The CPS incorporates RCPO. CPS Data Protection Policy

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1 The CPS incorporates RCPO CPS Data Protection Policy

2 Contents Introduction 3 Scope 4 Roles and Responsibilities 4 Processing Criminal Cases 4 Information Asset Owners 5 Information Asset Register 5 Information Management Advisors 5 Other processing 6 Retention of personal data 6 Access Rights 7 Sharing personal data 7 Information Security 7 Protecting Information learning module 8 Review 8 Version 5.0 2

3 Introduction 1. This document sets out the way in which the Crown Prosecution Service (CPS) complies with the Data Protection Act 1998 ( the Act ). 2. The CPS is the Government Department responsible for prosecuting criminal cases investigated by the police in England and Wales. As the principal prosecuting authority in England and Wales, the CPS is responsible for: advising the police on cases for possible prosecution; reviewing cases submitted by the police; determining any charges in more serious or complex cases; preparing cases for court; presenting cases at court. The collection and processing of personal data and sensitive personal data is therefore essential to the CPS. 3. The Act sets out a number of legal obligations to protect personal information about individuals. The CPS must comply with the 8 data protection principles when processing personal data: Personal data shall be processed fairly and lawfully and, in particular, shall not be processed unless- (a) at least one of the conditions in Schedule 2 is met, and (b) in the case of sensitive personal data, at least one of the conditions in Schedule 3 is also met. Personal data shall be obtained only for one or more specified and lawful purposes, and shall not be further processed in a manner incompatible with that purpose or those purposes. Personal data shall be adequate, relevant and not excessive in relation to the purpose or purposes for which they are processed. Personal data shall be accurate and, where necessary, kept up to date. Personal data processed for any purpose or purposes shall not be kept for longer than is necessary for that purpose or those purposes. Personal data shall be processed in accordance with the rights of data subjects under this Act. Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data. Personal data shall not be transferred to a country or territory outside the European Economic Area unless that country or territory ensures an adequate level of protection for the rights and freedoms of data subjects in relation to the processing of personal data. 4. The CPS is committed to complying with the Act and does so by ensuring data protection requirements are included in the development of all procedures and processes across the organisation. Version 5.0 3

4 Scope 5. This policy is an overarching document that sets out the CPS position. There are existing resources and policies on our Infonet and on the CPS website on data protection. 6. The scope of this policy is as follows: processing criminal cases other processing done by Directorates/Areas retention policy access to staff personnel file, subject access requests and access rights information security Roles & Responsibilities 7. All employees (including contractors) have a personal responsibility to comply with the Act. Employees must report any concerns they have to line managers where it is known that data protection procedures are not being adhered to or where the likelihood of a breach may occur. Additionally, if there are strong grounds to believe that security breaches may occur, for example, due to vulnerable procedures in place or by individuals, this must also be reported. 8. Managers have a responsibility to ensure that all reports of data protection breaches are taken seriously, and managed in accordance with the procedures. Where necessary, corrective action should be taken and, if appropriate, consideration given to taking disciplinary action in accordance with the departmental Disciplinary Policy. 9. Where criminal activity is suspected or identified, the matter must be raised with the Departmental Security Officer (DSO). 10. The Information Management Unit (IMU) in the Business Information Systems Directorate is responsible for issuing guidance on compliance with the Act and for dealing with all subject access requests. Processing Criminal Cases 11. The CPS is responsible for prosecuting criminal cases and prosecutes approximately one million cases per year. The data protection risks connected to these prosecutions are self evident and the consequences of a breach are very serious. It is therefore vital that staff are fully aware of the CPS obligations under the Act. 12. The CPS Information Charter explains how and why the CPS processes personal data relating to members of the public. This document is available on the CPS website: The CPS uses an electronic Case Management System (CMS) to manage the prosecution process. CMS is a national case management system and includes an element which manages witness information the Witness Management System (WMS). (Throughout the document it should be assumed that any reference to CMS includes WMS). Version 5.0 4

5 14. CMS is a bespoke system and has significant security features built into it. Access is controlled at CPS Area level cases on CMS relating to a particular CPS Area can only be seen by staff working in that Area. Furthermore, access to certain high profile cases can be restricted to the members of staff working on the case. Guidance has been issued by the Departmental Security Unit (DSU) on restricting access to cases. 15. Staff cannot access CMS without first completing online training and then attending a classroom training session. 16. Currently there are a significant number of cases in which the master file is held in paper. However, the CPS is moving into a world where all cases will be prosecuted using an electronic file. 17. The DSU issue guidance on the physical security requirements for CPS offices in order that paper files held in offices are appropriately protected. CPS has a national contract with a file storage company which includes the CPS security requirements with regard to its paper files. Information Asset Owners (IAOs) 18. Each CPS Area and Directorate has an IAO; this is usually the Chief Crown Prosecutor or the Head of Directorate. The IAO is responsible for fostering a culture that protects information, knowing what information the assets hold, knowing who has access to these assets and why and understanding and addressing any risks to the assets. Information Asset Register 19. The Information Commissioner s Office audit of the CPS in May 2011 highlighted the need for the CPS to have an Information Asset Register (IAR); in addition to this the Government s Security Policy Framework (SPF) mandates that all information assets should be identified and valued, in terms of the impact from loss of confidentiality, integrity and availability. 20. The key purpose of the IAR is to document the links between our assets and business requirement; to identify what data we hold and that it is held securely. Each asset will have an Information Asset Owner (IAO), who will be responsible for that collection of information its storage, sharing, retention and archiving. 21. Once completed, sections of the IAR will be made publicly available via the CPS website in keeping with the Government s transparency agenda. Information Management Advisor (IMA) role 22. IMAs, under the direction of the IAO, are responsible for the implementation of information management within their Area or Directorate. IMAs issue local instructions and manage information management processes locally. 23. There are regular training sessions for IMAs organised by the DSU and the IMU which cover, amongst other things, data protection compliance and security. Version 5.0 5

6 Other processing done by CPS Areas/Directorates 24. This section will cover the main processing operations across the CPS other than in criminal cases. 25. There is a page on the Infonet on data protection which includes a Data Protection Compliance Guidance for Staff. 26. The HR Directorate processes personal data relating to all staff. The Finance Directorate process personal data relating to staff, to counsel, to contractors and to victims and witnesses in connection with expenses. Sharepoint (also known as KIM) and other IT systems are used for this processing. KIM is a successful aspect of the T3 programme which has enabled the CPS to carry out more work electronically. There are a number of KIM-based systems used; each one has been through an assurance process. The person developing the KIM site is taken through inbuilt decision making processes and an approach to development of the new site is recommended based upon their answers. 27. Furthermore, the CPS is committed to carrying out a Privacy Impact Assessment (PIA), in line with Cabinet Office and ICO guidance, on all new ICT systems. Broadly speaking a Privacy Impact Assessment (PIA) is a process which helps assess privacy risks to individuals in the collection, use and disclosure of information. PIAs help identify privacy risks, foresee problems and bring forward solutions. A PIA will also identify data protection compliance liabilities for the CPS and protect the CPS's reputation. 28. For some smaller scale systems a Data Protection Act Compliance Check will be carried out. This aims to assist the organisation proposing change to investigate whether the personal information aspects of their project comply with the data protection principles in Schedule 1 of the Act. 29. There is a questionnaire on the CPS Infonet for staff to complete when a new system is being implemented. The information provided on this questionnaire is sent to the IMU to consider whether a PIA is necessary or a Data Protection Act Compliance check will suffice. No new system can be fully implemented without this assessment. The questionnaire is available on the Infonet: %20Compliance/NewForm.aspx?Source= /Lists/KIM%2520Data%2520Protection%2520Compliance/overview.aspx Retention of personal information 30. The CPS has a retention schedule contained in the Records Management Manual. This manual is available to all staff on the Infonet. The CMS referred to above, which is used for managing cases, has built in retention periods depending on the type of case; electronic case related material is therefore automatically deleted. 31. Areas and Directorates across the CPS are responsible for ensuring that their paper records are managed and destroyed in line with the retention schedule. Version 5.0 6

7 32. The CPS also has a policy for the removal of personal information from its website. This document is itself available on the website: Access rights 33. The CPS has a centralised unit that manages requests made under the Act. Requests made under the subject access right are known as subject access requests (SARs) and are all dealt with by the IMU. 34. The CPS has in place an informal access route for staff to view their personnel file. Staff can contact their local HR Advisor in order to arrange to view their personnel file without having to make a formal request under the Act. 35. Requests for personal data from criminal case files for specific purposes, such as in connection with legal proceedings or for the purposes of decisions made by regulatory bodies, are dealt with by the relevant CPS Area in line with the Disclosure of Material to Third Parties legal guidance: aspx?&chapterid=141 Sharing personal data 36. The CPS is committed to setting up Data Sharing Protocols where personal data is regularly being requested from other organisations. A Data Sharing Protocol enables the CPS to consider whether the processing is necessary, ensure it is done in line with the Act and to set out the type of information being shared and the responsibilities of the organisations involved. 37. Guidance is available to all staff on the Infonet regarding when a Data Sharing Protocol should be considered. The IMU will work with the Area or Directorate and the other organisation(s) involved to draft a protocol. Information Security 38. A large proportion of the information the CPS processes is sensitive personal data as defined in section 2 of the Data Protection Act 1998; it therefore requires extra protection. 39. The CPS ICT systems provide access to a wide range of sensitive information which the Department has a duty of care to handle appropriately and securely. Given the sensitivity of data and the potential impact upon CPS reputation all staff have a responsibility to protect the information the CPS processes and the systems and equipment the CPS uses. 40. There is a dedicated page on the Infonet to all aspects of ICT security and general data handling setting passwords, working on a laptop, blackberry or mobile phone policy and using the internet. 41. Information is vital to the CPS and it is important we work securely and protect it. There is a page on the CPS Infonet dedicated to general security advice and CPS policies on non-ict matters such as post handling, handling protectively marked material and serving evidence on CD/DVD. Version 5.0 7

8 42. Staff must report any security incident. There is a Security Incident Policy and this must be followed should a security incident happen. A security incident is defined in general terms as the compromise of confidentiality, integrity and availability of CPS assets. 43. Security incidents may include a range of situations which could lead to damage, such as operational effectiveness, harm to reputation both organisationally and personally and in the most extreme cases can lead to prejudice of national security, result in crime and even endanger lives. All security incidents, or potential incidents, are taken seriously and investigated in a swift and proportionate manner. 44. Failure to report a security incident could result in disciplinary action. Any queries in relation to the incident reporting process should be directed to the DSU: Departmental Security Unit Mailbox: 45. It is a mandatory requirement that staff using specific IT applications which contain case related information undertake specific training prior to its use. This ensures staff are aware of the sensitivity of the information contained on these systems and know how to use it appropriately. Protecting Information Learning Module 46. All CPS staff are required to do the Protecting Information learning module (level one) and this is now included within staff induction programmes. In addition to the level one training course IAOs and senior managers must also complete the level two of the Protecting Information module. 47. This module covers the handling, sharing and management of information. Staff are required to achieve a pass mark of 80%. Review 48. This policy was produced in September 2012 and will be routinely reviewed every two years. It will be updated as and when required by developments in data protection and security. Version 5.0 8

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