Study Guide

Data Protection: UK GDPR and the DPA 2018

The UK data-protection framework, personal and special category data, the seven principles, the lawful bases under current law, controllers and processors, and individuals' rights.

Lesson 5.11 Governance, Risk & Compliance

Almost every organisation holds information about people: staff, customers, learners or patients. UK law sets rules for how that information may be collected, used, protected and deleted. This lesson works out those rules at an introductory level. It is educational, not legal advice.

Stage: Think

Trusting them with it

Think it through

When you give your details to a dentist, a school or a shop, what would you want them to promise about how they use and look after that information?

Show what happens

That they have a proper reason for holding it, hold no more than they need, keep it accurate and safe, do not keep it for ever, and can show that they did all that. Data-protection law turns those expectations into duties.

Think it through

A shop asks for your date of birth to sell you a kettle. What is the obvious question?
Show the answer

Answer: B. Why do you need it?

Why do they need it? Having a proper reason, and holding no more than is needed for it, are among the law’s principles.

Stage: Explain

The UK data-protection framework

Start with what the law is for. When you give your details to a dentist, a school or a shop, you are trusting them with something that can be used to help you or to harm you. Data-protection law turns that trust into duties. In plain terms it says: have a proper reason for holding information about people, hold no more than you need, keep it accurate and safe, do not keep it for ever, and be able to show that you did all of that.

Two pieces of law carry those duties in the UK.

  • The UK GDPR (the UK General Data Protection Regulation) sets out the general rules.
  • The Data Protection Act 2018 (DPA 2018) sits beside it and fills in UK-specific detail.

The regulator is the Information Commissioner’s Office (ICO), which publishes guidance and can investigate and fine.

Check your understanding

Which body regulates data protection in the UK, and can investigate and fine?
Show the answer

Answer: C. The ICO

The Information Commissioner’s Office (ICO), which publishes guidance and can investigate and fine.

These are legal duties. A security certificate can help an organisation to meet them, and an internal policy can say who is responsible, but neither replaces the law, and no manager’s approval can make unlawful use lawful. Governance, Risk and Compliance explains how ownership, risk and obligations fit together.

The law’s word for doing anything at all with information about people, including collecting, storing, reading, sharing and deleting it, is processing.

Stage: Predict

Personal data and special category data

Personal data is any information about a living person who can be identified. The identification can be direct, as with a name, or indirect: a pupil number is personal data if someone can look up whose number it is.

Think it through

A list shows only pupil numbers, not names. Is it personal data?
Show the answer

Answer: A. Yes, if the numbers can be traced.

Yes, if someone can look up whose number it is: identification can be indirect.

Taking the names off a list does not necessarily make it anonymous. If the people can still be worked out from what is left, such as a class list reduced to dates of birth and postcodes, it is still personal data. Information is only outside the law when people genuinely cannot be identified from it.

How sensitive an organisation has labelled a document does not settle the question either. A staff rota marked Internal is full of personal data. Data Classification explains why the label and the law are separate questions.

Think it through

Which kinds of information about a person do you think could do them most harm, or lead to discrimination, if misused?

Show what happens

Information about health, ethnic origin, religion, political opinions, sexual orientation, trade-union membership, and genetic or biometric data. The law protects these more strongly.

Some kinds of personal data could cause serious harm or discrimination if misused, and the law protects them more strongly. This is special category data. It is information about a person’s:

  • racial or ethnic origin;
  • political opinions;
  • religious or philosophical beliefs;
  • trade-union membership;
  • health;
  • sex life or sexual orientation;
  • genetic data, and biometric data such as fingerprints when used to identify someone.

So a register saying that a named pupil attended on Tuesday is personal data. The same register with a note that the pupil has asthma contains special category data, and needs more care.

Check your understanding

A register records that a named pupil attended on Tuesday and has asthma. Which part is special category data?
Show the answer

Answer: C. The asthma note.

The asthma note, which is information about health. The name and attendance are ordinary personal data.

Two things that sound similar are not special category data: information that is merely confidential to a business, and information about criminal offences, which has separate rules of its own.

Go deeper The extra requirement for special category data

Using ordinary personal data needs one thing: a lawful basis, explained in the step on lawful bases. These are listed in Article 6 of the UK GDPR.

Using special category data needs two: a lawful basis from Article 6, and a separate condition from Article 9, such as the person’s explicit consent. For some of those conditions, Schedule 1 of the DPA 2018 adds further requirements, including a written policy explaining how the data is protected.

A “Confidential” label, secure storage or a general tick-box does not meet either requirement. See the ICO’s special-category rules.

Stage: Predict

The seven data-protection principles

Think it through

Using the promise from the start of the lesson (a proper reason, no more than needed, accurate, safe, not kept for ever, able to show it), how many separate principles can you make out?

Show what happens

Seven: lawfulness, fairness and transparency; purpose limitation; data minimisation; accuracy; storage limitation; integrity and confidentiality; and accountability. The table applies each to an attendance register.

The plain statement at the start of this lesson is, in the law, seven principles. The table gives each one in plain words and applies it to an attendance register kept by a fictional training organisation.

PrincipleIn plain wordsFor the attendance register
Lawfulness, fairness and transparencyHave a proper reason, treat people fairly and tell them what you are doing.Learners are told when they enrol that attendance is recorded, and why.
Purpose limitationUse the information for the reason you collected it.The register is for attendance. Using it to send marketing would be a new purpose needing its own justification.
Data minimisationHold no more than you need.Name and attendance. No home address, no unrelated notes.
AccuracyKeep it right.A learner marked absent by mistake is corrected promptly.
Storage limitationDo not keep it for ever.The register is deleted a set time after the course ends.
Integrity and confidentiality (security)Keep it safe from loss, damage and the wrong eyes.Only two named members of staff can open it, and it is backed up.
AccountabilityBe able to show that you did all of the above.The organisation has written down these decisions and can produce them.

Check your understanding

The training organisation wants to use its attendance register to send marketing. Which principle does that most directly test?
Show the answer

Answer: B. Purpose limitation

Purpose limitation: the register was collected for attendance, and marketing is a new purpose needing its own justification.

The first six are in Article 5(1) of the UK GDPR and the seventh, accountability, in Article 5(2). They are principles to apply with judgement, not a checklist that guarantees compliance. See current Article 5 and the ICO principles guide.

Stage: Predict

Lawful bases and current law

Must an organisation always ask for consent before using someone’s personal data?
Show the answer

Answer: C. No, not always.

No. Consent is one of several lawful bases, and often not the right one.

The first principle says an organisation needs a proper reason for using someone’s personal data. The law lists the acceptable reasons and calls each a lawful basis. An organisation must be able to say which one applies to each thing it does with personal data, and must decide that before it starts.

Two points clear up the commonest mistakes.

  • Consent is only one of the bases. It is often not the right one, and it is not needed when another basis applies.
  • A basis belongs to a purpose. Having a basis for keeping a register does not provide one for doing something else with it.

There are seven lawful bases. Six have been in the law since it came into force in 2018, and a seventh was added in 2025. Older books, slides and courses show six, so it is worth knowing both the six and the addition.

Six long-standing bases

The six lawful bases in the law since 2018

Six of the seven. Choose the basis that fits the purpose and circumstances. Consent is not automatically the default or best option. The seventh basis, added in 2025, is set out straight after it.

  1. Consent

    The individual gives a freely given, specific, informed and unambiguous indication of agreement.

  2. Contract

    Processing is necessary for a contract with the individual, or requested steps before entering one.

  3. Legal obligation

    Processing is necessary to meet a legal duty, rather than just a contractual requirement.

  4. Vital interests

    Processing is necessary to protect someone’s life.

  5. Public task

    Processing is necessary for a task in the public interest or official authority with a basis in law.

  6. Legitimate interests

    Processing serves a legitimate interest, is necessary and is balanced against individuals’ interests and rights.

Current-law clarification: there are now seven Article 6 bases in the ICO’s guidance. Recognised legitimate interest, introduced by the Data (Use and Access) Act 2025, appears in Article 6(1)(ea). It is distinct from ordinary legitimate interests under Article 6(1)(f). The six cards must not be treated as an exhaustive current list.

Check your understanding

An older course book lists six lawful bases. What does current law say?
Show the answer

Answer: A. Seven, since 2025.

Seven: recognised legitimate interest was added in 2025, alongside the six in the law since 2018.

Apply the basis to the purpose

Each basis has a test. The question is always whether the facts meet it, not which is most convenient.

  1. Consent. The person has a real choice and can change their mind. A tick-box that must be ticked to use a service is not consent, because refusing is not a real option.
  2. Contract. The organisation needs the data to do what it has agreed with that person: a shop needs an address to deliver an order. Writing something into a contract does not make it necessary.
  3. Legal obligation. A law requires it, as when an employer reports pay to the tax authority. An internal rule or a promise to a customer is not a legal obligation.
  4. Vital interests. It is needed to protect someone’s life, as when a hospital is told of an unconscious patient’s allergy. It is for emergencies, not routine administration.
  5. Public task. A public body needs it to carry out a function that the law gives it. Being generally useful to society is not enough.
  6. Legitimate interests. The organisation has a genuine reason, the data is necessary for it, and the reason is not outweighed by the effect on the person. All three parts must be thought through and written down.
  7. Recognised legitimate interest (added in 2025). A short list of purposes set out in the law itself, including safeguarding vulnerable people and preventing crime. Because Parliament has already weighed them, no balancing test is needed, but the purpose must be one on the list and the data must be necessary for it. It is not a general permission.

Check your understanding

A website will not let you continue until you tick “I consent to marketing”. Is that valid consent?
Show the answer

Answer: C. No, it is not.

No. Consent must be a real choice, and here refusing means not using the service at all.

Public authorities cannot rely on either kind of legitimate interest for their official work; they use public task.

Go deeper Where to find the tests in the law

The bases are in Article 6 of the UK GDPR. Recognised legitimate interest is Article 6(1)(ea), and its listed purposes, each with its own conditions, are in an annex to the Regulation. The ICO publishes a lawful-basis guide with separate guidance on consent, legitimate interests and recognised legitimate interest.

A lawful basis never removes the need for an Article 9 condition when the data is special category data. That condition is a second, separate question.

Stage: Predict

Controllers, processors and service providers

Think it through

A school keeps pupil records in an online system run by a software company. Which of them decides why the records exist and what goes in them?
Show the answer

Answer: C. The school.

The school. The organisation that decides why and how personal data is used has a particular role, named in this step.

Two roles decide who carries which duties.

  • The controller is the organisation that decides why personal data is used and how.
  • A processor is a separate organisation that handles the data on the controller’s behalf and on its instructions.

A simple test: whose purpose is it? A school that keeps pupil records is the controller. The company whose online system stores those records for the school, and does nothing else with them, is a processor.

What an organisation actually does decides its role, not what the contract calls it. The same company can be a processor for its customers’ data and a controller for its own staff and billing records. A supplier that starts using the data for purposes of its own has stopped being a mere processor.

Check your understanding

The software company starts using the pupil records to train its own product. What has changed?
Show the answer

Answer: A. It acts for its own purposes now.

It is now using the data for its own purposes, so it has stopped being a mere processor.

Using a processor does not hand over the controller’s responsibility. The controller must choose one that can protect the data, and the law requires a written contract between them. See the ICO’s controller and processor guidance.

Go deeper What the contract with a processor must cover

Article 28 of the UK GDPR lists what the contract must include. In outline: the processor acts only on the controller’s written instructions; its staff are bound to confidentiality; it keeps the data secure; it does not pass the work to another company (a sub-processor) without permission; it helps the controller to answer people’s requests and to deal with breaches; it returns or deletes the data at the end; and it lets the controller check that all of this is happening.

Where two organisations decide the purposes together, they are joint controllers, which brings different arrangements. The ICO’s guidance on responsibilities explains both.

Stage: Predict

Putting it together: a new register

Think it through

A sports club wants an online register for an after-school session, with a column for medical notes. Using this lesson, list the questions to answer before collecting anything.

Show what happens

Is it personal data? Is any of it special category data? What is the least needed? Which lawful basis fits? What extra condition does the health data need? Who is controller and who processor? How long is it kept? Can the club show its working?

A fictional community sports club runs an after-school session for children. The organiser, Ms Farah, wants a register in the club’s online booking app, with a column for medical notes. She works through the questions in this lesson before collecting anything.

  1. Is it personal data? Yes. It names children and records when they attended.
  2. Is any of it special category data? The medical-notes column is information about health, so yes. The names and attendance are ordinary personal data.
  3. What is the least we need? A free-text “medical notes” box invites parents to write anything. What the coaches actually need is narrower: allergies, and any emergency medication. She replaces the box with those two questions. (Data minimisation.)
  4. Which lawful basis fits the register? She considers three.
    • Consent fits badly. The club cannot safely have a child present without knowing who is there, so a parent could not really refuse.
    • Vital interests does not fit. It is for emergencies, and keeping a register is routine.
    • Legitimate interests fits. The club has a genuine reason (knowing which children are in its care), a register is necessary for it, and parents would expect it. She writes those three points down.
  5. What about the health information? It is special category data, so the lawful basis is not enough: a second condition is needed. She asks each parent for explicit consent to hold the allergy and medication details, on a separate, clearly worded question.
  6. Who is the controller, and who is a processor? The club decides why the register exists and what goes in it, so the club is the controller. The company that runs the booking app stores the register on the club’s instructions, so it is a processor, and Ms Farah checks that the club’s agreement with it contains the required terms.
  7. How long is it kept? Attendance records for a stated period after the end of term; the health details are deleted when a child leaves the club. (Storage limitation.)
  8. Can she show her working? She keeps a one-page note of these decisions. (Accountability.)

The result: a register that holds less than the first idea, with a stated reason for the ordinary data, a separate condition for the health data, a named controller and a date for deletion.

Change one fact. A holiday-camp company offers the club money for the parents’ email addresses. That is a new purpose. The reason that justified the register does not cover it, parents would not expect it, and it would need its own basis, which here could only be each parent’s genuine consent. The same data, a different purpose, a different answer.

Check your understanding

In the “change one fact” variation, why does the register’s lawful basis not cover selling parents’ email addresses?
Show the answer

Answer: C. It is a new purpose.

Because it is a new purpose: the reason that justified the register does not cover it.

Stage: Predict

Individuals' rights

The law also gives rights to the people the data is about, whom it calls data subjects. The ICO lists them as:

  • the right to be informed about how their data is used;
  • the right of access to a copy of their data;
  • the right to rectification of inaccurate data;
  • the right to erasure;
  • the right to restrict processing;
  • the right to data portability;
  • the right to object;
  • rights relating to automated decision-making, including profiling.

The one used most often is the right of access. Suppose a parent writes to the sports club: “Please send me everything you hold about my daughter.” The club has to find it all, in the register, in emails and in the booking app, and send a copy, generally within one month.

Think it through

A parent asks for everything the club holds about their daughter. Where might the club have to look?

Show what happens

In the register, in emails, in the booking app run by its processor, and anywhere else her details were copied.

That is why rights matter to anyone who looks after systems: an organisation must be able to find, correct, copy and delete one person’s data wherever it is held, including at its processors.

Most of the rights have limits and exceptions, and some of the procedure was changed by the Data (Use and Access) Act 2025, so check the ICO’s current guidance before relying on a detail.

Stage: Explain

When things go wrong

A security failure that affects personal data can be a personal data breach, with its own assessment and reporting rules. Those are taught in Personal-Data Breaches and ICO Notification, the next lesson.

Before a new use of personal data begins, four questions catch most problems: what data is needed, and no more; which lawful basis fits this specific purpose; who is the controller and are any processors involved; and how long will the data be kept? Recording the answers is also how the organisation demonstrates accountability.

Stage: Apply

Apply it in a new situation

These questions use the lesson in situations it has not shown. For the strongest test of your understanding, come back to them on another day and answer each one at the first attempt.

Apply it

An employer sends pay details to the tax authority because the law requires it. Which lawful basis applies?
Show the answer

Answer: B. Legal obligation

Legal obligation: a law requires the employer to report pay.

Apply it

A gym introduces fingerprint scanners to let members in. What extra requirement does that bring?
Show the answer

Answer: C. A second, Article 9 condition.

Fingerprints used to identify members are special category data, so the gym needs an Article 9 condition as well as a lawful basis.

Apply it

A payroll company runs salaries for a hotel, on the hotel’s instructions. It also keeps records of its own staff. What is it?
Show the answer

Answer: B. It depends on whose data.

A processor for the hotel’s payroll, acting on the hotel’s instructions, and a controller for its own staff records.

Stage: Check

Check your understanding

These questions come from the approved revision bank. Choose an answer and check it; the explanation and its sources follow.

  1. A fictional organisation collects only needed attendance details, corrects inaccuracies and documents its decisions. Which principles are directly illustrated? Select all that apply.

    Show answer

    Answer: Data minimisation; Accuracy; Accountability

    Limiting data to what is needed supports minimisation, correcting errors supports accuracy, and being able to demonstrate compliance supports accountability. Storage limitation does not endorse indefinite retention by default.

    Revision sources: Data Protection: UK GDPR and the DPA 2018 (Supplementary Study Guide explanation)

  2. A fictional provider proposes processing identifiable health information. Which legal approach is generally required?

    Show answer

    Answer: Identify an appropriate Article 6 basis and an Article 9 condition, with applicable additional safeguards.

    Special category processing generally needs both layers, with relevant DPA 2018 conditions and safeguards where required. The purpose and circumstances determine the basis; consent is not a universal default.

    Revision sources: Session 3: Governance, Risk and Compliance (Classroom session record) · Session 4: Governance, Risk and Compliance — In Depth (Classroom session record) · Data Protection: UK GDPR and the DPA 2018 (Supplementary Study Guide explanation)

  3. Older material lists six lawful bases under Article 6 of the UK GDPR. How should that list be treated today?

    Show answer

    Answer: Keep the six and add the recognised legitimate interest basis: current guidance lists seven.

    Article 6(1) of the UK GDPR now lists seven lawful bases. The Data (Use and Access) Act 2025 added recognised legitimate interest, at point (ea), to the six that were there before: consent, contract, legal obligation, vital interests, public task and legitimate interests. It is a separate basis from ordinary legitimate interests, not a replacement for it, and it is not a general permission for whatever is convenient: it applies only to the purposes listed in the legislation, and the processing must still be necessary.

    Revision sources: Session 3: Governance, Risk and Compliance (Classroom session record) · Session 4: Governance, Risk and Compliance — In Depth (Classroom session record) · Data Protection: UK GDPR and the DPA 2018 (Supplementary Study Guide explanation)

  4. A fictional organisation decides why learner records are kept; a host stores them only on its instructions. Which interpretation fits that activity?

    Show answer

    Answer: The organisation is controller and the host is processor for that processing; actual activities and required safeguards still matter.

    Purposes and means determine the controller; acting on its behalf can make the host a processor. Roles can differ for other activities, and Article 28 arrangements do not remove the controller’s accountability.

    Revision sources: Data Protection: UK GDPR and the DPA 2018 (Supplementary Study Guide explanation)

Study and revision

Continue with Data Classification and practise the principles, lawful bases and controller questions through Governance & Policy and Incident Response.

Stage: Consolidate

What to remember

  • UK GDPR and the DPA 2018 make looking after information about people a legal duty; the ICO regulates.
  • Personal data is about an identifiable living person; special category data, such as health, needs an extra condition.
  • Seven principles: lawfulness, fairness and transparency; purpose limitation; minimisation; accuracy; storage limitation; security; accountability.
  • Every purpose needs a lawful basis, chosen before starting; there are seven, and consent is only one.
  • The controller decides why and how; a processor acts on its instructions, and the controller stays responsible.

Key terms

UK GDPR (UK General Data Protection Regulation)

The UK’s general data-protection law, applied alongside the Data Protection Act 2018, governing how personal data is processed.

Personal data

Information relating to an identified or identifiable living individual.

Special category data

Personal data needing extra protection, such as health, genetic or biometric identification data, or information revealing racial or ethnic origin, political opinions, religious beliefs or trade-union membership.

Lawful basis

A legal ground under Article 6 of the UK GDPR that must fit the purpose before personal data is processed.

Controller

The organisation that determines the purposes and means of processing personal data.

Processor

An organisation that processes personal data on a controller’s behalf.

Common misunderstandings

Consent is one of several lawful bases. It is often not the most appropriate, and must be a genuine choice when used.

Current law adds recognised legitimate interest, introduced by the Data (Use and Access) Act 2025.

If people can still be identified from other details, the data remains personal data.

The controller remains accountable for choosing the processor and setting the required terms.

Lesson sources and acknowledgements

Sources and scope

This lesson develops the data-protection learning in Session 3 and Session 4. Those approved logs remain the record of tutor-led material. Session 2 supplies related CIA, access-control and governance foundations; its relationship here does not establish that the detailed legal material was taught in that session.

The worked examples develop the supplied GRC educational reference and are fictional. They do not describe a real incident, completed investigation, workplace implementation or legal qualification. The explanations concern the general UK GDPR regime, rather than every sector-specific rule or exception. The sports club, Ms Farah and her reasoning are invented to show how the tests are applied; they are not a determination of the correct basis for any real organisation, and a real one would need to check its own facts against the ICO’s guidance. The DPA 2018 also contains separate regimes for law-enforcement and intelligence-service processing, which this lesson does not cover; see the ICO’s introduction to the DPA 2018 and the current DPA 2018.

Legal references checked on 22 September 2026: ICO guidance and the revised UK legislation linked above. Some ICO overview pages carry notices that they are being updated following the Data (Use and Access) Act 2025. The current Article 6 text and updated ICO lawful-basis guidance were checked specifically to preserve the correction to the classroom list.

  • Taught in Session 3 (see the Session 3 Learning Log): the UK GDPR and Data Protection Act 2018 as legal obligations, distinct from voluntary frameworks; the six lawful bases, identified before processing.
  • Taught in Session 4 (see the Session 4 Learning Log): data protection across the information lifecycle; the six lawful bases visual; consent as one option; special category data needing an additional condition.
  • Current-law clarification: the seventh lawful basis, recognised legitimate interest, is a correction to the classroom list, not something taught in class. The diagram keeps the six bases as they were shown, and the text beside it says that there are seven.
  • Moved to a later lesson: “What counts as a personal data breach?” and the “Worked breach assessment” are now in Personal-Data Breaches and ICO Notification, with their wording and anchors kept. They are listed below with links.
  • Supplementary explanation: the plain statement of what the law is for, the plain-words column of the principles table, the tests for applying each basis, the after-school club example and its “change one fact” variation, controller and processor detail, the “Go deeper” notes, individuals’ rights and the access-request example, the practical note and the misunderstandings.
  • Guided version (published 1 November 2026, awaiting the site owner’s editorial review): the opening questions about trusting an organisation with your details, every question asked in the lesson with its feedback and hints, the application questions and the closing summary are supplementary explanation written for the Study Guide. They are educational, not legal advice. The settings are fictional. The questions in the lesson’s steps are not revision-bank items; those in “Check your understanding” are, unchanged.
  • No practical work is claimed. I hold no legal qualification and have not handled data-protection compliance for an organisation.

Sections now in other lessons

Earlier versions of this page included these sections. Each now has a fuller explanation in its own lesson.