1. INTRODUCTION
1.1 Enigma Legal are committed to complying with our data protection obligations, and to being concise, clear and transparent about how we obtain and use personal information, and how (and when) we delete that information once it is no longer required. We also recognise that the correct and lawful treatment of personal data will maintain confidence in the organisation and will provide for successful business operations. Protecting confidentiality and integrity of personal data is a critical responsibility that we take seriously at all times.
2. PURPOSE AND SCOPE
2.1 The purpose of this policy is to provide important information about:
(a) the data protection principles with which Enigma Legal Limited must comply;
(b) what is meant by personal information (or data) and sensitive personal information (or data);
(c) how we gather, use and (ultimately) delete personal information and sensitive personal information in accordance with the data protection principles;
(d) where more detailed privacy information can be found, e.g. about the personal information we gather and use about you, how it is used, stored and transferred, for what purposes, the steps taken to keep that information secure and for how long it is kept;
(e) your rights and obligations in relation to data protection; and
(f) the consequences of failure to comply with this policy.
2.2 This policy applies to all staff within Enigma Legal (meaning permanent, fixed term, and temporary staff, any third-party representatives or sub-contractors, agency workers, volunteers, interns and agents engaged with Enigma Legal ).
2.3 Enigma Legal obtains, keeps and uses (processes) personal information about past or present clients, suppliers, agents, job applicants, employees, partners, temporary and agency workers, contractors, interns, volunteers, apprentices and other third parties (Data Subjects) for a number of specific lawful purposes.
2.4 This policy applies to all personal information we process and sets out how we comply with our data protection obligations and seek to protect personal information. Its purpose is also to ensure that staff understand and comply with the rules governing the collection, use and deletion of personal information to which they may have access in the course of their work.
3. DUTIES AND RESPONSIBILITIES
3.1 The Data Privacy Manager (DPM) is responsible for overseeing this policy and if you have any questions or comments about the content of this policy, if you need further information, or if you have any concerns that this policy is not being or has not been followed, you should contact the DPM (EHG policy / contact) In particular, you must always contact the DPM in the following circumstances:
(a) if you unsure of the lawful basis which you are relying on to process personal data (including the legitimate interests used by Enigma Legal);
(b) if you need to rely on consent and/or need to capture explicit consent;
(c) if you are unsure about the retention period for the personal data being processed;
(d) if you are unsure about what security or other measures you need to implement to protect personal data;
(e) if you suspect personal data is not being kept or deleted securely;
(f) if you suspect personal data or devices containing personal data have been removed from Enigma Legal premises without appropriate security measures in place;
(g) if there has been a personal data breach;
(h) if you are unsure on what basis to transfer personal information outside the EEA;
(i) if you need any assistance dealing with any rights invoked by a Data Subject;
(j) whenever you are engaging in a significant new, or change in, processing activity or plan to use personal information for purposes other than what it was collected for;
(k) if you plan to undertake any activities involving automated processing including profiling or automated decision-making;
(l) if you need help complying with applicable law when carrying out direct marketing activities; or
(m) if you need help with any contracts or other areas in relation to sharing personal information with third parties. 3.2 We will review and update this policy 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. This policy does not override any applicable national data privacy laws
4. DATA PROTECTION PRINCIPLES
4.1 Enigma Legal will comply with the following data protection principles when processing personal information:
(a) we will process personal information lawfully, fairly and in a transparent manner;
(b) we will collect personal information for specified, explicit and legitimate purposes only;
(c) we will only process the personal information that is adequate, relevant and necessary for the relevant purposes;
(d) we will keep accurate and up to date personal information, and take reasonable steps to ensure that inaccurate personal information are deleted or corrected without delay;
(e) we will keep personal information for no longer than is necessary for the purposes for which the information is processed;
(f) we will take appropriate technical and organisational measures to ensure that personal information is kept secure and protected against unauthorised or unlawful processing, and against accidental loss, destruction or damage;
(g) we will not transfer personal information to another country without appropriate safeguards being in place;
(h) we will allow Data Subjects to exercise certain rights in relation to their personal information.
5. PERSONAL INFORMATION
5.1 Personal information or data is any information identifying an individual or information relating to an individual that enables identification (directly or indirectly) from that data alone or in combination with other identifiers we possess or can reasonably access. This includes sensitive personal information (also known as “special categories of personal data”) and pseudonymised personal data but excludes anonymous data or data that has had the identity of an individual permanently removed. (‘Pseudonymised’ means the process by which personal information is processed in such a way that it cannot be used to identify an individual without the use of additional information, which is kept separately and subject to technical and organisational measures to ensure that the personal information cannot be attributed to an identifiable individual). regulations where Enigma Legal operates.
6. BASIS FOR PROCESSING PERSONAL INFORMATION
6.1 In relation to any processing activity we will, before the processing starts for the first time, and then regularly while it continues:
(a) review the purposes of the particular processing activity, and select the most appropriate lawful basis (or bases) for that processing, i.e.:
(i) that the Data Subject has consented to the processing. A Data Subject consents to processing if they indicate agreement clearly either by a statement or positive action;
(ii) 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;
(iii) that the processing is necessary for compliance with a legal obligation to which Enigma Legal is subject;
(iv) that the processing is necessary for the protection of the vital interests of the Data Subject or another natural person; or
(v) that the processing is necessary for the performance of a task carried out in the public interest or exercise of official authority; or
(vi) that the processing is necessary for the purposes of legitimate interests of Enigma Legal or a third party, except where those interests are overridden by the interests or fundamental rights and freedoms of the Data Subject.
(b) 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);
(c) document our decision as to which lawful basis applies, to help demonstrate our compliance with the data protection principles;
(d) include information about both the purposes of the processing and the lawful basis for it in our relevant privacy notice(s);
(e) where sensitive personal information is processed, also identify a lawful special condition for processing that information (see paragraph 6.2 below), and document it; and
(f) where criminal offence information is processed, also identify a lawful condition for processing that information, and document it.
6.2 When determining whether Enigma Legal legitimate interests are the most appropriate basis for lawful processing, we will:
(a) conduct a legitimate interests assessment (LIA) and keep a record of it, to ensure that we can justify our decision;
(b) if the LIA identifies a significant privacy impact, consider whether we also need to conduct a data protection impact assessment (DPIA);
(c) keep the LIA under review, and repeat it if circumstances change; and
(d) include information about our legitimate interests in our relevant privacy notice(s).
7. SENSITIVE PERSONAL INFORMATION
7.1 Sensitive personal information is sometimes referred to as ‘special categories of personal data’ or ‘sensitive personal data’ It includes information about an individual’s race, ethnicity, sex life, sexual orientation, political opinions, religious or philosophical beliefs, trade union membership (or non-membership), health, genetic and biometric information.
7.2 Enigma Legal will only process sensitive personal information if one of the special conditions for processing sensitive personal information applies:
(a) the Data Subject has given has given explicit consent to the processing for one or more specified purposes;
(b) the processing is necessary for the purposes of exercising the employment law rights or obligations of Enigma Legal or the Data Subject;
(c) the processing is necessary to protect the Data Subject’s vital interests, and the Data Subject is physically incapable of giving consent;
(d) processing relates to personal data which are manifestly made public by the Data Subject;
(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, in accordance with applicable law, such as for the prevention or detection of an unlawful act or for preventing fraud; or for the provision of confidential advice.
7.3 Before processing any sensitive personal information, staff must notify the DPM of the proposed processing, in order that they may assess whether the processing complies with the criteria noted above.
7.4 Enigma Legal will not carry out automated processing or automated decision-making (including profiling) based on any individual’s sensitive personal information.
7.5 Enigma Legal Client Data Protection Policy and the GDPR Data Protection Privacy Notice (Employment) sets out the types of sensitive personal information that Enigma Legal processes, what it is used for and the lawful basis for the processing.
8. DATA PROTECTION IMPACT ASSESSMENT (DPIA)
8.1 Where processing is likely to result in a high risk to an individual’s data protection rights (for example, where Enigma Legal is planning to use a new form of technology, or we process large categories of sensitive personal information), we will, before commencing the processing, carry out a DPIA to assess:
(a) the purpose of the processing and Enigma Legal’s legitimate interests, if appropriate;
(b) whether the processing is necessary and proportionate in relation to its purpose;
(c) the risks to individuals; and
(d) what measures can be put in place to address those risks and protect personal information.
8.2 Before any new form of technology is introduced, the manager responsible should therefore contact the DPM in order that a DPIA can be carried out.
9. DOCUMENTATION AND RECORDS
9.1 You must cooperate with the DPM to keep and maintain accurate written records of processing activities including:
(a) the name and contact details of the person or company processing the personal information and the DPM;
(b) the purposes of the processing;
(c) a description of the categories of individuals and categories of personal data;
(d) categories of recipients of personal data;
(e) where relevant, details of transfers to third countries, including documentation of the transfer mechanism safeguards in place;
(f) where possible, retention schedules; and
(g) where possible, a description of technical and organisational security measures.
9.2 As part of our record of processing activities we document:
(a) information required for privacy notices;
(b) records of consent;
(c) controller-processor contracts;
(d) the location of personal information;
(e) DPIAs; and
(f) records of data breaches.
9.3 We will conduct regular reviews of the personal information we process and update our records accordingly.
9.4 Information regarding retention periods for documents can be found in Enigma Legal’ s Records Retention Policy.
10. PRIVACY NOTICES
10.1 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.
10.2 The GDPR Data Protection Privacy Notice (Employment) is available on Enigma Legal’s intranet and provides information about the personal information that we collect and hold relating to you, how you can expect your personal information to be used and for what purposes.
10.3 The Client Data Protection Policy is available on Enigma Legal’s external internet site for clients and provides information about the personal information that we collect and hold relating to clients, how their personal information is used and for what purposes.
11. INDIVIDUAL RIGHTS AND REQUESTS
11.1 Data Subjects have the following rights in relation to their personal information:
(a) to be informed about how, why, and on what basis personal information is processed;
(b) to withdraw consent to processing at any time;
(c) to obtain confirmation that personal information is being processed and to obtain access to it and certain other information, by making a Data Subject Access Request;
(d) to have data corrected if it is inaccurate or incomplete;
(e) to have data erased if it is no longer necessary for the purpose for which it was originally collected/processed, or an objection to processing has been successfully exercised, where we may have processed your information unlawfully, where we are required to erase your personal information to comply with local law or if there are no overriding legitimate grounds for the processing (this is sometimes known as the right to be forgotten);
(f) to object to processing of personal information where we are relying on a legitimate interest (or those of a third party) and your personal circumstances are such that the processing impacts on your fundamental rights and freedoms;
(g) to object to processing for direct marketing purposes;
(h) to restrict the processing of personal information temporarily where the accuracy of the information is contested, or the processing is unlawful (but the Data Subject does not want the data to be erased), or where Enigma Legal no longer needs the personal information but the Data Subject requires the data to establish, exercise or defend a legal claim, or where the Data Subject has objected to the processing of the personal information but we need to verify whether we have an overriding legitimate grounds to use it;
(i) to request transfer of personal information to the Data Subject or a third party of automated information in certain circumstances.
11.2 If you wish to exercise any of the rights listed above, please contact the DPM at martinprice@enigmalegal.co.uk
11.3 You must verify the identity of an individual requesting data under any of the rights listed above. Do not allow anyone to persuade you into disclosing personal information without proper authorisation.
11.4 You must immediately forward any Data Subject request you receive to the DPM and comply with the Data Subject Access Request Policy.
12. INDIVIDUAL OBLIGATIONS
12.1 Individuals are responsible for helping Enigma Legal keep their personal information up to date. You should let the relevant person within the HR Department know if the information you have provided to Enigma Legal changes, for example if you move house or change details of the bank or building society account to which you are paid.
12.2 You may have access to the personal information of other members of staff, suppliers and clients of Enigma Legal in the course of your employment or engagement. If so, Enigma Legal expects you to help meet its data protection obligations to those individuals.
12.3 You may only process personal data when performing your job duties requires it. You cannot process personal data for any reason unrelated to your job duties.
12.4 You may only collect personal data that you require for your job duties: do not collect excessive data. Ensure any personal data collected is adequate and relevant for the intended purposes.
12.5 You must ensure that when personal data is no longer needed for specified purposes, it is deleted in accordance with Enigma Legal’s Records Retention Policy.
12.6 If you have access to personal information, you must:
(a) only access the personal information that you have authority to access, and only for authorised purposes;
(b) only allow other staff to access personal information if they have appropriate authorisation
c) only allow individuals who are not Enigma Legal’s staff to access personal information if you have specific authority to do so from the DPM;
(d) keep personal information secure (e.g. by complying with rules on access to premises, computer access, password protection and secure file storage and destruction and other precautions);
(e) not remove personal information, or devices containing personal information (or which can be used to access it), from Enigma Legal’ s premises unless appropriate security measures are in place (such as encryption or password protection) to secure the information and the device; and
(f) not store personal information on local drives or on personal devices that are used for work purposes.
13. SHARING PERSONAL DATA
13.1 You may only share personal data with another employee, agent or representative of our group if the recipient has a job-related need to know the information and the transfer complies with any applicable cross-border transfer restrictions.
13.2 You may only share personal data we hold with third parties, such as service providers, if:
(a) they have a need to know the information for the purposes of providing the contracted services;
(b) sharing the personal data complies with the Client Data Protection Policy and if required, consent has been obtained;
(c) the third party has agreed to comply with the required data security standards, policies and procedures and has put in place adequate security measures;
(d) the transfer complies with any applicable cross-border transfer restrictions; and
(e) a fully executed written contract that contains GDPR approved third party clauses has been obtained and approved by Compliance.
14. INFORMATION SECURITY
14.1 Enigma Legal will use appropriate technical and organisational measures to keep personal information secure, and in particular to protect against unauthorised or unlawful processing and against accidental loss, destruction or damage. These may include:
(a) making sure that, where possible, personal information is pseudonymised or encrypted;
(b) ensuring the ongoing confidentiality, integrity, availability and resilience of processing systems and services;
(c) ensuring that, in the event of a physical or technical incident, availability and access to personal information can be restored in a timely manner; and
(d) a process for regularly testing, assessing and evaluating the effectiveness of technical and organisational measures for ensuring the security of the processing.
14.2 Where Enigma Legal uses external organisations to process personal information on its behalf, additional security arrangements need to be implemented in contracts with those organisations to safeguard the security of personal information.
14.3 Before any new agreement involving the processing of personal information by an external organisation is entered into, or an existing agreement is altered, the relevant staff must seek approval of its terms by the DPM.
15. STORAGE AND RETENTION OF PERSONAL INFORMATION
15.1 Personal information (and sensitive personal information) will be kept securely.
15.2 Personal information (and sensitive personal information) 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 information was obtained. Staff should follow Enigma Legal’s Records Retention Policy which sets out the relevant retention period, or the criteria that should be used to determine the retention period.
15.3 Personal information (and sensitive personal information) that is no longer required will be deleted permanently from our information systems and any hard copies will be destroyed securely in accordance with the Records Retention Policy.
16. DATA BREACHES
16.1 A data breach may take many different forms, for example:
(a) loss or theft of data or equipment on which personal information is stored;
(b) unauthorised access to or use of personal information either by a member of staff or third party;
(c) loss of data resulting from an equipment or systems (including hardware and software) failure;
(d) human error, such as accidental deletion or alteration of data;
(e) unforeseen circumstances, such as a fire or flood;
(f) deliberate attacks on IT systems, such as hacking, viruses or phishing scams; and
(g) ‘blagging’ offences, where information is obtained by deceiving the organisation which holds it.
16.2 Enigma Legal will:
(a) 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; and
(b) 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.
16.3 If you know or suspect that a personal data breach has occurred, do not attempt to investigate the matter yourself. Immediately contact the DPM.
16.4 You should refer to Enigma Legal’s Data Breach Policy for further information on data breaches.
17. INTERNATIONAL TRANSFERS
17.1 Enigma Legal will not transfer personal information outside the European Economic Area (EEA), which comprises the countries in the European Union and Iceland, Liechtenstein and Norway, without your consent.
18. TRAINING
18.1 Enigma Legal will ensure that staff are adequately trained regarding their data protection responsibilities. Individuals whose roles require regular access to personal information, or who are responsible for implementing this policy or responding to Data Subject Access Requests under this policy, will receive additional training to help them understand their duties and how to comply with them. Further information is also available in the Data Subject Access Request Policy.
19. CONSEQUENCES OF FAILING TO COMPLY
19.1 Enigma Legal takes compliance with this policy very seriously. Failure to comply with the policy and related policies:
(a) puts at risk the individuals whose personal information is being processed; and
(b) carries the risk of significant civil and criminal sanctions for the individual and Enigma Legal; and (c) may, in some circumstances, amount to a criminal offence by the individual.
19.2 An employee’s failure to comply with any requirement of this policy or related policy 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 DPM