Policy Document for: Data Protection (GDPR)

Approved by Directors: March 2018

Due for Review: January 2019

 

1.Statement of intent

Metroline is required to keep and process certain information about its staff members in accordance with its legal obligations under Data Protection Legislation.

Metroline may, from time to time, be required to share personal information about its employees with other organisations, mainly TFL, DVLA, pension provider, educational bodies, and potentially Trade Union.

This policy is in place to ensure all employees is aware of their responsibilities and outlines how Metroline complies with the following core principles of the Data Protection Legislation.

Organisational methods for keeping data secure are imperative, and Metroline believes that it is good practice to keep clear practical policies, backed up by written procedures.

 

2.Applicable data

For the purpose of this policy, personal data refers to information that relates to an identifiable, living individual, including information such as an online identifier, such as an IP address. The Data Protection Legislation applies to both automated personal data and to manual filing systems, where personal data is accessible according to specific criteria, as well as to chronologically ordered data and pseudonymised data, e.g. key-coded.

Sensitive personal data is referred to in the Data Protection Legislation as ‘special categories of personal data’. These specifically include the processing of data concerning health matters.

 

3.Principles

In accordance with the requirements outlined in the Data Protection Legislation, personal data will be:

Processed lawfully, fairly and in a transparent manner in relation to individuals.

Collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes; further processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes shall not be considered to be incompatible with the initial purposes.

Adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed.

Accurate and, where necessary, kept up-to-date; every reasonable step must be taken to ensure that personal data that are inaccurate, having regard to the purposes for which they are processed, are erased or rectified without delay.

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; personal data may be stored for longer periods, insofar as the personal data will be processed solely for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes, subject to implementation of the appropriate technical and organisational measures required by the Data Protection Legislation in order to safeguard the rights and freedoms of individuals.

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.

The Data Protection Legislation also requires that “the controller shall be responsible for, and able to demonstrate, compliance with the principles”.

 

4.Accountability

Metroline will implement appropriate technical and organisational measures to demonstrate that data is processed in line with the principles set out in the Data Protection Legislation.

Metroline will provide comprehensive, clear and transparent privacy policies.

Records of activities relating to higher risk processing will be maintained, such as the processing of special categories data or that in relation to criminal convictions and offences.

Internal records of processing activities will include the following:

Name and details of the organisation for Purpose(s) of the processing

Description of the categories of individuals and personal data retention schedules

Categories of recipients of personal data

Description of technical and organisational security measures

Details of transfers to third countries, including documentation of the transfer mechanism safeguards in place

Metroline will implement measures that meet the principles of data protection by design and data protection by default, such as:

Data minimisation

Pseudonymisation

Transparency

Allowing individuals to monitor processing

Continuously creating and improving security features

Data Protection Impact Assessments (DPIA) will be used, where appropriate.

 

5.Data protection officer (DPO)

A DPO will be appointed in order to:

Inform and advise Metroline and its employees about their obligations to comply with the Data Protection Legislation and other data protection laws.

Monitor Metroline’s compliance with the Data Protection Legislation and other laws, including managing internal data protection activities, advising on data protection impact assessments, conducting internal audits, and providing the required training to employees.

An existing employee will be appointed to the role of DPO provided that their duties are compatible with the duties of the DPO and do not lead to a conflict of interests.  The appointed DPO will have professional experience and knowledge of data protection law and data security best practice.

The DPO will report to the highest level of management at Metroline, which is the Executive Committee.  The DPO will operate independently and will not be dismissed or penalised for performing their task.

Sufficient resources will be provided to the DPO to enable them to meet their Data Protection Legislation obligations.

 

6.Lawful processing

The legal basis for processing data will be identified and documented prior to data being processed.

Under the Data Protection Legislation, data will be lawfully processed under the following conditions:

The consent of the data subject has been obtained.

Processing is necessary for:

Compliance with a legal obligation.

The performance of a task carried out in the public interest or in the exercise of official authority vested in the controller.

For the performance of a contract with the data subject or to take steps to enter into a contract.

Protecting the vital interests of a data subject or another person.

For the purposes of legitimate interests pursued by the controller or a third party, except where such interests are overridden by the interests, rights or freedoms of the data subject.

Sensitive data will only be processed under the following conditions:

Explicit consent of the data subject, unless reliance on consent is prohibited by law.

Processing carried out by trade union provided the processing relates only to members or former members (or those who have regular contact with it in connection with those purposes) and provided there is no disclosure to a third party without consent.

Processing relates to personal data manifestly made public by the data subject.

Processing is necessary for:

Carrying out obligations under employment, law or a collective agreement.

Protecting the vital interests of a data subject or another individual where the data subject is physically or legally incapable of giving consent.

The establishment, exercise or defence of legal claims or where courts are acting in their judicial capacity.

Reasons of substantial public interest on the basis of law which is proportionate to the aim pursued and which contains appropriate safeguards.

The purposes of preventative or occupational medicine, for assessing the working capacity of the employee, medical diagnosis or management of health and safety and services on the basis of law or a contract with a health professional.

Archiving purposes.

 

7.Consent

Consent must be a positive indication. It cannot be inferred from silence, inactivity or pre-ticked boxes.  Consent will only be accepted where it is freely given, specific, informed and an unambiguous indication of the individual’s wishes.

Where consent is given, a record will be kept documenting how and when consent was given.

Metroline ensures that consent mechanisms meet the standards of the Data Protection Legislation. Where the standard of consent cannot be met, an alternative legal basis for processing the data must be found, or the processing must cease.

Consent accepted under the Data Protection Legislation will be reviewed to ensure it meets the standards; however, acceptable consent obtained under the Data Protection Legislation will not be reobtained.

The data subject has the right to withdraw consent at any time.  Metroline will stop processing as soon as possible.  However, the right to withdraw consent may not be granted by Metroline if data processing is required to fulfil employment contract or service agreement between both parties and for any applicable legal obligations.

 

8.The right to be informed

The privacy notice supplied to individuals in regards to the processing of their personal data will be written in clear, plain language which is concise, transparent, easily accessible and free of charge.

In relation to data obtained both directly from the data subject and not obtained directly from the data subject, the following information will be supplied within the privacy notice:

The identity and contact details of the controller, and where applicable, the controller’s representative and the DPO.

The purpose of, and the legal basis for, processing the data.

The legitimate interests of the controller and or third party.

Any recipient or categories of recipients of the personal data.

Details of transfers to third countries and the safeguards in place.

The retention period of criteria used to determine the retention period.

The existence of the data subject’s rights, including the right to:

Withdraw consent at any time.

Lodge a complaint with a supervisory authority.

The existence of automated decision making, including profiling, how decisions are made, the significance of the process and the consequences.

Where data is obtained directly from the data subject, information regarding whether the provision of personal data is part of a statutory or contractual requirement and the details of the categories of personal data, as well as any possible consequences of failing to provide the personal data, will be provided.

Where data is not obtained directly from the data subject, information regarding the source the personal data originates from and whether it came from publicly accessible sources, will be provided.

For data obtained directly from the data subject, this information will be supplied at the time the data is obtained.

In relation to data that is not obtained directly from the data subject, this information will be supplied:

Within one month of having obtained the data.

If disclosure to another recipient is envisaged, at the latest, before the data are disclosed.

If the data are used to communicate with the individual, at the latest, when the first communication takes place.

 

9.The right of access

Individuals have the right to obtain confirmation that their data is being processed.

Individuals have the right to submit a data subject access request (DSAR) to gain access to their personal data in order to verify the lawfulness of the processing.

Metroline will verify the identity of the person making the request before any information is supplied.

A copy of the information will be supplied to the individual and Metroline may charge a small admin fee; however, Metroline may impose a ‘reasonable fee’ to comply with requests for further copies of the same information.  In the event of numerous or complex requests, the period of compliance will be extended by a further two months. The individual will be informed of this extension, and will receive an explanation of why the extension is necessary, within 30 days of validation of DSAR.

Where a request is manifestly unfounded or excessive, Metroline holds the right to refuse to respond to the DSAR. The individual will be informed of this decision and the reasoning behind it, as well as their right to complain to the supervisory authority and to a judicial remedy, within one month of the refusal.

Where a DSAR has been made electronically, the information will be provided in a commonly used electronic format.

All requests will be responded to without delay and at the latest, within 30 days of validation of DSAR.

In the event that a large quantity of information is being processed about an individual, Metroline will ask the individual to specify the information the request is in relation to.

 

10.The right to rectification

Individuals are entitled to have any inaccurate or incomplete personal data rectified.

Where the personal data in question has been disclosed to third parties, Metroline will inform them of the rectification where possible.

Where appropriate, Metroline will inform the individual about the third parties that the data has been disclosed to.

Requests for rectification will be responded to within 30 days of validation of request for rectification; this will be extended by two months where the request for rectification is complex.

Where no action is being taken in response to a request for rectification, Metroline will explain the reason for this to the individual, and will inform them of their right to complain to the supervisory authority and to a judicial remedy.

 

11.The right to erasure

Individuals hold the right to request the deletion or removal of personal data where there is no compelling reason for its continued processing.

Individuals have the right to erasure in the following circumstances:

Where the personal data is no longer necessary in relation to the purpose for which it was originally collected/processed.

When the individual withdraws their consent but not in all circumstances.

When the individual objects to the processing and there is no overriding legitimate interest for continuing the processing.

The personal data was unlawfully processed.

The personal data is required to be erased in order to comply with a legal obligation.

Metroline has the right to refuse a request for erasure where the personal data is being processed for the following reasons:

To exercise the right of freedom of expression and information.

To comply with contractual obligation.

To comply with a legal obligation.

For archiving purposes with a contractual or legal obligation.

The exercise or defence of legal claims.

Where personal data has been disclosed to third parties, they will be informed about the erasure of the personal data, unless it is impossible or involves disproportionate effort to do so.

Where personal data has been made public within an online environment, Metroline will inform other organisations who process the personal data to erase links to and copies of the personal data in question.

 

12.The right to restrict processing

Individuals have the right to block or suppress Metroline’s processing of personal data.

In the event that processing is restricted, Metroline will store the personal data, but not further process it, guaranteeing that just enough information about the individual has been retained to ensure that the restriction is respected in future.

Metroline will restrict the processing of personal data in the following circumstances:

Where an individual contests the accuracy of the personal data, processing will be restricted until Metroline has verified the accuracy of the data.

Where an individual has objected to the processing and Metroline is considering whether their legitimate grounds override those of the individual.

Where processing is unlawful and the individual opposes erasure and requests restriction instead.

Where Metroline no longer needs the personal data but the individual requires the data to establish, exercise or defend a legal claim.

If the personal data in question has been disclosed to third parties, Metroline will inform them about the restriction on the processing of the personal data, unless it is impossible or involves disproportionate effort to do so.

Metroline will inform individuals when a restriction on processing has been lifted.

 

13.The right to data portability

Individuals have the right to obtain and reuse their personal data for their own purposes across different services.

Personal data can be easily moved, copied or transferred from one IT environment to another in a safe and secure manner, without hindrance to usability.

The right to data portability only applies in the following cases:

To personal data that an individual has provided to a controller.

Where the processing is based on the individual’s consent or for the performance of a contract.

When processing is carried out by automated means.

Personal data will be provided in a structured, commonly used and machine-readable form.

Metroline will provide the information free of charge if the request is simple.  Metroline may if the request is manifestly unfounded or excessive charge a “reasonable fee” for the administrative costs of complying with the request or refuse to deal with the request.

Where feasible, data will be transmitted directly to another organisation at the request of the individual.  Metroline is not required to adopt or maintain processing systems which are technically compatible with other organisations.

In the event that the personal data concerns more than one individual, Metroline will consider whether providing the information would prejudice the rights of any other individual.

Metroline will respond to any requests for portability within 30 days of validation.

Where the request is complex, or a number of requests have been received, the timeframe can be extended by two months, ensuring that the individual is informed of the extension and the reasoning behind it within one month of the receipt of the request.

Where no action is being taken in response to a request for data portability, Metroline will explain the reason for this to the individual, and will inform them of their right to complain to the supervisory authority and to a judicial remedy.

 

14.The right to object

Metroline will inform individuals of their right to object at the first point of communication, and this information will be outlined in the privacy notice and explicitly brought to the attention of the data subject, ensuring that it is presented clearly and separately from any other information.

Individuals have the right to object to the following:

Processing based on legitimate interests or the performance of a task in the public interest

Direct marketing.

Processing for purposes of scientific or historical research and statistics.

Where personal data is processed for the performance of a legal task or legitimate interests:

An individual’s grounds for objecting must relate to his or her particular situation.

Metroline will stop processing the individual’s personal data unless the processing is for the establishment, exercise or defence of legal claims, or, where Metroline can demonstrate compelling legitimate grounds for the processing, which override the interests, rights and freedoms of the individual.

Where personal data is processed for direct marketing purposes:

Metroline will stop processing personal data for direct marketing purposes as soon as an objection is received.

Metroline cannot refuse an individual’s objection regarding data that is being processed for direct marketing purposes.

Where personal data is processed for research purposes:

The individual must have grounds relating to their particular situation in order to exercise their right to object.

Where the processing of personal data is necessary for the performance of a public interest task, Metroline is not required to comply with an objection to the processing of the data.

Where the processing activity is outlined above, but is carried out online, Metroline will offer a method for individuals to object online.

 

15.Privacy by design and privacy impact assessments

Metroline will act in accordance with the Data Protection Legislation by adopting a privacy by design approach and implementing technical and organisational measures which demonstrate how Metroline has considered and integrated data protection into processing activities.

Data Protection Impact Assessments (DPIAs) will be used to identify the most effective method of complying with Metroline data protection obligations and meeting individuals’ expectations of privacy.

DPIAs will allow Metroline to identify and resolve problems at an early stage, thus reducing associated costs and preventing damage from being caused to Metroline’s reputation which might otherwise occur.

A DPIA will be used when using new technologies or when the processing is likely to result in a high risk to the rights and freedoms of individuals.  A DPIA will be used for more than one project, where necessary.

High risk processing includes, but is not limited to, the following:

Systematic and extensive processing activities, such as profiling.

Large scale processing of special categories of data or personal data which is in relation to medical reports, criminal convictions or offences.

Metroline will ensure that all DPIAs include the following information:

A description of the processing operations and the purposes.

An assessment of the necessity and proportionality of the processing in relation to the purpose.

An outline of the risks to individuals.

The measures implemented in order to address risk.

Where a DPIA indicates high risk data processing, Metroline will consult the supervisor authority (ICO) to seek its opinion as to whether the processing operation complies with the Data Protection Legislation.

 

16.Data breaches

The term ‘personal data breach’ refers to a breach of security which has led to the destruction, loss, alteration, unauthorised disclosure of, or access to, personal data.

The Executive Committee will ensure that all employees are made aware of, and understand, what constitutes as a data breach as part of their continuous development training.

Where a breach is likely to result in a risk to the rights and freedoms of individuals, the supervisory authority (ICO) will be informed.

All notifiable breaches will be reported to the ICO within 72 hours of Metroline becoming aware of it.  The risk of the breach having a detrimental effect on the individual, and the need to notify ICO, will be assessed on a case-by-case basis.

In the event that a breach is likely to result in a high risk to the rights and freedoms of an individual, Metroline will notify those concerned directly.

Effective and robust breach detection, investigation and internal reporting procedures are in place at Metroline, which facilitate decision-making in relation to whether the ICO or individuals need to be notified.

Within a breach notification, the following information will be outlined:

The nature of the personal data breach, including the categories and approximate number of individuals and records concerned.

The name and contact details of the DPO.

An explanation of the likely consequences of the personal data breach.

A description of the proposed measures to be taken to deal with the personal data breach.

Where appropriate, a description of the measures taken to mitigate any possible adverse effects.

 

17.Data security

Confidential paper records will be kept in a locked filing cabinet, drawer or safe, with restricted access.  Confidential paper records will not be left unattended or in clear view anywhere with non-relevant employees and general access.

Digital data is coded, encrypted or password-protected, both on a local hard drive and on a network drive that is regularly backed up off-site.

Where data is saved on removable storage or a portable device, the device will be kept in a locked filing cabinet, drawer or safe when not in use.

Memory sticks will not be used to hold personal information unless they are password-protected and fully encrypted.

All electronic devices are password-protected to protect the information on the device in case of theft.

Where possible, Metroline enables electronic devices to allow the remote blocking or deletion of data in case of theft.

Employees will not use their personal mobiles, laptops or computers for Metroline purposes.

All necessary employees are provided with their own secure login and password, and every computer regularly prompts users to change their password.

Emails containing sensitive or confidential information are password-protected if there are unsecure servers between the sender and the recipient.

Circular emails outside the company are sent blind carbon copy (bcc), so email addresses are not disclosed to other recipients.

When sending confidential information by fax, staff will always check that the recipient is correct before sending.

Where personal information that could be considered private or confidential is taken off the premises, either in electronic or paper format, employees will take extra care to follow the same procedures for security, e.g. keeping devices under lock and key. The person taking the information from Metroline premises accepts full responsibility for the security of the data.

For information on cookies please see Metroline’s Cookies Policy.

Before sharing data, all employees will ensure:

They are allowed to share it.

That adequate security is in place to protect it.(passwords, encryptions)

Who will receive the data has been outlined in a privacy notice.

Under no circumstances are visitors allowed access to confidential or personal information. Visitors to areas of Metroline containing sensitive information are supervised at all times.

The physical security of Metroline’s buildings and storage systems, and access to them, is reviewed on a regularly basis. If an increased risk in vandalism/burglary/theft is identified, extra measures to secure data storage will be put in place.

Metroline takes its duties under the Data Protection Legislation seriously and any unauthorised disclosure may result in disciplinary action.

The DPO is responsible for data security and making sure recovery measures are in place to ensure the security of protected data.

 

18.Publication of information

Metroline publishes a publication scheme on its website outlining classes of information that will be made routinely available, including:

Policies and procedures

Annual reports

Service and Financial information

Classes of information specified in the publication scheme are made available quickly and easily on request.

Metroline will not publish any personal information, including photos, on its website without the permission of the affected individual.

When uploading information to Metroline website, employees are considerate of any metadata or deletions which could be accessed in documents and images on the site.

 

19.CCTV

Metroline understands that recording images of identifiable individuals constitutes as processing personal information, so it is done in line with data protection principles.

Metroline notifies all employees, visitors and public of the purpose for collecting CCTV images via signs, notice boards, letters and email.

Cameras are only placed where they do not intrude on anyone’s privacy and are necessary to fulfil their purpose.

All CCTV footage will be kept securely on IT network drives for security purposes; the Head of Transport Safety is responsible for keeping the records secure and allowing access.

If Metroline wishes to use images/video footage of employees in a publication, such as Metroline website or recordings of training videos written consent will be sought for the particular usage from the individual.

 

20.Data retention

Data will not be kept for longer than is necessary.  Unrequired data will be deleted as soon as practicable.

Some records relating to former employees of Metroline may be kept for an extended period for legal reasons, but also to enable the provision of references.

Paper documents will be shredded and electronic memories scrubbed clean or destroyed, once the data should no longer be retained.