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Data Subject Request Handling Policy

  1. About these procedures

    1. Data subjects have certain rights in respect of their personal data. When we process data subjects' personal data, we shall respect those rights. These procedures provide a framework for responding to requests to exercise those rights. It is our policy to ensure that requests by data subjects covered by these procedures to exercise their rights in respect of their personal data are handled in accordance with applicable law.

    2. Failure to comply with these procedures could lead us to be in breach of applicable law which could expose us to fines and penalties, adverse publicity, difficulties in providing evidence when we need it and in running our business.

    3. For the purposes of these procedures, "personal data" means any information relating to an identified or identifiable data subject. An identifiable data subject is anyone who can be identified, directly or indirectly, by reference to an identifier, such as a name, identification number or online identifier. "Processing" means any operation or set of operations that is performed on personal data, such as collection, use, storage, dissemination and destruction.

    4. These procedures only apply to data subjects whose personal data we process (although if we receive an access request from someone whose personal data we do not process, we should confirm to them that we do not process their personal data; see paragraph 3.1).

  2. General requirements, record keeping and where to get further information and advice

    1. It is important that we keep accurate records of requests that we receive and how we handle them.

    2. Requests can be made to any part of our organisation and in any form, including verbally, via email, social media or other method. It is the responsibility of all of us to recognise requests and to ensure that they are properly handled. However, we have designated a Date Protection Officer (‘DPO’) Dr Zahid Khan, as responsible for handling requests and all employees are responsible for following the guidelines and instructions of the DPO for example, in searching and retrieving information or deleting personal data.   

    3. When determining whether we hold personal data, we should document what searches we have carried out. It may be helpful to refer to the Data Retention Policy.

    4. When responding to requests, we must communicate in a concise, transparent, intelligible and easily accessible form, and use clear and plain language. We should generally communicate in writing (which can include email) but we can reply verbally if specifically requested by the data subject. In any case, we must be satisfied with the identity of the data subject.

    5. Any questions about data subject rights or these procedures relevant to your function should be raised with your line manager.

  3. Responding to requests to access personal data

    1. Data subjects have the right to request access to their personal data processed by us. These requests are called subject access requests (SARs). When a data subject makes a SAR, we shall take the following steps:

      1. log the date on which the request was received (to ensure that the relevant timeframe of one month for responding to the request is met);

      2. confirm the identity of the data subject who is the subject of the personal data. For example, we may request additional information from the data subject to confirm their identity;

      3. search databases, systems, applications and other places where the personal data which is the subject of the request may be held; and

      4. confirm to the data subject whether or not personal data of the data subject making the SAR is being processed.

    2. If personal data of the data subject is being processed, we shall provide the data subject with the following information:

      1. the purposes of the processing;

      2. the categories of personal data concerned (for example, contact details, bank account information and details of sales activity);

      3. the recipients or categories of recipient to whom the personal data has been or will be disclosed, particularly recipients overseas;

      4. where possible, the envisaged period for which the personal data will be stored, or, if not possible, the criteria used to determine that period;

      5. the existence of the right to request rectification or erasure of personal data or restriction of processing of personal data or to object to that processing;

      6. the right to lodge a complaint with the Information Commissioner's Office (ICO);

      7. where the personal data is not collected from the data subject, any available information as to its source;

      8. the existence of automated decision-making and meaningful information about the logic involved, as well as the significance and the envisaged consequences of that processing for the data subject; and

      9. where personal data is transferred outside the UK, details of the appropriate safeguards to protect the personal data.

    3. We shall also, unless there is an exemption (see paragraph 10), provide the data subject with a copy of the personal data processed by us in a commonly used electronic form (unless the data subject either did not make the request by electronic means or has specifically requested not to be provided with the copy in electronic form) within one month of receipt of the request. If the request is complex, or there are several requests, we may extend the period for responding by a further two months. If we extend the period for responding, we shall inform the data subject within one month of receipt of the request and explain the reason(s) for the delay.

    4. Before providing the personal data to the data subject making the SAR, we shall review the personal data requested to see if it contains the personal data of other data subjects. If it does, we may redact the personal data of those other data subjects before providing the data subject with their personal data, unless those other data subjects have consented to the disclosure of their personal data or it is reasonable to disclose without their consent (taking into account, for example, the type of data and whether the other person has expressly refused consent).

    5. If the SAR is manifestly unfounded or excessive, for example, because of its repetitive character, we may charge a reasonable fee, taking into account the administrative costs of providing the personal data, or refuse to act on the request.

    6. If we are not going to respond to the SAR we shall inform the data subject of the reason(s) for not taking action and of the possibility of lodging a complaint with the ICO.

  4. Responding to requests to rectify personal data

    1. Data subjects have the right to have their inaccurate personal data rectified. Rectification can include having incomplete personal data completed, for example, by a data subject providing a supplementary statement regarding the data. Where such a request is made, we shall, unless there is an exemption (see paragraph 10), rectify the personal data without undue delay. 

    2. We shall also communicate the rectification of the personal data to each recipient to whom the personal data have been disclosed (for example, our third-party service providers who process the data on our behalf), unless this is impossible or involves disproportionate effort. We shall also inform the data subject about those recipients if the data subject requests it.

  5. Responding to requests for the erasure of personal data

    1. Data subjects have the right, in certain circumstances, to request that we erase their personal data. Where such a request is made, we shall, unless there is an exemption (see paragraph 10), erase the personal data without undue delay if:

      1. the personal data is no longer necessary in relation to the purposes for which it was collected or otherwise processed;

      2. the data subject withdraws their consent to the processing of their personal data and consent was the basis on which the personal data was processed and there is no other legal basis for the processing;

      3. the data subject objects to the processing of their personal data on the basis of our performance of a task carried out in the public interest or in the exercise of official authority vested in us, or on the basis of our legitimate interests which override the data subject's interests or fundamental rights and freedoms, unless we either can show compelling legitimate grounds for the processing which override those interests, rights and freedoms, or we are processing the data for the establishment, exercise or defence of legal claims;

      4. the data subject objects to the processing of their personal data for direct marketing purposes;

      5. the personal data has been unlawfully processed;

      6. the personal data has to be erased for compliance with a legal obligation to which we are subject; or

      7. the personal data has been collected in relation to the offer of e-commerce or other online services.

    2. When a data subject makes a request for erasure in the circumstances set out above, we shall, unless there is an exemption (see paragraph 5.5 and paragraph 10), take the following steps:

      1. log the date on which the request was received (to ensure that the relevant timeframe of one month for responding to the request is met);

      2. confirm the identity of the data subject who is the subject of the personal data. We may request additional information from the data subject to do this;

      3. search databases, systems, applications and other places where the personal data which is the subject of the request may be held and erase that data within one month of receipt of the request. If the request is complex, or there are several requests, we may extend the period for responding by a further two months. If we extend the period for responding we shall inform the data subject within one month of receipt of the request and explain the reason(s) for the delay;

      4. where we have made the personal data public, we must, taking reasonable steps, including technical measures, inform those who are processing the personal data that the data subject has requested the erasure by them of any links to, or copies or replications of, that personal data; and

      5. communicate the erasure of the personal data to each recipient to whom the personal data has been disclosed unless this is impossible or involves disproportionate effort. We shall also inform the data subject about those recipients if the data subject requests it.

    3. If the request is manifestly unfounded or excessive, for example, because of its repetitive character, we may charge a reasonable fee, taking into account the administrative costs of erasure, or refuse to act on the request.

    4. If we are not going to respond to the request, we shall inform the data subject of the reasons for not taking action and of the possibility of lodging a complaint with the ICO.

    5. In addition to the exemptions in paragraph 10, we can also refuse to erase the personal data to the extent processing is necessary:

      1. for exercising the right of freedom of expression and information;

      2. for compliance with a legal obligation which requires processing by law and to which we are subject or for the performance of a task carried out in the public interest or in the exercise of official authority vested in us;

      3. for reasons of public interest in the area of public health;

      4. for archiving purposes in the public interest, scientific or historical research purposes, or statistical purposes insofar as the right to erasure is likely to render impossible or seriously impair the achievement of the objectives of that processing; or

      5. for the establishment, exercise or defence of legal claims.

  6. Responding to requests to restrict the processing of personal data

    1. Data subjects have the right, unless there is an exemption (see paragraph 10), to restrict the processing of their personal data if:

      1. the data subject contests the accuracy of the personal data, for a period to allow us to verify the accuracy of the personal data;

      2. the processing is unlawful, and the data subject opposes the erasure of the personal data and requests the restriction of its use instead;

      3. we no longer need the personal data for the purposes we collected it, but it is required by the data subject for the establishment, exercise or defence of legal claims; and

      4. the data subject has objected to the processing, pending verification of whether we have legitimate grounds to override the data subject's objection.

    2. Where processing has been restricted, we shall only process the personal data (excluding storing it):

      1. with the data subject's consent;

      2. for the establishment, exercise or defence of legal claims;

      3. for the protection of the rights of another person; or

      4. for reasons of important public interest.

    3. Before lifting the restriction, we shall inform the data subject of the lifting of the restriction.

    4. We shall communicate the restriction of processing of the personal data to each recipient to whom the personal data has been disclosed, unless this is impossible or involves disproportionate effort. We shall also inform the data subject about those recipients if the data subject requests it.

  7. Responding to requests for the portability of personal data

    1. Data subjects have the right, in certain circumstances, to receive their personal data that they have provided to us in a structured, commonly used and machine-readable format that they can then transmit to another company. Where such a request is made, we shall, unless there is an exemption (see paragraph 10), provide the personal data without undue delay if:

      1. the legal basis for the processing of the personal data is consent or pursuant to a contract; and

      2. our processing of that data is automated.

    2. When a data subject makes a request for portability in the circumstances set out above, we shall take the following steps:

      1. log the date on which the request was received (to ensure that the relevant timeframe of one month for responding to the request is met);

      2. confirm the identity of the data subject who is the subject of the personal data. We may request additional information from the data subject to confirm their identity; and

      3. search databases, systems, applications and other places where the personal data which is the subject of the request may be held and provide the data subject with that data (or, at the data subject's request, transmit the personal data directly to another company, where technically feasible) within one month of receipt of the request. If the request is complex, or there are several requests, we may extend the period for responding by a further two months. If we extend the period for responding, we shall inform the data subject within one month of receipt of the request and explain the reason(s) for the delay.

    3. If the request is manifestly unfounded or excessive, for example, because of its repetitive character, we may charge a reasonable fee, taking into account the administrative costs of providing or transmitting the personal data, or refuse to act on the request.

    4. If we are not going to respond to the request, we shall inform the data subject of the reasons for not taking action and of the possibility of lodging a complaint with the ICO.

  8. Responding to objections to the processing of personal data

    1. Data subjects have the right to object to the processing of their personal data where that processing is on the basis of our performance of a task carried out in the public interest or in the exercise of official authority vested in us, or on the basis of our legitimate interests which override the data subject's interests or fundamental rights and freedoms, unless we either:

      1. can show compelling legitimate grounds for the processing which override those interests, rights and freedoms; or

      2. are processing the personal data for the establishment, exercise or defence of legal claims.

    2. Data subjects also have the right to object to the processing of their personal data for scientific or historical research purposes, or statistical purposes, unless the processing is necessary for the performance of a task carried out for reasons of public interest.

    3. Where such an objection is made, we shall, unless there is an exemption (see paragraph 10), no longer process a data subject's personal data.

    4. Where personal data is processed for direct marketing purposes, data subjects have the right to object at any time to the processing of their personal data for that marketing. If a data subject makes such a request, we shall stop processing the personal data for those purposes.

  9. Responding to requests not to be subject to automated decision-making

    1. Data subjects have the right, in certain circumstances, not to be subject to a decision based solely on the automated processing of their personal data, if that decision produces legal effects concerning them or similarly significantly affects them. Where such a request is made, we shall, unless there is an exemption (see paragraph 10), no longer make such a decision unless it:

      1. is necessary for entering into, or the performance of, a contract between us and the data subject;

      2. is authorised by applicable law which lays down suitable measures to safeguard the data subject's rights, freedoms and legitimate interests; or

      3. is based on the data subject's explicit consent.

    2. If the decision falls within paragraph 9.1(a) or paragraph 9.1(c), we shall implement suitable measures to safeguard the data subject's rights, freedoms and legitimate interests, including the right to obtain human intervention, to express their point of view and to contest the decision.

  10. Exemptions

    1. Before responding to any request, we shall check whether there are any exemptions that apply to the personal data that is the subject of the request. Exemptions may apply where it is necessary and proportionate not to comply with the requests described above in relation to matters such as national security and other important objectives of general national public interest.

    2. In the UK, there are exemptions which may apply in relation to:

      1. processing for the prevention or detection of crime or the apprehension or prosecution of offenders, or in relation to assessment or collection of tax;

      2. immigration control;

      3. disclosures required by law or made in connection with legal proceedings;

      4. certain regulatory or public interest functions, parliamentary privilege, judicial matters and other similar activities;

      5. protection of the rights of others;

      6. legal professional privilege;

      7. corporate finance, management forecasting and planning;

      8. negotiations with the data subject and confidential references;

      9. exam scripts and marks;

      10. research, statistics and archiving;

      11. health, education, social work and child abuse data; and

      12. disclosure prohibited by law.

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