agreements to address areas such as retention, security and data sharing.

11 Privacy notice

11.1 We will issue privacy notices from time to time, informing you about the personal data that we collect and hold relating to you, how you can expect your personal data to be used and for what purposes.

11.2 We will take appropriate measures to provide information in privacy notices in a concise, transparent, intelligible and easily accessible form, using clear and plain language.

11.3 Our Employee Privacy Notice is made available to all of our staff when they first join the business and is available within our Privacy & Data Protection area, on OCU One.

12 Individual rights

12.1 You (in common with other data subjects) have the following rights in relation to your personal data:

12.1.1 to be informed about how, why and on what basis that data is processed, which is set out in our Employee Privacy Notice;

12.1.2 to obtain confirmation that your data is being processed and to obtain access to it and certain other information, by making a data subject access request, and we have a policy that specifically sets out how we process Data Subject Access Requests;

12.1.3 to have data corrected if it is inaccurate or incomplete;

12.1.4 to have data erased if it is no longer necessary for the purpose for which it was originally collected/processed, or if there are no overriding legitimate grounds for the processing (this is sometimes known as ‘the right to be forgotten’);

12.1.5 to restrict the processing of personal data where the accuracy of the data is contested, or the processing is unlawful (but you do not want the data to be erased), or where we as your employer no longer need the personal data but you require the data to establish, exercise or defend a legal claim; and

12.1.6 to restrict the processing of personal data temporarily where you do not think it is accurate (and we are verifying whether it is accurate), or where you have objected to the processing (and we are considering whether your interests override our legitimate grounds for processing).

12.2 If you wish to exercise any of the rights in the paragraphs above, please contact the Data Protection Officer, or log a request with the HR team.

13 Individual obligations

13.1 Individuals are responsible for helping us keep their personal data up to date. You should let the HR Team know if the data you have provided to us changes, for example if you move house or change details of the bank or building society account to which you are paid. Alternatively, you can update your own personal data securely within our HRIS.

13.2 You may have access to the personal data of other members of our staff, suppliers and clients in the course of your employment or engagement. If so, we expect you to help meet our data protection obligations to those individuals. For example, you should be aware that they also enjoy the rights set out in paragraph 12.1 above.

13.3 If you have access to personal data, you must:

13.3.1 only access the personal data that you have authority to access, and only for authorised purposes;

13.3.2 only allow other external individuals to access personal data if they have appropriate authorisation;

13.3.3 only allow individuals who are external individuals to access personal data if you have specific authority to do so from the Data Protection Officer (DPO), the Group CIO, our General Counsel or another appropriate department. If in doubt, ask the DPO.

13.3.4 keep personal data secure, by complying with rules on access to premises, computer access, password protection and secure file storage and destruction and other precautions set out in our Information Security Policy, which is part of our ISO 27001 certified Information Security Management System (ISMS);

13.3.5 not remove personal data, or devices containing personal data (or which can be used to access it), from our premises unless appropriate security measures are in place (such as pseudonymisation, encryption or password protection) to secure the data and the device; and

13.3.6 not store personal data on local drives or on personal devices that are used for work purposes.

13.4 You have a responsibility to contact the Data Protection Officer if you are concerned or suspect that one of the following has taken place (or is taking place or likely to take place):

13.4.1 processing of personal data without a lawful basis for its processing or, in the case of special category data, without one of the conditions in paragraph 7.2.2 being met;

13.4.2 any data breach as set out in paragraph 16.1 below;

13.4.3 access to personal data without proper authorisation;

13.4.4 personal data not kept or deleted securely;

13.4.5 removal of personal data, or devices containing personal data (or which can be used to access it), from our premises without appropriate security measures being in place;

13.4.6 any other breach of this policy or of any of the data protection principles set out in paragraph 5.1 above.

14 Information security

14.1 We use appropriate technical and organisational measures in accordance with our Information Security Policy to keep personal data secure, and in particular to protect against unauthorised or unlawful processing and against accidental loss, destruction or damage. These may include:

14.1.1  making sure that, where possible, personal data is pseudonymised or encrypted;

14.1.2  ensuring the ongoing confidentiality, integrity, availability and resilience of processing systems and services;

14.1.3  ensuring that, in the event of a physical or technical incident, availability and access to personal data can be restored in a timely manner;

14.1.4  a process for regularly testing, assessing and evaluating the effectiveness of technical and organisational measures for ensuring the security of the processing: and

14.1.5  monitoring systems that process personal information in cases of suspected attempts or successful instances of evading, breaching, circumventing security protocols and/or policy. Systems include:

(a) the corporate devices, network/cloud storage locations and email accounts of employees in high risk job roles, those of significant seniority, and specifically where employees in those roles are in the process of leaving the business. 

14.2 Where we use external organisations to process personal data on our behalf, additional security arrangements need to be implemented in contracts with those organisations to safeguard the security of personal data. In particular, contracts with external organisations must provide that:

14.2.1  the organisation may act only on our written instructions;

14.2.2  those processing the data are subject to a duty of confidence;

14.2.3  appropriate measures are taken to ensure the security of processing;

14.2.4  sub-contractors are only engaged with our prior consent and under a written contract;

14.2.5  the organisation will assist us in providing subject access and allowing individuals to exercise their rights in relation to data protection;

14.2.6  the organisation will assist us in meeting its obligations in relation to the security of processing, the notification of data breaches and data protection impact assessments;

14.2.7  the organisation will delete or return all personal data to us as requested at the end of the contract; and

14.2.8  the organisation will submit to audits and inspections, provide us with whatever information it needs to ensure that they are both meeting their data protection obligations, and tell us immediately if it is asked to do something infringing data protection law.

14.3 Before any new agreement involving the processing of personal data by an external organisation is entered into, or an existing agreement is altered, the relevant staff must seek approval of its terms by the Data Protection Officer, and at the very least, our General Counsel.

15 Storage and retention of personal data

15.1 Personal data (and special category data) will be kept securely in accordance with our Information Security Policy.

15.2 Personal data (and special category data) should not be retained for any longer than necessary. The length of time over which data should be retained will depend upon the circumstances, including the reasons why the personal data was obtained. Staff should follow our Records Retention Policy which set out the relevant retention period, or the criteria that should be used to determine the retention period. Where there is any uncertainty, staff should consult their Line Manager, a Privacy Advocate, or the Data Protection Officer.

15.3 Personal data (and special category data) that is no longer required will be deleted permanently from our information systems and any hard copies will be destroyed securely.

16 Data breaches

16.1 A data breach may take many different forms, for example:

16.1.1  loss or theft of data or equipment on which personal data is stored;

16.1.2  unauthorised access to or use of personal data either by a member of staff or third party;

16.1.3  loss of data resulting from an equipment or systems (including hardware and software) failure;

16.1.4  accidental deletion or alteration of data;

16.1.5  emailing information to the wrong recipient;

16.1.6  leaving personal data visible or available to those who do not have a need to view it;

16.1.7  unforeseen circumstances, such as a fire or flood;

16.1.8  deliberate attacks on IT systems, such as hacking, viruses or phishing scams; and

16.1.9  ‘blagging’ offences, where data is obtained by deceiving the organisation which holds it, also known as ‘social engineering’.

16.2 We will:

16.2.1  make the required report of a data breach to the Information Commissioner’s Office without undue delay and, where possible within 72 hours of becoming aware of it, if it is likely to result in a risk to the rights and freedoms of individuals;

16.2.2  notify the affected individuals if a data breach is likely to result in a high risk to their rights and freedoms and notification is required by law; and

16.2.3  log every breach within our Internal Breach Register.

17 International transfers

17.1 We may transfer personal data outside the UK to international organisations on the basis that that country, territory or organisation is designated as having an adequate level of protection, or when the organisation receiving the data has provided adequate safeguards by way of standard data protection clauses, or compliance with an approved code of conduct.

18 Training

18.1 We will ensure that staff are adequately trained regarding their data protection responsibilities. Individuals whose roles require regular access to personal data, or who are responsible for implementing this policy or responding to subject access requests under this policy, will receive additional training to help them understand their duties and how to comply with them.

19 Consequences of failing to comply

19.1 We take compliance with this policy very seriously. Failure to comply with the policy:

19.1.1  puts at risk the individuals whose personal data is being processed; and

19.1.2  carries the risk of significant civil and criminal sanctions for the individual and our business; and

19.1.3  may, in some circumstances, amount to a criminal offence by the individual.

19.2 Because of the importance of this policy, an employee’s failure to comply with any requirement of it may lead to disciplinary action under our procedures, and this action may result in dismissal for gross misconduct. If a non-employee breaches this policy, they may have their contract terminated with immediate effect.

19.3 If you have any questions or concerns about anything in this policy, do not hesitate to contact the Data Protection Officer.