Supreme Court Rules on the Legality of Sharing Personal Data with the United States

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Could a recent Supreme Court decision on information sharing lead to “terrorists” escaping justice?  Part 3 of the Data Protection Act 2018 (DPA) regulates the processing of personal data for law enforcement purposes by Competent Authorities which includes, amongst others,  government departments and the police.

The case of Elgizouli (Appellant) v Secretary of State for the Home Department (Respondent) [2020] UKSC 10 is interesting because it examines the application of GDPR’s less well-known cousin to a complex situation involving the possible extradition of alleged terrorists to the United States. The Supreme Court ruled that the UK acted unlawfully by personal data with the US that could lead to the execution of two British citizens accused of being part of an Islamic State murder squad known as “The Beatles”. Seven justices concluded that the decision in 2018 by the Home Secretary breached Part 3 of the DPA.

Background 

Shafee Elsheikh and Alexander Kotey are currently in US custody in Iraq having been linked to 27 murders in Syria carried out by “The Beatles”. In June 2015, the US made a mutual legal assistance (MLA) request to the UK in relation to an investigation into the activities of that group. The then Home Secretary, Sajid Javid, requested an assurance that any information the UK supplied would not be used by the US, directly or indirectly, in a prosecution that could lead to the imposition of the death penalty on the two men. The US refused to provide this assurance and, in June 2018, Mr Javid agreed to provide the information anyway.

Elsheikh’s mother, Maha Elgizouli, challenged (by way of judicial review) the Home Secretary’s decision to share that information with the US, not to prevent him from being prosecuted and jailed but, to protect him from the death penalty. Her claim was dismissed by the High Court, which certified two legal questions of public importance for the Supreme Court to answer:

  1. Whether it is unlawful for the Secretary of State to exercise his power to provide an MLA so as to supply evidence to a foreign state that will facilitate the imposition of the death penalty in that state on the individual in respect of whom the evidence is sought.
  2. Whether (and if so in what circumstances) it is lawful under Part 3 of the DPA, as interpreted in the light of relevant principles of EU data protection law, for law enforcement authorities in the UK to transfer personal data to law enforcement authorities abroad for use in capital criminal proceedings.

The Judgement

The Supreme Court allowed the appeal. Most of the Justices dismissed the challenge brought under the common law (question 1 above) to the Home Secretary’s decision but they unanimously held that the decision failed to comply with part 3 of the DPA (question 2). Data Protection professionals, especially those in law enforcement agencies, will be particularly interested in the court’s analysis of the rules relating to international transfers, as set out in Chapter 5 of the DPA

Section 73 of the DPA, like Article 49 of the GDPR, prohibits transfers of personal data to a third country unless a number of conditions are met. Condition two is that the transfer :

“(a) is based on an adequacy decision (see section 74),

(b) if not based on an adequacy decision, is based on there being appropriate safeguards (see section 75), or

(c) if not based on an adequacy decision or on there being appropriate safeguards, is based on special circumstances (see section 76)”

The court noted that the transfer in question was not based on an adequacy decision; nor was it based on appropriate safeguards which are set out in Section 75(1):

“A transfer of personal data to a third country or an international organisation is based on there being appropriate safeguards where—

(a) a legal instrument containing appropriate safeguards for the protection of personal data binds the intended recipient of the data, or

(b) the controller, having assessed all the circumstances surrounding transfers of that type of personal data to the third country or international organisation, concludes that appropriate safeguards exist to protect the data.”

The lawfulness of the transfer therefore stands or falls on the “special circumstances” condition in section 73.  This will only apply, according to section 76, if the transfer is necessary for any of the following five purposes:

“(a) to protect the vital interests of the data subject or another person,

(b) to safeguard the legitimate interests of the data subject,

(c) for the prevention of an immediate and serious threat to the public security of a member State or a third country,

(d) in individual cases for any of the law enforcement purposes, or

(e) in individual cases for a legal purpose.”

The court ruled that a transfer on the basis of special circumstances can only occur following an assessment of what is strictly necessary. Such an assessment was not made by the Home Secretary before sharing the information with the US. Hence the transfer was unlawful. Lord Carnwath said:

“The decision was based on political expediency, rather than consideration of strict necessity under the statutory criteria.”

Furthermore, in relation to the special circumstances gateway, section 76(2) states:

“Subsection (1)(d) and (e) do not apply if the controller determines that fundamental rights and freedoms of the data subject override the public interest in the transfer”.

Lady Hale found that these “fundamental rights and freedoms” include the rights protected by the European Convention on Human Rights, the most fundamental of which is the right to life. This points towards an interpretation of section 76(2) which, even if an assessment had been made, would not allow the transfer of personal data to facilitate a prosecution which could result in the death penalty for UK citizens.

So there you have it; a very careful analysis by the Supreme Court of the international transfer provisions under Part 3 of the DPA. There must now be a further court decision over what the UK must do to comply with the law, including potentially asking the US to return the shared information. This could lead to the two individuals in question avoiding extradition to the US where they would, if convicted, face the death penalty. Of course, the UK government can still bring them back to the UK to face justice.

This and other developments will be discussed in our forthcoming information law webinars. We have created a policy pack containing essential document templates to help you meet the requirements of Part 3 of the DPA 2018.

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A Matter of Priorities: FOI and DP Deadlines in a Pandemic

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Photo by Oladimeji Ajegbile on Pexels.com

Responding to the Covid-19 pandemic is stretching our public services. Most obviously the NHS is diverting all the resources it can to meeting critical health needs. But local authorities are also struggling to maintain vital services in the face of unprecedented demands and staff who, if not already ill and self-isolating, are obliged to comply with social distancing measures. Other public authorities are facing logistical challenges in maintaining services and some are even having to put some staff on HMRC-funded furlough.

In such challenging circumstances, where does dealing with information requests under Freedom of Information and DataProtection laws sit in the scheme of priorities? Many authorities who are fortunate enough to have staff dedicated to handling FOI requests or data subject access requests will have re-tasked them to undertake more business-critical roles. Where staff have information request handling as only part of their role, other more pressing duties are likely to trump FOI and DP timescales. And where staff are working from home and access to premises either discouraged or forbidden, manual records may remain inaccessible for weeks or months to come.  Where requests are made by post, they may be delivered to offices which will not be staffed for some time.

The response of the Scottish Government has been robust. On 1 April 2020, the Scottish Parliament passed the Coronavirus (Scotland) Bill which, while retaining the statutory requirement to “respond promptly”, extends the timescale for responding to requests under the Freedom of Information (Scotland) Act 2002 from twenty to sixty working days. Moreover, Part 2 of Schedule 6 provides a mechanism for the Scottish Ministers to allow Scottish public authorities to extend the timescale, subject to providing written notice to the applicant, by a further forty working days, where the authority “determines that it is not reasonably practicable to respond to the request within the relevant period because of…  (a) the volume and complexity of the information requested, or (b) the overall number of requests being dealt with by the authority at the time that the request is made.”

The emergency legislation also allows the Scottish Information Commissioner to find that a public authority has not failed in their duties under FOISA if he is satisfied that the failure to respond within timescales was due to the impact of coronavirus and reasonable in the circumstances. The Scottish Information Commissioner for his part is keen to remind public authorities that their duty to respond promptly remains, that the measures are temporary, and that they do not extend to the Environmental Information (Scotland) Regulations 2004 (EISR).

Of course, the Scottish Parliament cannot legislate with regard to data protection (where EU and UK legislation applies) nor can it amend the timescales for requests under the EISR as they implement the obligations of the Aarhus Convention. But as far as they can do so, the Scottish Government and Parliament have sought to relax the demands of information requests in the face of the pandemic.

For data subject access requests under GDPR (or s 45 of the Data Protection Act 2018 where they relate to law enforcement processing) and requests under the Freedom of Information Act 2000, there is no relaxation of the law. This was despite the call to do so from some quarters, including the Local Government Association who called on Parliament to include measures “temporarily relaxing the requirements on councils in regard to GDPR and FOI”. We rely instead on flexibility from the Information Commissioner as regulator.

While the UK Government did not take the opportunity of the Coronavirus Act to take extend time limits(and would be unable to do so in any case with regard to GDPR as we are still in the transition period), the ICO has made clear they will not penalise organisations who have made understandable decisions to prioritise other tasks. As they state on their website, “We are a reasonable and pragmatic regulator, one that does not operate in isolation from matters of serious public concern. Regarding compliance with information rights work when assessing a complaint brought to us during this period, we will take into account the compelling public interest in the current health emergency.”

Organisations should therefore be reassured that they are unlikely to face official censure or significant public criticism if they make reasonable decisions to prioritise other tasks to protect and serve the public ahead of normal levels of service for FOI requests and subject access requests. If your organisation, almost inevitably, is finding it difficult to meet the timescales at this difficult time, we would suggest you take a common-sense and measured approach:

  • Make a record of your decisions to re-allocate resources from handling information rights requests to other service-delivery priorities;
  • Document the practical challenges (such as inaccessibility of manual records or post, and unavailability of key colleagues) which mean that it is “reasonable in all the circumstances” that the organisation is not able to meet normal levels of performance;
  • Manage the expectations of applicants through your website and in your acknowledgements of requests and your automated email responses, and continue to communicate with applicants as far as you are able to do so;
  • At the point at which your organisation, and the rest of humanity, is beginning to recover from the Covid-19 emergency, develop and document an action plan for addressing any backlog of requests which has built up.

At Act Now, we are passionate about the importance of information rights: They are at the heart of our democracy and our human rights. But the right to life must take priority over others, and we would be the first to recognise that organisations and individuals must make decisions which put people first, particularly at a time of global emergency.

Be kind and stay safe.

More on this and other developments in our FREE GDPR update webinar. Looking for a GDPR qualification from the comfort of your home office? Our GDPR Practitioner Certificate is now available as an online option.

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Subject Access Requests for Paper Records

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The old Data Protection Act 1998 not only gave Data Subjects a right to see their personal data held on computer but also that which was held on paper records which were held in a “relevant filing system”. A recent case, albeit under the DPA 1998,  has an impact on the way Data Controllers deal with subject access requests under the GDPR.

The question of what constitutes a “relevant filing system” under the DPA 1998 has always been a vexed one, particularly since the 2003 Court of Appeal ruling in Durant v Financial Services Authority [2003].  The Court of Appeal’s interpretation of this term has been criticised in various quarters for being too restrictive and particularly for focussing on the burdens and costs imposed on Data Controllers rather than the rights of the data subjects.  Therefore the recent decision by the High Court in in Dawson-Damer v Taylor Wessing LLP [2019]. May be welcomed by those who believe a more ‘rights- based’ approach is appropriate.

The case involved subject access requests made by Mrs Dawson-Damer and her two children to Taylor Wessing LLP (an English law firm). In short, the firm did not act for the Data Subjects, but it did hold personal data about them in a series of trust files in which they were potential beneficiaries. Taylor Wessing refused to provide their personal data, and this resulted in protracted litigation. One of the key questions that the High Court had to address was whether the Trust files constituted a “relevant filing system” for the purposes of the DPA 1998.  The Court also considered whether the law firm could rely on S. 8 of the DPA 1998 which removes the obligation on a  Data Controller to provide a copy of the personal data where it would involve disproportionate effort.

For further details of the Dawson-Damer request and the litigation that followed see our more detailed case note.

 The definition of relevant filing system under DPA 1998

Readers familiar with the DPA 1998 will recall that it defined:

  • Data as data processed or intended to be processed by equipment operating automatically and ‘manual’ data recorded as part of a ‘relevant filing system.
  • Personal as ‘data’ which relate to a living individual who can be identified from those data, or from that data and other information, which is in the possession of, or is likely to come into the possession of, the Data Controller.

In Durant, the Court of Appeal interpreted the concept of a ‘relevant filing system’ as a system of files in which the files forming part of it are:

  • Structured or referenced in such a way as clearly to indicate at the outset of a search whether the personal information of a person requesting the information is held within the system, and if so in which file or files it is held.
  • The structuring or referencing mechanism of the filing system had to be sufficiently sophisticated and detailed to indicate whether and where the requestors information could be located.

The key feature of this interpretation is the focus on the way in which the system is structured by reference to individuals and the ease with which specific information could be accessed. Personal data held in an unstructured manual filing system did not fall within the scope of the DPA 2018 (although there was an amendment for such data held by public authorities subject to FOI).

The Trust Files: Do they form part of a relevant filing system?

The case concerned a series of paper files that were held by Taylor Wessing prior to 2005, when it moved over to an electronic filing system. The manual files  were labelled by reference to the law firm’s clients or the respective Trusts and they contained correspondence and advice that was arranged chronologically. Taylor Wessing argued that the only way it could determine if the files contained the personal data of the requestors was to go through each file page by page and therefore the any personal data was not easily accessible. On this basis the law firm argued that the files did not form part of a “relevant filing system” as interpreted by the Court of Appeal in Durant.  The requestors argued that the files did form part of  relevant filing system and that the law firm had failed to carry out a reasonable and proportionate search of them.

The 2019 High Court decision

The High Court decided that in the light of recent domestic and European case law the decision in Durant was too restrictive and the requirements of a relevant filing system are that:

  1. The data must be structured by reference to specific criteria; and
  2. The criteria must be “related to individuals”; and
  3. The specific criteria must enable the data to be easily retrieved.

The Court decided that some 35 Trust files formed part of a relevant filing system.
They were filed under the description of the relevant Trust and the client is recorded as the Trustee. The files clearly related to Trusts in which the requestors were potential beneficiaries.  On this basis the  High Court was satisfied that this was sufficient to satisfy (a) and (b). Turning to point (c) the Court said that since the files were arranged chronologically this would of course require someone to ‘turn the pages’ of the files to locate the personal information. However, the Court did not think that this would be an onerous task and the search would enable the personal data of the requestors to be easily retrieved. In any event the Court acknowledged that the law firm must have done this exercise in order to reach its conclusion that the majority of the personal data it held was subject to legal professional privilege.

 For details about the Court’s reasoning see our more detailed case note.

The disproportionate effort issue

The High Court rejected the law firm’s arguments that a search through the files would involve a disproportionate effort. The decision makes it very clear that the onus is on the Data Controller to provide evidence about the time and cost involved in conducting searches. Taylor Wessing had failed to do this.

Implications of the decision

The case was considered under the DPA 1998. The GDPR and DPA 2018 now provide a subtly different definition of a filing system. However, the case shows that the approach of the Courts to the interpretation of data protection laws is more focussed on the rights of data subjects rather than the burdens faced by Data Controllers. It is also clear that Data Controllers need to produce clear evidence in terms of time and costs if they wish to argue it would involve disproportionate effort to supply personal data. This will impact on the way subject access requests (and other rights) are dealt with under GDPR. Article 12(5) allows Data Controllers to refuse requests where they are “manifestly unfounded or excessive.” The burden of demonstrating this is on the Data Controller.

 

Susan Wolf is a trainer with Act Now. More on these and other developments in our GDPR Update workshop. Looking for a GDPR qualification, our practitioner certificate is the best option.

Act Now launches Law Enforcement Data Processing Policy Pack (Part 3 DPA 2018)

LED Policy PackOrganisations with a role in preventing and detecting crime (e.g. councils, police, regulatory bodies etc.) not only have to comply with GDPR but also Part 3 of the Data Protection Act 2018 (DPA 2018) which applies to the processing of personal data for law enforcement purposes. This is a complex task requiring, amongst other things, a set of policies, procedures and notices; a daunting task especially for organisations “starting from scratch”.

Act Now has applied its 16 years of information governance experience to create a policy pack containing essential document templates to help you meet the requirements of the DPA 2018. It will save you hours of drafting and research time. The pack includes, amongst other things, template privacy notices as well as procedures for data security and data breach reporting. Security is a very hot topic after the recent ICO fine notices issued against British Airways and Marriott International.

We have also included template letters to deal with Data Subjects’ rights requests, including subject access. This is another hot topic. On 25thJune 2019, Enforcement Notices (under Part 3 of the DPA) were served by the ICO on the Metropolitan Police, for sustained failures to comply with individuals’ rights in respect of subject access requests.

Contents

Template policies

  • Data Protection Policy – providing an overarching framework for compliant processing of personal data for law enforcement purposes as required under s56 DPA 2018
  • Sensitive Data Processing Policy – as required under s42 of DPA 2018

Procedures

  • Data breach reporting
  • Data Protection Impact Assessment template
  • Data Subject rights request response templates
  • System requirements specification – Summary of requirements to meet the audit and record keeping requirements of Part 3 of DPA 2018
  • International transfers

Privacy Notice templates

  • General (for publication)
  • Specific (for tailoring privacy information to particular individuals as required by s 44(2) of DPA 2018)

Records and Tracking logs

  • Information Asset Register
  • Record of Processing Activity (s 61)
  • Record of Sensitive Data processing
  • Data Subject Rights request tracker
  • Information security incident log
  • Personal data breach log
  • Third country transfer logs
  • Data protection advice log

The above documents are inter-related and contain cross references, particularly across the various tracker logs.

The documents are designed to be as simple as possible while meeting the statutory requirements placed on Data Controllers. They are available as an instant download (in Word Format) following payment. Sequential files and names make locating each document very easy.

Click here to read sample documents.

For only £249 plus VAT (Special Introductory Price), the policy pack gives a useful starting point for organisations of all sizes who have a law enforcement function and will save hours of drafting time and research time.

This LED processing policy pack complements the Act Now GDPR Policy Pack which covers the general processing of personal data. The GDPR policy pack has been bought by public and private organisations including local authorities, utility companies, universities and charities

To learn more about Part 3 of the DPA 2018, see our full day workshop and webinar on this topic. For a full GDPR update please see our new advanced workshop.

The BA and Marriot Data Breaches: The ICO takes its gloves off!

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This week we saw the Information Commissioner’s Office (ICO) finally signal its intention to use its powers to issue to issue Monetary Penalty Notices (fines) under the General Data Protection Regulation (GDPR).  Two Notices of Intent have been issued.  Both relate to cyber security incidents but are for different reasons and amounts.

Under the GDPR, supplemented by the Data Protection Act 2018 (DPA18), the ICO has a number of statutory duties and powers with regards to regulating Controllers’ and Processors’ obligations. Article 58 gives the ICO its powers. Article 83(2) sets out the criteria that have to be taken into account by the ICO when issuing fines. These include the nature, gravity and duration of the breach, the number of data subjects affected, level of damage and action taken to mitigate the damage. All this is outlined in the ICO’s Enforcement Policy.

British Airways Notice of Intent – £183 Million

According to the statement from the ICO:

“The proposed fine relates to a cyber incident notified to the ICO by British Airways in September 2018. This incident in part involved user traffic to the British Airways website being diverted to a fraudulent site. Through this false site, customer details were harvested by the attackers. Personal data of approximately 500,000 customers were compromised in this incident, which is believed to have begun in June 2018.

The ICO’s investigation has found that a variety of information was compromised by poor security arrangements at the company, including log in, payment card, and travel booking details as well name and address information.”

According to various sources at the time, for a period of two weeks BA’s systems were compromised. Hackers took the personal and financial details of customers who made, or changed, flight bookings on www.BA.com or its app during that time. Names, email addresses and credit card information were stolen – including card numbers, expiration dates and the three-digit CVC code required to authorise payments.

According to an article from wired.co.uk, the BA vulnerability was a well-known one and could have been prevented with a simple fix. While we don’t know the exact details yet, perhaps that is why the ICO wants to fine BA a whopping £183 Million!

What this also appears to show is that because the BA breach resulted in customers of BA being stuck in various holiday locations unable to get home the effect on “the rights and freedoms of individuals” was certainly far more concrete (and some could say worse) than what we currently know about the Marriott data breach (see below). Perhaps this is why the fine amount is so high.

As soon as the notice of intent was filed BA announced they were going to appeal, either because they see themselves as the victim here (as stated in various press statements about the incident) or they believe that the ICO has acted disproportionately. We shall see…

Marriott Hotels Notice of Intent – £99 Million

According to the statement from the ICO:

“The proposed fine relates to a cyber incident which was notified to the ICO by Marriott in November 2018. A variety of personal data contained in approximately 339 million guest records globally were exposed by the incident, of which around 30 million related to residents of 31 countries in the European Economic Area (EEA). Seven million related to UK residents.

It is believed the vulnerability began when the systems of the Starwood hotels group were compromised in 2014. Marriott subsequently acquired Starwood in 2016, but the exposure of customer information was not discovered until 2018. The ICO’s investigation found that Marriott failed to undertake sufficient due diligence when it bought Starwood and should also have done more to secure its systems.”

According to various sources (see the BBC article at the time) this specific cyber security breach related to one of the booking databases belonging to Starwood hotels. A vulnerability in the database was exploited in 2014 and has been exploited ever since then until an internal security tool detected suspicious activity in 2018. The database in question contained records of up to 500 million customers of which 339 million were compromised including names, addresses and encrypted payment card information.

In  2016 Starwood (and all its assets and liabilities) were bought by Marriott. Part of the ICO statement accuses Marriott of not completing effective due diligence on Starwood and that appears to be the main reason for the intention to fine. One would conclude therefore that when purchasing a company a full security assessment and penetration test on the IT network and systems should be completed.  Marriott have also announced their intention to appeal the notice of intent. Not surprising when it is £99 Million!

What does this mean?

As with the Metropolitan Police announcement a few weeks ago, I’m sure these announcements will go down in Data Protection history but until the action is confirmed and the money exchanges accounts, what it exactly means for the regulatory landscape is yet to be seen. These are just intentions to fine, not the actual fine itself. The press (and some people that still don’t understand Data Protection when they claim to) got all excited about it at the time (and were corrected by many on social media). I think someone used the phrase (which I now cannot find so I can’t credit you – sorry!) “it’s basically like me saying I have an intention to buy my lunch”. But your lunch currently isn’t bought, and you are, indeed, still hungry!

What it means in terms of what you can practically do in your day jobs however is quite clear. GDPR emphasises the need to have ‘effective organisational and technical measures’. So, if you are going to buy a business (or just build a new system) ensure you have done your due diligence and testing on it to help mitigate any potential risks. You can’t catch everything (especially in a cyber security context) but at the very least you must be seen to be trying. Doing nothing, or ‘ignorance is bliss’, will ultimately land you in trouble.

Secure systems, privacy by design, effective cyber security and a half decent data culture will help you on your path and is a fair size more beneficial than the world of ignorance.

Scott Sammons is a trainer with Act Now. More on these and other developments will be in our GDPR Update webinar and full day workshop presented by Ibrahim Hasan. Looking for a GDPR qualification, our practitioner certificate is the best option.

Photo: Thanks to Sam Truong Dan for making this photo available freely on @unsplash 🎁 https://unsplash.com/photos/-rF4kuvgHhU 

The Data Protection Act 2018 – Pre and Post Brexit

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The Data Protection Act 2018 (DPA 2018) came into force on 25th May 2018, alongside the General Data Protection Regulation (GDPR). Much has been written about it, both right and wrong.

The purpose of the DPA 2018 is nicely summarised by the Information Commissioner in her blog:

“The new Act updates data protection laws in the UK, and sits alongside the General Data Protection Regulation (GDPR) … The Act implements the EU Law Enforcement Directive, as well as extending domestic data protection laws to areas which are not covered by the GDPR.”

Part 2 of the Act supplements the GDPR i.e. it fills in some of the gaps by enacting “derogations”; where Members states are allowed to make their own rules e.g. about exemptions. This part has to be read alongside the GDPR.

Chapter 3 of Part 2 applies a broadly equivalent regime to certain types of processing to which the GDPR does not apply. For example, where personal data processing is related to immigration and to manual unstructured data (held by a public authority covered by FOI). The Act applies GDPR standards to such data whilst adjusting those that would not work in the national context.

Part 3 of the Act regulates the processing of personal data for law enforcement purposes implementing the Law Enforcement Directive (EU) 2016/680. The provisions here are a cut down version of GDPR. This part will only apply to competent authorities i.e. those that process personal data for the purposes of criminal offences or threats to public security e.g. the police, trading standards departments etc.

Read a full summary of the Act here.

What will happen to the Act and indeed GDPR post Brexit? Well this depends on whether we have a deal or no deal! More on our blog post here.

Act Now’s series of workshops on the DPA 2018 are proving very popular amongst GDPR practitioners. The next course in Belfast is fully booked. Forthcoming venues include London, Edinburgh, Leeds and Manchester. Our experts will explain the Act in detail in plain English busting some myths on the way and discussing what lies ahead in the post Brexit situation.

Book early to avoid disappointment. Click on the flyer below to see what we cover on the course.

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Ibrahim Hasan is a solicitor and director of Act Now Training (www.actnow.org.uk)

Making GDPR British: New Regulations set out the UK’s post Brexit DP landscape

On 19thDecember 2018, just when you thought that you have finally made sense of the UK’s data protection regime, the government published new regulations with the catchy title, “The Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2019.” There are sixty one pages of regulations to navigate, before 29thMarch 2019, with only one page of explanatory notes. And you though Theresa May had problems!

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On 19th December 2018, just when you thought that you have finally made sense of the UK’s data protection regime, the government published new regulations with the catchy title, “The Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2019.” There are sixty one pages of regulations to navigate, before 29th March 2019, with only one page of explanatory notes. And you thought Theresa May had problems!

Before you start reaching for the highlighters, marker pens and sticky notes (and maybe even smelling salts) it is important to bear in mind that the primary aim of the new regulations is “to make GDPR British” (my phrase). Yes dear readers, we will soon have our own (red, white and blue) version of GDPR. All the pain and cost of Brexit will have been worth it!

To understand the new regulations, we have to go “back to basics” (not my phrase). The General Data Protection Regulation (GDPR) came into force on 25th May 2018. Despite the UK leaving the EU on 29th March (or later – you never know! – or never, in which case ignore everything and wait for more blog posts!!!!), all EU laws, including GDPR, will automatically become part of UK domestic law due to the provisions of the European Union (Withdrawal) Act 2018.

The EU version of GDPR, which the UK is bound by until exit day, contains many references to EU laws, institutions, currency and powers, amongst other things, which will cease to be relevant in the UK after Brexit. The Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2019 amend GDPR to remove these references and replace them with British equivalents where applicable. From exit day this new amended version of GDPR will be imaginatively titled, the “UK GDPR”.

The new regulations also amend the Data Protection Act 2018 (DPA 2018) which must be read alongside GDPR. (Read our summary and blog post busting some of the myths).

Chapter 3 of Part 2 of the DPA 2018 currently applies a broadly equivalent data protection regime to certain types of data processing to which the GDPR does not apply (“the applied GDPR”). For example, where personal data processing is related to immigration and to manual unstructured data held by a public authority covered by the Freedom of Information Act 2000 (FOI). The DPA 2018 applies GDPR standards to such data whilst adjusting those that would not work in the national context. Amongst other things, the new regulations merge this part into the UK GDPR.

Other provisions to note include:

  • Regulation 5 makes provision concerning interpretation in relation to processing that prior to exit day was subject to the applied GDPR.
  • Regulation 6 introduces Schedule 3, which makes consequential amendments to other legislation.
  • Regulation 8 makes amendments to the Privacy and Electronic Communications (EC Directive) Regulations 2003 (PECR) in light of provision made by the GDPR relating to the meaning of “consent”.

Part 3 of the DPA 2018 regulates the processing of personal data for law enforcement purposes implementing the Law Enforcement Directive (EU) 2016/680. This part will continue to apply, even after exit day, to competent authorities i.e. those that process personal data for the purposes of criminal offences or threats to public security e.g. the police, trading standards departments etc. Some minor amendments will be made to reflect the UK GDPR. Similarly Part 4 of the Act (processing of personal data by the Intelligence Services) and Parts 5 and 6 (Information Commissioner Powers and Enforcement) will remain in force.

The new regulations also deal with post Brexit international data transfers from the UK by amending the GDPR and adding additional provisions to the DPA 2018. However for the lawful transfer of personal data from the EU into the UK without additional safeguards being required, the UK will need to apply to the EU for adequacy status and join a list of 12 countries. These regulations attempt to make the UK version of GDPR as robust as the EU version. We will have to wait and see if the EU agrees.

The new regulations are currently in draft (you can follow their progress here). If approved they come into force on exit day, which is currently scheduled to be 29th March 2019, although it could be later. With all the uncertainties over the Brexit deal, I would not get the markers out just yet nor tear up your Act Now GDPR handbook!

STOP PRESS – The Regulations were made on 28th February 2018 and will come into force as set out in Regulation 1.

If you want to know more about the new regulations, Ibrahim Hasan is presenting a webinar soon.

Make 2019 the year you achieve a GDPR qualification. Our next few GDPR Practitioner Certificate courses are almost fully booked!

Free Information Governance Briefings for the Health Sector

FreeIGBriefing

Act Now Training is pleased to announce a series of free Information Governance briefings for the health sector.

The IG landscape has changed dramatically in a relatively short space of time. Healthcare professionals are facing new challenges in the form of the General Data Protection Regulation (GDPR), the Data Protection Act 2018 and the Data Security and Protection Toolkit.

In each free briefing, we will explain what these changes mean in practical terms and dispel some of the myths associated with the new legislation. Time has been allocated for questions, discussion and networking. Participants will leave with an action plan for compliance.

These briefings are ideal for Information Governance Leads in General Practices, pharmacies, Clinical Commissioning Groups, dentists, care homes and other healthcare providers.

The speakers are Ibrahim Hasan, a solicitor and director at Act Now Training, and Craig Walker, Data Protection Officer at St Helens and Knowsley Hospitals NHS Trust. Both are well-known experts in this field with many years of experience in training and advising the health sector. Other members of the Act Now team will also be on hand to answer participants’ questions over a complimentary lunch.

Agenda

9.45am – Registration

10am – Start

  • The General Data Protection Regulation (GDPR) and the health sector
  • Data Protection Act 2018 – What does it mean for me?
  • Data Security & Protection Toolkit – Overview and summary of key changes
  • National Data Guardian (10 Data Security Standards) – What are they and why are they so important?
  • Data Protection Impact Assessments – When and Why?
  • Subject Access Requests – Looking at separating the facts from fiction – to charge or not to charge
  • Data Breach Prevention – What can we do to minimise the likelihood of breaches occurring
  • Cyber Security Basics – What to be on the lookout for
  • The role of the Data Protection Officer – Do I need one and what is their role?

12.00pm – Open Forum and Lunch

There are limited places available on each briefing so please book early to avoid disappointment.

These briefings are part of a series of courses specially designed for the health sector. This includes our GDPR workshops and the Certificate in Information Governance.

 

ICO Refuses to Disclose GDPR Policy Document for Special Categories Data

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In the months leading up to 25th May 2018, data controllers will have been working like Trojans to become GDPR compliant. Data Protection Officers may have been pulling their hair out at the length of their ‘to do lists’.  Not least, working out what their lawful basis or processing is, drafting Privacy Notices in clear and plain English, reviewing their subject access and breach notification procedures and training staff.

Add to all of that the additional requirements imposed by the Data Protection Act 2018 to have an ‘appropriate policy’ in place in relation to the processing of certain special category personal data and personal data relating to criminal convictions.  Specifically s. 10 DPA requires that processing special category data meets the conditions in Part 1-3 of Schedule 1. This in turn also requires that in certain circumstances the data controller must have an ‘appropriate policy document in place’. [1]  Schedule 1, Part 4 provides some limited guidance on what must be in the policy document. The document must explain the controller’s procedures for securing compliance with the principles in Article 5 of the GDPR in connection with the processing of the personal data.  It must also explain the controller’s policies in relation to the retention and erasure of personal data processed in reliance of the condition.

This new requirement may not have been the foremost concern for every data controller and it is possible or even likely that policies may still be in draft as DPOs work out what to include in their documents.  The ICO has not, as yet, issued any guidance on these policy documents and so this no doubt will present challenges for many DPOs. . Perhaps the requirement is also presenting challenges for the ICO, because at the time of writing, the ICO is unwilling to publish its own Policy Document.

The request and the refusal

On 19th July the ICO received a request for a copy of its ‘Policy designed to show compliance with Schedule 1, Part 4 of the DPA 2018.’  Although the applicant did not explain why they wanted it (and as FOIA practitioners know, the regime is purpose blind), there can be little doubt that many data controllers would find the ICO’s own Policy Document a very useful guide to the scope and content of such a policy.  Additionally it is important that the public, and indeed ICO employees, are made aware of how the ICO itself will process special category and criminal conviction data.

On August 17th 2018 the ICO refused the request, citing the s 22 FOIA exemption (information held with a view to future publication).  S 22 provides that information is exempt information if:

  • the information is held by the public authority with a view to its publication, by the authority or any other person, at some future date (whether determined or not),
  • the information was already held with a view to such publication at the time the request for information was made, and
  • it is reasonable in all the circumstances that the information should be withheld from disclosure until the date referred to in paragraph (a).

S 22 is a qualified exemption and requires a determination of the public interest.

Sadly, the ICO’s Refusal Notice falls short of the ‘best practice’ that one should reasonably expect from the FOIA regulator.

  • The refusal notice offers no explanation of why the ICO believes it is reasonable in all the circumstances to withhold disclosure until some future date. The ICO has failed to follow its own guidance on the s 22 exemption in not even addressing this point. In fact it is arguable that by not considering this, the exemption is not engaged.
  • It fails to provide any indication of a future intended date for publication.  Although there is no requirement under the FOIA to do this, given the level of interest surrounding the new Data Protection Act it is difficult to see why the ICO did not seek to offer some indication of the intended future publication date.  It also neglects the ICO’s own advice on the s 22 exemption, that  is good practice to provide the requestor with an anticipated date of publication.
  • It fails to adequately explain the public interest factors that have been taken into account.

Weak and generic public interest assessment

The public interest test requires an assessment of whether:

In all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.

This requires a particular attention to the ‘circumstances of the case’. In one of its earliest judgments the Information Tribunal emphasised that a public authority must ask ‘is the balance of public interest in favour of maintain the exemption in relation to this information and in the circumstances of this case?’. [2] The ICO refusal notice is however generic and lacks any explicit reference to the information requested or the particular circumstances surrounding this document.

In favour of disclosure the ICO simply states that there is a public interest in transparency being demonstrated by disclosure and a legitimate interest in the compliance of the ICO with the legislation it regulates. It could have added more weight to this side of the equation. For instance, it could have supplemented these rather generic assertions by making explicit reference to the first Principle in Article 5 (1) GDPR, that data should be processed in a transparent manner. It might also have used different language recognising a ‘strong’ (rather than legitimate) public interest in ensuring that the ICO complies with the legislation it regulates, particularly given the gravity of non-compliance.

In favour of withholding the information the ICO cites three points, again without elaboration or reference to the specifics of the case.

First it states that ‘transparency is achieved through the pro-active publication of information on the web site’. Simply stating this falls well short of explaining how it is not in the public interest to disclose earlier than planned. Given that the information is going to be published at some future date, the public interest test should really consider why it is not in the public interest to publish earlier than planned. This is not addressed by the ICO.

Second, the ICO cites ‘the impact on ICO resources if we were to respond individually to requests for information that is due to be published’. This again appears to be something of a blanket refusal and fails to take into account the specific information that is being requested.

Finally, the ICO cites there is no pressing public interest in disclosing the information early. The refusal notice does not offer any reason in support of why it would not be in the public interest to disclose the document now. There is no explanation about why the ICO has reached this conclusion. However, perhaps more compelling is the fact that the Act has been in force for almost three months now. The ICO should have had a Policy Document in place since May 23rd 2018. In which case it is difficult to see how disclosing it now would be ‘early’. That is unless the document is still in a draft form and the ICO is not in a position to say when it might be published. Perhaps the ICO, like other data controllers is finding it a challenge to draft its Policy Document.

At the time of writing the requestor has submitted a request for an internal review.

I leave you with the ICO’s strapline; ICO, the UK’s independent authority set up to uphold information rights in the public interest, promoting openness by public bodies and data privacy for individuals.

 

Susan Wolf has over ten years experience teaching information rights practitioners on the LLM Information Rights Law & Practice at Northumbria University. She will be delivering a range of online webinars on various subjects around GDPR. 

We are running GDPR and DPA 2018 workshops throughout the UK. Head over to our website to book your place now. New Dates added for London!

Need to train frontline staff quickly? Try our extremely popular GDPR e-learning course.

 

[1]  In addition, under Part 3 of the DPA 2018 which implements the Law Enforcement Directive, sections 35 and 42 and Schedule 8 also require that data controllers have an appropriate policy document in place.

[2] Hogan and Oxford City Council v The Information Commissioner EA/2005/0026 & EA/2005/0030

The Data Protection Act 2018: A Summary

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The much-publicised Data Protection Act 2018 (DPA 2018) came into force last week (25thMay 2018), alongside the General Data Protection Regulation (GDPR). I recently wrote a blog post explaining the aims of the new Act and busting some of the myths.

Part 2 of the Act supplements the GDPR i.e. it fills in some of the gaps by enacting “derogations”; where Members states are allowed to make their own rules e.g. about exemptions and children’s consent. This part has to be read alongside the GDPR.

Much of the Act is the broadly the same as the Bill when it was introduced to Parliament e.g. children’s consent, automated decisions, Special Category Data etc. Read a summary of the Bill here.

Exemptions

Articles 6(3) and 23(1) of GDPR allow member states to introduce exemptions from various GDPR obligations e.g. transparency and individuals’ rights. All of the familiar exemptions from the old Data Protection Act 1998 (DPA 1998)(see S.29-35and Schedule 7) are set out in Schedules 2 – 4 of the new Act e.g.crime and taxation, legal proceedings, management forecasts, public functions, negotiations etc. There are some new exemptions and others have been changed.

Immigration: Paragraph 4 of Schedule 2 of the Act introduces a new exemption for personal data processed for the purposes of effective immigration control. This removes most of the Data Subjects’ rights (incl. subject access) where they would prejudice such matters. Campaigners have argued that this exemption means thatimmigrants, including the 3 million EU citizens in the EU, (and those affected by the Windrush scandal) will not have access to data and information regarding how the Government decides on their fate, including their potential deportation.  This makes any defence and legal action against unlawful deportation by the Government extremely difficult. Open Rights Group and campaigners for EU citizens’ rights (the3million) are preparing to challenge this exemption in court. (More here.)

References: The DPA 1998 contained an exemption from the right of subject access for confidential references about a Data Subject given by, amongst others, an employer. However no such exemption applied to a request made for the same reference to a prospective employer. Thus employees could still see what their employer had written about them and challenge it.

Paragraph 24 of Schedule 2 of the new Act has undergone a fundamental change since the Bill stage. It now allows confidential references to be kept secret in all circumstances not just in the hands of the employer/giver of the reference. It also gives an exemption from the right to be informed under Article 13 and 14 of GDPR i.e. the need to mention it in a privacy notice.

This new blanket exemption (which now incudes volunteering) takes away important rights of employees and volunteers. It should concern everyone, not just the unions, especially as it was passed without any debate or discussion.

Legal Professional Privilege: Paragraph 19 of Schedule 2 of the Act contains an exemption for personal data that consists of legally privileged information (LPP). It is similar to the one contained in the DPA 1998 but slightly broader in that it also covers personal data which is subject to a duty of confidentially owed by a professional legal adviser not just that information covered by LPP. The latter will apply to a much narrower range of information than the former. This exemption allows lawyers to refuse subject access requests and disregard the duty to inform (Article 13 and 14 of GDPR).

Barristers have warned that the Act could hand ‘big brother powers’ to the Information Commissioner’s Office (ICO) by granting it access to privileged material without client consent and subsequently disclosing it. However Section 132 of the Act (Confidentiality of Information) seems to guard against this. 

Freedom of Information

Part 1 of Schedule 19 of the Act amends the personal data exemption/exception under section 40 of the Freedom of Information Act 2000(FOI) and Regulation 13 of the Environmental Information Regulations 2004 (as well as the equivalent Scottish legislation). These are consequential amendments designed to ensure that the correct provisions of the GDPR and the new Act are referenced instead of the now repealed DPA 1998. They will not fundamentally impact when personal data can, and cannot, be disclosed in response to an FOI or EIR request.

Public Authorities

GDPR mentions public authorities in a number of places e.g. when stipulating who needs to appoint a Data Protection Officer in Article 37. Furthermore the ‘legitimate interests’ condition (Article 6(1)(f)) cannot be relied upon to justify data processing by public authorities in the performance of their public tasks. Section 7 of the Act defines ‘public authority’ as any organisation that is covered by FOI (or its equivalent in Scotland) as well as bodies specified by the Secretary of State. Certain bodies, pursuant to section 7(3), despite being subject to FOI, will not be deemed public authorities for GDPR purposes. Most notably this includes parish councils. Consequently parish councils do not need to appoint a DPO and can rely on the legitimate interests condition without restriction.

Criminal Offences

The Act creates two new criminal offences. Clause 171 makes it an offence for a person knowingly or recklessly to re-identify information that is de-identified personal data without the consent of the Data Controller responsible for de-identifying the personal data. Offenders will be liable on summary conviction or on conviction on indictment, to a fine.

Clause 173 makes it an offence for the Data Controller or a person employed by it to alter, deface, block, erase, destroy or conceal information with the intention of preventing disclosure of information that a Data Subject enforcing his/her rights would have been entitled to receive. Offenders will be liable on summary conviction to a fine. This is similar to the offence under S.77 of the Freedom of Information Act (FOI).

The offence under section 55 of the DPA 1998 is now to be found in Section 170 of the new Act; obtaining or disclosing personal data without the consent of the Data Controller and procuring a disclosure to another person. It is extended to include retaining personal data after obtaining data it, without the consent of the Data Controller.

Complaints

Section 165 sets out what individuals can expect if they submit a complaint to the ICO about the way their personal data has been procesed under GDPR.  Clause 166 sets out a mechanism for a complaint to the Tribunal if the ICO fails to address it adequately.The ICO is currently consulting on its Draft Regulatory Action Policy.

Compensation

Article 82 of GDPR states that any person who has suffered material or non-material damage as a result of an infringement of GDPR shall have the right to receive compensation from the Data Controller or Data Processor for the damage suffered. Section 169 of the Act explains that damage includes financial loss and damage not involving financial loss, such as distress. This is in marked contrast to the DPA 1998 which only allowed compensation for distress where it was linked to damage; although the Court of Appeal decision in Vidal-Hall v Google [2015] EWCA Civ 311 allowed claims for distress alone.

Notification and Fees

Under the DPA 1998 most Data Controllers had an obligation to register with the ICO (known as Notification). There is no such requirement in GDPR. However, as predicted on this blog last year, the Government has introduced a new charging structure for Data Controllers to ensure the continued funding of the ICO. The Data Protection (Charges and Information) Regulations 2018 also came into force on 25thMay 2018 and imposes different levels of fees depending the size of the Data Controller. Data Processors do not have to pay any fee to the ICO but then many will be Data Controllers in their own right.

The new regulations are made under a power contained in the Digital Economy Act 2017 (which is itself a controversial piece of legislation due to the wide ranging provisions about data sharing.) The ICO website has more details to help Data Controllers work out what fee is payable (See also our blog post here.)

Section 137 of the new Act goes further in that it allows regulations to be made which require Data Controllers to pay further charges regardless of whether the Commissioner has provided, or proposes to provide, a service to Controllers.

It’s never too late to put steps in place to comply with the DPA 2018 and GDPR. The Information Commissioner writes in her recent blog:

“The creation of the Data Protection Act 2018 is not an end point, it’s just the beginning, in the same way that preparations for the GDPR don’t end on 25 May 2018. From this date, we’ll be enforcing the GDPR and the new Act but we all know that effective data protection requires clear evidence of commitment and ongoing effort.”

STOP PRESS – JAN 2019 – GDPR and the DPA 2018 will be amended by the Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2019. Read more here.

We are running DPA 2018 workshops throughout the UK. If you want a brief summary, Ibrahim is doing a webinar next week.

Our ever popular GDPR Practitioner Certificate has availability in Leeds starting on 9th July. Book now.

Need to train frontline staff quickly? Try our GDPR e learning course . Our next two GDPR Practitioner Certificate courses are fully booked!

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