Quick Guide to UK GDPR, Marketing and Cookies

January 2024

How UK GDPR and PECR go hand-in-hand

Most have heard of GDPR. However, data protection law existed way before this new kid arrived on the block in 2018. And let’s not forget in the UK, GDPR has an equally important cousin called PECR.

The UK’s Privacy and Electronic Communications Regulations (PECR) have been around since 2003 before the days of smartphones and apps. Organisations need to consider both UK GDPR and PECR when it comes to marketing and cookies.

Why marketers need to pay attention

There are more fines issued by the Information Commissioner’s Office (ICO) for falling foul of the PECR marketing rules than there are under UK GDPR. Under UK data reform plans, the amount the Regulator can fine under PECR could be set to increase substantially to a maximum of around £17 million. Currently the maximum fine under PECR is £500k. So it’s worth taking notice.

This is a quick overview, and we’d encourage you to check the ICO’s detailed marketing guidance and cookie guidance.

What’s the difference between UK GDPR and PECR?

In a nutshell…

UK GDPR

✓ Tells us how we should handle personal data – information which could directly or indirectly identify someone.
✓ Sets out requirements organisations need to meet and their obligations.
✓ Provides us with seven core data protection principles which need to be considered whenever we handle personal data for any purpose, including marketing.
✓ Defines the legal standard for consent, which is relevant for direct marketing
✓ Gives people privacy rights, including an absolute right to object to direct marketing.

One of the principles is that processing of personal data must be lawful, fair and transparent. This includes making sure we have a lawful basis for our activities.

PECR

✓ Sets out specific rules for marketing to UK citizens, for example by emails , text messages or conducting telemarketing calls to UK citizens.
✓ Sets out specific rules when using cookies and similar technologies (such as scripts, tracking pixels and plugins).

PECR is derived from an EU directive, and EU countries have their own equivalent regulation which, whilst covering similar areas, may have different requirements, when marketing to their citizens.

We’ve written about the specific rules for email marketing and telemarketing here:
UK email marketing rules
UK telemarketing rules
The ‘soft opt-in’ – are you getting it right

How do UK GDPR and PECR work together?

Direct marketing

Marketers need to consider the core principles of UK GDPR when handling people’s personal information. Furthermore, they need to have a lawful basis for each data activity. Of the six lawful bases, two are appropriate for direct marketing activities; Consent and Legitimate Interests.

Consent: PECR tells us, for certain electronic marketing activity, we have to get people’s prior consent. UK GDPR tells us the standards we need to meet for this consent to be valid. Consent – Getting it right

Legitimate interests: If the types of marketing we conduct don’t require consent under PECR , we may choose to request consent anyway, or we could rely on legitimate interests. For example, marketing to business contacts rather than consumers.

Under GDPR, we need to be sure to balance our legitimate interests with the rights and interests of the people whose personal information we are using – i.e. the people we want to market to. ICO Legitimate Interests Guidance 

What about cookies?

PECR requires opt-in consent for most cookies or similar tech, regardless of whether they collect personal data or not. And we’re told this consent must meet the UK GDPR standards.

In simple terms, the rules are:

✓ Notify new users your website/app users about your use of cookies or similar technologies and provide adequate transparent information about what purposes they are used for.
✓ Consent is required for use of cookies, except a narrow exclusion for those which are ‘strictly necessary’ (also known as ‘essential’ cookies).
✓ Users need to be able to give or decline consent before the cookies are dropped on their device and should be given options to manage their consents at any time (e.g. opt-out after initially giving consent).

Our data, tech and the app-ocalypse

January 2024

In 2013, after Edward Snowden leaked thousands of secret files, the Kremlin’s security bureau did something interesting. They swapped computers for manual typewriters. Russian spooks reasoned hard copies were easier to protect than digital files. Furthermore, hackers might be able to infiltrate sensitive systems, but the old-school art of safe-cracking? It seemed to have fallen by the wayside.

As I get older, I’m beginning to think the Kremlin might have been onto something. Why?

Maybe it’s a generational issue. I’m Gen ‘X’. I grew up without mobile phones or the internet, but became familiar with the technology as it developed from the 1990s onwards. I enjoy technology. I respect it. I’m also, however, sceptical in a way many of my Millennial and Gen ‘Z’ colleagues may not be.

For me it boils down to two concerns – trust and over-reliance . Given how there’s now an app for everything, I have to ask – is the App-ocalypse Nigh ? What happens to the increasingly personal and intrusive levels of personal data entered into these ‘everything apps’.

Just because data’s aggregated into zeros and ones, it doesn’t mean it’s ‘tidy’. In fact, I suspect too many digital ‘data warehouses’ resemble the hoarder’s houses you might have seen on daytime TV, with stuff scattered everywhere.

It’s not just apps – the endless requirement to populate online forms is relentless. Now I hear more ‘frictionless facial recognition’ is planned at airports in the UK and elsewhere. And it’s making me uneasy. Technology is wonderful for creating efficiencies and streamlining processes. In my world alone, I see how clever privacy technology solutions ease the burden of data protection compliance.

But is technology always wonderful? Why am I uneasy?

An example – I needed to renew my driving licence. I went on to the Government website and duly entered a great deal of sensitive data. This included my passport number, my mother’s maiden name, my date of birth, my home address and my National Insurance number. This started me thinking… ‘How secure is this platform? What are the Government really doing to prevent my data falling into malicious hands?’

At the other end of the scale, I needed to reschedule a beautician’s appointment (much needed after eating my body weight in chocolate and cheese over Christmas). My call was met by a recorded message. I duly pressed ‘2’ to cancel/change an appointment. I was then informed I must (yes, they did say must) download the app to cancel/change appointments. A look at the app’s privacy information didn’t fill me with confidence, so I rang again, selecting ‘3’ for all other enquiries. After ten minutes of listening to promotions about fantastic rejuvenating treatments, I gave up. What if I prefer not to be forced to register and share my personal details via your app? I’m getting a face treatment, not applying for a pilot’s licence!

At this point, a shout out to the Kennel Club’s customer service. I took out their insurance for my puppy this year. They’re great. I’ve had to call twice, and each time a prompt pick-up from a lovely human. Somewhat of a rarity these days.

I recently read EasyPark Group, the owner of brands like RingGo and Park Mobile, were hacked. Yes, like many others I have RingGo. I was forced to download the app to use a station car park – there was no choice. I also have other parking apps. Oh the joys of standing in the rain in a car park trying to download yet another parking app. Handing over my data to yet another company. Will these companies protect it? What security measures and controls do they have? Did they conduct a DPIA? Was it outsourced to an app developer, possibly outside the UK/EU? Did they do any due diligence?

As well as my fears around data, I also worry for the significant minority disenfranchised by the widescale embrace of what my colleague Simon calls the ‘Mobilical Cord’. It’s so very true – I’m unable to properly function without my smartphone implanted in my paw. I use it to access the internet, my emails, messages, banking and so on. It’s also a crucial part of our company security – to authenticate I am really me.

The 2021 UK Census showed 90% of households had a home computer. 93% had access to a mobile phone. I suspect it’s higher now, but it’s still not everyone. As of 2023, according to research by Statista 98% of 16-24 year olds have a smartphone. However, this drops to 80% for the over 65s. Less tech-savvy and particularly the elderly are being left behind. My mother is 84. I got her a smartphone, but she hates it and doesn’t understand it. Apps? An enigma. She’s also terrified of online scams, knowing how the elderly are disproportionately targeted.

So, now we also face the prospect of passport-free travel. UK Border Force is set to trial an e-gate schemes similar to those rolled out in Dubai and Australia. This negates the need to show a passport, instead using facial recognition technology (FRT).

Phil Douglas, the Director General of Border Force has said “I’d like to see a world of completely frictionless borders where you don’t really need a passport. The technology already exists to support that.” He added: “In the future, you won’t need a passport – you’ll just need biometrics.”

According to the Times the biometric details of British and Irish travellers are already held after being collected in the passport application process. What does Phil Douglas feel about our personal biometrics being potentially harvested by countries with dodgy human rights records?

Too many people will shrug – an end to lengthy queues? Yes please. But who controls my facial map? How will it be used? Will it be shared? How will it be kept secure? Facial recognition tech also raises issues of bias in algorithms, and the potential for mistakes, with serious consequences.

I suspect, one day, there’ll be the kind of disaster one sees in movies, where the Internet collapses for a significant period. What then? I also wonder if, eventually, ambulance-chasers will identify companies using apps to disproportionately harvest data – and playing fast and loose with the safeguards set up to protect us. Will this become the next big Personal Indemnity Insurance (PII) style business opportunity?

What I do know is businesses who put all their eggs in one basket without contingencies, or fail to anticipate risk, are those likeliest to suffer when the app-ocalypse (however it manifests itself) is nigh!

Now, did I mention AI…?

The three foundations of good data governance

January 2024

People, processes and technologies

Creating a clear data governance strategy is crucial to making sure data is handled in line with your organisation’s aims and industry best practice.

Data governance is often thought of as the management process by which an organisation protects its data assets and ensures compliance with data laws, such as GDPR. But it’s far broader than compliance. It’s a holistic approach to data and should have people at its very heart. People with defined roles, responsibilities, processes and technologies which help them make sure data (not just personal data) is properly looked after and wisely used throughout its lifecycle.

How sophisticated your organisation’s approach needs to be will depend on the nature and size of your business, the sensitivity of the data you hold, the relationships you have with business partners, and customer or client expectations.

Benefits of good data governance

There are many benefits this activity can bring, including:

  • Minimising risks to the business, your employees, customers and suppliers
  • Giving your people clarity around expected behaviours and best practices
  • Embedding compliance requirements

A strong data governance approach can also help an organisation to make the most of their data assets, improve customer experience and benefits, and leverage competitive advantage.

Data governance – where to start?

There are three foundational elements which underpin successful data governance – People, Processes and Technologies.

Data governance people processes technologies

People

Engaging with stakeholders across the organisation to establish and embed key roles and responsibilities for data governance.

Many organisations look to establish a ‘Data Ownership Model’ which recognises data governance is an organisational responsibility which requires close collaboration across different roles and levels, including the delegation of specific responsibilities for data activities.

Here’s some examples of roles you may wish to consider:

  • Data strategy lead – such as Chief Data Officer / Chief Digital Officer
  • Data protection lead – such as Data Protection Officer (DPO), if you have one
  • Information security lead – such as Chief Information Security Officer (CISO) or Chief Technology Officer
  • Information asset owners (or data owners) – leaders of business functions / teams which collect and/or use personal data for particular purposes. Such as HR, Marketing & Sales, Finance, Operations, and so on.
  • Data specialists – heavy users of complex datasets, such as data analysts and data scientists.
  • System owners – the people who manage the key systems which hold personal data, such as IT managers.

Processes

Think about all the processes, policies, operating procedures and specialist training provided to guide your employees and contractors to enable them to handle data in line with your business expectations – as well to comply with the law. For example:

Without these in place and regularly updated, your people can’t possibly act in the ways you want and expect them to.

In my experience, success comes from keeping these items concise, and as relevant and engaging as possible. They can easily be forgotten or put in the ‘maybe later’ pile…  a little time and effort can really pay dividends!

Technologies

The technologies which underpin all data activities across the data lifecycle. For example, your HR, marketing & CRM, accounting and other operational systems you use regularly. Data governance requires those responsible for adopting technologies to ensure appropriate standards and procedures are in place which ensure appropriate:

  • Accessibility and availability standards
  • Data accuracy, integrity and quality management
  • Privacy and security

Looking at privacy technology in particular, the solutions available have really progressed in recent years in terms of both their capability and ease of use. Giving DPOs and others with an interest in data protection clear visibility of where the risks lie, help to prioritise them and pointers to relevant solutions. They can also help provide clear visibility and oversight to the senior leadership team.

The ‘Accountability Principle’

Data governance goes hand in hand with accountability – one of the core principles under GDPR. This requires organisations to be ready to demonstrate the measures and controls they have to protect personal data and in particular, show HOW they comply with the other data protection principles.

Appropriate measures, controls and records need to be in place to evidence accountability. For example, a Supervisory Authority (such as the ICO) may expect organisations to have:

  • Data protection programme, with clear data ownership & governance and regular reporting up to business leaders
  • Training and policies to guide staff
  • Records of data mapping exercises and processing reviews, such as an Information Asset Register and Record of Processing Activities
  • Risk assessments, such as Data Protection Impact Assessments and Legitimate Interests Assessments
  • Procedures for handling of individual privacy rights and data breaches
  • Contracts in place between organisations which include the relevant data protection clauses, including arrangement for restricted international data transfers
  • Data sharing agreements

Ready to get started?

If you’re keen to reap the benefits of improved compliance and reduced risk to the business, the first and crucial step is getting buy-in from senior leadership and a commitment from key stakeholders, so I’d suggest you kick-off by seeking their support.

Managing the right to erasure

November 2023

Ten tips to tackle erasure requests

What data should you erase? When can you refuse? And, on a technical level, how do you make sure everything is actually deleted, especially if held on multiple systems?

Fulfilling people’s privacy rights aren’t easy, and GDPR’s Right to Erasure can raise complex challenges. Add to this the tight timeframe to action requests, or bulk requests from third parties, and it can turn into a bit of a minefield.

We’ve got some tips to help navigate around the quicksand. But first, a little refresher on what the Right of Erasure means.

What is the Right to Erasure?

As the name suggests, a person has the right to request their personal data is erased from your systems if you’ve no longer have a compelling reason to keep it.

You may hear it referred to as the ‘Right to be Forgotten’. This stems from a decision in 2014 by the Court of Justice of the EU which recognised the right of EU citizens to request the removal of links to personal information on search engines.

GDPR took this ruling a step further and enshrined a broader right into EU law, taking it beyond the context of publicly available personal information. Under the post-Brexit spin-off, UK GDPR the right remains the same.

People have the right to submit an erasure request to any organisation operating within the UK/EU or organisations in other territories which handle the data of UK/EU citizens. It’s not an absolute right, and there are circumstances in which it can be denied.

When does the right to erasure apply?

You need to fulfil a person’s request for erasure in the following circumstances;

  • It’s no longer necessary for the organisation to hold onto the personal data of an individual for the purposes it was collected
  • They gave you their consent and now wish to withdraw this consent
  • You’re relying on legitimate interests as your lawful basis to handle their data, they object to this, and you have no compelling and overriding legitimate interest to continue
  • They gave you their details for direct marketing purposes and no longer want to receive communications. (You are permitted to keep a minimised record on a suppression file).
  • You’re fulfilling a legal ruling or legal obligation to erase the data
  • You’re processing a child’s data to provide information services (i.e. online services)
  • You’re handing their data unlawfully

The last point, a general ‘catch-all’, is a tricky one to balance, as there may be many reasons why personal data could be processed unlawfully.

For example, the handling of personal data might be considered unlawful if it’s inaccurate, or if necessary information about your processing has not been provided in a privacy notice.

When can you refuse an erasure request?

The right to erasure doesn’t apply when you’re holding personal data for the following reasons:

  • to exercise the right of freedom of expression and information
  • to comply with a legal obligation
  • for the establishment or defence of legal claims
  • to perform a task carried out in the public interest or when exercising and organisation’s official authority
  • for public interest in the area of public health
  • for archiving purposes in the public interest, scientific or historical research or statistical purposes (where erasure would make this impossible or seriously impair your objectives)

Under UK GDPR there are two specific circumstances where the right to erasure doesn’t apply to special category data. Further information about these exemptions can be found in the ICO erasure guidance.

It’s also important to consider whether you have a contract in place with the individual, which requires the processing of their data, and the impact on this of the erasure request.

There may also be grounds for a refusing a request where you can justify it’s manifestly unfounded or excessive. See the ICO’s guidance on exemptions.

If you refuse to comply with a request, you must explain why and tell the individual they have the right to raise a complaint with the ICO (or other relevant supervisory authority).

There are many variables at play; each request needs to be assessed on a case-by-case basis. This is where the devil really is in the detail.

10 tips for handling erasure requests

1. Awareness

Someone can request their data is erased, either in writing or verbally. They might make this request to anyone in your organisation. So, everyone needs to know how to recognise this type of request, what to do if they receive one, who to direct it to and so on.
Awareness campaigns, training and easy-to-understand policies all play their part in getting key messages across to all staff.

2. Identity verification

You clearly don’t want to delete someone’s details unless you are absolutely sure they are who they say they are. Sometimes this will be obvious, but in other circumstances you’ll need to ask for verification of identity. However, if the deletion would have no negative impact on the individual, for example they are only on your marketing lists, you may feel asking for proof of identification is unnecessary.

When asking for proof of id only ask for the minimum amount of information necessary to confirm identity. Don’t accumulate more information such as copies of passports or driving licences, unless it’s justified, and remember to delete these too!

If a request is received via another organisation, make sure this third party definitely has the authority to act on behalf of the individual in question. The responsibility lies with the third party to provide any necessary evidence to prove this. Bear this in mind if you’re the third party!

3. Technical measures

Your customers might think deleting their data is as simple as clicking a button. If only it were that easy!

It can be difficult to locate, identify, assess and properly delete data – especially if it’s held on many different systems. You might hold records on emails, backed-up systems, on the cloud… all must be deleted.

Make sure your systems, applications and databases allow the easy identification and deletion of individuals. You may also need to assess the implications of deletion; it can impact on how different software works.

This is where the concept of Data Protection by Design really supports businesses. If from the outset of any new project or initiative you make sure you factor in managing individual data rights, it will make life much easier in the long run.

It’s worth reiterating – the right to erasure extends to deleting data from backups. However, the ICO recognises the inherent difficulties here and says, “the key issue is to put the backup data ‘beyond use’, even if it cannot be immediately overwritten.”

4. Timeline

You don’t have long to comply with requests, so keeping track of time is crucial. The request must be actioned without ‘undue delay,’ and in any case within one calendar month of receiving it.

You may be able to extend this by up to two months if it’s particularly complex. If you need to extend, make sure you tell the individual before the first month is up, giving them clear reasons for the delay – reasons you must be ready to explain to the regulator if necessary.

5. Who else holds their data?

The right to erasure doesn’t just apply to the records your organisation holds. You’re also expected to tell other organisations to whom you’ve disclosed the personal data.

Having a clear understanding of all your suppliers, any other organisations you share personal data with, means you can efficiently contact them and inform them of erasure requests.

You don’t have to do this if it would prove impossible or involves disproportionate effort. (But again, you must be able to justify this is the case).

6. Public domain data

The Right to Erasure also applies to personal data which has been made public in an online environment (‘The Right to be Forgotten’).
You need to be ready to take reasonable steps to inform other organisations who are handling the personal data; asking them to erase links to, copies of, or replication of the data.

What’s ‘reasonable’ will depend on available technology and the cost of implementation. This expectation scales with size; the bigger your organisation and the more resources you have, the more you’ll be expected to do.

7. Children’s specific rights

Children have special protection under data protection law, and the right to erasure is particularly relevant when a child has given their consent (or their parent/guardian) and at a later stage (even when they’re an adult) want their personal information removed, especially if it’s available on the internet. Baking in the ability to delete children’s information from the start is crucial.

8. Exemptions

It’s helpful to have a clear checklist of the exemptions that might apply. They don’t all apply in the same way, so be sure to examine each exemption on a case-by-case basis. The ICO exemptions guide is a good starting point.

9. Maintain a log

How do we delete someone, but also prove we have done it? Feels ambiguous doesn’t it?

You’re allowed to keep a log of erasure requests, actions taken and justifications for these. You need to do this to demonstrate compliance.
However, be sure to make sure this is kept securely and only keep the minimum amount of information necessary. I know some organisations who’ve taken the step of making sure this log is pseudonymised for extra protection.

10. Minimisation and retention

The right to erasure (and indeed other privacy rights, such as DSARs) can be less complex if we try to stick to two of the core data protection principles; data minimisation and data retention (storage limitation).

By collecting less data in the first place, using it in limited ways and only keeping it for as long as we need it, means there’s less data to trawl through when we get a request to delete it.

Sounds simple, less easy in practice, but worth the effort. Data retention guide

UK telemarketing rules

November 2023

How to avoid falling foul of the rules for marketing calls

Hardly a month goes by without the UK’s Information Commissioner’s Office (ICO) fining another company for breaking the telemarketing rules under the Privacy and Electronic Communications Regulations (PECR).

I’m sure all of us have been on the receiving end of a dodgy call. The favoured have you recently been involved in an accident? springs to mind.

Tackling nuisance calls is clearly a key priority for the Regulator, so how do bone fide businesses avoid being tarred with the same brush as the rogue operators?

6-point telemarketing guide

1. Service vs marketing calls

The definition of direct marketing covers any advertising or promotional material directed at particular individuals. Routine customer service calls don’t count as direct marketing.

But if you’re treating a call as a service call (and not applying the marketing rules under PECR) you need to be careful the script / call guide and what your call handlers say in practice doesn’t stray into the realms of trying to get customers to buy extra products, services or to upgrade or renew contracts.

A Trade Union was fined in 2021 for not screening numbers against the TPS. The Union didn’t believe its calls were direct marketing, but the ICO judged they were. Just because you believe you’re acting in good faith doesn’t mean you are. Marketing messages and service messages

2. Consent or Legitimate Interests?

Telephone numbers which can directly or indirectly identify an individual are personal data and fall under the scope of UK GDPR. For example, when using someone’s personal or work mobile, direct line business number or home landline you’ll need to comply with both UK GDPR and PECR.

You’ll need to decide whether to rely on consent or legitimate interests as your lawful basis under UK GDPR to make telemarketing calls to people. In brief:

  • Consent: make sure this meets the requirement to be a specific, informed, unambiguous indication of someone’s wishes made with a positive action (e.g. an opt-in). Keep records of consent (including, if relevant the script used) and make sure withdrawing consent is as easy as it is to give it. Consent – getting it right
  • Legitimate Interests: conduct a Legitimate Interests Assessment (LIA), keep a record of this assessment and be sure to provide people with a way to opt-out of future calls. Legitimate interests – is it legit? 

3. Live marketing calls to individuals

Below are the key rules to follow:

  • Don’t make marketing calls to anyone who’s told you they don’t want to hear from you. Keep a suppression file of all objections to telemarketing, and screen your campaigns against this internal ‘do not call list’.
  • Don’t make marketing calls to anyone registered with the Telephone Preference Service, unless you’ve collected consent to call them.
  • Say who’s calling – i.e. clearly state the name of your organisation.
  • Always display your number (or an alternative contact number).
  • Provide an address or freephone contact number if asked.
  • Make it easy to opt-out of further calls.

4. Remember sector specific rules

Stricter rules apply if you’re making calls about claims management or pension schemes. For claims management services you must have consent. For calls about pension schemes, you must have consent unless:

  • You are a trustee/manager of a pension scheme; or
  • A firm authorised by the Financial Conduct Authority; or
  • Your relationship with the individual meets strict criteria.

5. Automated calls

When using automated dialling systems which play a recorded message the rules are very strict. You must have:

  • Specific consent from individuals indicating they’re okay to receive automated calls; and
  • Calls must include your organisation’s name and contact address or freephone number; and
  • You must display your number (or alternative contact number).

In practice, these consent rules make genuine compliant automated calls very difficult.

6.  Marketing/sales calls to business numbers

The rules under the UK’s PECR are the same for calling businesses as they are for individuals.

  • You can call any business that has specifically consented to your calls. Or, and most commonly…
  • You can make live calls to any business number which is not registered with the TPS or the Corporate Telephone Preference Service (CTPS). But only if they haven’t objected to your calls and you’re not calling about claims management services.

The reason screening against both TPS and CTPS is necessary (if you don’t have consent), is sole traders and some partnerships may have registered with the TPS.

Applicable laws for telemarketing

PECR gives us the rules for telemarketing calls in the UK and the ICO has published telemarketing guidance. As well as complying with PECR you should comply with UK GDPR for your handling of personal data.

The rules differ in other countries, so check local laws if your telemarketing extends to calling people in other territories. Many countries have a ‘do not call’ register similar to the Telephone Preference Service.

There are also specific rules under PECR for email marketing messages, see UK email marketing rules.

3 steps to decide your data retention periods

November 2023

How to start tackling data retention

Both UK and EU data protection law requires organisations to not keep personal data any longer than necessary for the purpose(s)s the data is processed for. Sounds simple, doesn’t it?

In practice, it’s one the most challenging areas of the law to comply with. How do businesses decide on justifiable retention periods? How do they implement retention periods in practice? And, crucially, what are the risks if they get it wrong?

In our experience it’s not uncommon for many businesses to be holding onto unnecessary personal data. So when deciding how long personal data should be kept, it’s helpful to work through the following key steps.

1. Does the law tell us how long to retain certain records?

Sometimes there will be a legal or statutory requirement to retain personal data for certain purposes. This is the easy bit, as you can use this to set retention periods for certain categories of data.

For example, your business may be subject to laws relating to employment and finance which give specific periods when you process people’s data for these purposes.

There may also be a duty to preserve documents for disclosure in legal proceedings that may have started or may be started in future.

2. Are there industry standards, guidelines or known good practice?

In regulated sectors such as finance, health and manufacturing there may be agreed industry standards or agreed professional practices which recommend and/or can justify retention periods. Working to best practice and precedent makes things much easier.

3. What about… everything else?

Okay, you’ve established for certain dataset and what you use that data for, there’s no statutory requirements. Maybe you’ve also no industry standards that apply. What do you do now?

You’ll need to assess what’s necessary, proportionate and reasonable to retain. By its very nature, this is subjective; cases will often turn on their own merits. Ideally, you’ll want to be able to justify retention periods for different datasets.

Here are some of the questions you can ask to try and reach a defensible decision.

  • What are the business drivers for retention?
  • Does the product lifecycle have an effect on retention?
  • Does your approach to pricing have an effect on retention?
  • Can it be evidenced certain data is legitimately needed for a certain amount of time?
  • Do you need to keep personal data to handle queries or complaints?
  • How damaging would it be to the business to delete certain data?

To give an example, I know of a retailer which took the step of carrying out research into how often their customers purchased their products. Due to the sturdy nature of their products, the research clearly showed for many customers there was a gap of 3-4 years between purchases. This analysis was used as justification for retaining customer details for postal marketing longer than perhaps another company might.

What are the risks?

Businesses expose themselves to a number of risks if they keep personal data for longer than necessary, or indeed don’t keep it long enough.

Information security risks

The impact of a data breach could be significantly worse; with a larger volume of records and more people affected. Enforcement action could be more severe if it becomes clear personal data has been kept with no justifiable reason, i.e. a Regulator might deem that older data was unlawfully held. It could also increase the likelihood of complaints from individuals asking why their data was kept for so long.

I once received an email from a major UK brand informing me that my data had been involved in a data breach. My first thought was how on earth does this company still have information about me? I couldn’t remember when I’d last bought anything from them.

Legal risks

Where there’s a statutory requirement for personal data to be retained for a specific period, there’s clearly a risk if records aren’t kept for the statutory period.

Contractual risks

Certain personal data may need to be kept to meet contractual terms; for example to provide a service or warranties. Not keeping certain data long enough may lead to an inability to respond to complaints, litigation or regulatory enforcement.

Customer expectations

Customers expect organisations to be able to respond to their needs. For example, answering queries or responding to complaints. Data about them therefore needs to be kept long enough to meet customers’ reasonable expectations. However, once a reasonable period has elapsed a customer may not expect you to be continuing to hold their details.

All these risks could also result in reputational damage for an organisation which fails to meet its legal obligations, contractual obligations, or their customers’ expectations.

We’d recommend all businesses have a straightforward retention policy and keep a retention schedule. Admittedly these are only the first steps. Actually implementing and deleting data when it comes to the end of its retention period can be the biggest challenge. We’d suggest you review your data at least annually and cleanse.

Using the old adage ‘you can only eat an elephant one bite at a time’, we’d advise focusing on the biggest risk areas. What data represents the biggest risk if you keep it too long?

Our detailed Data Retention Guide is full of further tips, case studies and sample retention schedules.

Legitimate interests: is it legit?

November 2023

5-point legitimate interests checklist

“Legitimate interests is the most flexible lawful basis for processing,
but you cannot assume it will always be the most appropriate.”
UK Information Commissioner’s Office

Legitimate interests is used as a ‘go-to’ lawful basis for a host of business activities; analysis, administration, fraud prevention, network security, prospecting, marketing segmentation and personalisation… the list goes on.

But, just because we could do something with people’s personal data, doesn’t mean we should. The lack of another lawful basis as a ‘good fit’ doesn’t mean we should simply choose legitimate interests and decree it legit!

UK and EU GDPR require organisations to balance their own legitimate interests against the interests of the people whose data is used for a particular activity – and their rights and freedoms. Such business interests can be commercial ones, but they need to be balanced.

Legitimate interests checklist

Here’s a quick reminder of the elements to consider when relying on legitimate interests as your lawful basis.

1. Reasonable expectations

Are you handling people’s personal data in a way they would reasonably expect? If not do you have a very strong justification?

Judging reasonable expectations is objective. Legitimate interests is more likely to apply where you have a relevant and appropriate relationship with the people whose data you’re using. For example, they’re employees, clients or existing customers. Other factors which  play a part in this are how long ago you collected the data, where you sourced the data from and whether you’re using new technology or using data in a way people might not have expected.

2. Assessment

Have you conducted a Legitimate Interests Assessment (LIA)? This 3-part assessment should cover:

  • Identifying a legitimate interest
  • Demonstrating the processing is necessary for your organisation to achieve your objectives
  • Balancing your interests against individual interests, rights and freedoms

Where a case for relying on legitimate interests is clear cut, this needn’t be a complex assessment, but alarm bells should start ringing if what you’re planning to do…

  • isn’t really necessary
  • could be achieved in another less intrusive way
  • would be unexpected or unreasonable
  • may cause harm or distress to those whose data is involved
  • means people are unable to exercise their privacy rights

3. Transparency

Are you open about what you’re doing? Have you fulfilled people’s right to be informed about how their personal data’s being used?

It’s a legal requirement to tell people what processing activities you rely on legitimate interests for. This should be explained in a privacy notice clearly brought to people’s attention. Typically a privacy notice would be on forms where you collect personal data, on your website footer and in the footer of your emails.

4. Right to object

Can you provide people with a clear opportunity to object? If not, can you justify not doing so? For example, you probably wouldn’t give people the opportunity to object to necessary fraud or security checks.

5. Risk assessment?

Does what you want to do involve children’s data? Does it involve special category data (such as health data or biometrics)? Monitoring people on a large-scale? Involve innovative solutions like AI?

For any higher risk activities, it’s likely you’ll need to conduct a Data Protection Impact Assessment in addition to an LIA.

Legitimate interests and marketing

Direct marketing may be a legitimate interest, to paraphrase GDPR Recital 47, but organisations businesses still need to balance their commercial interests, and make sure their marketing doesn’t infringe on the rights and freedoms of individuals.

Crucially, legitimate interests can only be used if consent is not a requirement under eprivacy rules, such as the UK’s Privacy Electronic and Communications Regulations (PECR).

Clearly, it’s difficult to argue direct marketing is in people’s interests, so the ICO recommends focusing on the following factors when conducting a legitimate interest assessment:

  • Would people expect you to use their details for marketing?
  • Would unwanted marketing messages cause a nuisance?
  • Could the method and frequency of communications have a negative impact on more vulnerable people? In simple language, could you be accused of being overly pushy or aggressive?

Most importantly, everyone has an absolute right to object to direct marketing. The ICO says it’s more difficult to pass a balancing test if you do not give people a clear option to opt-out when you collect their details. Or, if the data wasn’t collected directly from them, in your first communication.

Ultimately to genuinely rely on legitimate interests for any purpose, we should be up front and honest about what we are doing, make sure it’s reasonable and give people the chance to say no. Unless we have a strong case for doing otherwise.

DSARs – what are people entitled to receive

October 2023

The Right of Access is a fundamental right under data protection law in the UK and European Union. Other jurisdictions have similar rights for their citizens. Requests are commonly referred to as a Data Subject Access Request – DSAR or SAR.

I often get asked questions about what’s in scope; what are organisations expected to provide in their response to a request? And what can they exclude?

The law tells us people have the right to request a copy of their personal data and other supplementary information from any organisation acting as a Controller.

What is meant by personal data?

Personal data is any information which could directly or indirectly identify the individual. This could include contact details, images, voice and video recordings, demographic information, profiles, order history, marketing preferences, HR records, opinions expressed about the individual, other personal identifiers such as employee number… the list goes on.

What if the individual already has the information?

I am also frequently asked; ‘do we need to provide information they already have or is obvious to them?’ The short answer is, yes. Based on UK case law, organisations can’t refuse to disclose information on the grounds personal data is already known to them. (Case: Lttihadieh v 5-11 Cheyne Gardens, 2017). However, it wouldn’t need to be included if the person has made it clear they don’t want this information.

What is out of scope with DSARs?

  • A DSAR isn’t a right to documentation. Just because someone’s name appears in an email, report or letter doesn’t mean they’re entitled to the whole document, if much of it doesn’t relate to them. It may be easier and relevant to provide full documents, but you would be justified in not doing so. You can extract the necessary information, or redact the irrelevant information.
  • If personal identifiers have been removed from a dataset, and it’s truly anonymised (i.e. the individual cannot be reidentified), it no longer falls under the scope of data protection law.
  • Personal data which is not part (or intended to be part) of a structured filing system is not in scope. For example handwritten notes in a personal notepad where there’s no intention to formally file these notes would not need to be included. However, if for example, employees write notes in ‘day books’ which are intended to be kept as a record of conversations, these would be in scope.

When can we refuse to comply with a request?

Sometimes it may seem obvious to you the individual has an ulterior motive for submitting a DSAR. In general, an individual’s motives shouldn’t affect their right to obtain a copy of their personal data, or the organisation’s duty to respond. Organisations can however refuse to comply with a request, either partially or fully, where they judge it to be manifestly unfounded or manifestly excessive.

A request might be considered manifestly unfounded if, for example, the individual…

  • has no real intention of exercising their right
  • offers to withdraw their request in return for some kind of benefit
  • explicitly states they want to cause disruption
  • makes unsubstantiated accusations or allegations
  • is targeting a specific employee due to a grudge
  • sends regular and targeted requests as part of a concerted campaign

A request might be considered manifestly excessive if it’s clearly or obviously unreasonable or would involve disproportionate effort.

If you rely on either of these grounds be sure to document your decision and the rationale behind it.

How much effort is required?

Organisations are expected to make all reasonable efforts to search, identify and retrieve all the personal data being requested. Regulators would expect systems to be well-designed and maintained so information can be efficiently located (including carrying out searches) and extracted.

The right of access is not new. It was around long before GDPR came into force in 2018, so organisations would be expected to be well prepared to handle requests.

What can be excluded or redacted?

Once all the information relating to the individual has been retrieved, the data collated may include information which doesn’t need to be disclosed. There may be justifiable grounds for excluding information or redacting documents, emails, video recordings and so on.

  • Information relating to others: the person making the request has a right to receive a copy of their personal data, they’re not entitled to personal data about other people. The UK Data Protection Act 2018 confirms you do not need to include certain information if it means disclosing information which identifies someone else, unless the other person has given their consent or it’s reasonable to disclose without the other person’s consent. Remember in many sitiations you may have a duty to protect the identify of others.
  • Confidential information: A duty of confidence may arise when another individual has genuinely shared ‘confidential’ information with the expectation that it remains confidential. Confidentiality cannot be automatically assumed and needs to be assessed on a case-by-case basis. Other information which may also be considered confidential includes, but is not limited to; trade secrets, information made confidential under another law, internal costs or commercial rates, intellectual property and information covered as part of a non-disclosure agreement
  • Other exemptions: The UK’s Data Protection Act 2018 provides a number of further exemptions which may apply depending on the nature of your business and the context of the specific request. These don’t always apply in the same way. Sometimes you might be obliged to rely on an exemption (i.e. it would break another law), other times it will be a choice. Commonly used exemptions include; legal professional privilege, crime and taxation, management information, research and statistics, confidential references and journalism.

The ICO says exemptions should not be routinely relied upon or applied in a blanket fashion. And remember, you may be required to demonstrate how an exemption applies and your rationale for relying on it. The full list of exemptions can be found in Schedule 2, Data Protection Act 2018. Examples of how they apply can be found in the ICO’s guidance.

What other information should be included in a response?

Along with a copy of their personal data, people are entitled to receive other supplementary information. Where this information is clearly available in a Privacy Notice, the UICO says it’s sufficient to provide a link to this in your DSAR response. This supplementary information is as follows:

  • Purpose: your purpose(s) for processing the person’s data.
  • Categories: the categories of personal data you’re processing.
  • Recipients: recipients or categories of recipient you have or will be disclose the personal data to (including recipients or categories of recipients in third countries or international organisations).
  • International data transfer safeguards: the safeguards you have provided where personal data has or will be transferred to a third country or international organisation.
  • Retention: your retention period for storing the personal data or, where this is not possible, the criteria for determining how long you will store it.
  • Other privacy rights: the individual’s right to request rectification, erasure or restriction or to object to processing.
  • Right to complain: the individual’s right to lodge a complaint with a Supervisory Authority, for example in the UK the Information Commissioner’s Office (ICO).
  • Data source: information about the source of the data, if you didn’t collect it directly from the individual.
  • Automated decisions: whether or not you use automated decision-making (including profiling) and information about the logic involved, as well as the significance and envisaged consequences of the processing for the individual;

DSARs can feel a bit of a minefield to the uninitiated and a little daunting if you don’t receive many or suddenly receive your first one. Our DSAR Guide provides more information about how to prepare and fulfil requests. The ICO also has detailed Right of Access Guidance.