ISMS-DOC-A18-5 Privacy and Personal Data Protection Policy

Privacy and Personal Data Protection Policy

ISO/IEC 27001 Toolkit: Version 11 ©CertiKit

Privacy and Personal Data Protection Policy [Insert classification]

Implementation guidance The header page and this section, up to and including Disclaimer, must be removed from the final version of the document. For more details on replacing the logo, yellow highlighted text and certain generic terms, see the Completion Instructions document.

Purpose of this document This document sets out the organization’s responsibilities and policy for privacy and the protection of personal data, or personally identifiable information (PII).

Areas of the standard addressed The following areas of the ISO/IEC 27001 standard are addressed by this document: • •

A.5 Information security policies o A.5.1 Management direction for information security ▪ A.5.1.1 Policies for information security A.18 Compliance o A.18.1 Compliance with legal and contractual requirements ▪ A.18.1.4 Privacy and protection of personally identifiable information

The following areas of the ISO/IEC 27018 standard are addressed by this document: •

ISO/IEC 27018 Extended Control Set o A.1 Consent and choice ▪ A.1.1 Obligation to cooperate regarding PII principals' rights o A.2 Purpose legitimacy and specification ▪ A.2.1 Public cloud PII processor's purpose ▪ A.2.2 Public cloud PII processor's commercial use o A.5 Use, retention and disclosure limitation ▪ A.5.1 PII disclosure notification ▪ A.5.2 Recording of PII disclosures o A.7 Openness, transparency and notice ▪ A.7.1 Disclosure of sub-contracted PII processing o A.10 Information security ▪ A.10.11 Contract measures ▪ A.10.12 Sub-contracted PII processing

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General guidance This document refers largely to EU legislation, but the overall format may be used to identify and comply with the applicable legislation in your country. The EU General Data Protection Regulation became law within the EU in May 2018. It applies to any organization processing data about EU citizens, not just to organizations based within the EU. You are likely to require legal assistance to fully understand which pieces of legislation apply to your organization and their implications.

In many cases the risk of not complying with each piece of legislation should be assessed and managed as part of your risk management programme. The consequences of failing to comply with the law may include heavy fines so this must be a key area of focus for the ISMS.

Review frequency We would recommend that this document is reviewed annually and upon significant change to the organization and relevant legislation.

Document fields This document may contain fields which need to be updated with your own information, including a field for Organization Name that is linked to the custom document property “Organization Name”.

To update this field (and any others that may exist in this document): 1. Update the custom document property “Organization Name” by clicking File > Info > Properties > Advanced Properties > Custom > Organization Name.

2. Press Ctrl A on the keyboard to select all text in the document (or use Select, Select All via the Editing header on the Home tab).

3. Press F9 on the keyboard to update all fields.

4. When prompted, choose the option to just update TOC page numbers.

If you wish to permanently convert the fields in this document to text, for instance, so that they are no longer updateable, you will need to click into each occurrence of the field and press Ctrl Shift F9.

If you would like to make all fields in the document visible, go to File > Options > Advanced > Show document content > Field shading and set this to “Always”. This can be useful to check you have updated all fields correctly.

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Privacy and Personal Data Protection Policy [Insert classification] Further detail on the above procedure can be found in the toolkit Completion Instructions.

This document also contains guidance on working with the toolkit documents with an Apple Mac, and in Google Docs/Sheets.

Copyright notice Except for any specifically identified third-party works included, this document has been authored by CertiKit, and is ©CertiKit except as stated below. CertiKit is a company registered in England and Wales with company number 6432088.

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Privacy and Personal Data Protection Policy

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DOCUMENT REF

ISMS-DOC-A18-5

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DOCUMENT AUTHOR

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DOCUMENT OWNER

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Revision history VERSION

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SUMMARY OF CHANGES

Distribution NAME

TITLE

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Contents 1

Introduction ............................................................................................................... 8

2

Privacy and personal data protection policy ............................................................... 9 2.1

The General Data Protection Regulation ....................................................................... 9

2.2

Definitions ................................................................................................................... 9

2.3

Principles relating to processing of personal data ......................................................... 9

2.4

Rights of the individual .............................................................................................. 10

2.5

Consent ..................................................................................................................... 11

2.6

Privacy by design ....................................................................................................... 11

2.7

Transfer of personal data ........................................................................................... 12

2.8

Data protection officer ............................................................................................... 12

2.9

Breach notification..................................................................................................... 12

2.10

Addressing compliance to the GDPR ........................................................................... 13

2.11

Our obligations as a cloud service provider ................................................................. 13

Tables Table 1: Timescales for data subject requests ............................................................................. 11

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1 Introduction In its everyday business operations [Organization Name] makes use of a variety of data about identifiable individuals, including data about: • • • • •

Current, past and prospective employees Customers Users of its websites Subscribers Other stakeholders

In collecting and using this data, the organization is subject to a variety of legislation controlling how such activities may be carried out and the safeguards that must be put in place to protect it.

The purpose of this policy is to set out the relevant legislation and to describe the steps [Organization Name] is taking to ensure that it complies with it.

[Please note this policy describes applicable legislation in the European Union. You may need to adjust the contents according to the legislation applicable in the country in which you are based and/or in which you operate.]

This control applies to all systems, people and processes that constitute the organization’s information systems, including board members, directors, employees, suppliers and other third parties who have access to [Organization Name] systems.

The following policies and procedures are relevant to this document: • • • • • • • •

Information Classification Procedure Information Labelling Procedure Records Retention and Protection Policy Acceptable Use policy Electronic Messaging Policy Internet Acceptable Use Policy Information Security Incident Response Procedure Information Security Roles, Responsibilities and Authorities

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2 Privacy and personal data protection policy 2.1 The General Data Protection Regulation The General Data Protection Regulation 2016 (GDPR) is one of the most significant pieces of legislation affecting the way that [Organization Name] carries out its information processing activities. Significant fines are applicable if a breach is deemed to have occurred under the GDPR, which is designed to protect the personal data of citizens of the European Union. It is [Organization Name]’s policy to ensure that our compliance with the GDPR and other relevant legislation is clear and demonstrable at all times.

2.2 Definitions There are a total of 26 definitions listed within Article 4 – Definitions of the GDPR and it is not appropriate to reproduce them all here. However, the most fundamental definitions with respect to this policy are as follows: Personal data 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.”

Processing means: “any operation or set of operations which is performed on personal data or on 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.”

Controller means: “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.”

2.3 Principles relating to processing of personal data There are several fundamental principles upon which the GDPR is based.

These dictate that personal data shall be: 1. Processed lawfully, fairly and in a transparent manner in relation to the data subject (‘lawfulness, fairness and transparency’).

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Privacy and Personal Data Protection Policy [Insert classification] 2. Collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes (‘purpose limitation’).

3. Adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed (‘data minimisation’).

4. Accurate and, where necessary, kept up to date (‘accuracy’) 5. Kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the personal data are processed (‘storage limitation’).

6. Processed in a manner that ensures appropriate security of the personal data, including protection against unauthorised or unlawful processing and against accidental loss, destruction or damage, using appropriate technical or organisational measures (‘integrity and confidentiality’).

In addition, the controller shall be responsible for, and be able to demonstrate compliance with all of these principles (‘accountability’).

[Organization Name] must ensure that it complies with all these principles both in the processing it currently carries out and as part of the introduction of new methods of processing such as new IT systems. The operation of an information security management system (ISMS) that conforms to the ISO/IEC 27001 international standard is a key part of that commitment.

2.4 Rights of the individual The data subject also has rights under the GDPR. These consist of: • • • • • • • •

The right to be informed The right of access The right to rectification The right to erasure The right to restrict processing The right to data portability The right to object Rights in relation to automated decision making and profiling.

Each of these rights must be supported by appropriate procedures within [Organization Name] that allow the required action to be taken within the timescales stated in the GDPR. These timescales are shown in Table 1.

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Privacy and Personal Data Protection Policy [Insert classification] DATA SUBJECT REQUEST

TIMESCALE

The right to be informed

When data is collected (if supplied by data subject) or within one month (if not supplied by data subject)

The right of access

One month

The right to rectification

One month

The right to erasure

Without undue delay

The right to restrict processing

Without undue delay

The right to data portability

One month

The right to object

On receipt of objection

Rights in relation to automated decision making and profiling.

Not specified

Table 1: Timescales for data subject requests

2.5 Consent Unless it is necessary for a reason allowable in the GDPR, consent must be obtained from a data subject to collect and process their data. In case of children below the age of 16 (Note – this age may be lower in individual EU member states) parental consent must be obtained.

Transparent information about our usage of their personal data must be provided to data subjects at the time that consent is obtained and their rights regarding their data explained, such as the right to withdraw consent. This information must be provided in an accessible form, written in clear language and free of charge.

If the personal data are not obtained directly from the data subject, then this information must be provided within a reasonable period after the data are obtained and definitely within one month.

2.6 Privacy by design [Organization Name] has adopted the principle of privacy by design and will ensure that the definition and planning of all new or significantly changed systems that collect, or process personal data will be subject to due consideration of privacy issues, including the completion of one or more privacy (also known as data protection) impact assessments.

The privacy impact assessment will include: • • •

Consideration of how personal data will be processed and for what purposes Assessment of whether the proposed processing of personal data is both necessary and proportionate to the purpose(s) Assessment of the risks to individuals in processing the personal data

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Privacy and Personal Data Protection Policy [Insert classification] •

What controls are necessary to address the identified risks and demonstrate compliance with legislation

Use of techniques such as data minimization and pseudonymisation will be considered where applicable and appropriate.

2.7 Transfer of personal data Transfers of personal data outside the European Union must be carefully reviewed prior to the transfer taking place to ensure that they fall within the limits imposed by the GDPR. This depends partly on the European Commission’s judgement as to the adequacy of the safeguards for personal data applicable in the receiving country and this may change over time.

It may be necessary for specific contractual terms to be used to cover international transfers. Where possible, these should be based upon standard contractual clauses (SCCs) made available by the relevant authority.

Intra-group international data transfers may be subject to legally binding agreements referred to as Binding Corporate Rules (BCR) which provide enforceable rights for data subjects.

2.8 Data protection officer A defined role of Data Protection Officer (DPO) is required under the GDPR if an organization is a public authority, if it performs large scale monitoring or if it processes particularly sensitive types of data on a large scale. The DPO is required to have an appropriate level of knowledge and can either be an in-house resource or outsourced to an appropriate service provider.

Based on these criteria, [Organization Name] requires/does not require a Data Protection Officer to be appointed.

2.9 Breach notification It is [Organization Name]’s policy to be fair and proportionate when considering the actions to be taken to inform affected parties regarding breaches of personal data. In line with the GDPR, where a breach is known to have occurred which is likely to result in a risk to the rights and freedoms of individuals, the relevant supervisory authority will be informed within 72 hours. This will be managed in accordance with our Information Security Incident Response Procedure which sets out the overall process of handling information security incidents.

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Privacy and Personal Data Protection Policy [Insert classification] Under the GDPR the relevant supervisory authority has the power to impose a range of fines of up to four percent of annual worldwide turnover or twenty million Euros, whichever is the higher, for infringements of the regulations.

2.10 Addressing compliance to the GDPR The following actions are undertaken to ensure that [Organization Name] complies at all times with the accountability principle of the GDPR: • • • • • • • • •

The legal basis for processing personal data is clear and unambiguous A Data Protection Officer is appointed with specific responsibility for data protection in the organization All staff involved in handling personal data understand their responsibilities for following good data protection practice Training in data protection has been provided to all staff Rules regarding consent are followed Routes are available to data subjects wishing to exercise their rights regarding personal data and such enquiries are handled effectively Regular reviews of procedures involving personal data are carried out Privacy by design is adopted for all new or changed systems and processes The following documentation of processing activities is recorded: o Organization name and relevant details o Purposes of the personal data processing o Categories of individuals and personal data processed o Categories of personal data recipients o Agreements and mechanisms for transfers of personal data to non-EU countries including details of controls in place o Personal data retention schedules o Relevant technical and organisational controls in place

These actions will be reviewed on a regular basis as part of the management review process of the information security management system.

2.11 Our obligations as a cloud service provider [Note that this section only applies if your organization provides cloud services to customers] In addition to holding personal data on our own account, [Organization Name] also stores and processes the personal data of our cloud customers. In doing so, there are a number of additional obligations that must be fulfilled to allow our customers to stay within the law.

Our policy in this area is informed by ISO/IEC 27018 – Code of practice for protection of personally identifiable information (PII) in public clouds acting as PII processors which, as

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Privacy and Personal Data Protection Policy [Insert classification] well as recommending specific enhancements to ISO/IEC 27001 controls, also provides the following policy guidance: • • • • • • •

We must provide our customers with the facilities to meet their obligations under law in activities such as accessing, amending and erasing individuals’ PII We must only use the cloud customer’s PII for their purposes, not our own The customer must be informed if we are required by law to disclose any of their data, unless we are prohibited from doing so Details of disclosures must be recorded We must tell our customers if we use sub-contractors to process their PII We must tell our customers if their PII is subject to unauthorized access It must be clear in which country or countries the customer’s PII is stored

Additional recommendations stated in ISO/IEC 27018 are also included in the relevant policies and procedures within the ISMS.

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