{{org_field_logo}}

{{org_field_name}}

Registration Number: {{org_field_registration_no}}

---

Managing Data Breaches Policy

In line with Care Inspectorate Scotland guidance

1. Introduction

Protecting personal and confidential information is of paramount importance in our Home Care Service. This Managing Data Breaches Policy explains how we identify, respond to, and report any breaches of personal data, in accordance with the UK General Data Protection Regulation (UK GDPR), the Data Protection Act 2018 (“[SC2]”), and relevant Care Inspectorate Scotland regulations and standards (“[SC1]”).

Our goal is to ensure that if a data breach does occur, it is managed promptly and effectively, safeguarding the privacy and trust of the individuals we support, our employees, and any other stakeholders.

2. Purpose

This policy outlines our approach to:

• Recognising and reporting data breaches swiftly and accurately.
• Containing and investigating the breach to minimise its impact.
• Notifying affected parties and relevant authorities as required by law.
• Learning from the breach to prevent recurrence.

By following these steps, we comply with our legal obligations and maintain high standards of data governance, in line with both the Health and Social Care Standards and wider data protection legislation.

3. Scope

This policy applies to:

• All staff (including employees, contractors, agency workers, and volunteers) who handle or access personal data.
• All types of personal data, whether stored electronically (e.g., on computers, smartphones) or physically (e.g., paper records, files).
• All systems used by our Home Care Service, including internal databases, emails, messaging applications, and cloud-based solutions.

4. Definition of a Data Breach

A data breach is any security incident that leads to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to personal data. This includes, but is not limited to:

• Loss or theft of devices (e.g., laptops, mobile phones, USB drives) containing personal information.
• Email sent to the wrong recipient, revealing personal information.
• Hacking or malicious software attacks on data storage systems.
• Unauthorised access to physical records or electronic systems.
• Human error, such as misplacing paper records in an unsecured location.

5. Immediate Response to a Suspected Breach

5.1 Recognising a Breach

All staff must be vigilant in spotting potential data breaches. Examples include receiving an email attachment containing personal data meant for someone else, or discovering that sensitive documents are missing or have been accessed without proper authorisation. Staff should:

1. Stop and assess the situation immediately.
2. Notify their line manager or the designated Data Protection Lead as soon as possible.

5.2 Containment and Recovery

Once a breach is suspected or identified, the key priority is to contain it and minimise any harm. Actions may include:

• Disconnecting or isolating compromised devices or systems from the network.
• Retrieving misdirected emails, letters, or records if possible.
• Securing physical files in locked cabinets or sealed storage areas.
• Temporarily suspending user accounts or changing passwords if unauthorised access is suspected.

The Data Protection Lead (or assigned manager) coordinates the immediate actions necessary to reduce risk and prevent further damage.

6. Internal Reporting and Investigation

6.1 Reporting Channels

• Staff must report any potential or actual data breaches immediately to their line manager and to the Data Protection Lead.
• The Data Protection Lead will ensure that the incident is logged in the Data Breach Register with the following details, where applicable:
  • Date and time of discovery
  • Nature of the personal data involved
  • Potential number of individuals affected
  • How the breach was detected
  • Initial containment measures taken

6.2 Investigation Process

The Data Protection Lead or another senior manager will oversee a thorough investigation, which may include:

1. Gathering Evidence: Reviewing logs, checking device access, examining relevant emails or documents.
2. Assessing Risk: Determining who may be affected and the potential harm (e.g., financial, reputational, emotional distress).
3. Identifying Causes: Pinpointing how the breach occurred (e.g., system vulnerability, human error, malicious attack).
4. Deciding on Further Steps: Determining the notifications required and any additional security measures to be implemented.

The findings from the investigation are documented and used to shape lessons learned.

7. Notification and Escalation

7.1 Reporting to Authorities

Under the UK GDPR, there is a legal duty to notify the Information Commissioner’s Office (ICO) of a data breach that is likely to result in a risk to the rights and freedoms of individuals.

• The Data Protection Lead will assess whether the breach meets the threshold for reporting to the ICO.
• If required, the breach must be reported to the ICO within 72 hours of becoming aware of it.
• We will cooperate fully with any subsequent ICO inquiries.

7.2 Informing Affected Individuals

Where the breach results in a high risk to the rights and freedoms of individuals (e.g., risk of identity theft or financial loss), we will inform affected individuals directly and without undue delay, explaining:

• The nature of the breach and the data involved.
• Recommended steps they can take to protect themselves (e.g., changing passwords, monitoring accounts).
• How we are handling the breach and who they can contact for more information.

7.3 Communication with the Care Inspectorate

If the breach significantly impacts the individuals we support or the operation of our service, we will also notify the Care Inspectorate Scotland, as they may need to verify how we are managing the breach and protecting the people in our care.

8. Post-Breach Actions and Preventative Measures

8.1 Lessons Learned

After the investigation is complete and notifications have been made where necessary, the Data Protection Lead and senior management will:

• Review Policies and Procedures: Update or amend existing data protection, cybersecurity, or record-keeping procedures if they contributed to the breach.
• Train or Retrain Staff: Provide refresher training or targeted guidance to prevent similar breaches in the future.
• Implement Technical Controls: Enhance system security (e.g., installing updates, improving encryption, reinforcing firewalls) where appropriate.

8.2 Documentation

We maintain a Data Breach Register to record all breaches, both confirmed and suspected. This register is reviewed regularly to identify patterns or repeated issues. Care Inspectorate inspectors and the ICO may request access to these records to ensure compliance.

9. Staff Guidance and Responsibilities

9.1 Training and Awareness

We ensure that:

• All staff receive initial and ongoing training regarding data protection, information governance, and recognising data breaches.
• Refresher courses are offered periodically and after any serious breach.
• Specialist training is provided to those in roles with higher data risk (e.g., administrators, managers).

9.2 Individual Obligations

Every staff member is responsible for safeguarding personal data in their possession or under their control. They must:

• Adhere to password policies and device encryption where required.
• Secure records and files, both physically and electronically.
• Report any suspected or actual data incidents promptly.
• Only access or share personal data if authorised and it is necessary for their role.

10. Monitoring and Compliance

10.1 Policy Review

Senior management reviews this policy annually or sooner if there are major legislative or regulatory changes. Any updates will be communicated to staff and relevant stakeholders to maintain our high standard of compliance.

10.2 Audit and Assurance

We carry out regular internal audits of our data handling processes and systems to ensure ongoing adherence to this policy.

---

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.