Data Protection Policy
The Energy Innovation Centre (EIC) is committed to a policy of protecting the rights and privacy of individuals, including partners, staff and others, in accordance with the Retained Regulation (EU) 2016/679 (UK GDPR)and the Data Protection Act 2018 (the DPA 2018), which together comprise the UK data protection regime (UK Regime).
This policy’s purpose is to establish an effective, accountable and transparent framework for ensuring compliance with the data protection requirements in the UK.
The regulatory environment demands transparency and accountability in how organisations manage and use personal data. It also accords rights for individuals to understand and control that use.
The UK regime contains provisions that the EIC will need to be aware of as data controllers, including provisions intended to enhance the protection of personal data.
This policy applies to all EIC employees and all third parties responsible for the processing of personal data on behalf of EIC services/entities.
The EIC is committed to conducting its business in accordance with all applicable data protection laws and regulations and in line with the highest standards of ethical conduct.
This policy sets forth the expected behaviours of EIC employees and third parties in relation to the collection, use, retention, transfer, disclosure and destruction of any personal data belonging to an EIC contact (i.e. the data subject).
Personal data is any information (including opinions and intentions) which relates to an identified or identifiable natural person. Personal data is subject to certain legal safeguards and other regulations, which impose restrictions on how organisations may process personal data. An organisation that handles personal data and makes decisions about its use is known as a Data Controller. The EIC, as a Data Controller, is responsible for ensuring compliance with the data protection requirements outlined in this policy. Non-compliance may expose the EIC to complaints, regulatory action, fines and/or reputational damage.
EIC’s leadership is fully committed to ensuring continued and effective implementation of this policy, and expects all EIC employees and third parties to share in this commitment. Any breach of this policy will be taken seriously and may result in disciplinary action or business sanction.
3.1.1.Data Protection Officer
Under the UK Regime, organisations must appoint a Data Protection Officer if:
•They are a public authority (except for courts acting in their judicial capacity);
•Their core activities require large-scale, regular and systematic monitoring of individuals (for example, online behaviour tracking); or
•Their core activities consist of large-scale processing of special categories of data or data relating to criminal convictions and offences.
As the EIC does not fit into any of the above categories it has been deemed that the EIC can discharge its obligations under the UK Regime without appointing a DPO, instead ensuring that sufficient resources are dedicated to data protection. This has been facilitated by appointing a Data Protection Team, consisting of:
-Stakeholder Engagement Lead
The Data Protection Team is responsible for all day-to-day data protection matters, and will be responsible for ensuring that all members of staff and relevant individuals abide by this policy, and for developing and encouraging good information handling within the organisation. 3.1.2.Data Protection by Design To ensure that all data protection requirements are identified and addressed when designing new systems or processes and/or when reviewing or expanding existing systems or processes, each of them must go through an approval process before continuing. Each EIC service/entity must ensure that a Data Protection Impact Assessment (DPIA) is conducted, for all new and/or revised systems or processes for which it has responsibility. The subsequent findings of the DPIA must then be submitted to the Managing Director (MD) for review and approval. 3.1.3.Compliance Monitoring To confirm that an adequate level of compliance is being achieved by all EIC services/entities in relation to this policy, the EIC’s Data Protection Team will carry out an annual data protection compliance audit for all such services/entities. Each audit will, as a minimum, assess:
•Compliance with policy in relation to the protection of personal data, including:
•The assignment of responsibilities.
Training of employees.
•The effectiveness of data protection-related operational practices, including:
Data subject rights.
Personal data transfers.
Personal data incident management.
Personal data complaints handling.
The level of understanding of data protection policies and privacy notices.
The currency of data protection policies and privacy notices.
The accuracy of personal data being stored.
The conformity of data processor activities.
The adequacy of procedures for redressing poor compliance and personal data breaches.
The Data Protection Team, in cooperation with key business stakeholders from each EIC service/entity, will devise a plan with a schedule for correcting any identified deficiencies within a defined and reasonable time frame. Any major deficiencies and good practice identified will be reported to, monitored and shared with the EIC executive team.
3.2. Data Protection Principles
The EIC has adopted the following principles to govern its collection, use, retention, transfer, disclosure and destruction of personal data:
Principle 1: Lawfulness, Fairness and Transparency. Personal data shall be processed lawfully, fairly and in a transparent manner in relation to the data subject. This means, that the EIC must tell the data subject what processing will occur (transparency), the processing must match the description given to the data subject (fairness), and it must be for one of the purposes specified in the applicable data protection regulation (lawfulness).
Principle 2: Purpose Limitation. Personal data shall be collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes. This means that the EIC must specify exactly what the personal data collected will be used for and limit the processing of that personal data to only what is necessary to meet the specified purpose.
Principle 3: Data Minimisation. Personal data shall be adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed. This means that the EIC must not store any personal data beyond what is strictly required.
Principle 4: Accuracy. Personal data shall be accurate and, kept up to date. This means that the EIC must have in place processes for identifying and addressing out-of-date, incorrect and redundant personal data.
Principle 5: Storage Limitation. Personal data shall be kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the personal data is processed. This means that the EIC must, wherever possible, store personal data in a way that limits or prevents identification of the data subject.
Principle 6: Integrity & Confidentiality. Personal data shall be 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. The EIC must use appropriate technical and organisational measures to ensure the integrity and confidentiality of personal data is maintained at all times.
Principle 7: Accountability. The Data Controller shall be responsible for, and be able to demonstrate compliance. This means EIC must demonstrate that the six data protection principles (outlined above) are met for all personal data for which it is responsible.
3.3. Data collection
Personal data should be collected only from the data subject unless one of the following apply:
•The nature of the business purpose necessitates collection of the personal data from other persons or bodies.
•The collection must be carried out under emergency circumstances in order to protect the vital interests of the data subject or to prevent serious loss or injury to another person.
If personal data is collected from someone other than the data subject, the data subject must be informed of the collection unless one of the following apply:
•The data subject has received the required information by other means.
•The information must remain confidential due to a professional secrecy obligation
•A national law expressly provides for the collection, processing or transfer of the personal data.
Where it has been determined that notification to a data subject is required, notification should occur promptly, but in no case later than:
•One calendar month from the first collection or recording of the personal data;
•At the time of first communication if used for communication with the data subject; and/or
•At the time of disclosure if disclosed to another recipient.
3.3.2.Data subject consent
Each EIC service/entity will obtain personal data only by lawful and fair means and, where appropriate with the knowledge and consent of the individual concerned. Where a need exists to request and receive the consent of an individual prior to the collection, use or disclosure of their personal data, the EIC is committed to seeking such consent. The Data Protection Team, in cooperation with other relevant business representatives, shall establish a system for obtaining and documenting data subject consent for the collection, processing, and/or transfer of their personal data.
3.3.3.Data subject Notification
Each EIC service/entity will, when required by applicable law, contract, or where it considers that it is reasonably appropriate to do so, provide data subjects with information as to the purpose of the processing of their personal data. When the data subject is asked to give consent to the processing of personal data and when any personal data is collected from the data subject, all appropriate disclosures will be made, in a manner that draws attention to them, unless one of the following apply:
•The data subject already has the information; or
•A legal exemption applies to the requirements for disclosure and/or consent. The disclosure may be given orally, electronically or in writing. If given orally, the person making the disclosure should use a suitable script or form approved in advance by the Data Protection Team. The associated receipt or form should be retained, along with a record of the facts, date, content, and method of disclosure.
3.3.4.External Privacy Notices
Each external website provided by EIC will include an online ‘Privacy Notice’ and an online ‘Cookie Notice’ fulfilling the requirements of applicable law.
3.4. Data Use
The EIC uses the personal data of its contacts for the following broad purposes:
•The general running and business administration of EIC services/entities.
•To provide services to EIC’s stakeholders.
•The ongoing administration and management of customer services.
The use of a contact’s information should always be considered from their perspective and whether the use will be within their expectations or if they are likely to object. For example, it would clearly be within a contact’s expectations that their details will be used by the EIC to respond to a contact request for information about the products and services on offer. However, it will not be within their reasonable expectations that the EIC would then provide their details to third parties for marketing purposes.
Each EIC service/entity will process personal data in accordance with all applicable laws and applicable contractual obligations. More specifically, the EIC will not process personal data unless at least one of the following requirements are met:
•The data subject has given consent to the processing of their personal data for one or more specific purposes.
•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.
•Processing is necessary for compliance with a legal obligation to which the Data Controller is subject.
•Processing is necessary in order to protect the vital interests of the data subject or of another natural person.
•Processing is necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the Data Controller.
•Processing is necessary for the purposes of the legitimate interests pursued by the data controller or by a third party (except where such interests are overridden by the interests or fundamental rights and freedoms of the data subject, in particular where the data subject is a child).
There are some circumstances in which personal data may be further processed for purposes that go beyond the original purpose for which the personal data was collected. When making a determination as to the compatibility of the new reason for processing, guidance and approval must be obtained from the Data Protection Team before any such processing may commence.
•In any circumstance where consent has not been gained for the specific processing in question, the EIC will address the following additional conditions to determine the fairness and transparency of any processing beyond the original purpose for which the personal data was collected: Any link between the purpose for which the personal data was collected and the reasons for intended further processing.
•The context in which the personal data has been collected, in particular regarding the relationship between data subject and the Data Controller.
•The nature of the personal data, in particular whether special categories of data are being processed, or whether personal data related to criminal convictions and offences are being processed.
•The possible consequences of the intended further processing for the data subject.
•The existence of appropriate safeguards pertaining to further processing, which may include encryption, anonymisation or pseudonymisation.
3.4.2.Special Categories of Data
The EIC will only process special categories of data (also known as sensitive data) where the data subject expressly consents to such processing or where one of the following conditions apply:
•The processing relates to personal data which has already been made public by the data subject.
•The processing is necessary for the establishment, exercise or defence of legal claims.
•The processing is specifically authorised or required by law.
•The processing is necessary to protect the vital interests of the data subject or of another natural person where the data subject is physically or legally incapable of giving consent.
•Further conditions, including limitations, based upon national law related to the processing of genetic data, biometric data or data concerning health.
In any situation where special categories of data are to be processed, prior approval must be obtained from the Data Protection Team, and the basis for the processing clearly recorded with the personal data in question. Where special categories of data are being processed, the EIC will adopt additional protection measures.
Children under the age of 14 are unable to consent to the processing of personal data for information society services (any service normally provided for payment, by electronic means and at the individual request of a recipient of services). Consent must be sought from the person who holds parental responsibility over the child. However, it should be noted that where processing is lawful under other grounds, consent need not be obtained from the child or the holder of parental responsibility.
Each EIC service/entity will adopt all necessary measures to ensure that the personal data it collects and processes is complete and accurate in the first instance, and is updated to reflect the current situation of the data subject. The measures adopted by the EIC to ensure data quality include:
•Correcting personal data known to be incorrect, inaccurate, incomplete, ambiguous, misleading or outdated, even if the data subject does not request rectification.
•Keeping personal data only for the period necessary to satisfy the permitted uses or applicable statutory retention period.
•The removal of personal data if in violation of any of the data protection principles or if the personal data is no longer required.
•Restriction, rather than deletion of personal data, insofar as:
a law prohibits erasure.
erasure would impair legitimate interests of the data subject.
the data subject disputes that their personal data is correct and it cannot be clearlyascertained whether their information is correct or incorrect.
3.4.5.Profiling & Automated Decision Making
The EIC will only engage in profiling and automated decision-making where it is necessary to enter into, or to perform, a contract with the data subject or where it is authorised by law. Where an EIC service/entity utilises profiling and automated decision-making, this will be disclosed to the relevant data subjects. In such cases the data subject will be given the opportunity to:
•Express their point of view.
•Obtain an explanation for the automated decision.
•Review the logic used by the automated system.
•Supplement the automated system with additional data.
•Have a human carry out a review of the automated decision.
•Contest the automated decision.
Object to the automated decision-making being carried out. Each EIC service/entity must also ensure that all profiling and automated decision-making relating to a data subject is based on accurate data.
As a general rule the EIC will not send promotional or direct marketing material to an EIC Contact through digital channels such as mobile phones, email and the Internet, without first obtaining their consent. Any EIC service/entity wishing to carry out a digital marketing campaign without obtaining prior Consent from the data subject must first have it approved by the Data Protection Team. Where personal data processing is approved for digital marketing purposes, the data subject must be informed at the point of first contact that they have the right to object, at any stage, to having their data processed for such purposes. If the data subject puts forward an objection, digital marketing related processing of their personal data must cease immediately and their details should be kept on a suppression list with a record of their opt-out decision, rather than being completely deleted. It should be noted that where digital marketing is carried out in a ‘business to business’ context, there is no legal requirement to obtain an indication of Consent to carry out digital marketing to individuals provided that they are given the opportunity to opt-out.
3.5. Data Retention
To ensure fair processing, personal data will not be retained by the EIC for longer than necessary in relation to the purposes for which it was originally collected, or for which it was further processed. The length of time for which EIC services/entities need to retain personal data is set out in the EIC ‘Privacy Notice. This takes into account the legal and contractual requirements, both minimum and maximum, that influence the retention periods set forth in the schedule. All personal data should be deleted or destroyed as soon as possible where it has been confirmed that there is no longer a need to retain it.
3.6. Data Protection
Each EIC service/entity will adopt physical, technical, and organisational measures to ensure the security of personal data. This includes the prevention of loss or damage, unauthorised alteration, access or processing, and other risks to which it may be exposed by virtue of human action or the physical or natural environment. A summary of the personal data related security measures is provided below:
•Prevent unauthorised persons from gaining access to data processing systems in which personal data are processed.
•Prevent persons entitled to use a data processing system from accessing personal data beyond their needs and authorisations.
•Ensure that personal data in the course of electronic transmission during transport cannot be read, copied, modified or removed without authorisation.
•Ensure that access logs are in place to establish whether, and by whom, the personal data was entered into, modified on or removed from a data processing system.
•Ensure that in the case where processing is carried out by a Data Processor, the data can be processed only in accordance with the instructions of the Data Controller.
•Ensure that personal data is protected against undesired destruction or loss.
•Ensure that personal data collected for different purposes can and is processed separately.
•Ensure that personal data is not kept longer than necessary
3.7. Subject Access Requests
The Data Protection Team will establish a system to enable and facilitate the exercise of subject access requests related to:
•Objection to processing.
•Objection to automated decision-making and profiling.
•Restriction of processing.
•Data erasure. If an individual makes a request relating to any of the rights listed above
The EIC will consider each such request in accordance with all applicable data protection laws and regulations. No administration fee will be charged for considering and/or complying with such a request unless the request is deemed to be unnecessary or excessive in nature. Data subjects are entitled to obtain, based upon a request made in writing/email to: email@example.com .
It should be noted that situations may arise where providing the information requested by a data subject would disclose personal data about another individual. In such cases, information must be redacted or withheld as may be necessary or appropriate to protect that person’s rights. Detailed guidance for dealing with requests from data subjects can be found in EIC’s ‘Data Subject Access Rights Policy and Procedure’ document.
3.8. Law Enforcement Requests & Disclosures
In certain circumstances, it may be permitted that personal data should be shared without the knowledge or consent of a data subject. This is the case where the disclosure of the personal data is necessary for any of the following purposes:
•The prevention or detection of crime.
•The apprehension or prosecution of offenders.
•The assessment or collection of a tax or duty.
•By the order of a court or by any rule of law.
If an EIC service/entity processes personal data for one of these purposes, then it may apply an exception to the processing rules outlined in this policy but only to the extent that not doing so would be likely to prejudice the case in question. If any EIC service/entity receives a request from a court or any regulatory or law enforcement authority for information relating to an EIC contact, you must immediately notify the Data Protection Team who will provide guidance and assistance.
3.9. Data Protection Training
All EIC employees that have access to personal data will have their responsibilities under this policy outlined to them as part of their staff induction training. In addition, each EIC service/entity will provide regular Data Protection training and procedural guidance for their staff.
3.10. Data Transfers
EIC services/entities may transfer personal data to internal or third party recipients located in another country where that country is recognised as having an adequate level of legal protection for the rights and freedoms of the relevant data subjects. Where transfers need to be made to countries lacking an adequate level of legal protection (i.e. third countries), they must be made in compliance with an approved transfer mechanism. EIC services/entities may only transfer personal data where one of the transfer scenarios listed below applies:
•The data subject has given Consent to the proposed transfer.
•The transfer is necessary for the performance of a contract with the data subject
•The transfer is necessary for the implementation of pre-contractual measures taken in response to the data subject’s request.
•The transfer is necessary for the conclusion or performance of a contract concluded with a third party in the interest of the data subject.
•The transfer is legally required on important public interest grounds.
•The transfer is necessary for the establishment, exercise or defence of legal claims.
•The transfer is necessary in order to protect the vital interests of the data subject
3.11. Complaints handling
Data subjects with a complaint about the processing of their personal data, should put forward the matter in writing to the EIC (firstname.lastname@example.org). An investigation of the complaint will be carried out to the extent that is appropriate based on the merits of the specific case. The Data Protection Team will inform the data subject of the progress and the outcome of the complaint within a reasonable period. If the issue cannot be resolved through consultation between the data subject and the Data Protection Team, then the data subject may, at their option, seek redress through mediation, binding arbitration, litigation, or via complaint to the Data Protection Authority within the applicable jurisdiction (Information Commissioner's Office – www.ico.org.uk)
3.12. Breach Reporting
Any individual who suspects that a personal data breach has occurred due to the theft or exposure of personal data must immediately notify the Data Protection Team providing a description of what occurred. Notification of the incident can be made via e-mail or by calling .The Data Protection Team will investigate all reported incidents to confirm whether or not a personal data breach has occurred. If a personal data breach is confirmed, the Data Protection Team will follow the relevant authorised procedure based on the criticality and quantity of the personal data involved. For severe personal data breaches, the EIC Executive Board will initiate and chair an emergency response team to coordinate and manage the personal data breach response.
ROLES AND RESPONSIBILITIES
The management team of each EIC service/entity must ensure that all EIC employees responsible for the processing of personal data are aware of and comply with the contents of this policy. In addition, each EIC service/entity will make sure all third parties engaged to process personal data on their behalf (i.e. their data processors) are aware of and comply with the contents of this policy. Assurance of such compliance must be obtained from all third parties, whether companies or individuals, prior to granting them access to personal data controlled by the EIC.
4.2 Support, Advice and Communication
For advice and support in relation to this policy, please contact a member of the Data Protection Team on 0151 348 8042 or email email@example.com.
This policy will be reviewed by the Data Protection Team every two years, unless there are any changes to regulations or legislation that would enable a review earlier.
Staff must maintain all records relevant to administering this policy and procedure in electronic form in a recognised EIC recordkeeping system.
All records relevant to administering this policy and procedure will be maintained for a period of 5 years.
TERMS AND DEFINITIONS
UK General Data Protection Regulation (UK GDPR): the General Data Protection Regulation (GDPR) (Regulation (EU) 2016/679) is a regulation by which the European Parliament, the Council of the European Union and the European Commission intend to strengthen and unify data protection for all individuals within the European Union (EU). It also addresses the export of personal data outside the EU.
This piece of legislation came into force on the 25th May 2018. A version of the EU’s GDPR was incorporated into UK law (with various amendments made by Brexit legislation) following the end of the Brexit implementation period on 31 December 2020 (Retained Regulation (EU) 2016/679, the, UK GDPR)
The UK GDPR regulates the processing of personal data, and protects the rights and privacy of all living individuals (including children), for example by giving all individuals who are the subject of personal data a general right of access to the personal data which relates to them. Individuals can exercise the right to gain access to their information by means of a ‘subject access request’. Personal data is information relating to an individual and may be in hard or soft copy (paper/manual files; electronic records; photographs; CCTV images), and may include facts or opinions about a person.
For more detailed information on these Regulations see the Data Protection Data Sharing Code of Practice (DPCoP) from the Information Commissioner’s Office (ICO). Please follow this link to the ICO’s website (www.ico.gov.uk)
Data Controller: the entity that determines the purposes, conditions and means of the processing of personal data.
Data Processor: the entity that processes data on behalf of the Data Controller.
Data Protection Authority: national authorities tasked with the protection of data and privacy as well as monitoring and enforcement of the data protection regulations within the Union.
Data Protection Officer (DPO): an expert on data privacy who works independently to ensure that an entity is adhering to the policies and procedures set forth in the GDPR.
Data subject: a natural person whose personal data is processed by a controller or processor.
Personal data: any information related to a natural person or ‘data subject’, that can be used to directly or indirectly identify the person.
Privacy Impact Assessment: a tool used to identify and reduce the privacy risks of entities by analysing the personal data that are processed and the policies in place to protect the data.
Processing: any operation performed on personal data, whether or not by automated means, including collection, use, recording, etc.
Profiling: any automated processing of personal data intended to evaluate, analyse, or predict data subject behaviour.
Regulation: a binding legislative act that must be applied in its entirety across the Union.
Subject Access Right: also known as the Right to Access, it entitles the data subject to have access to and information about the personal data that a controller has concerning them.
RELATED LEGISLATION AND DOCUMENTS https://www.legislation.gov.uk/eur/2016/679/contents
FEEDBACK AND SUGGESTIONS
EIC employees may provide feedback and suggestions about this document by emailing firstname.lastname@example.org.