The Organisation needs to collect and use certain types of information about staff, clients and other individuals who meet the company to operate. In addition, it may be required by law to collect and use certain types of information to comply with statutory obligations of Local Authorities, government agencies and other bodies
This personal information must be dealt with properly however it is collected, recorded and used – whether on paper, in a computer, or recorded on other material – and there are safeguards to ensure this is within the EU General Data Protection Regulation and the Data Protection Act 1998.
We regard the lawful and correct treatment of personal information as very important to successful operations, and to maintaining confidence between those with whom we deal and ourselves. We ensure that our Organisation treats personal information lawfully and correctly.
Most businesses hold personal data on their customers, employees and partners. The explosion in the use of the Internet, electronic communication and computerisation of business data has led to an increase in the importance of privacy. Breaches of computerised data security have prompted the introduction of legislation on a national and European level.
These include:
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.
The top management of Duro Yokota Ltd are strongly committed to the rights of individuals whose data they collect and process and will comply with UK and EU laws related to personal information in- line with the EU General Data Protection Regulation (GDPR).
To achieve this the top management of Duro Yokota Ltd have implemented a Personal Information Management System (PIMS) which is maintained and improved continuously.
The scope of the PIMS for Duro Yokota Ltd may cover the whole of the organisation or a specific part of the company defined by top management. The scope needs to consider location of operations, jurisdiction, and management responsibilities.
The PIMS, that the top management of Duro Yokota Ltd has implemented, should meet its requirements under EU GDPR for the management of personal information and will be continuously maintained and improved. The DP should also ensure that the objectives of Duro Yokota Ltd and obligations under the law are met and it should ensure that controls are in place that reflect the level of risk that Duro Yokota Ltd is willing to accept. In addition, the DP should ensure that Duro Yokota Ltd is able to meet all the regulatory, statutory and contractual obligations that are applicable. Most importantly the DP must enable Duro Yokota Ltd to protect the interests of individuals and all other relevant stakeholders.
To comply with the requirements of GDPR Duro Yokota Ltd will:
Duro Yokota Ltd has notified the Information Commissioner that it is a data controller and/or processor and that it processes personal data. Duro Yokota Ltd has identified and recorded all the personal data that it processes in the Data Register.
A record of notification to the ICO is retained by DM on the companies server and the ICO Notification Handbook is used as the authoritative guidance for notification. This notification is reviewed annually, and update notifications issued accordingly.
The DM is responsible for reviewing the details of notification to ensure that any changes to the way Duro Yokota Ltd processes or controls personal data is (as determined by changes to the Data Register and following management review) are referred to the ICO. Additional requirements for notification may also arise from Personal Data Impact Assessments.
The policy applies to all Employees and Processors of Duro Yokota Ltd such as outsourced suppliers. Any breach of the GDPR or this DP will be considered as a breach of the disciplinary policy and could also be considered a criminal offence, potentially resulting in prosecution.
All third parties working with or for Duro Yokota Ltd, and who have or may have access to personal information, will be expected to comply with this policy. All third parties who require access to personal data will be required to sign a confidentiality agreement before access is permitted. This agreement will ensure that the third party has the same legal obligations as Duro Yokota Ltd. This will also include an agreement that Duro Yokota Ltd can audit compliance with the agreement.
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 establishent. 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 resident in the EU.
The location, for the purposes of GDPR, of any data controller located in the EU will be the place where the controller makes the key decisions related to the data processing purpose. This is likely to be Duro Yokota Ltd HQ.
Any data controller that is not located within the EU, will be required to have to appoint a representative in a location that is under the jurisdiction that applies to the data that is being used to act on behalf of the controller and engage with the appropriate supervisory authorities for that location.
Key Definitions
Personal data – this is defined as any information relating to an identified or identifiable natural person (‘data subject’); an identifiable natural person is one 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 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 for uniquely identifying 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.
Processing – any operation or set of operations which is performed on personal data or on sets of personal data, whether 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, 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 a 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 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 is accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis.
Duro Yokota Ltd is both a data controller and data processor as defined under the GDPR.
Senior Management and all those in managerial or supervisory roles throughout Duro Yokota Ltd are responsible for developing and encouraging good information handling practices within the organisation; responsibilities are set out in individual job descriptions.
A DM, a member of the senior management team, is accountable to the top management of Duro Yokota Ltd for the management of personal information within Duro Yokota Ltd and for ensuring that compliance with data protection legislation and good practice can be demonstrated. This accountability includes the development and implementation of the DP and security and risk management to ensure compliance.
Duro Yokota Ltd has appointed a suitably qualified and experienced DM (DM) who responsible for day to day compliance with this policy. The DM is responsible for ensuring that Duro Yokota Ltd complies with the GDPR in relation to all aspects of data processing. The DM has direct responsibility for policy and procedures, including Subject Access Requests. The DM is also the person to whom all staff will go to seek guidance regarding GDPR compliance.
It should be noted that compliance with GDPR requirements remains the responsibility of all staff who process or control personal information for Duro Yokota Ltd. All members of staff employed by Duro Yokota Ltd are also responsible for ensuring that any personal data that is about them that is supplied by them to Duro Yokota Ltd is accurate and up-to-date.
The Training Policy (DP02. Data Protection Training Policy) defines specifically what training is required for all staff, including specific roles.
Risk Assessment in relation to GDPR
Duro Yokota Ltd needs to ensure that it is aware of any risks associated with the processing of all types of personal information. A Risk Assessment procedure has been implemented and is used by Duro Yokota Ltd to assess any risk to individuals during processing of their personal information. Assessments will also be completed by Duro Yokota Ltd for any processing that is undertaken on their behalf by any third-party organisation. Duro Yokota Ltd will also, through the application of the Risk Assessment procedure, ensure that any identified risks are managed appropriately to reduce the risk of non-compliance.
Where processing of personal information may result in a high risk to the “rights and freedoms” of natural persons, Duro Yokota Ltd shall complete a data protection impact assessment, prior to conducting the processing, to ensure the personal information is protected. This assessment may also be used to apply to several similar processing scenarios with a similar level of risk.
Where, because of a Data Protection Impact Assessment, Duro Yokota Ltd will process personal information in a manner that may cause damage and/or distress to the data subjects, the DM must review the process before Duro Yokota Ltd proceeds to process the information. If the DM decides that there are significant risks to the data subject he will escalate to the ICO for final guidance. The organisation shall apply selected controls for the ISO 27001 Annex A to reduce risk. This should also reference Duro Yokota Ltd risk acceptance criteria and the requirements of the GDPR.
Any processing of personal data must be conducted done in accordance with the following data protection principles of the Regulation, and Duro Yokota Ltd policies and procedures within the DP will ensure compliance.
Personal data must be processed lawfully, fairly and transparently. Duro Yokota Ltd Fair Processing Procedure (DP04. Fair Processing Procedure) details how this is achieved.
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”.
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:
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 Duro Yokota Ltd GDPR registration. (DP04. Fair Processing Procedure)
Personal data must be adequate, relevant and limited to what is necessary for processing. The DM is responsible for ensuring that information, which is not strictly necessary for the purpose for which it is obtained, is not collected.
All data collection methods (electronic or paper-based), including data collection requirements in new information systems, must be approved by the DM and approval recorded.
The DM will ensure that all data collection methods are reviewed annually by internal audit or external experts to ensure that collection continues to be adequate, relevant and not excessive.
The DM is responsible for ensuring that any data that is shown to have been obtained excessively or is not specifically required by Duro Yokota Ltd, is securely deleted or destroyed in line with the Data Protection & Storage Media Procedure.
Other Considerations
Personal data must be accurate and kept up to date.
Data that is kept for a long time must be reviewed and updated as necessary. Any data that is inaccurate or likely to be inaccurate must be removed.
Top management is responsible for ensuring that all staff are trained in the importance of collecting accurate data and maintaining it.
All individuals are responsible for ensuring that any data held by Duro Yokota Ltd is accurate and up-to-date. Any data submitted by an individual to a company, such as via a registration form, will be accurate at the time of receipt.
Employees or other individuals should notify Duro Yokota Ltd of any changes in personal information to ensure personal information is kept up to date. Instructions for updating records are contained in the company’s Data Protection Management System and in its Public Privacy Statement. It is the responsibility of Duro Yokota Ltd to ensure that any notification of changes to personal information is implemented.
The DM is responsible for ensuring that all necessary actions are taken to ensure personal information is accurate and up to date. This should also consider the volume of data collected, the speed with which it might change and any other relevant factors.
The DM will review, at least once a year, all the personal data processed by Duro Yokota Ltd, held in the Data Register. The DM will note any data that is no longer required in the context of the registered purpose and will ensure that it is appropriately removed and securely disposed of in line with the Data Protection & Storage Media Handling Procedure.
If a third-party organisation has provided inaccurate or out-of-date personal information, the DM is responsible for informing them that the personal information is inaccurate and/or out-of-date and advise them that the information should no longer be used. The DM should also ensure that any correction to the personal information is passed on to the third party.
Personal Data Considerations
Personal data must be kept in a form such that the data subject can be identified only if is necessary for processing.
Where personal data is retained beyond the processing date, it will be minimised to protect the identity of the data subject in the event of a data breach.
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. (DP06. Retention of Records)
The DM must specifically approve any data retention that exceeds the retention periods defined in the Retention of Records procedure, (DP06. Retention of Records) and must ensure that the justification is clearly identified and in line with the requirements of the data protection legislation. This approval must be written.
Personal data must be processed in a manner that ensures its security
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. 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. Security controls will be subject to audit and review.
Duro Yokota Ltd compliance with this principle is contained in its Information Security Management System (ISMS), which has been developed in line with ISO/IEC 27001:2013 and the information security policy set out in – (ICT Security Policy).
Personal data shall not be transferred to a country or territory outside the European Union Member States unless that country or territory ensures an adequate level of protection for the ‘rights and freedoms’ of data subjects in relation to the processing of personal data.
The transfer of personal data outside of the EU Member States is prohibited unless one or more of the specified safeguards or exceptions apply.
Safeguards
An assessment of the adequacy by the data controller considering the following factors:
Binding corporate rules
Duro Yokota Ltd may adopt approved Binding Corporate Rules for the transfer of data outside the EU Member States. This requires submission to the relevant Supervisory Authority for approval of the rules that Duro Yokota Ltd is seeking to rely upon.
Model contract clauses
Duro Yokota Ltd may adopt approved model contract clauses for the transfer of data outside of the EU Member States. If Duro Yokota Ltd adopts the model contract clauses approved by the relevant Supervisory Authority, there is an automatic recognition of adequacy.
Exceptions
In the absence of an adequacy decision, including binding corporate rules, for the transfer of personal data to a third country, or an international organisation, it shall take place only on one of the following conditions:
A list of countries that satisfy the adequacy requirements of the Commission are published in the Official Journal of the European Union and in the GDPR 2016.
Accountability
The GDPR 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. As a result, controllers are required to keep all necessary documentation of all processing operations and implement appropriate security measures. They are also responsible for completing Data Processing Impact Assessments (DPIAs), complying with requirements for prior notifications, or approval from supervisory authorities and ensuring a DM is appointed if required.
Data subjects have the following rights regarding data processing, and the data that is recorded about them:
Data subjects may make data access requests as described in the Subject Access Requests procedure, (DP05. Subject Access Requests). This procedure also describes how Duro Yokota Ltd will ensure that its response to the data access request complies with the requirements of the Regulation.
A Data Subject has the right to complain to at any time to Duro Yokota Ltd if they have concerns about how their information is used. If they wish to lodge a complaint this should be directed to the DM following the complaints procedure using a complaint form supplied by Duro Yokota Ltd.
A Data subject also has the option to complain directly to the Information Commissioners Office. Details of the options for lodging a complaint is provided by Duro Yokota Ltd within Privacy Policy available on our company website.
Duro Yokota Ltd 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 statement, or by a 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.
In addition, Duro Yokota Ltd 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 demonstrate active consent. Consent cannot be inferred from non-response to a communication. For sensitive data, explicit written consent (DP22. Data Subject Consent Form) of data subjects must be obtained unless an alternative legitimate basis for processing exists.
Consent to process personal and sensitive data is obtained routinely by Duro Yokota Ltd using standard consent documents [DP03. Consent Procedure]. This may be through a contract of employment or during induction.
Where Duro Yokota Ltd provides online services to children, parental, or custodial authorisation must be obtained. This requirement applies to children under the age of 16 (unless the Member State has made provision for a lower age limit – which may be no lower than 13.
All Duro Yokota Ltd Staff that are responsible for any personal data which Duro Yokota Ltd holds and must keep it secure to ensure that it is not disclosed under any conditions to any third party unless that third party has been specifically authorised by Duro Yokota Ltd to receive that information and has entered into a Confidentially or Information Sharing Agreement available on the Data Protection Management System.
All personal data should be accessible only to those who need to use it, and access may only be granted in line with the Access Control Policy. You should form a judgment based upon the sensitivity and value of the information in question, but personal data must be kept:
Care must be taken to ensure that PC screens and terminals are not visible except to authorised Staff of Duro Yokota Ltd. All Staff must sign up to the Acceptable Use Policy before they are given access to organisational information of any sort.
Manual records may not be left where they can be accessed by unauthorised personnel and may not be removed from business premises without explicit written authorisation. As soon as manual records are no longer required for day-to-day client support, they must be removed from secure archiving in line with IS15 Record Disposal Policy which can be found under the Information Security section of the company’s Management System.
Personal data may only be deleted or disposed of in line with the Data Retention Procedure DP06 Retention of Records. 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 as required by IS24 Data Protection & Storage Media Handling Procedure before disposal. Because of the increased risk all Staff must be specifically authorised to process data off-site.
Data subjects have the right to access any personal data (i.e. data about them) which is held Duro Yokota Ltd 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 Duro Yokota Ltd, and information obtained from third-party organisations about that person. Subject Access Requests are dealt with as described in DP05. Subject Access Request.
Duro Yokota Ltd 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/Staff should exercise caution when asked to disclose personal data held on another individual to a third party [and will be required to attend specific training that enables them to deal effectively with any such risk]. It is important to bear in mind whether disclosure of the information is relevant to, and necessary for, the conduct of Duro Yokota Ltd business.
GDPR permits several exemptions where certain disclosure without consent is permitted, if the information is requested for one or more of the following purposes:
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 DM.
Retention and disposal of data
Personal data may not be retained for longer than it is required. Once a member of staff has left Duro Yokota Ltd, it may not be necessary to retain all the information held on them. Some data will be kept for longer periods than others. Duro Yokota Ltd data retention and data disposal procedures (DP06. Retention of Records & the Data Protection & Storage Media Handling Procedure) will apply in all cases.
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 (Data Protection & Storage Media Handling Procedure).
Responsibilities & Reviews
The Head of Operations has overall responsibility for the administration and implementation of the Organisation’s Data Protection Policy.
Each Department Manager will assume authority for the compliance of the employees within their department.
This Policy will be updated as necessary to reflect best practice in data management, security and control and to ensure compliance with any changes or amendments made to the Data Protection Act 1998 and the GDPR.
The DP Data Protection Policy will, under normal circumstances, be managed and reviewed annually. The reviews to the Policy will be subject to scrutiny and, from time to time, updates and re-issues will be circulated.
However, the Policy will be reviewed sooner in the event of any one or more of the following:
Document Management
This document is valid as of 16/04/18.
This document is reviewed periodically and at least annually to ensure compliance with the following prescribed criteria.
Head of Operations
Dave Beaumont
