The purpose of the General Data Protection Regulation (‘GDPR’) and the Data Protection Act 2018 (‘DPA’) l is to protect the “rights and freedoms” of people and to ensure that personal data is not processed without their knowledge, and, wherever possible, that it is processed with their consent.
–The GDPR applies to the processing of Personal data wholly or partly by automated means
(i.e., by computer) and to the processing other than by automated means of personal data (i.e., paper records) that form part of a filing system or are intended to form part of a filing system.
The GDPR applies to controllers who process the personal data of Data subjects, in the context of that establishment.
Establishment – the main establishment of the controller will be the place in which the controller makes the main decisions as to the purpose and means of its data processing activities. Personal data – any information relating to an identified or identifiable person (‘Data subject’); an identifiable person is one who can be identified, directly or indirectly, in particular by reference to a name, an identification number, location data, an online identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that person.
Special categories of Personal data – Personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade-union membership, and the processing of genetic data, biometric data for the purpose of uniquely identifying a person, data concerning health or data concerning a person’s sex life or sexual orientation.
Data controller – the person, public authority, agency or other body which, alone or jointly with others, determines the purposes and means of the processing of personal data; where the purposes and means of such processing are determined by law, the controller or the specific criteria for its nomination may be provided for by law.
Data subject – any living individual who is the subject of personal data held by an organisation.
Processing – any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction.
Profiling – is any form of automated processing of personal data intended to evaluate certain personal aspects relating to a person, or to analyse or predict that person’s performance at work, economic situation, location, health, personal preferences, reliability, or behaviour. This definition is linked to the right of the Data subject to object to profiling and a right to be informed about the existence of profiling, of measures based on profiling and the envisaged effects of profiling on the individual.
Personal data breach – a breach of security leading to the accidental, or unlawful, destruction, loss, alteration, unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed. There is an obligation on the Data controller to report personal data breaches to the supervisory authority and where the breach is likely to adversely affect the personal data or privacy of the Data subject.
Data subject consent – means any freely given, specific, informed and unambiguous indication of the Data subject’s wishes by which he or she, by a statement or by a clear affirmative action, signifies agreement to the processing of personal data.
Child – A child may exercise their own rights as long as they are competent to do so. If a child is competent, they may authorise someone else to act on their behalf. This could be a parent, another adult, or a representative such as a child advocacy service, charity or solicitor. Third party – a natural or legal person, public authority, agency or body other than the Data subject, controller, processor and persons who, under the direct authority of the controller or processor, are authorised to process personal data.
Filing system – any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis.
2. Policy statement
2.1 The Board of Trustees and management of Once Upon a Smile, whose registered office is 62-66 Deansgate, Manchester M3 2EN are committed to compliance with the GDPR and the DPA in respect of personal data, and the protection of the “rights and freedoms” of individuals whose information Once Upon a Smile collects and processes..
2.2 Compliance with the GDPR and DPA is described by this policy and other relevant policies, along with connected processes and procedures.
2.3 The GDPR, DPA and this policy apply to all of Once Upon a Smile’s personal data processing functions, including those performed on beneficiaries’, clients’, employees’, volunteers, suppliers’ and partners’ personal data, and any other Personal data the organisation processes from any source.
2.5 This policy applies to all Employees/Staff/Volunteers and interested parties of Once Upon a Smile such as outsourced suppliers. Any breach of the GDPR and/or DPA will be dealt with under Once Upon a Smile’s Disciplinary Policy and may also be a criminal offence, in which case the matter will be reported as soon as possible to the appropriate authorities.
2.6 Partners and any third parties working with or for Once Upon a Smile, and who have or may have access to personal data, will be expected to have read, understood and to comply with this policy. No third party may access personal data held by Once Upon a Smile without having first entered into a data confidentiality agreement, which imposes on the third-party obligations no less onerous than those to which Once Upon a Smile is committed, and which gives Once Upon a Smile the right to audit compliance with the agreement.
3. Responsibilities and roles
3.1 Once Upon a Smile is a data controller under the GDPR and DPA.
3.2 All those in managerial or supervisory roles throughout Once Upon a Smile are responsible for developing and encouraging good information handling practices within Once Upon a Smile’s; responsibilities are set out in individual job descriptions.
3.3 GDPR Owner, (a role specified in the GDPR), should be a member of the senior management team, is accountable to Board of Trustees of Once Upon a Smile for the management of personal data within Once Upon A Smile and for ensuring that compliance with the GDPR and the DPA and good practice can be demonstrated. This accountability includes:
• implementation of the GDPR and DPA as required by this policy; and
• security and risk management in relation to compliance with the policy.
3.4 The Chair of Trustees has specific responsibilities in respect of procedures such as the Subject Access Request Procedure and is the first point of call for Employees/Staff/Volunteers/Volunteers seeking clarification on any aspect of data protection compliance.
3.5 Compliance with data protection legislation is the responsibility of all Employees/Staff/Volunteers/Volunteers of Once Upon a Smile who process personal data.
3.6 Our Training Policy sets out specific training and awareness requirements in relation to specific roles and Employees/Staff/Volunteers of Once Upon a Smile generally.
3.7 Employees/Staff/Volunteers of Once Upon a Smile are responsible for ensuring that any personal data about them and supplied by them to Once Upon a Smile is accurate and up-to date.
4. Data protection principles
All processing of personal data must be conducted in accordance with the data protection principles as set out in the GDPR. Once Upon a Smile policies and procedures are designed to ensure compliance with the principles.
4.1 Personal data must be processed lawfully, fairly and transparently.
Lawful – you must identify a lawful basis before you can process personal data.”.
Fairly – in order for processing to be fair, the data controller has to make certain information available to the Data subjects. This applies whether the personal data was obtained directly from the Data subjects or from other sources.
The GDPR and DPA have increased requirements about what information should be made available to Data subjects, which is covered in the ‘Transparency’ requirement.
Transparently – the GDPR includes rules on giving privacy information to data subjects, placing an emphasis on making privacy notices understandable and accessible. Information must be communicated to the Data subject in an intelligible form using clear and plain language.
The specific information that must be provided to the Data subject must, include:
• the identity and the contact details of the controller and, if any, of the controller’s representative;
• the purposes of the processing for which the personal data are intended as well as the legal basis for the processing;
• the period for which the personal data will be stored;
• the existence of the rights to request access, rectification, erasure or to object to the processing, and the conditions (or lack of) relating to exercising these rights, such as whether the lawfulness of previous processing will be affected;
• the categories of personal data concerned;
• the recipients or categories of recipients of the personal data, where applicable;
• where applicable, that the controller intends to transfer personal data to a recipient in a third country and the level of protection afforded to the data;
• any further information necessary to guarantee fair processing.
4.2 Personal data can only be collected for specific, explicit and legitimate purposes. Data obtained for specified purposes must not be used for a different purpose.
4.3 Personal data must be adequate, relevant and limited to what is necessary for processing.
The GDPR Owner is responsible for ensuring that Once Upon a Smile does not collect information that is not strictly necessary for the purpose for which it is obtained.
All data collection forms (electronic or paper-based), including data collection requirements in new information systems, must be include a fair processing statement or link to privacy statement and approved by the GDPR Owner.
The GDPR Owner will ensure that, on a regular basis all data collection methods are reviewed by internal audit to ensure that collected data continues to be adequate, relevant and not excessive.
4.4 Personal data must be accurate and kept up to date with every effort to erase or rectify without delay.
Data that is stored by the data controller must be reviewed and updated as necessary. No data should be kept unless it is reasonable to assume that it is accurate. The Senior Leadership team are responsible for ensuring that all staff/volunteers are trained in the importance of collecting accurate data and maintaining it. It is also the responsibility of the Data subject to ensure that data held by Once Upon a Smile is accurate and up to date. Completion of a registration or application form by a Data subject will include a statement that the data contained therein is accurate at the date of submission.
Employees/Staff/Volunteers should be required to notify Once Upon a Smile of any changes in circumstance to enable personal records to be updated accordingly.
It is the responsibility of Once Upon a Smile to ensure that any notification regarding change of circumstances is recorded and acted upon.
The Board of Trustees & Senior Leadership team are responsible for ensuring that appropriate procedures and policies are in place to keep personal data accurate and up to date, taking into account the volume of data collected, the speed with which it might change and any other relevant factors.
On at least annual regular basis, the GDPR Owner will review the retention dates of all the personal data processed by Once Upon a Smile and will identify any data that is no longer required in the context of the registered purpose. This data will be securely deleted/destroyed.
The Chair of Trustees is responsible for responding to requests for rectification from data subjects within one month (Data Subject Rights Request). This can be extended to a further two months for complex requests. If Once Upon a Smile decides not to comply with the request, the Chair of Trustees must respond to the Data subject to explain its reasoning and inform them of their right to complain to the Information Commissioners Office.
The Chair of Trustees is responsible for making appropriate arrangements, where third party organisations may have been passed inaccurate or out-of-date personal data, to inform them that the information is inaccurate and/or out of date and is not to be used to inform decisions about the individuals concerned; and for passing any correction to the personal data to the third party where this is required.
4.5 Personal data must be kept in a form such that the data subject can be identified only as long as is necessary for processing. Personal data will be retained in line with the Data Inventory document and, once its retention date is passed, it must be securely destroyed.
The Chair of Trustees must specifically approve any data retention that exceeds the retention periods defined in the Data Inventory document and must ensure that the justification is clearly identified and in line with the requirements of the data protection legislation. This approval must be written.
4.6 Personal data must be processed in a manner that ensures the appropriate security. In determining appropriateness, the GDPR Owner should also consider the extent of possible damage or loss that might be caused to individuals (e.g. staff or beneficiaries) if a security breach occurs, the effect of any security breach on Once Upon a Smile itself, and any likely reputational damage including the possible loss of beneficiary trust.
When assessing appropriate technical measures, the GDPR Owner will consider the following:
• Password protection;
• Automatic locking of idle terminals;
• Removal of access rights for USB and other memory media;
• Virus checking software and firewalls;
• Role-based access rights including those assigned to temporary staff or volunteers;
• Encryption of devices that leave the organisations premises such as laptops;
• Security of local and wide area networks;
• Privacy enhancing technologies such as pseudonymisation and anonymisation;
• Identifying appropriate international security standards relevant to Once Upon a Smile.
When assessing appropriate organisational measures, the GDPR Owner will consider the following:
• The appropriate training levels throughout Once Upon a Smile;
• Measures that consider the reliability of employees (such as references etc.);
• The inclusion of data protection in employment contracts;
• Identification of disciplinary action measures for data breaches;
• Monitoring of staff for compliance with relevant security standards;
• Physical access controls to electronic and paper based records;
• Adoption of a clear desk policy;
• Storing of paper based data in lockable fire-proof cabinets;
• Restricting the use of portable electronic devices outside of the workplace;
• Restricting the use of employee’s own personal devices being used in the workplace;
• Making regular backups of personal data and storing the media off-site;
• The imposition of contractual obligations on the importing organisations to take appropriate security measures when transferring data outside the EEA.
These controls have been selected on the basis of identified risks to personal data, and the potential for damage or distress to individuals whose data is being processed.
4.7 Once Upon a Smile as a controller must also be able to demonstrate compliance with the GDPR’s accountability principle. The accountability principle requires Once Upon a Smile to demonstrate that it complies with the principles and states explicitly that this is our responsibility.
Once Upon a Smile will demonstrate compliance with the data protection principles by implementing data protection policies, adhering to codes of conduct, implementing technical and organisational measures, as well as adopting techniques such as data protection by design, DPIAs, breach notification procedures and incident response plans.
5. Data subjects’ rights
5.1 Data subjects have the following rights regarding data processing, and the data that is recorded about them:
• To make subject access requests regarding the nature of information held and to whom it has been disclosed.
• To prevent processing likely to cause damage or distress.
• To prevent processing for purposes of direct marketing.
• To be informed about the mechanics of automated decision-taking process that will significantly affect them.
• To not have significant decisions that will affect them taken solely by automated process.
• To sue for compensation if they suffer damage by any contravention of the GDPR or DPA.
• To take action to rectify, block, erased, including the right to be forgotten, or destroy inaccurate data.
• To request the supervisory authority to assess whether any provision of the GDPR has been contravened.
• To have personal data provided to them in a structured, commonly used and machine-readable format, and the right to have that data transmitted to another controller.
• To object to any automated profiling that is occurring without consent.
5.2 Once Upon a Smile ensures that data subjects may exercise these rights:
• Data subjects may make data access requests as described in Data Subject Rights Request Procedure, this procedure also describes how Once Upon a Smile will ensure that its response to the data access request complies with the requirements of the GDPR and DPA
• Data subjects have the right to complain to Once Upon a Smile related to the processing of their personal data, the handling of a request from a Data subject and appeals from a Data subject on how complaints have been handled in line with the Complaints Procedure.
6.1 Once Upon a Smile understands ‘consent’ to mean that it has been explicitly and freely given, and a specific, informed and unambiguous indication of the Data subject’s wishes that, by statement or by a clear affirmative action, signifies agreement to the processing of personal data relating to him or her. The Data subject can withdraw their consent at any time.
6.2 Once Upon a Smile understands ‘consent’ to mean that the Data subject has been fully informed of the intended processing and has signified their agreement, while in a fit state of mind to do so and without pressure being exerted upon them. Consent obtained under duress or on the basis of misleading information will not be a valid basis for processing.
6.3 There must be some active communication between the parties to demonstrate active consent. Consent cannot be inferred from non-response to a communication. The Controller must be able to demonstrate that consent was obtained for the processing operation.
6.4 For sensitive data, explicit written consent of Data subjects must be obtained unless an alternative legitimate basis for processing exists.
6.5 In most instances, consent to process personal and sensitive data is obtained by Once Upon a Smile using consent documents e.g., when a new client signs a contract, or during induction for new beneficiaries. on programmes.
6.6 Where Once Upon a Smile provides online services to children, parental or custodial authorisation must be obtained.
7. Security of data
7.1 All Employees/Staff/Volunteers are responsible for ensuring that any personal data that Once Upon a Smile holds and for which they are responsible, is kept securely and is not under any conditions disclosed to any third party unless that third party has been specifically authorised by Once Upon a Smile to receive that information and has entered into a confidentiality agreement.
7.2 All personal data should be accessible only to those who need to use it, and access may only be granted where necessary. All personal data should be treated with the highest security and must be kept:
• in a lockable room with controlled access; and/or
• in a locked drawer or filing cabinet; and/or
• if computerised, password protected in line with corporate requirements and/or
• stored on (removable) computer media which are encrypted;).
7.3 Care must be taken to ensure that PC screens and terminals are not visible except to authorised Employees/Staff/Volunteers of Once Upon a Smile. All Employees/Staff/Volunteers are required to read the Acceptable Use of ICT Policy, which details rules on screen timeouts.
7.4 Manual records may not be left where they can be accessed by unauthorised personnel and may not be removed from business premises without explicit authorisation from [the CEO]. As soon as manual records are no longer required for day-to-day client support, they must be removed for secure archiving.
7.5 Manual records that have reached their retention date are to be shredded and disposed of as ‘confidential waste’. Hard drives of redundant PCs are to be removed and immediately destroyed before disposal.
7.6 Processing of personal data ‘off-site’ presents a potentially greater risk of loss, theft or damage to personal data. Staff must be specifically authorised to process data off-site.
8. Disclosure of data
8.1 Once Upon a Smile must ensure that personal data is not disclosed to unauthorised third parties which include family members, friends, government bodies, and in certain circumstances, the Police. All Employees/Staff/Volunteers should exercise caution when asked to disclose personal data held on another individual to a third party. It is important to bear in mind whether or not disclosure of the information is relevant to, and necessary for, the conduct of Once Upon a Smile’s business.
8.2 All requests to provide data for one of these reasons must be supported by appropriate paperwork and all such disclosures must be specifically authorised by the GDPR Owner.
9. Retention and disposal of data
9.1 Once Upon a Smile shall not keep personal data in a form that permits identification of data subjects for longer a period than is necessary, in relation to the purpose(s) for which the data was originally collected.
9.2 Once Upon a Smile may store data for longer periods if the personal data will be processed solely for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes, subject to the implementation of appropriate technical and organisational measures to safeguard the rights and freedoms of the Data subject.
9.3 The retention period for each category of personal data will be set out in the Data Inventory document.
9.4 Once Upon a Smile data retention and data disposal will apply in all cases.
9.5 Personal data must be disposed of securely in accordance with the sixth principle of the GDPR – processed in an appropriate manner to maintain security, thereby protecting the “rights and freedoms” of Data subjects.
10. Data transfers
10. All exports of data from within the European Economic Area (EEA) to non-European
Economic Area countries (referred to in the GDPR as ‘third countries’) are unlawful unless
there is an appropriate “level of protection for the fundamental rights of the data subjects”.
11. Information asset register/data inventory
11.1 Once Upon a Smile has established a data inventory process as part of its approach to address risks and opportunities throughout its GDPR compliance project. Once Upon a Smile data inventory determines:
• Data Source
• Why we collect
• Why we are holding it
• How long we keep it
11.2 Once Upon a Smile is aware of any risks associated with the processing of particular types of personal data.
• Once Upon a Smile assesses the level of risk to individuals associated with the processing of their personal data.
• Once Upon a Smile shall manage any risks identified by the risk assessment in order to reduce the likelihood of a non-conformance with this policy.
• Where a type of processing, in particular using new technologies and taking into account the nature, scope, context and purposes of the processing is likely to result in a high risk to the rights and freedoms of natural persons, Once Upon a Smile shall, prior to the processing, carry out an assessment of the impact of the envisaged processing operations on the protection of personal data. A single assessment may address a set of similar processing operations that present similar high risks.
• Where, as a result of an assessment it is clear that Once Upon a Smile is about to commence processing of personal data that could cause damage and/or distress to the data subjects, the decision as to whether or not Once Upon a Smile may proceed must be escalated for review to The GDPR Owner.
• The GDPR Owner shall, if there are significant concerns, either as to the potential damage or distress, or the quantity of data concerned, escalate the matter to the supervisory authority.
• Appropriate controls will be selected and applied to reduce the level of risk associated with processing individual data to an acceptable level, by reference to Once Upon a Smile’s documented risk acceptance criteria and the requirements of the GDPR.
• Document Owner and Approval. The GDPR Owner is the owner of this document and is responsible for ensuring that this policy document is reviewed in line with the review requirements stated above.
This policy was last reviewed: October 2023