The purpose of this document is to provide a concise policy statement regarding the GDPR obligations of Celtic Anglian Water (CAW). This includes obligations in dealing with personal data, in order to ensure that the organisation complies with the requirements of the relevant EU data protection legislation, namely The General Data Protection Regulations (GDPR). The GDPR applies to both “data controllers” and “data processors”. A data controller is a person/company/other body who, either alone or with others, controls the contents and use of personal data. A data processor is a person/company/other body, who processes personal data on behalf of a data controller but does not include an employee of the data controller who processes such data in the course of his/her employment.
CAW must comply with the Data Protection principles set out in the relevant legislation. This Policy applies to all Personal Data collected, processed and stored by CAW in relation to its staff, service providers/suppliers and clients in the course of its activities. CAW makes no distinction between the rights of Data Subjects who are employees, and those who are not. All are treated equally under this Policy.
The policy covers both personal and sensitive personal data held in relation to data subjects by CAW. The policy applies equally to personal data held in manual and automated form.
All Personal and Sensitive Personal Data will be treated with equal care by CAW. Both categories will be equally referred-to as Personal Data in this policy, unless specifically stated otherwise.
CAW as a Data Controller
In the course of its daily organisational activities, CAW acquires, processes and stores personal data in relation to:
- Employees of CAW
- Third party service providers engaged by CAW
- Ad hoc information relating to clients, sub-contractors and competitors
In accordance with the GDPR legislation, this data must be acquired and managed fairly. Not all staff members will be expected to be experts in GDPR legislation. However, CAW is committed to ensuring that its staff have sufficient awareness of the legislation in order to be able to anticipate and identify a Data Protection issue, should one arise. In such circumstances, staff must ensure that the Data Protection Officer is informed, and in order that appropriate corrective action is taken.
Subject Access Requests
Any formal, written request by a Data Subject for a copy of their personal data (a Subject Access Request) will be referred, as soon as possible, to the Data Protection Officer, and will be processed as soon as possible.
It is intended that by complying with these guidelines, CAW will adhere to best practice regarding the applicable GDPR legislation.
In the course of its role as Data Controller, CAW may occasionally engage a Data Processor to process Personal Data on its behalf. In each case, a formal, written contract is in place with the Processor, outlining their obligations in relation to the Personal Data, the specific purpose or purposes for which they are engaged, and the understanding that they will process the data in compliance with the GDPR legislation.
These Data Processors include:
- Legal representatives of data subjects and of the company
- Payroll company
- Pension administrators
- Financial service institutions ie banks and insurance companies
The Data Protection Principles
The following key principles are enshrined in EU legislation and are fundamental to CAW’s Data Protection policy.
In its capacity as Data Controller, CAW ensures that all data shall:
1. … be obtained and processed fairly and lawfully.
For data to be obtained fairly, the data subject will, at the time the data are being collected, be made aware of:
The identity of the Data Controller (CAW)
The purpose(s) for which the data is being collected
The person(s) to whom the data may be disclosed by the Data Controller
Any other information that is necessary so that the processing may be fair.
CAW will meet this obligation in the following way.
Where possible, the informed consent of the Data Subject will be sought before their data is processed;
Where it is not possible to seek consent, CAW will ensure that collection of the data is justified under one of the other lawful processing conditions – legal obligation, contractual necessity, etc.;
Where CAW intends to record activity on CCTV or video, a Fair Processing Notice will be posted in full view;
Processing of the personal data will be carried out only as part of CAW’s lawful activities, and CAW will safeguard the rights and freedoms of the Data Subject;
The Data Subject’s data will not be disclosed to a third party other than to a party contracted to CAW and operating on its behalf.
2. …. be obtained only for one or more specified, legitimate purposes.
CAW will obtain data for purposes which are specific, lawful and clearly stated. A Data Subject will have the right to question the purpose(s) for which CAW holds their data, and CAW will be able to clearly state that purpose or purposes.
3. ….. not be further processed in a manner incompatible with the specified purpose(s).
Any use of the data by CAW will be compatible with the purposes for which the data was acquired.
4. …. be kept safe and secure.
CAW will employ high standards of security in order to protect the personal data under its care. Appropriate security measures will be taken to protect against unauthorised access to, or alteration, destruction or disclosure of any personal data held by CAW in its capacity as Data Controller.
Access to and management of staff records is limited to those staff members who have appropriate authorisation and password access.
5. … be kept accurate, complete and up-to-date where necessary.
ensure that administrative and IT validation processes are in place to conduct regular assessments of data accuracy;
conduct periodic reviews and audits to ensure that relevant data is kept accurate and up-to-date. CAW conducts a review of sample data every six months to ensure accuracy; Staff contact details and details on next-of-kin are reviewed and updated every two years.
conduct regular assessments in order to establish the need to keep certain Personal Data.
6. … be adequate, relevant and not excessive in relation to the purpose(s) for which the data were collected and processed.
CAW will ensure that the data it processes in relation to Data Subjects are relevant to the purposes for which those data are collected. Data which are not relevant to such processing will not be acquired or maintained.
7. … not be kept for longer than is necessary to satisfy the specified purpose(s).
CAW has identified an extensive matrix of data categories, with reference to the appropriate data retention period for each category. The matrix applies to data in both a manual and automated format.
Once the respective retention period has elapsed, CAW undertakes to destroy, erase or otherwise put this data beyond use.
8. … be managed and stored in such a manner that, in the event a Data Subject submits a valid Subject Access Request seeking a copy of their Personal Data, this data can be readily retrieved and provided to them.
Data Subject Access Requests
Occasionally, CAW’s staff engage in exchanges of information with Data Subjects. Where a formal request is submitted by a Data Subject in relation to the data held by CAW, such a request gives rise to access rights in favour of the Data Subject.
There are specific time-lines within which CAW must respond to the Data Subject, depending on the nature and extent of the request. These are outlined in the attached Subject Access Request process document.
CAW’s staff will ensure that, where necessary, such requests are forwarded to the Data Protection Officer in a timely manner, and they are processed as quickly and efficiently as possible, but within not more than 30 days from receipt of the request.
As a Data Controller, CAW ensures that any entity which processes Personal Data on its behalf (a Data Processor) does so in a manner compliant with the EU GDPR legislation.
Failure of a Data Processor to manage CAW’s data in a compliant manner will be viewed as a breach of contract, and will be pursued through the courts.
Failure of CAW’s staff to process Personal Data in compliance with this policy may result in disciplinary proceedings.
For the avoidance of doubt, and for consistency in terminology, the following definitions will apply within this Policy.
This includes both automated and manual data. Automated data means data held on computer, or stored with the intention that it is processed on computer. Manual data means data that is processed as part of a relevant filing system, or which is stored with the intention that it forms part of a relevant filing system.
Information which relates to a living individual, who can be identified either directly from that data, or indirectly in conjunction with other data which is likely to come into the legitimate possession of the Data Controller. (If in doubt, CAW refers to the definition issued by the Article 29 Working Party, and updated from time to time.)
Sensitive Personal Data
A particular category of Personal data, relating to: Racial or Ethnic Origin, Political Opinions, Religious, Ideological or Philosophical beliefs, Trade Union membership, Information relating to mental or physical health, information in relation to one’s Sexual Life or Sexual Orientation, information in relation to commission of a crime and information relating to conviction for a criminal offence. The processing of personal data covers the many uses of that data, including: collecting, recording, storing, adapting, using disclosing and deleting data.
A person or entity who, either alone or with others, controls the content and use of Personal Data by determining the purposes and means by which that Personal Data is processed.
A living individual who is the subject of the Personal Data, i.e. to whom the data relates either directly or indirectly.
A person or entity who processes Personal Data on behalf of a Data Controller on the basis of a formal, written contract, but who is not an employee of the Data Controller, processing such Data in the course of his/her employment.
Data Protection Officer
A person appointed by CAW to monitor compliance with the appropriate Data Protection legislation, to deal with Subject Access Requests, and to respond to Data Protection queries from staff members and service recipients
Relevant Filing System
Any set of information in relation to living individuals which is not processed by means of equipment operating automatically (computers), and that is structured, either by reference to individuals, or by reference to criteria relating to individuals, in such a manner that specific information relating to an individual is readily retrievable.