The Data Protection Act 1998The Data Protection Act 1998Freedom of Information Act 2000Freedom of Information Act 2000

Regulation of Investigatory Powers Act 2000Regulation of Investigatory Powers Act 2000

Tony BrettHead of IT Support Staff Services

Computing ServicesUniversity of Oxford

Englandtony.brett@oucs.ox.ac.uk

DisclaimerDisclaimer

• I am not a lawyer!– Views I give do not constitute formal legal

advice

• Views expressed are my own and not necessarily those of the University of Oxford

The University of OxfordThe University of Oxford• Oldest University in the

English-speaking world– 9 centuries of history

• 39 self-governing Colleges• Student population over 18,000 with more

than 130 nationalities represented• 10,500 Staff (3,500 in colleges)• Part of the Russell Group (like the Ivy League)• Steeped in tradition and quirk!

The University of OxfordThe University of Oxford

Federal University!Federal University!• Colleges are separate legal entities

– Separate Governance and Finance• Serious implications for both DPA and FOI• Colleges and University have a symbiotic

relationship– Colleges admit undergraduates– University admits graduates

• But they need a college!– Colleges provide 1-1 or 1-2 tutorials – University provides lectures, practicals etc.

• University awards degrees

Me!Me!• In Oxford since 1989• Chemistry Degree and then IT!

– Institute of Molecular Medicine– Corpus Christi College– Computing Services

• Serve on Oxford City Council as licensing chair and local councillor

• Particular interest in data privacy since time at Corpus Christi as Data Protection officer

Overview – 1Overview – 1• General overview of the DPA 1998

– Definitions– Changes since 1984 Act– Sensitive Personal Data & Consent– The eight principles– Transitional Relief– Implications for Colleges and Departments– Things to keep in mind

• Freedom of Information Act 2000 (FOI)– Who it affects– Public Rights: open records– Publication Schemes– Exemptions– Key Points

Overview – 2Overview – 2

• Regulation of Investigatory Powers (RIPA)– Interception of Communications in the UK– Human Rights Act 1998– Definitions– Implications– My view

• Resources

• Questions

What is the Data Protection Act?What is the Data Protection Act?• Intended to balance interests of data

subjects with data controllers

• Freedom to process data vs. privacy of individuals

• 1984 act was repealed by the 1998 Act

• 24 October 1998

• 1 March 2000

DefinitionsDefinitions• Personal Data

– Expression of opinion, or fact, E-mail address, photos, video footage etc. etc.

– Some types are sensitive (a special new category).

• Processing– Reviewing, holding, sorting, deleting

• Data Controller– all of us! Users of data

• Relevant Filing System– Readily accessible information about living individuals

• Information Commissioner– New name for Data Protection Registrar

Changes Since the 1984 ActChanges Since the 1984 Act

• Much broader than the old Act • More rights for data subjects• Covers relevant manual filing systems

– No more “practical obscurity”

• New category of data – sensitive data.• Transitional relief – 23 October 2001, for existing

automated data and 23 October 2007 for manual records – Processing must have been in effect before 24 October

1998

• Rules about export of data to non-EEA countries

Some effects on Colleges and Some effects on Colleges and DepartmentsDepartments

• Data subjects are students, staff, alumni, suppliers (sole traders or partnerships), tenants, legal advisers, fellows etc

• Not people “acting in a capacity”• Anyone can be a data controller• Dead people have no rights• Overseas transfers of data – notably to U.S.• Requirement to ensure data is secure, accurate,

sufficient but not excessive• Can’t hold data longer than is reasonable

Principles of the Act – 1Principles of the Act – 1

• Non-sensitive personal data must be processed fairly and lawfully and shall not be processed unless one of the below is met (schedule 2). – Consent – the most important– Contract– Legal obligation– Vital interests of subject (life or death!)– Public functions– Balance of interest

Sensitive personal data – 1Sensitive personal data – 1

• Racial or ethnic origin

• Political opinions

• Religious/similar beliefs (note food!)

• Trade Union membership

• Health

• Sexual life

• Offences, Cautions, Convictions

Sensitive personal data – 2Sensitive personal data – 2

• May only be held if one of the below is met:– Explicit and informed consent– Employment Law– Vital Interests of Subject– Legal Proceedings– Medical Purposes (by medical professionals)– Equal opportunities monitoring

ConsentConsent

• “Freely given specific and informed indication of wishes by which the data subject signifies agreement to personal data relating to him/her being processed.”

• Can’t use implied consent – must get forms back

• Can’t use blanket consent as condition of entry

Fair processingFair processing

• Must not intentionally or otherwise deceive or mislead subject as to purpose of data use/collection

• Must identify to subject data controller/nominated representative

• Must identify to subject purpose of processing data

• Exceptions are disproportionate effort (direct marketing not allowed) or legal obligation

Principles of the Act – 2Principles of the Act – 2

• Data must be obtained only for one or more specified lawful purposes– Must not use data for a new incompatible

purpose without subject’s consent– Have a data protection statement explaining

what data will be held and why and get consent from new students/staff as they arrive

– Old members data is a grey area for Colleges

Principles of the Act – 3 & 4Principles of the Act – 3 & 4

• Personal data must be adequate, relevant and not excessive– Must not stock up on data without a reason

that can be justified – consent!

• Personal data shall be accurate and up-to-date– This is an ongoing requirement and means

data needs to be kept under constant review.

Principles of the Act – 5Principles of the Act – 5

• Personal data may not be kept for any longer than is necessary for its stated purpose(s)– This potentially creates a problem with old

staff/members data. Development offices beware!– Consent from all new staff/members to keep their

data after they have left as this is a different purpose to keeping it while they are here

Principles of the Act – 6Principles of the Act – 6

• Personal data must be processed in accordance with the rights of data subjects– This means that you cannot do things that

violate the rights given to data subjects under the new Act, especially denying access to data

Rights of data subjectsRights of data subjects

• Must be informed if personal data is being processed and given a description of the personal data and for what purpose it is being held

• May prevent processing for purposes of direct marketing

• Right to see algorithms used in automated decision making (credit scoring etc.)

• Compensation, rectification, blocking, destruction

Access rights – 1Access rights – 1

• Right to have communicated to him/her in an intelligible form the information constituting the data

• No right to rifle through filing systems, computers etc

• Right to be informed of logic involved in automated processing

• Request must be in writing, fee up to £10 may be charged and identity may be thoroughly checked

Access rights – 2Access rights – 2

• Data may be withheld if disclosure would disclose data about a third party unless:– Third party has consented to disclosure– It is reasonable to comply without the third party’s

consent

• Duty of confidentiality, steps taken to seek consent, express refusal of third party

• Witnesses, confidential reports, access to references

Access rights – 3Access rights – 3• Don’t have to disclose references you have written

but must disclose those you have received unless the writer explicitly asked them to kept confidential

• 40 days to comply (or state reason for refusal to comply) with requests

• Don’t need to comply with repeat requests until a reasonable amount of time has elapsed

• Don’t need to comply if disproportionate effort would be involved

• Subject must provide reasonable data you request to assist in finding the data

Enforced accessEnforced access

• It is an offence to force subjects to exercise their access rights to data held by others– Includes data about cautions, criminal

convictions and certain social security records

Right to prevent processingRight to prevent processing

• Unwarranted substantial damage or distress to subject

• 21 days to comply with request

• Exemption if processing is necessary for performance of contract with subject or there is a legal obligation, or the vital interests of the subject are at stake

Exemptions to access rightsExemptions to access rights

• Prevention and detection of crime• Apprehension or prosecution of offenders• Collection of tax or other duty• Research, history, statistics.• Exam marks – 40 days after date of

announcement or 5 months of access request.

• Confidential references.

Principles of the Act – 7Principles of the Act – 7• Technical or organisational measures

must be taken to prevent unauthorised or unlawful processing of data and accidental loss, damage or destruction of data.– First is related to IT support staff (backups,

password security etc.) but everyone can help– Second is about being careful with keys,

having access controls, CCTV monitoring etc.– Beware social engineering!

Principles of the Act – 8Principles of the Act – 8• Personal data may not be transferred overseas

unless the receiving country has an adequate level of protection for it– US does not by default– Putting things on a web site is tantamount to export of

data

• Transfer is OK if contract is in place with the abroad party or the subject has consented– Data Protection Commissioner has standard contracts

available– Safe Harbor certification enables US business to

comply with the DPA– Safe Harbor approved by EU in July 2000

NotificationNotification

• Colleges are legally separate entities to the University so have to notify use to Commissioner separately; Departments are not– This is like the old registration process under the old

act.– University counts as a third party in the case of

Colleges.

• Penalties for failure to comply/notify are huge• Commissioner has draconian powers (search &

seize)

The Freedom of Information Act 2000The Freedom of Information Act 2000• The FOI Act 2000 gives individuals the right to

access information about certain public bodies (including HE institutions) by two routes:– Publication Scheme– General Right of Access

• There are exemptions• Public bodies listed in the act

– General group e.g. “HEFCE funded HE Institution– Specific body e.g. “The BBC” or “The National Portrait

Gallery”• FOI basically extends subject access rights

given in the DPA 1998• Colleges are separate legal entities so need

their own Publication Scheme and procedures

FOI – Public RightsFOI – Public Rights

• To be told whether the information exists – known as the duty to confirm or deny

• To receive the information (and, where possible, in the manner requested)

• To receive reasons for a decision to withhold information

• All requests must be in “permanent form”– E-mail, Letter, Fax

• Reply must be sent within 20 working days– Use vacation auto-reply for contact person if they are

away

FOI – Publication SchemeFOI – Publication Scheme• Guide to the information which you have decided

to make public– Chance to be proactive so people don’t have to make

requests– Guide to types of information available NOT a list of all

of it!• Scheme has to be approved by Information

Commissioner• Model schemes available on Information

Commissioner’s web site• JISC has model schemes available too• Put it on your College website! Some already have

FOI – ExemptionsFOI – Exemptions• Many exemptions, some absolute, some

qualified e.g.– Commercial Interest– Communicating with the Queen– Law enforcement– Legal Professional Privilege– Parliamentary Privilege

• Need to Apply Tests before using Qualified Exemptions– Prejudice & Adverse Affect– Public Interest (not same as of Interest to the Public)

• FOI does not override DPA but DPA is not an excuse not to comply with FOI requests– Interaction is complex!

FOI – Vexatious or RepeatedFOI – Vexatious or Repeated

• Vexatious means:– clearly does not have any serious purpose or value– is designed to cause disruption or annoyance– has the effect of harassing the public authority– can otherwise fairly be characterized as obsessive or

manifestly unreasonable• Repeated means:

– More often than a “reasonable interval”• Needs defining

– Requests asking if previously requested information has changed are OK

• Reply can say when info is next to be updated and a request before then would be “repeated”

FOI - Key points to noteFOI - Key points to note• Requests can be received by anyone within the organisation

and do not need to refer to the Freedom of Information Act• Requests must be in writing (including e-mail, fax etc)• Requests must be dealt within 20 working days• No obligation to provide information which is already in the

public domain/accessible by other means (e.g. via the publication scheme or in a book the organisation may hold)

• No obligation to create information that the Organisation does not already hold (e.g. statistical summaries)

• Organisation may charge a fee for the provision of information. – Charges must be calculated in accordance with the fees regulations

prescribed by the Department for Constitutional Affairs. Currently £50 maximum.

NO

YESNO

NOSend the applicant a data protection subject access

request form, to be returned to the

University’s Data Protection Officer

Is the enquirer requesting information

about him/herself?

Is the request in writing (including e-

mail, fax)?

Send request to the Data

Protection Officer at the University

Offices

Ask the applicant to put the request into writing, and send to the Data

Protection Officer at the University Offices

Is the information requested available via the Publication Scheme (check at:

http://www.admin.ox.ac.uk/foi/contents.shtml) or via any other means?

Does the request relate to a living

individual(s)?

Tell the applicant where he/she will be able to find

the information

Does the information requested relate solely to your department or unit?

Provide the information

Is the information of a type or category for which you have been asked in the past and have given without hesitation (or would have given if you had been

asked)? *

Is the request in writing (including

e-mail, fax)?

Ask the applicant to use the FOI request form (at

http://www.admin.ox.ac.uk/foi/

Contactdata.protection@admin.ox.ac.uk

for advice

NO

YES

YES

YES

YES

YESYES

NO

NO

Start Here

How to How to Deal with Deal with EnquiriesEnquiries

* Check that the information does not contain any reference to individuals, other than that which is already publicly available

FOI & DPA - Key PointsFOI & DPA - Key Points• Don’t panic!• Need to be seen to be aware of both FOI and

DPA and working within them but the Information Comissioner will always try to help before getting heavy

• Have a publication scheme and publish it!• Little case law – many grey areas, but we don’t

want to be the test case!• Don’t write down anything you wouldn’t say to

someone’s face• Avoid holding sensitive personal data if you can• Colleges need to act additionally to Central

University

Regulation of Investigatory PowersRegulation of Investigatory Powers

• Exists to ensure that surveillance activities are in line with the Human Rights act 1998

• Includes:– monitoring, observing or listening to persons,

their movements, conversations, activities or communications

– recording anything monitored, observed or listened to in the course of surveillance

– surveillance by or with the assistance of a surveillance device

RIPARIPA

• Updates UK law on the interception of communications in line with technological change including huge Internet growth

• Puts other intrusive investigative techniques on a statutory footing

• Provides new powers to help combat the threat posed by rising criminal use of strong encryption

• Ensures that there is independent judicial oversight of the powers in the Act

RIPA - DefinitionsRIPA - Definitions

• Directed Surveillance– Covert but not intrusive

• Intrusive Surveillance– Using a person or a device (bug) at a

premises or in a private vehicle

• Generally unlawful to use intrusive surveillance without a warrant

• RIPA covers all forms of communication and their interception

RIPA - ImplicationsRIPA - Implications• Interception warrants

– Government can make your ISP snoop on you and can insist it does not tell you

• Mass surveillance is possible if the Secretary of State deems it necessary

• ISPs can be forced to install interception technology on their systems

• Government has the power to demand encryption keys– This compromises all encrypted data you

might hold or have sent/received

RIPA – My viewRIPA – My view

• At face value the Act appears to improve personal privacy

• BUT the large number of situations in which interception IS allowed actually make it a reduction of privacy

• Much controversy in the UK• But good has been done – the Police used

evidence gathered under RIPA powers to convict Ian Huntley (Soham murders)

ResourcesResources• http://www.ox.ac.uk/• http://www.ox.ac.uk/oucs/• http://users.ox.ac.uk/~tony/dpa-foi-ripa.ppt• http://www.admin.ox.ac.uk/foi/• http://www.russellgroup.ac.uk• http://www.opsi.gov.uk/acts/acts2000/20000023.htm• http://www.opsi.gov.uk/acts/acts2000/20000036.htm• http://www.opsi.gov.uk/acts/acts1998/19980029.htm• http://www.ico.gov.uk/• http://www.export.gov/safeHarbor/• tony.brett@oucs.ox.ac.uk

Thanks to University of Oxford Central Administration for permission to use diagram about answering queries