1. Data Protection Policy Introduction
Aston & Fincher [we] hold personal data about our employees, clients, suppliers and other individuals for a variety of business purposes.
This policy defines how we protect personal data, and that customers and staff understand the rules governing their use of that data.
This policy requires staff to consult the Communication Director before starting any significant new data processing activity, for example setting up a competition or new database with identifiable personal details. The purpose of this is to make sure that relevant compliance steps are met.
2. Why Do We Collect Data?
2.1 Business purposes
The reasons why personal data may be used by us: Sales, personnel, administrative, financial, regulatory, payroll, service operation and business development purposes.
Business purposes include the following:
Operational reasons, such as delivering orders, recording transactions, ensuring the confidentiality of commercially sensitive information and CCTV recordings.
Compliance with our legal, regulatory and customer obligations and good practice.
Gathering information as part of investigations by regulatory bodies or in connection with legal proceedings or requests.
Ensuring business policies are adhered to eg those covering email and internet use.
To investigate complaints.
Monitoring and managing staff access to systems and facilities and staff absences, administration and assessments.
Monitoring staff conduct, disciplinary matters and checking references.
Marketing our business.
Delivering and improving services.
Complying with health & safety requirements and ensuring safe working practices.
2.2 Personal data
This is information relating to identifiable individuals, such as employees, current and former, agency, contract and other staff, job applicants, customers, suppliers, prospects and marketing contacts.
Personal data we gather may include: individuals' contact details, territory manager location, user ID, educational background, financial and payroll details, details of certificates and diplomas, education and skills, nationality, job title, drivers licence, passport and CV.
2.3 Sensitive personal data
This is defined as data about an individual's racial or ethnic origin, criminal offences, or related proceedings - any use of sensitive personal data is strictly controlled in accordance with this policy.
We do not collect or store any sensitive personal data relating to customers, prospects, our customers’ customers and suppliers.
This policy applies to all employees who handle personal data as defined by this policy.
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 staff before being adopted.
3.1 Who is responsible for this policy?
Aston & Fincher’s Operations Manager, has overall responsibility for the day-to-day implementation of this policy.
4. Our Procedures
4.1 Fair and lawful processing
We must process personal data fairly and lawfully in accordance with individuals’ rights. This generally means that we should not process personal data unless the individual whose details we are processing has consented to this happening.
4.2 The Operation Manager’s Responsibilities:
Keeping the Directors and 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 staff members and those included in this policy.
Answering questions on data protection from staff, board members and other stakeholders.
Responding to individuals such as customers and employees who wish to know which data is being held on them by Aston & Fincher Ltd.
Addressing data protection queries from staff, customers and suppliers.
4.3 Responsibilities of the IT Manager
Ensuring all systems, services, software and equipment meet acceptable security standards (based on vendor recommendations and best practice).
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.
4.4 Responsibilities of the Communications Director
Coordinating with the Operations Manager to ensure all employee data adheres to data protection laws and the company’s Data Protection Policy.
Approving data protection statements attached to emails and other marketing copy.
Coordinating with the Operations Manager to ensure all customer data, prospect data and marketing initiatives adhere to data protection laws and the company’s Data Protection Policy.
Checking and approving third parties that handle the company’s data and any contracts or agreements regarding data processing.
4.5 Responsibilities of the Finance Director
Overseeing the responsibilities of the Sales Analyst.
Responsibilities of the Payroll Department when updating sensitive/private employee information to ensure that is accurate.
4.6 The processing of all data must:
Be in our legitimate business interest.
Consider the individual's privacy.
4.7 Sensitive personal data
In cases where we process sensitive personal data we will 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.
4.8 Accuracy and relevance
We will ensure that any personal data we process is accurate, adequate and relevant to the purpose for which it was obtained. We 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 we 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 Operations Manager.
4.9 Personal data
Individuals must take reasonable steps to ensure that personal data we hold is accurate and updated as required. For staff and personnel employed by us if your personal circumstances change please inform your line manager or the Operations Manager so that they can update our records. Customers, suppliers and contractors should contact the Operations Manager to inform us of any changes.
4.10 Data security
We will keep personal data secure against loss or misuse. Where other organisations process personal data as a service on our behalf, the Communications Director will establish what, if any, additional specific data security arrangements need to be implemented in contracts with those third-party organisations.
4.11 Storing data securely
In cases when data is stored on printed paper, it is kept in a secure place where unauthorised personnel cannot access it.
Printed data will be shredded when it is no longer needed.
Data stored on a computer will be protected by industry-standard encryption and strong passwords that are changed regularly and kept updated as required.
Any backup tapes are locked away securely when they are not being used.
The IT Manager must approve any cloud providers used to store data.
Servers containing personal data must be kept in a secure location, away from general office space.
Data should be regularly and securely backed up in line with the company’s backup procedures.
Data should never be saved directly to mobile devices such as laptops, tablets or smartphones (unless required for the processing of that data). In cases where it is required, the device will use an encrypted filesystem and strong passwords where possible.
All servers containing sensitive data must be approved and protected by security software and a firewall.
4.12 Data Retention
We must retain personal data for no longer than is necessary. What is necessary will depend on the circumstances of each case, taking into account the reasons that the personal data was obtained.
4.13 Transferring data from site to site
All data will be transferred using secure protocols: HTTPS (SSL/TLS), SSH etc. using the most secure protocols available.
4.14 Transferring data internationally
There are restrictions on international transfers of personal data. Our normal business practice does not require us to transfer personal data out of the UK. If special circumstances arise where we need to transfer data outside the UK, we will not do so without first consulting the Communications Director.
5. Subject Access Requests
Under the Data Protection Act 1998, individuals are entitled, subject to certain exceptions, to request access to information held about them.
Anyone receiving a subject access request should refer that request immediately to the Operations Manager.
Please contact the Operations Manager if you would like to correct or request information that we hold about you. There are also restrictions on the information to which you are entitled under applicable law.
5.1 Processing data in accordance with the individual's rights
We will not send direct marketing material to someone electronically (e.g. via email) unless we have an existing business relationship with them in relation to the services being marketed.
We will abide by any request from an individual not to use their personal data for direct marketing purposes and notify the Operations Manager about any such request. Our marketing systems are configured to automatically de-list an email or phone number upon request. We will also manually remove data if requested.
Please contact the Operations Manager for advice on direct marketing before starting any new direct marketing activity.
All staff will receive training on this policy. New joiners will receive training as part of their induction process. Further training will be provided at least every two years or whenever there is a substantial change in the law or our policy and procedure.
Training is provided through an in-house training session. It will cover:
The law relating to data protection.
Our data protection and related policies and procedures.
Completion of training is compulsory. Employee attendance and acceptance are recorded.
6. GDPR Provisions
Where not specified previously in this policy, the following provisions were in effect on or before 25 May 2018.
6.1 Data transparency
Being transparent and providing accessible information to individuals about how we will use their personal data is important to us.
We can provide details about how we collect data and what we will do with it. Please contact the Operations Manager for these details.
6.2 Conditions for processing
We will ensure any use of personal data is justified using at least one of the conditions for processing and this will be specifically documented. All staff who are responsible for processing personal data will be aware of the conditions for processing. The conditions for processing will be available to data subjects in the form of a privacy notice.
6.3 Justification for personal data
We will process personal data in compliance with four data protection principles – Consent, Contract, Legal and Legitimate Interest.
The data that we collect is subject to active consent by the data subject. This consent can be revoked at any time.
6.5 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.
6.6 Data portability
Upon request, a data subject should have the right to receive a copy of their data in a structured format. These requests should be processed within one month, provided there is no undue burden and it does not compromise the privacy of other individuals. A data subject may also request that their data is transferred directly to another system. This must be done for free.
6.7 Right to be forgotten
A data subject may request that any information held on them is deleted or removed, and any third parties who process or use that data must also comply with the request. An erasure request can only be refused if an exemption applies, such as, we have an existing business relationship with a customer therefore we have contractual and financial obligations to fulfil.
6.8 Privacy by design and default
Privacy by design is an approach to projects that promote privacy and data protection compliance from the start. The Communications Director will be responsible for ensuring that all IT projects commence with a privacy plan.
6.9 International data transfers
No data may be transferred outside of the EEA without first discussing it with the data protection officer. Specific consent from the data subject must be obtained prior to transferring their data outside the EEA.
6.10 Data audit and register
Regular data audits by the Operations Manager to manage and mitigate risks will inform the data 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.
6.11 Reporting breaches
All members of staff 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 their manager of any compliance failures that are material either in their own right or as part of a pattern of failures.
Any actual or potential data protection compliance failures should be reported to the Operations Manager.
Everyone must observe this policy. The Operations Manager has overall responsibility for this policy and will monitor it regularly to make sure it is being adhered to.
You have the right to lodge a complaint with the local data protection authority if you believe that we have not complied with applicable data protection laws.
If you are based in, or the issue relates to, the UK, the Information Commissioner’s Office can be contacted as follows:
Telephone: +44 303 123 1113
Address: Water Lane, Wycliffe House, Wilmslow, Cheshire, SK9 5AF