For Public Release
PENALTY NOTICE
DPP LAW LTD
14 April 2025
For Public Release
DATA PROTECTION ACT 2018
ENFORCEMENT POWERS OF THE INFORMATION COMMISSIONER
PENALTY NOTICE
To: DPP Law Ltd
Of: Pinnacle House,
Stanley Road,
Bootle L20 7JF
I. INTRODUCTION AND SUMMARY
1. Pursuant to section 155(1) of the Data Protection Act 2018 (“DPA”), the
Information Commissioner (the “Commissioner”), by this written notice
(“Penalty Notice”) requires DPP Law Ltd (“DPP”) to pay the
Commissioner £60,000.
2. This Penalty Notice is given in respect of infringements of the UK General
Data Protection Regulation (“UK GDPR”).1 It contains the reasons why
the Commissioner has decided to impose a penalty, including the
circumstances of the infringements and the nature of the personal data
involved.
1
Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of
natural persons with regard to the processing of personal data and on the free movement of such data, as it forms
part of the law of England and Wales, Scotland and Northern Ireland by virtue of section 3 of the European Union
(Withdrawal) Act 2018.
For the period 25 May 2018 to 31 December 2020, references in this Penalty Notice to the UK GDPR should be read
as references to the GDPR (Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016
on the protection of natural persons with regard to the processing of personal data and on the free movement of such
data) as it applied in the UK during that period.
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3. On 11 December 2024, in accordance with paragraph 2 of Schedule 16
to the DPA, the Commissioner issued DPP with a Notice of Intent which
set out the Commissioner’s reasons for proposing to issue a penalty
notice. In that notice, the Commissioner indicated that the amount of
the penalty he proposed to impose was £60,000.
4. On 29 January 2025, DPP provided written representations about the
Commissioner’s Notice of Intent to issue a penalty notice. In reaching
the decision to issue this Penalty Notice, the Commissioner has taken full
account of DPP’s representations and, where appropriate, the Penalty
Notice makes specific reference to them.
5. The Commissioner finds that DPP has infringed Articles 5(1)(f), 32(1),
32(2) and 33(1) UK GDPR for the reasons set out in this Penalty Notice.
In summary:
a) The infringements of Articles 5(1)(f), 32(1), 32(2) and 33(1) UK
GDPR relate to DPP’s provision of legal services to its clients (the
“Relevant Processing”). In particular, the processing of
personal data relating to DPP’s clients and experts instructed to
give evidence in legal proceedings to which DPP’s clients were a
party.
b) The infringements of Articles 5(1)(f), 32(1) and 32(2) UK GDPR
occurred because the Relevant Processing was not carried out in
a manner that ensured appropriate security of the personal data
of DPP’s clients and experts, including protection against
unauthorised processing, and using appropriate technical and
organisational measures as required by Articles 5(1)(f), 32(1)
and 32(2) UK GDPR. In particular, DPP failed to adopt the
principle of least privilege and failed to regularly audit
administrative accounts on its network.
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c) As a consequence of DPP not having appropriate security
measures in place as required by Articles 5(1)(f), 32(1) and
32(2) UK GDPR, the personal data of 791 individuals (clients and
experts) were exfiltrated by a threat actor and posted on the
dark web (the “Cyber Incident”).
d) The infringement of Article 33(1) UK GDPR occurred because DPP
did not notify the Commissioner without undue delay or within
72 hours of becoming aware of the personal data breach (i.e.
that there was a loss of access to the personal data it was
processing and this was likely to result in a risk to data subjects).
By focusing its efforts on bringing its systems back online and
neglecting to undertake an assessment of the risks posed to data
subjects, DPP did not notify the Commissioner until 43 days after
the Cyber Incident. Furthermore, DPP demonstrated a lack of
understanding of its obligation to notify the Commissioner of a
personal data breach in accordance with Article 33 UK GDPR.2
6. This Penalty Notice is issued in respect of the infringements on the basis
that, in all the circumstances, and having regard to the matters listed in
Articles 83(1) and 83(2) UK GDPR, a financial penalty in the sum of
£60,000 is an effective, proportionate and dissuasive measure.
II. RELEVANT LEGAL FRAMEWORK
7. Section 155(1) DPA provides that, if the Commissioner is satisfied that
a person has failed, or is failing, as described in section 149(2) DPA, the
Commissioner may, by written penalty notice, require the person to pay
to the Commissioner an amount in sterling specified in the penalty
notice.
2
Telephone attendance ICO & DPP 21 July 2022; DPP Response to ICO 7 September 2022, Q1a.
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8. The types of failure described in section 149(2) DPA include, at section
149(2)(a), “where a controller or processor has failed, or is failing, to
comply with… a provision of Chapter II of the UK GDPR… (principles of
processing)” and at section 149(2)(c), “where a controller or processor
has failed, or is failing, to comply with… a provision of Articles 25 to 39
of the UK GDPR… (obligations of controllers and processors).”
9. Chapter II UK GDPR sets out the principles relating to the processing of
personal data that controllers must comply with. Article 5(1) UK GDPR
lists these principles and includes the requirement at Article 5(1)(f) UK
GDPR that “personal data shall be… processed in a manner that ensures
appropriate security of the personal data, including protection against
unauthorised or unlawful processing and against accidental loss,
destruction or damage, using appropriate technical or organisational
measures”. This is referred to in the UK GDPR as the “integrity and
confidentiality” principle.
10. Article 32 UK GDPR (security of processing) materially provides:
“(1) Taking into account the state of the art, the costs of
implementation and the nature, scope, context and purposes of
processing as well as the risk of varying likelihood and severity for
the rights and freedoms of natural persons, the controller and the
processor shall implement appropriate technical and
organisational measures to ensure a level of security appropriate
to the risk…
(2) In assessing the appropriate level of security account shall be
taken in particular of the risks that are presented by processing,
in particular from accidental or unlawful destruction, loss,
alteration, unauthorised disclosure of, or access to personal data
transmitted, stored or otherwise processed”.
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11. Article 33(1) UK GDPR (notification of a personal data breach) provides:
“In the case of a personal data breach, the controller shall without
undue delay and, where feasible, not later than 72 hours after
having become aware of it, notify the personal data breach to the
Commissioner, unless the personal data breach is unlikely to result
in a risk to the rights and freedoms of natural persons. Where the
notification under this paragraph is not made within 72 hours, it
shall be accompanied by reasons for the delay”.
12. Article 4(1) UK GDPR defines a personal data breach as:
“a breach of security leading to the accidental or unlawful
destruction, loss, alteration, unauthorised disclosure of, or access
to, personal data transmitted, stored or otherwise processed”.
13. The legal framework for setting penalties is set out in Section V: ‘Decision
to impose a penalty’ below.
III. BACKGROUND TO THE INFRINGEMENTS
14. This section summarises the relevant background to the findings of
infringement. It does not seek to provide an exhaustive account of all
the details of the events that have led to the issue of this Penalty Notice.
15. DPP is a law firm, headquartered in Bootle, England. It employs fewer
than 250 staff and has offices in Birmingham, Bootle, Liverpool, London
and Tolworth. It specialises in the practice of law related to crime,
military, family fraud, sexual offences and actions against the police.3
3
https://dpp-law.com
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A. Cyber Incident
16. On 4 June 2022 at approximately 11:30, DPP’s email server stopped
working and staff had no access to DPP’s IT network.4 DPP’s in-house IT
manager established that all files across its servers had been corrupted.5
DPP’s external IT supplier believed that DPP had suffered a ransomware
incident, despite not receiving any payment demands.6
17. The timeline of events leading up to (and following) the Cyber Incident
was as follows:
19 February 2022
18. DPP told the Commissioner that, following an analysis of log files by a
third party consulting firm, there was evidence to suggest brute force
attempts on its network as early as 19 February 2022.7 This occurred a
further 12 times and there were in total 400 attempts to gain access to
the network.8 The brute force incidents were targeted at an
administrator account for a legacy case management system (see
further points on ‘sqluser’ below at paragraph 25 to 28) which was only
available online sporadically.9
3 June 2022
19. An administrator account, sqluser, authenticated onto
.10 It is considered likely that an end-user
laptop was compromised by the threat actor and subsequently
authenticated onto the network. It was this compromise that allowed the
threat actor to access sqluser.11 Following this login, there are indicators
4
DPP Response to ICO, 7 September 2022, Q1a; DPP Breach Report, 17 July 2022.
5
DPP Response to ICO, 7 September 2022, Q1a; DPP Breach Report, 17 July 2022.
6
DPP Response to ICO, 7 September 2022, Q1a, Q1b; DPP Breach Report, 17 July 2022.
7
Secore Consulting, Incident Response – Log File Analysis, 20 June 2022, p. 11.
8
Secore Consulting, Incident Response – Log File Analysis, 20 June 2022, p. 5-6.
9
DPP Response to ICO, 18 August 2022, Q3.
10
Secore Consulting, Incident Response – Log File Analysis, 20 June 2022, p. 4, 9.
11
DPP Response to ICO, 7 September 2022, Q2, Q5.
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that Cobalt Strike was deployed onto the network and the threat actor
began running PowerShell commands.12 At the time of the incident DPP
had multi-factor authentication (“MFA”) for the purposes of connecting
to its network via a VPN.13 However, the administrator account, sqluser,
did not have MFA due to its role as a service-based account.14
4 June 2022
20. DPP’s email server stopped working but incoming emails remained
available through its firewall.15,16 In the early hours, logs show Windows
Defender being disabled on and a Virtual Machine backup
service stopping on .17 Forensic investigators believe
at this point the threat actor deployed ransomware.18
21. During the incident MegaSync and Rclone software were installed on
.19 The threat actor utilised tools to perform the exfiltration
of data from the network. Towards the end of the incident the threat
actor utilised the administrator account, sqluser, to download and run an
anti-virus which acted as a form of clean-up for the incident (and thus
making the incident response investigation more difficult).20
5 June 2022 to 12 June 2022
22. DPP reviewed firewall and server logs and it assessed that no data had
been exfiltrated.21 At the time of the Cyber Incident, DPP's firewall logs
did not record egress data flows, it would therefore not have been
possible for DPP to ascertain if data had in fact been exfiltrated. DPP
established that data was recoverable by off-site backups within 24
12
Secore Consulting, Incident Response – Log File Analysis, 20 June 2022, p. 4.
13
DPP correspondence dated 18 August 2022.
14
DPP Response to ICO, 2 October 2023, Q5.
15
DPP Breach Report, 17 July 2022.
16
DPP Written Representations, 29 January 2025, p.2.
17
Secore Consulting, Incident Response – Log File Analysis, 20 June 2022, p. 4-5, 7.
18
Secore Consulting, Incident Response – Log File Analysis, 20 June 2022, p. 4-5.
19
Secureworks, Cyber Incident Response Summary of Findings, 9 August 2022, p. 2.
20
Secureworks, Cyber Incident Response Summary of Findings, 9 August 2022, p. 3.
21
DPP Response to ICO, 7 September 2022, Q1b.
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hours. However, DPP’s systems were not operating properly for around
one week leaving it unable to access the personal data it was processing.
Whilst DPP staff did not have access to DPP’s case management software
for eight days, DPP told the Commissioner that staff retained the ability
to access, and respond to, incoming emails with no impact on client
cases.22
15 July 2022
23. The National Crime Agency (“NCA”) contacted DPP to advise them that
three folders of DPP’s data, totalling 32.4Gb, had been published on the
dark web. This included court bundles, PDFs, Word documents, photos
and video (including police body cam footage) relating to DPP’s clients
and experts instructed to give evidence in legal proceedings to which
DPP’s clients were a party.
17 July 2022
24. 43 days after the Cyber Incident, DPP reported the personal data breach
to the Commissioner. DPP were unaware that the loss of access to
personal data constituted a personal data breach and therefore that they
were required to notify the Commissioner about the Cyber Incident.
B. Sqluser account
25. Sqluser was an administrator account for a legacy case management
system. The account was setup by FWBS Ltd (subsequently acquired by
Thomson Reuters) in 2001 for the purposes of automating
communication between DPP’s servers.23 Despite having a limited role
on the network, it had full administrator rights (i.e. unrestricted access)
across DPP’s network.24 DPP were aware of the sqluser account as far
22
DPP Written Representations, 29 January 2025, p.2.
23
DPP Response to ICO, 7 September 2022, Q3a; DPP Response to ICO, 6 October 2022, Q5; DPP Response to
ICO, 2 October 2023, Q1c.
24
DPP Response to ICO, 31 March 2023, Q7; DPP Response to ICO, 2 October 2023, Q5.
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back as 2011.25 DPP told the Commissioner that previous attempts to
change the password had blocked access to the legacy case management
system.26 DPP did not know the password and could not reset it.27 The
password was only known by FWBS Ltd/Thomson Reuters.
26. DPP stated that they did not conduct a risk assessment to understand
the risks associated with the sqluser account because FWBS Ltd told
them that the sqluser account was “critical to the data replication of the
servers” and because DPP was “reliant on our suppliers for the correct
functioning and protection of our system”.28
27. The legacy case management system was taken out of service on 30
April 2019 as DPP changed case management systems to DPS Software
Ltd.29 DPP’s service agreement for the sqluser account later came to an
end in 2021. However, due to DPP’s data retention policy of six years,
this system was still operational as DPP needed to access data in the
system.30 DPP stated that its retention policy was in accordance with
guidance issued by the Solicitors Regulation Authority (SRA).
28. The threat actor used sqluser to authenticate onto , a remote
desktop machine that facilitated access to the legacy case management
system (as outlined above in paragraph 19). By compromising the
sqluser account the threat actor was able to perform lateral movement
across DPP’s network.
C. Post-Cyber Incident
29. DPP subsequently moved its complete case management, accounts and
email system to a managed hosted environment operated by its case
25
DPP Email to ICO, 8 February 2024.
26
DPP Email to ICO, 8 February 2024.
27
DPP Response to ICO, 7 September 2022, Q3b.
28
DPP Email to ICO, 8 February 2024.
29
DPP Response to ICO, 7 September 2022, Q3a; DPP Response to ICO, 2 October 2023, Q1c; DPP Email to ICO, 8
February 2024.
30
DPP Response to ICO, 6 October 2022, Q2.
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management software suppliers, The Access Group.31 This supplier
controls all security aspects including the use of Microsoft 365 MFA.
30. DPP suspended sqluser from the DPP network and it is now only
accessible .32 In its report
into the Cyber Incident, a second consultancy firm instructed by DPP also
recommended that DPP mandates MFA for all remote access methods (a
process that was ongoing at the time of the Cyber Incident).33
31. In the months following the Cyber Incident, DPP sent notifications to
affected data subjects, in line with its obligations under Article 34 UK
GDPR.
IV. THE COMMISSIONER’S FINDINGS OF INFRINGEMENT
A. Controllership and jurisdiction
32. DPP was the controller in respect of the Relevant Processing.34 DPP
determined the purpose and means within the meaning of Article 4(7)
UK GDPR.
33. The UK GDPR applied to the Relevant Processing by virtue of Articles
2(1) and 3(1) UK GDPR. The Relevant Processing was structured
processing of personal data, it took place in the context of the activities
of a controller established in the UK, and none of the exceptions in Article
2 UK GDPR applied.
34. Part 2 of the DPA applied to the Relevant Processing by virtue of section
4 DPA.
B. Nature of the personal data and context of the Relevant Processing
31
DPP Response to ICO, 2 October 2023, Q3.
32
DPP Responses to ICO, 7 September 2022, Q4h and 2 October 2023, 23c.
33
Secureworks Incident Response Summary Report dated 18 August 2022 (p.5).
34
The processing of personal data of DPP’s clients and experts that took place in DPP’s provision of legal services to
clients.
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35. DPP processes personal data in order to provide legal services to its
clients. This includes personal data relating to its clients and ongoing
court cases. As a law firm that specialises in criminal defence (including
sexual offences), family law and actions against the police, DPP
processes highly sensitive personal data, including special category data
(e.g. data concerning a natural person’s sex life), DNA data, legally
privileged information and allegations of criminal offences (including
child sexual abuse).
36. This information is likely to reveal private details about individuals,
including the offences of which they are accused and DPP’s confidential
legal advice. As a law firm, DPP has responsibilities to its clients both as
a data controller and as a law firm to protect the personal data that it
processes, particularly that which is protected by legal privilege.
37. Several categories of DPP’s clients are vulnerable, including children and
victims of sexual offences. Recital 38 of UK GDPR explains that children
merit specific protection with regard to their personal data.
C. The infringements: Articles 5(1)(f) and 32 UK GDPR
38. The fact that the Cyber Incident took place is not, in and of itself,
sufficient to make a finding that DPP has infringed Articles 5(1)(f) and
32 UK GDPR.35 The Commissioner has considered whether the facts set
out at paragraphs 16 to 31 above constitute infringements of the UK
GDPR.
39. In order to assess DPP’s compliance with Articles 5(1)(f) and 32 UK
GDPR, the Commissioner must necessarily exercise his judgement, as a
regulator, as to what “appropriate” security and “appropriate” technical
and organisational measures would be in the circumstances (that is,
35
See the CJEU’s recent judgment in VB v Natsionalna agentsia za prihodite (Case C-340/21) at paragraphs 22-39,
which the Commissioner has had regard to.
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taking into account “the state of the art, the costs of implementation and
the nature, scope, context and purposes of processing as well as the risk
of varying likelihood and severity for the rights and freedoms of natural
persons”).
40. For the reasons set out below, the Commissioner’s view is that DPP has
infringed Articles 5(1)(f), 32(1) and 32(2) UK GDPR. The infringements
involved DPP’s failure to use appropriate technical and organisational
measures to ensure appropriate security of the personal data subject to
the Relevant Processing.
Appropriate security of the personal data
41. In assessing the “appropriate security of the personal data” under Article
5(1)(f) UK GDPR (and, equivalently, the “level of security appropriate to
the risk” under Article 32 UK GDPR), the Commissioner has considered
the risk to the rights and freedoms of DPP’s clients and experts which
the Relevant Processing presented. Recital 75 UK GDPR states that such
risk “may result from personal data processing which could lead to
physical, material or non-material damage”.
42. As explained in paragraphs 35 to 37, DPP processes highly sensitive
personal data relating to its clients. The disclosure of this personal data
to the public is likely to result in a high risk to the rights and freedoms
of DPP’s clients, in particular:
a) It risked jeopardising ongoing criminal proceedings in that details
of privileged legal communications between DPP and its clients
may now be in the hands of malicious actors.
b) It risked identifying DPP’s crime clients under criminal
investigation, but who had not been charged, in circumstances
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where they had a reasonable expectation of privacy in respect of
that investigation.36
c) DPP’s instructions included identities of victims and witnesses of
crime. It therefore risked enabling the identification of individuals
afforded statutory protection through the legal process. For
example:
i. victims of sexual offences;37
ii. child victims and witnesses of crime.38
d) The highly sensitive nature of the personal data processed by
DPP may leave its clients susceptible to bad actors exploiting that
information for their own nefarious purposes.
43. The Commissioner considers all three categories of damage as identified
in Recital 75 UK GDPR (physical, material and non-material) would be
likely to flow from the risks identified at paragraph 42 above.
44. Recital 75 provides certain examples of damage. Of those examples, the
Commissioner considers the following examples of damage were
reasonably foreseeable from the Cyber Incident given the categories of
personal data processed by DPP (see paragraph 35) and the risks
identified at paragraph 42 above:
a) Loss of control over personal data.
b) Deprivation of rights and freedoms (right to life, right to respect
for private and family life, peaceful enjoyment of property).
c) Loss of confidentiality of personal data protected by professional
secrecy.
d) Financial loss.
36
See ZXC v Bloomberg [2022] UKSC 5.
37
See section 1 Sexual Offences (Amendment) Act 1992.
38
See sections 44-45A Youth Justice and Criminal Evidence Act 1999; sections 39, 49 Children and Young Persons
Act 1933.
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e) Damage to reputation.
45. Paragraphs 85 to 91 below set out the types of damage which
materialised as a result of the Cyber Incident.
46. In ensuring a level of security appropriate to the risk, Article 32(1) UK
GDPR requires a controller to take into account the likelihood and
severity of the risk to the rights and freedoms of data subjects.
47. Regarding the likelihood of the risk, DPP should have been aware that
any unauthorised access to confidential information relating to ongoing
criminal cases was likely to jeopardise such cases, including heightening
reputational risks and risking the identification of individuals afforded
protection (e.g. victims of sexual assault).
48. The factors above indicate that a high level of security was appropriate
to the risk presented by the Relevant Processing. DPP was required to
implement appropriate technical and organisational measures to ensure
this high level of security.
49. The Commissioner notes that guidance is widely available to assist
organisations (such as DPP) to make decisions on the implementation of
appropriate technical and organisational measures to ensure the secure
processing of personal data. For example:
a) The Commissioner’s guidance on ransomware39 relevantly
provides:
i. “The security of privileged accounts should be a high
priority for you. Basic account hygiene can support you in
protecting these accounts, such as:
• regular reviews of permissions;
39
https://ico.org.uk/for-organisations/uk-gdpr-guidance-and-resources/security/a-guide-to-data-
security/ransomware-and-data-protection-compliance/.
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• following the principle of least privilege;
• risk assessments of membership into privileged
groups; and
• senior level approval of privileged group
membership.”
ii. Organisations should “regularly audit… user accounts to
ensure they are still required and contain the appropriate
privileges”.40
b) The National Cyber Security Centre’s (NCSC) guidance on
protecting bulk personal data41 provides:
i. User access and privilege | "User access to data is
limited to the minimum necessary".
ii. Administrator access | "The list of system administrators
with access has been reviewed within the last 12 months".
iii. All external dependencies | "You understand which of
your suppliers would have the ability to compromise your
data".
c) The NIST SP 800-53 security framework outlines that
organisations should “employ the principle of least privilege,
allowing only authorized accesses for users (or processes acting
on behalf of users) that are necessary to accomplish assigned
organizational tasks”.42 This is a well-established rule within IT
security which significantly reduces the chance a threat actor can
perform lateral movement across a network. Sqluser was only
40
https://ico.org.uk/for-organisations/uk-gdpr-guidance-and-resources/security/a-guide-to-data-
security/ransomware-and-data-protection-compliance/.
41
Who has access to your data? - NCSC.GOV.UK.
42
https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5.pdf.
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required on a single server and system, yet it had privileges
which afforded it access to the full suite of network devices within
the DPP infrastructure.
Assessment of compliance
50. Under the UK GDPR, it is for DPP to demonstrate compliance with Article
5(1)(f) (by virtue of Article 5(2)). It is also for DPP to demonstrate
compliance with Article 32(1) and (2) (by virtue of Article 24).
51. The Commissioner finds that whilst DPP attempted to secure the external
perimeter of the network there were critical failings in the provisioning
and management of the sqluser account. These included:
a) Sqluser was an over privileged account, the compromise of which
enabled the threat actor full access to DPP’s network.43
b) It was not necessary for DPP to access the sqluser account on a
day-to-day basis, particularly following:
i. the migration of its case management system from sqluser
in April 2019; and
ii. the closure of the maintenance support window for sqluser
in 2021.
c) Whilst DPP was aware of sqluser, it did not undertake a risk
assessment. DPP explained to the Commissioner that this was
because it viewed sqluser as a supplier account which it did not
consider it had any need to risk assess.44
52. DPP failed to have in place measures to audit all accounts on DPP’s
servers and to limit the privileges associated with these accounts or
43
DPP response dated 6 October 2022.
44
DPP response to ICO dated 8 February 2024, 7.
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disable them where they were not necessary. DPP’s failure to implement
these measures constituted a failure to implement appropriate technical
and organisational measures to ensure an appropriate level of security
over the personal data it was processing.
53. The Commissioner also finds that DPP failed to ensure the ongoing
confidentiality of its systems, as required by Article 32(1)(b) UK GDPR.
54. DPP failed to perform any kind of asset management or suitable
alternative measure, which should have been audited and risk assessed
periodically in accordance with the Commissioner’s Accountability
Framework.45
55. Upon carrying out an asset management audit, DPP would have
discovered that sqluser had a narrow scope of duties and was only
required on a single server and system but that it had privileges that
afforded it access to the full suite of network devices within the DPP
network.
56. DPP should have carried out a risk assessment based on the excessive
privileges granted to sqluser. Following this risk assessment, DPP should
have given the sqluser account the minimal set of privileges that it
required to perform its function.
57. In its written representations, DPP highlighted the unsophisticated
nature of its internal IT function. DPP noted that tasks routinely
undertaken by its internal IT team only required qualifications such as
“IT studies at college” or a “government apprenticeship scheme with the
aim of becoming Microsoft certified”.46 As such, DPP did not have its own
45
Available at: https://ico.org.uk/media/for-organisations/uk-gdpr-guidance-and-resources/accountability-and-
governance/accountability-framework-0-0.pdf (see Records management and security at pp.55-63) [last accessed 19
November 2024].
46
DPP Written Representations, 29 January 2025, p.1.
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technical resources and was “totally reliant” on third party IT
contractors.47
58. DPP itself should have had full visibility of the sqluser account (including
the password). Furthermore, at the end of the service agreement for the
sqluser account, it would have been reasonable for DPP to have
convened a meeting with its service provider to understand the
implications of operating the out-of-support account on its network.
Support for the legacy case management system ceased on 30 April
2019.
59. It appears to the Commissioner that there were alternative ways in which
DPP could have mitigated the risks associated with its continued
operation of the sqluser account:
a) DPP could have suspended sqluser or limited how and when
sqluser was used. Particularly given support for the legacy case
management system ceased on 30 April 2019.48
b) DPP could have assigned sqluser fewer privileges and kept those
privileges under tight control according to the principle of least
privilege.
c) DPP should have had full visibility of the sqluser account at the
end of the service agreement enabling it to assess the risks
presented by the continued operation of the account (as noted
at paragraph 58 above) and consider appropriate mitigating
measures.
d) As demonstrated in the steps taken by DPP after the Cyber
Incident (see paragraphs 29 to 30 above), there were alternative
means of operating the sqluser account which were available to
47
DPP Written Representations, 29 January 2025, p.1.
48
DPP response to ICO 7 September 2022, Q3a.
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DPP. The Commissioner has not been provided with any evidence
to suggest DPP considered these (or other) alternative means of
operating sqluser between the end of the service agreement and
the Cyber Incident.
60. The assessment of risks presented by the continued use of the sqluser
account following the end of the service agreement, and the
implementation of alternative means of continuing to operate the
account, would have, in high likelihood, prevented the Cyber Incident
from occurring.
61. In its written representations, DPP told the Commissioner that it had
worked alongside its suppliers to ensure it was fully compliant with Lexcel
standards (to which it was accredited).49 Lexcel is a practice
management and client care standard introduced by the Law Society of
England and Wales. The Commissioner notes that the Lexcel self-
assessment checklist50 for accreditation states “Practices… should be
accredited against Cyber Essentials”.51 DPP’s written representations
confirmed that, at the time of the cyber incident, DPP did not have Cyber
Essentials accreditation, although it was working towards accreditation.
The Commissioner understands that this has now been obtained.52
62. The Commissioner finds that DPP failed to implement appropriate
technical and security measures to ensure the security of personal data
it was processing on the sqluser account. DPP’s isolation of the legacy
case management system following the Cyber Incident demonstrated
that alternative methods to secure its IT environment were available.
Conclusion
49
DPP written representations, p.2.
50
Available at: How to apply for Lexcel England and Wales (v6.1) | The Law Society.
51
See 3.2 of the Lexcel self-assessment checklist.
52
DPP written representations, p.4.
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63. The Commissioner finds that the DPP’s failure to audit and adequately
manage the accounts on its servers (including password administration
and access privileges) constituted a failure to implement appropriate
technical and organisational measures to ensure appropriate security.
For this reason, the Commissioner finds that DPP has infringed Articles
5(1)(f), 32(1) and 32(2) UK GDPR.
D. The infringements: Article 33(1) UK GDPR
64. Controllers must notify the Commissioner within 72 hours of becoming
aware of a personal data breach unless it is unlikely to result in a risk to
the rights and freedoms of natural persons. The Commissioner considers
that the Cyber Incident constituted a personal data breach about which
DPP should have notified the Commissioner.
65. A personal data breach includes the “loss of availability of personal
data”.53
66. As set out in paragraphs 16 and 20, when the Cyber Incident occurred
DPP’s email server stopped working and staff no longer had access to
the personal data on its IT network. Given that DPP processes personal
data relating to ongoing court cases including confidential information,
which is subject to legal professional privilege, the loss of availability of
that personal data, even for a few days, was likely to result in a risk to
the rights and freedoms of its clients.54
67. DPP did not notify the Commissioner within 72 hours of becoming aware
that the Cyber Incident had caused a notifiable personal data breach. It
took DPP 43 days to notify the Commissioner about the breach, and it
only made a notification after being contacted by the NCA regarding the
exfiltration of personal data from its network (see paragraph 23 and 24).
53
https://ico.org.uk/for-organisations/report-a-breach/personal-data-breach/personal-data-breaches-a-guide/.
54
Recital 85 UK GDPR explains that “a personal data breach may, if not addressed in an appropriate and timely
manner, result in physical, material or non-material damage to natural persons such as… the loss of confidentiality of
personal data protected by professional secrecy”.
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68. DPP told the Commissioner that its efforts had been initially focused on
bringing its systems back online, and it did not believe that, in the
absence of any evidence of third party access to personal data, it had an
obligation to notify the Commissioner.55
69. It was the responsibility of DPP to assess the Cyber Incident and
determine whether it met the threshold for notification to the
Commissioner as required by Article 33(1) UK GDPR. In the
circumstances, DPP was required to notify the Commissioner within 72
hours of becoming aware of the personal data breach. If DPP did not
have all the required information for the notification, it should have made
an initial notification and provided a further update once more
information became available (as stated in Article 33(4) UK GDPR and
the Commissioner’s guidance).56 In its written representations, DPP
accepted that, in hindsight, it “should have made the notification at the
time of the incident”.57
70. The Commissioner finds that:
a) DPP focused its efforts on bringing its systems back online after
the Cyber Incident.
b) In so doing, DPP neglected to undertake an assessment of the
risks likely to be caused to data subjects resulting from their
personal data becoming unavailable.
c) Consequently, DPP only notified the Commissioner of the
personal data breach 43 days after the Cyber Incident that had
caused a personal data breach.
55
Telephone attendance ICO & DPP 21 July 2022; DPP Response to ICO 7 September 2022, Q1a.
56
https://ico.org.uk/for-organisations/report-a-breach/personal-data-breach/personal-data-breaches-a-guide/.
57
DPP Written Representations, 29 January 2025, p.5.
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d) The delay in DPP’s notification to the Commissioner was
compounded by DPP’s lack of understanding of the circumstances
in which it was required to make a notification to the
Commissioner under Article 33 UK GDPR.
71. The Commissioner therefore finds DPP to have infringed Article 33(1) UK
GDPR.
V. DECISION TO IMPOSE A PENALTY
72. For the reasons set out below, the Commissioner has decided to impose
a penalty on DPP in respect of the infringements of Article 5(1)(f), 32(1),
32(2) and 33(1) UK GDPR.
A. Legal Framework – penalties
73. When deciding whether to issue a penalty notice to a person and
determining the appropriate amount of that penalty, section 155(2)(a)
DPA requires the Commissioner to have regard to the matters listed in
Article 83(1) and (2) UK GDPR, so far as they are relevant in the
circumstances of the case.
74. Article 83(1) UK GDPR requires any monetary penalty imposed by the
Commissioner to be effective, proportionate, and dissuasive in each
individual case.
75. Article 83(2) UK GDPR requires the Commissioner to have due regard to
the following factors when determining whether to issue a penalty notice
and the appropriate amount of any such penalty in each individual case:
“(a) the nature, gravity and duration of the infringement taking
into account the nature scope or purpose of the processing
concerned as well as the number of data subjects affected and the
level of damage suffered by them;
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(b) the intentional or negligent character of the infringement;
(c) any action taken by the controller or processor to mitigate the
damage suffered by data subjects;
(d) the degree of responsibility of the controller or processor
taking into account technical and organisational measures
implemented by them pursuant to Articles 25 and 32;
(e) any relevant previous infringements by the controller or
processor;
(f) the degree of cooperation with the Commissioner, in order to
remedy the infringement and mitigate the possible adverse effects
of the infringement;
(g) the categories of personal data affected by the infringement;
(h) the manner in which the infringement became known to the
Commissioner, in particular whether, and if so to what extent, the
controller or processor notified the infringement;
(i) where measures referred to in Article 58(2) have previously
been ordered against the controller or processor concerned with
regard to the same subject-matter, compliance with those
measures;
(j) adherence to approved codes of conduct pursuant to Article 40
or approved certification mechanisms pursuant to Article 42; and
(k) any other aggravating or mitigating factor applicable to the
circumstances of the case, such as financial benefits gained, or
losses avoided, directly or indirectly, from the infringement”.
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B. The Commissioner’s decision on whether to impose a penalty
76. Paragraphs 78 to 134 below set out the Commissioner’s assessment of
whether it is appropriate to issue a penalty in relation to the
infringements set out above. That assessment involves consideration of
the factors in Articles 83(1) and 83(2) UK GDPR. The order in which
these considerations are set out below follows the Commissioner’s Data
Protection Fining Guidance, (the “Fining Guidance”):58
a) Seriousness of the infringements (Article 83(2)(a), (b) and (g))
b) Relevant aggravating or mitigating factors (Article 83(2)(c)-(f),
(h)-(k))
c) Effectiveness, proportionality and dissuasiveness (Article 83(1))
77. The Commissioner has not conducted a separate assessment for each
infringement. As explained further below (paragraphs 136 to 138), the
Commissioner considers the four infringements relate to the Relevant
Processing. An assessment of whether it is appropriate to issue a penalty
has been taken in relation to the four infringements collectively.59
Seriousness of the infringements: Article 83(2)(a) the nature, gravity and
duration of the infringements
78. In assessing the seriousness of the infringements, the Commissioner has
given due regard to their nature, gravity and duration.
Nature of the infringements
58
https://ico.org.uk/about-the-ico/our-information/policies-and-procedures/data-protection-fining-guidance/ (dated
March 2024).
59
For the avoidance of doubt, the Commissioner considers Articles 5(1)(f), 32(1), 32(2) and 33 UK GDPR to be
evidently distinct provisions of the UK GDPR. Had he calculated penalties for infringements of these provisions
separately, the Commissioner would have had to ensure, in accordance with Article 83(3) UK GDPR, that the total
penalty did not exceed the amount specified for the gravest infringement (that of Article 5(1)(f) UK GDPR). However,
in this Penalty Notice, the Commissioner has simply calculated a single penalty ensuring that the amount does not
exceed the maximum amount specified for the infringement of Article 5(1)(f) UK GDPR.
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79. Article 5(1)(f) UK GDPR (integrity and confidentiality) is a basic principle
for processing. An infringement of this provision is subject to the higher
maximum fine,60 reflecting its seriousness. Meanwhile, infringements of
Articles 32(1), 32(2) and 33(1) UK GDPR are subject to the standard
maximum amount.61
Gravity of the infringements
80. In assessing the gravity of the infringements, the Commissioner has
considered the nature, scope and purpose of the Relevant Processing, as
well as the number of data subjects affected by the Relevant Processing
and the level of damage they have suffered.62
81. Nature | The nature of the Relevant Processing concerned DPP’s delivery
of legal services and advice to clients (including the instruction of
experts, where required). In the absence of appropriate security
measures, the nature of the processing was likely to result in a high risk
to the data subjects if unauthorised access and processing took place (as
discussed in paragraphs 41 to 49). Some of the data subjects were
vulnerable, including children and victims of sexual offences. The
personal data impacted included sensitive personal data. It also included
information relating to ongoing court cases, including DNA data, legally
privileged information and police body-cam footage. In line with the
Fining Guidance, the Commissioner gives more weight to this factor
where the processing involves children’s personal data and personal data
of other vulnerable people, which is the case here. Recital 38 UK GDPR
explains that children merit specific protection with regard to their
personal data.
60
£17,500,000, or in the case of an undertaking, up to 4 % of the total worldwide annual turnover of the preceding
financial year, whichever is higher (Article 83(5) UK GDPR).
61
£8,700,000 or, in the case of an undertaking, up to 2% of the total worldwide annual turnover of the preceding
financial year, whichever is higher (Article 83(4) UK GDPR).
62
Article 83(2)(a) UK GDPR.
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82. Scope | The Commissioner notes that the territorial scope of the
Relevant Processing extended to clients and experts from across England
and Wales.
83. Purpose | The purpose of the Relevant Processing was to provide legal
advice in both criminal and civil proceedings, which has the possibility of
significantly affecting people’s rights and freedoms. The Commissioner
considers this to increase the gravity of the infringements.
84. Number of data subjects and level of damage suffered | The
number of data subjects affected by the infringements carries significant
weight. The Cyber Incident affected 791 data subjects in total. This
included: 306 crime clients, 225 family clients, 14 matrimonial clients,
137 actions against the police clients and 109 expert witnesses.63 791 is
not an insignificant number considering the sensitivity of the personal
data involved. This included highly sensitive information relating to court
proceedings and DPP’s legal advice to its clients. The Commissioner has
also had regard to complaints received (discussed in paragraphs 86 to
86.b) below).
85. In relation to the level of damage suffered by affected data subjects, the
Fining Guidance states:
"The Commissioner’s assessment of the level of damage suffered
by data subjects will be limited to what is necessary to evaluate
the seriousness of the infringement. Typically, it would not involve
quantifying the harm, either in aggregate or suffered by specific
people. It is also without prejudice to any decisions a UK court
may make about awarding compensation for damage suffered”.
86. In assessing the level of damage suffered as a result of the
infringements, regard has been given to both potential and actual
63
DPP Response to ICO, 7 September 2022, Q8, Q9; DPP Response to ICO, 6 October 2022, Q6.
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damage suffered by data subjects as a result of the Cyber Incident.
Complaints lodged by data subjects under Article 77 UK GDPR can assist
with the assessment of the level of damage. Two complaints were made
to the Commissioner:
a) The first complaint related to an individual who was accused of
sexually assaulting a child. The police wrote to this individual
explaining that following the Cyber Incident details of the
allegation were published online. As outlined in paragraph 42,
this individual had a reasonable expectation of privacy in relation
to the police investigation. In the complaint to the ICO, the
complainant described his reaction: “I'm now a prisoner in my
own home again. In fear of my life. My family's also”. The
individual further explains: “I'm seriously worried again and I
don't think I can cope. It's dredged everything back up. I haven't
been allowed to see my children… because of these allegations
and it's very nearly ended me. I can't do this again, I'm just
trying to live my life while fighting a losing battle with social
services. It's a nightmare”.
b) The second complaint related to an individual who was informed
by the police that their personal data was now online following
the Cyber Incident. The information disclosed related to a closed
criminal investigation in which the complainant was a suspect.
Again, this individual had a reasonable expectation of privacy in
relation to the police investigation. The complainant requested
compensation to increase security at his home. This individual
also complained to DPP directly.
87. DPP received five potential claims for professional negligence related to
the Cyber Incident. However, two of these came from individuals whose
data had not in fact been exfiltrated in the Cyber Incident. The remaining
three individuals cited in their claims that they suffered distress (as well
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as shock, anxiety, worry and lack of sleep), loss of control (and
autonomy) of their personal data and the possibility of fraud. One of
these individuals is a vulnerable individual as per his GP records.
88. The Commissioner considers that, in particular, three types of (non-
material) damage (actual or foreseeable) arose from the infringements.
These are:
a) Loss of control of personal data | The loss of control of
personal data is evident from DPP’s loss of access to its network
and the exfiltration of personal data from its network.
b) Loss of human dignity | Loss of human dignity is evident from
the nature of the personal data affected. For example, the data
relating to victims of crime, special category data relating to an
individual’s sex life and bodycam footage of individuals during
their interactions with police.
c) Psychological harms (distress, shock, anxiety, worry and lack
of sleep, anxiety and embarrassment from sensitive details
regarding allegations made public; reputational loss; loss of
confidence in the legal profession) | The psychological harm is
adequately demonstrated by the personal account of the
complainant (cited at paragraph 86.a) above).
89. The release of personal data of the type in this case on the dark web is
likely to increase distress to the affected individuals, not least given:
a) the vulnerability of some individuals to whom the data related;
b) the dark web’s common association with nefarious activity;64
64
It is common for threat actors to exploit victims of cyberattacks by threatening publication of exfiltrated data on
the dark web. The dark web enables threat actors to sell stolen data to other individuals / organisations with an
interest in exploiting it.
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c) that individuals expect that information they disclose to their
legal representatives is kept confidential and secure;
d) that experts involved in judicial proceedings also have an
expectation that law firms will treat their personal data
confidentially and securely.
90. DPP stated in notification letters to affected data subjects that the
personal data “is not in the public domain, but in a place on the dark web
that is not indexed by search engines”. However, this is not necessarily
accurate given that the data exists in an online space and the dark web
is accessible to anyone with the correct browser. DPP also further stated
that only six pieces of information were readily accessible, while the rest
was in an encrypted format that is “very difficult to access”. Whilst the
Commissioner acknowledges that a level of encryption may mean the
data is not immediately accessible, it does not necessarily mean it is
difficult to access as the level of encryption that the threat actor applied
to the other information may be simple; alternatively, the threat actor
could publish the decryption key making the information immediately
accessible.
91. Given the sensitivity of the personal data involved there is a greater
potential for rights and freedoms of data subjects to be adversely
affected, the Commissioner has therefore given significant weight to this
factor in his assessment of the gravity of the infringement.
92. With regards to the infringement of Article 33(1) UK GDPR, Recital 85
UK GDPR makes it clear that one of the purposes of notification to the
Commissioner is to limit the damage to individuals as a result of a
personal data breach. If DPP had notified the Commissioner when the
personal data breach occurred (i.e. at the time of the Cyber Incident),
the Commissioner may have initiated an investigation earlier that would
have prompted DPP to take steps to mitigate the breach. DPP may have
acted sooner rather than waiting to hear from the NCA about the
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personal data being uploaded onto the dark web. The delay of 43 days
before reporting the matter to the Commissioner also caused a delay in
the Commissioner’s investigation.
93. To summarise the Commissioner’s assessment of the gravity of the
infringements: the scope of the Relevant Processing was across England
and Wales, the nature and purpose of the Relevant Processing, the
number of data subjects affected, and the level of damage suffered by
them all increase the gravity of the infringements. The gravity of the
infringements increases their seriousness.
Duration of the infringements
Articles 5(1)(f) and 32 UK GDPR
94. The duration of the infringements was from at least 25 May 2018 (the
date of commencement of the DPA and application of the UK GDPR)65
until the 4 June 2022 (the date of the Cyber Incident, which caused DPP
to suspend sqluser from its network and move its case management,
accounts and email system to the new managed hosted environment
operated by a case management software supplier).
95. The risk of damage (i.e. potential damage) to data subjects existed from
at least as early as 25 May 2018 and could have materialised at any
point during this lengthy period. The risk materialised on 4 June 2022.
96. The infringements subsisted for (at the very least) four years before the
risk materialised. The duration of the infringements increases their
seriousness.
Article 33(1)
65
DPP was aware of the sqluser account as far back as 2011 but despite being aware, failed to ensure the ongoing
confidentiality of its systems, as required at the commencement of the DPA 2018 and application of the UK GDPR.
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97. Article 33(1) UK GDPR requires personal data breaches within the
meaning of Article 4(12) UK GDPR to be notified to the Commissioner
without undue delay and where feasible not later than 72 hours after
having become aware of it. DPP had 72 hours from becoming aware of
the Cyber Incident on 4 June 2022 to notify the Commissioner.
98. The duration of this infringement was from 7 June 2022 until 17 July
2022 (i.e. the date on which DPP notified the Commissioner about the
personal data breach). It is important to emphasise that this delay meant
that the infringements were not satisfactorily dealt with and caused a
consequential delay to the Commissioner’s investigation.
Conclusion on the nature, gravity and duration of the infringements
99. The nature, gravity and duration of the infringements all increase the
seriousness of the infringements.
Seriousness of the infringements: Article 83(2)(b) the intentional or negligent
character of the infringements
100. The Commissioner does not consider that DPP acted intentionally in
committing the infringements. The Commissioner does, however, find
that the infringements were negligent in character.
101. While the personal data breach occurred due to a malicious and criminal
cyberattack, it was successful due to DPP’s negligent security practices.
DPP acted negligently in failing to implement appropriate technical and
organisational measures to ensure a level of security appropriate to the
risk. In particular, DPP failed to have in place measures to audit all
accounts on DPP’s servers and to limit the privileges associated with
these accounts or disable them where they were not necessary. It failed
to recognise the risk associated with an administrator account that had
unrestricted access across the network. These were all routine measures
that could have been taken by DPP to secure its network and the
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personal data it was processing (see guidance referred to at paragraph
49 above).
102. It would have been straightforward for DPP to implement measures that
ensured appropriate security of the personal data (such as: suspending
the account when not needed; being (at least) aware of the password;
and performing risk assessments on the account). Any risk assessment
may have identified further ways in which the account could have been
secured more appropriately. Each of these measures could have been
implemented prior to the incident at minimal cost.
103. In addition, DPP ought to have known that the unavailability of systems
constituted a personal data breach, about which DPP should have notified
the Commissioner. The Commissioner’s guidance on personal data
breaches states: “Personal data breaches can include… loss of availability
of personal data”.66 The guidance also states that organisations should
notify the Commissioner within 72 hours of becoming aware of a breach,
even if they don’t have all the required information. For instance, the
guidance provides an example of a comparable situation, which
demonstrates that DPP ought to have notified the Commissioner earlier
when investigating the incident:
66
https://ico.org.uk/for-organisations/report-a-breach/personal-data-breach/personal-data-breaches-a-guide/.
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104. The clearly negligent character of the infringements increases their
seriousness.
Seriousness of the infringements: Article 83(2)(g) categories of personal data
affected
105. The personal data exfiltrated in the Cyber Incident included:67
a) Relating to 306 crime clients:
i. Name
ii. Address
iii. Date of birth
iv. Details of offence
v. Police station instructions, which includes a significant
amount of sensitive information. For example, special
category data including ethnicity and disability (where
applicable). It also includes details of the police station,
arrest and detention, previous advice and assistance that
DPP offered, samples taken, whether searches and seizures
were made, relevant medical conditions, DPP’s instructions
and advice to the client, police interview details, outcome
of the interview/arrest, charges and bail conditions, and
custody details.68
vi. DPP advice
vii. May include email and phone number
b) Relating to 225 family clients:
i. Name
ii. Court case
67
DPP Response to ICO, 7 September 2022, Q9; DPP Response to ICO, 6 October 2022, Q7; DPP Response to ICO,
7 August 2024, Q1.
68
DPP Response to ICO, 7 September 2022, Appendix 7.
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iii. Details of closed family cases
iv. May include date of birth
c) Relating to 14 matrimonial clients:69
i. Name
ii. Date of birth
iii. Address
iv. Email
v. Financial details
d) Relating to 137 actions against the police clients:70
i. Name
ii. Address
iii. Date of birth
iv. Phone
v. Email
vi. National insurance number
vii. Medical records (e.g. medical report, NHS number)
viii. Next of kin
ix. Driver’s license
x. DPP instructions
e) Relating to 109 experts:
i. Name
ii. Address
iii. Phone
iv. Email
v. Bank account information
69
DPP Response to ICO, 7 September 2022, Appendix 8.
70
DPP Response to ICO, 7 September 2022, Appendix 9.
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106. The Fining Guidance sets out at paragraph 70: “The UK GDPR… make[s]
clear that the processing of certain categories of personal data deserves
special protection. These categories include… special category data
(Article 9 UK GDPR); personal data relating to criminal convictions and
offences (Article 10 UK GDPR)”. Infringements that involve the
processing of such data are regarded by the Commissioner as being
particularly serious.71
107. The Fining Guidance further states at paragraph 72:
“In assessing seriousness, the Commissioner may also take into
account other types of personal data affected by the infringement
where that data may be regarded as particularly sensitive. This
includes where the dissemination of the personal data is likely to
cause damage or distress to data subjects, for example:… private
communications (particular those involving intimate details or
confidential information about the data subject)”.
108. The personal data exfiltrated in the Cyber Incident included a significant
proportion of personal data that deserves special protection and is
sensitive, including special category data, personal data relating to
criminal convictions and offences, and privileged communications.
109. As discussed in paragraphs 35 to 37, this information revealed intimate
details about individuals, including the offences of which they were
accused and DPP’s confidential legal advice, as well as information
relating to children. This points to the seriousness of the infringements
and is given significant weight in the Commissioner’s findings.
Conclusion on seriousness of infringements
71
Paragraph 71 of the Fining Guidance.
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110. The nature, gravity and duration as well as the clearly negligent
character of the infringements coupled with the impact on sensitive
information militates towards a high degree of seriousness. However,
when the relatively limited number of data subjects is taken into account
the Commissioner categorises the infringements as having a medium
degree of seriousness.
111. In the absence of any aggravating or mitigating factors, the
infringements would warrant a monetary penalty. The Commissioner’s
consideration of any aggravating or mitigating factors follows below.
Relevant aggravating or mitigating factors: Article 83(2)(c) any action taken
by the controller or processor to mitigate the damage suffered by the data
subjects
112. In line with Article 34 GDPR requirements, DPP notified affected
individuals of the personal data breach by letters, email and phone. DPP
notified the majority of data subjects by the end of August 2022. Where
the data subjects were children, DPP notified the children’s guardian via
CAFCAS (the Children and Family Court Advisory and Support Service),
rather than directly with the parents, as the children were subject to care
proceedings and did not live with their parents. Where DPP identified
data subjects as having mental health difficulties, DPP considered the
most appropriate means of contact was via a phone conversation.
113. DPP stated that when notifying those affected, DPP enclosed information
from the NCA with advice on how to protect personal data and stay safe
in the digital environment. This cannot be considered a mitigating factor
given that this information would not mitigate the possible damage
suffered by data subjects as a result of the Cyber Incident.
114. Following the Cyber Incident, steps were taken to improve DPP’s security
system, including moving its complete case management, accounts and
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email system to a managed hosted environment operated by its case
management software suppliers, The Access Group. DPP also removed
the legacy case management system from the DPP Network and it is now
only accessible through .
115. The Commissioner considers that these actions (notifying affected data
subjects and improving the DPP security system) do not amount to a
mitigating factor in his decision on whether to impose a penalty. These
actions were all legal requirements and include what would reasonably
be expected of an organisation in response to a personal data breach.
Relevant aggravating or mitigating factors: Article 83(2)(d) the degree of
responsibility of the controller or processor
116. DPP was the sole controller in respect of the Relevant Processing. DPP
therefore bears full responsibility for the infringements. While the
compromised administrator account was originally setup for third party
access to the network, DPP as controller is ultimately responsible for the
security measures that it has in place.
117. The Commissioner considers DPP’s degree of responsibility to be an
aggravating factor in his decision to impose a penalty.
Relevant aggravating or mitigating factors: Article 83(2)(e) any relevant
previous infringements by the controller or processor
118. The Commissioner is not aware of any relevant previous infringements.
This factor is therefore not relevant to his decision.
Relevant aggravating or mitigating factors: Article 83(2)(f) the degree of
cooperation with the Commissioner
119. Controllers and processors are expected to cooperate with the
Commissioner in the performance of the Commissioner’s tasks, for
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example by responding to requests for information and attending
meetings. The Commissioner considers that the ordinary duty of
cooperation is required by law and meeting this standard is therefore not
a mitigating factor.
120. DPP provided full cooperation with the Commissioner throughout the
investigation. DPP did not however go above and beyond the normal
level of expected cooperation. The Commissioner considers this to be a
neutral, rather than mitigating, factor.
Relevant aggravating or mitigating factors: Article 83(2)(h) the manner in
which the infringements became known to the Commissioner
121. DPP reported the Cyber Incident to the Commissioner but not until 43
days after its systems went offline. However, this is not considered as
an aggravating factor given it has already been taken into account in the
consideration of the seriousness of the infringement of Article 33(1) UK
GDPR.
Relevant aggravating or mitigating factors: Article 83(2)(i) measures
previously ordered against the controller or processor
122. There are no measures referred to in Article 58(2) UK GDPR which have
previously been ordered against DPP concerning the same subject
matter. This factor is therefore not relevant to the Commissioner’s
decision.
Relevant aggravating or mitigating factors: Article 83(2)(j) adherence to
approved codes of conduct or certification mechanisms
123. There were no approved codes of conduct pursuant to Article 40 UK
GDPR or approved certification mechanisms pursuant to Article 42 UK
GDPR. This factor is therefore not relevant to the Commissioner’s
decision.
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Relevant aggravating or mitigating factors: Article 83(2)(k) any other
applicable aggravating or mitigating factors
124. The Commissioner has considered whether DPP has adhered to approved
codes of conduct set out by its regulatory body.
125. The SRA has a published 'Code of Conduct for Firms'. Of particular
relevance are the requirements to:
• Paragraph 2.1(a) | "Have effective governance structures,
arrangements, systems and controls in place that ensure
[compliance] with all the SRA’s regulatory arrangements, as
well as with other regulatory and legislative requirements,
which apply to you";
• Paragraph 2.5 | "…identify, monitor and manage all material
risks to your business…";
• Paragraph 3.1 | "…keep up to date with and follow the law and
regulation governing the way you work"; and
• Paragraph 5.2 | "…safeguard money and assets entrusted to
you by clients and others" – the reference to “assets” is defined
to include documents.
126. The Commissioner finds the determination of compliance or otherwise
with the SRA Code of Conduct is a matter for the SRA and therefore does
not consider this as an aggravating factor in his assessment. As far as
the Commissioner is aware, no action has been taken by the SRA against
DPP in respect of the Cyber Incident. However, the Commissioner finds
that as an SRA regulated firm and, by virtue of the elements of the SRA
Code of Conduct listed at paragraph 125 above, DPP should have had
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greater awareness of the importance of compliance with the security
principles under UK GDPR.
127. DPP explained in its written representations that it had worked with the
NCSC regarding the attack.72 However, this was not considered to be a
mitigating factor as DPP did not take steps to pro-actively report the
attack to the NCSC at the time of the incident and did not go beyond
what was required in the circumstances.
128. There are no other aggravating or mitigating factors applicable to the
circumstances of the case.
Conclusion on relevant aggravating and mitigating factors
129. The Commissioner has taken into account the degree of DPP’s
responsibility as an aggravating factor.
130. Consideration of the seriousness of the infringements (the first stage of
the assessment) indicated that a penalty is appropriate. The aggravating
factor strengthens that assessment.
131. The final stage involves a consideration of the effectiveness,
proportionality and dissuasiveness of a penalty.
Effectiveness, proportionality and dissuasiveness
132. The Commissioner considers the imposition of a penalty would be
effective and dissuasive. It would both promote compliance with data
protection legislation and provide an appropriate sanction for the
infringements. It would deter DPP from infringing the UK GDPR’s security
provisions, including the requirement to notify the Commissioner within
72 hours of becoming aware of a personal data breach. There is also a
72
DPP Written Representations, 29 January 2025, p.4.
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need to deter other organisations, such as law firms, that hold sensitive
personal data from acting in the same way.
133. Taking into account the seriousness of the infringements and DPP’s size
and financial position (discussed in paragraph 146 below), the
Commissioner considers that the imposition of a penalty would be
proportionate (i.e. it would not exceed what is appropriate and necessary
in the circumstances to ensure compliance with data protection
legislation and to provide an appropriate sanction for the infringements).
DPP will continue to process personal data as it offers legal services to
vulnerable individuals and it will continue to need to implement
appropriate technical and organisational measures to protect sensitive
information, including legally privileged advice.
C. Conclusion on decision on whether to impose a penalty
134. In light of the assessment above, the Commissioner has decided to
impose a penalty.
VI. CALCULATION OF PROPOSED PENALTY
135. The Fining Guidance sets out a five-step approach which the
Commissioner proposes to apply to calculate the amount of a penalty:
Step 1: Assessment of the seriousness of the infringement.
Step 2: Accounting for turnover (where the controller or processor is
part of an undertaking).
Step 3: Calculation of the starting point having regard to the seriousness
of the infringement and, where relevant, the turnover of the undertaking.
Step 4: Adjustment to take into account any aggravating or mitigating
factors.
Step 5: Assessment of whether the fine is effective, proportionate and
dissuasive.
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Statutory maximum penalty
136. Article 83(3) UK GDPR states that “if a controller or processor
intentionally or negligently, for the same or linked processing operations,
infringes several provisions of the UK GDPR, the total amount of the
administrative fine shall not exceed the amount specified for the gravest
infringement”. The four infringements set out in this Penalty Notice73 all
relate to the same or linked processing operations (the Relevant
Processing). The gravest infringement was that of Article 5(1)(f) UK
GDPR.
137. The infringement of Article 5(1)(f) UK GDPR, which is one of the
principles of processing, is subject to the higher maximum statutory
penalty of £17.5 million (Article 83(5)(a) UK GDPR) or 4% of an
undertaking’s worldwide turnover in the preceding financial year
(whichever is higher). As an undertaking, DPP’s turnover in the
preceding financial year was £3,486,494 (see paragraph 146).
Therefore, had the Commissioner imposed a separate penalty for each
of the four infringements, the total of those four penalties could not have
exceeded £17.5 million (given that this is higher than 4% of DPP’s
turnover in the preceding financial year).
138. In this case, however, the Commissioner has calculated a single penalty
for all four infringements. This is because the four provisions infringed
all relate to the same or linked processing operations: they all related to
the failure to ensure the security of personal data processing including
the response to personal data breaches. The calculation proceeds on the
basis of a single statutory maximum of £17.5 million.
A. Step 1: Assessment of the seriousness of the infringement
73
Infringements of Articles 5(1)(f), 32(1), 32(2) and 33(1) UK GDPR.
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139. As set out at paragraphs 109 to 115 of the Fining Guidance, the
Commissioner determines a starting point for the penalty first by
assessing the seriousness of the infringement. The Commissioner
categorises the infringement according to its degree of seriousness and
then chooses a starting point based on a percentage of the relevant
applicable statutory maximum.
140. In this Penalty Notice (paragraph 110 above), the Commissioner has
categorised the infringements as having a medium degree of
seriousness. This means that the starting point will be between 10% and
20% of the relevant legal maximum (£17.5 million).
141. The Commissioner has decided that the infringements warrant a starting
point of 17%.
142. A starting point lower than 17% is not warranted due to the seriousness
of the infringements, for the reasons set out at paragraphs 78 to 111
above. The Commissioner does not repeat those reasons here.
143. A starting point higher than 17% is not warranted for the following
reasons:
a) the fact that the infringements were not intentional; and
b) there were no direct financial gains from the infringements.
B. Step 2: Accounting for turnover
144. Having assessed the seriousness of the infringements, the Commissioner
next determines any adjustment to reflect the size of the recipient of the
penalty.74 This is consistent with the need to ensure the amount of the
penalty is effective, proportionate and dissuasive.
74
As set out at paragraph 128 of the Fining Guidance, any such adjustment is discretionary.
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145. Where the recipient is an undertaking, the Commissioner will determine
the adjustment by reference to the undertaking’s turnover.
146. DPP provided a copy of its most recent financial statement. For the
financial year in the 2023/2024 period, DPP had a turnover of
£3,486,494.
147. As set out in the Fining Guidance, in the case of an undertaking with an
annual turnover of between £2 million and £10 million, the Commissioner
may apply an adjustment factor of 0.4% to 2% to the starting point (see
below). The Commissioner considers this range of adjustment is also
appropriate in DPP’s case.
148. The Commissioner has decided that an adjustment of 0.8% is
appropriate to reflect DPP’s size.
C. Step 3: Calculation of the starting point
149. The starting point of the penalty is calculated as follows:
Fixed statutory maximum amount (£17.5 million) x adjustment
for seriousness (17%) x turnover adjustment (0.8%) = £23,800
150. The starting point of £23,800 represents a figure which is 0.68% of DPP’s
turnover for the financial year 2023/2024,
D. Step 4: Adjustment to take into account any aggravating or
mitigating factors.
151. The Commissioner next takes into account any aggravating or mitigating
factors. These factors may warrant an increase or decrease in the level
of the penalty calculated at the end of Step 3 (the starting point of
£23,800).
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152. On this occasion, the Commissioner has decided that no mitigating
factors are present allowing for the adjustment of the fine.
153. The Commissioner has carefully considered the potential arguments in
respect of compliance or otherwise with the SRA Code of Practice arising
from the Cyber Incident. However, as the SRA has made no findings
against DPP as a result of the Cyber Incident, the Commissioner decides
not to take this factor into account as an aggravating factor.
154. Whilst DPP’s degree of responsibility was considered as an aggravating
factor in the decision to impose a penalty, the Commissioner has decided
that, as this factor is taken into account in the assessment of the
seriousness of the infringements at Step 1, it is not an aggravating factor
which would merit the adjustment of the fine.
155. There are no other aggravating or mitigating factors and so there is no
adjustment at Step 4.
E. Step 5: Adjustment to ensure the fine is effective, proportionate and
dissuasive
156. The Fining Guidance provides that:
“the aim of Steps 1 to 4 of the calculation is to identify a fine
amount that is effective, proportionate and dissuasive. The
purpose of Step 5 is to provide the opportunity for the
Commissioner to check that is the case”.
157. In evaluating the level of the fine, and in the exercise of his discretion,
the Commissioner considers that a penalty of £23,800 (representing only
0.68% of DPP’s turnover for the financial year 2023/2024) will neither
be effective nor dissuasive for the following reasons:
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a) A fine at this level is insufficient to serve as an effective
deterrent. The Commissioner has reached this view having taken
into consideration the categories of personal data affected (and
which will continue to be processed by DPP) and the level of fines
imposed in other cases involving security breaches.75 In the
Commissioner’s judgement the penalty requires an increase to
be effective and demonstrate the importance of compliance with
Articles 5(1)(f), 32 and 33 UK GDPR.
b) It would not be dissuasive because a fine of £23,800 is not
sufficient to discourage similar infringements. DPP could have
implemented a solution to protect the personal data that it
processes at minimal cost. A penalty representing a fraction of a
percent of DPP’s turnover would not be severe enough to secure
specific and general deterrence. That is:
i. Deterring DPP from infringing the security of processing
provisions of the UK GDPR and encouraging compliance
with the same (specific deterrence).
ii. Deterring other organisations generally from infringing
security of processing provisions of the UK GDPR and
encouraging compliance with the same (general
deterrence).
158. Where a penalty is a very small percentage of an organisation’s total
turnover, the impact of the penalty on that organisation may be very
limited. It is only when the penalty imposed is sufficiently high to make
a meaningful impact on the controller that the Commissioner can be
confident that the infringing controller will take its compliance with data
protection law seriously in the future.
75
See Tuckers Solicitors LLP monetary penalty notice, Interserve Group Limited monetary penalty notice, Marriott
International Inc, monetary penalty notice, British Airways monetary penalty notice.
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159. The Commissioner finds that a fine at the level of £23,800 is not
proportionate insofar as it would not deliver the objective of enforcing
compliance with the UK GDPR and providing an appropriate sanction for
the findings of infringement. Having taken into account the seriousness
of the infringements, the impact on data subjects and DPP’s size and
financial position, the Commissioner is of the view that a fine of £23,800
is less than is necessary in the circumstances to meet those objectives.
160. The Commissioner therefore considers that a penalty of £60,000 would
be more appropriate. A penalty of this amount represents 1.7% of DPP’s
turnover for the financial year 2023/2034 and is likely to have a genuine
deterrent effect. This is so taking into account both the specific
deterrence to DPP and the general deterrence to other organisations
(e.g. other law firms). This would send a message to other organisations
that they must implement appropriate security measures to protect
personal data. This penalty would not be more than is appropriate or
necessary in the circumstances. Therefore, a penalty of £60,000 would
be proportionate.
161. In its written representations, DPP sought to argue that the fine proposed
in the Notice of Intent was not in line with the Penalty Notice76 issued by
the Commissioner to Tuckers Solicitors LLP (Tuckers) on 28 February
2022 on the basis that Tuckers are a similar business to DPP in that a
substantial part of their legal activities is legally aided criminal law.
162. DPP submitted that taking into account fees generated on an annual
basis and numbers of staff employed in both firms, the fine proposed in
the Notice of Intent was not comparable on a per employee basis. DPP
76
Tuckers Solicitors LLP monetary penalty notice (https://ico.org.uk/media/action-weve-
taken/mpns/4019746/tuckers-mpn-20220228.pdf).
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further submitted that a penalty of less than £20,000 would be more
appropriate.
163. Having considered DPP’s written representations on this issue, the
Commissioner remains satisfied that the Fining Guidance has been
correctly applied to the outcome of his investigation into DPP’s
infringements. In particular, the Commissioner is satisfied that:
a) The monetary penalty notice issued to Tuckers cannot be directly
comparable to DPP because the fine imposed on Tuckers was
calculated under the Commissioner’s previous guidance for
calculating monetary penalties.77 In any event, it is not
appropriate for the Commissioner to compare enforcement
action taken in previous cases because each case turns on its
own facts and circumstances.
b) Neither the UK GDPR nor the DPA 2018 provide any legal basis
for calculating a fine by reference to the number of people
employed by an organisation.
c) In calculating the fine imposed on DPP, due regard has been
given to all the factors set out in Article 83(2) UK GDPR (in
particular, applicable factors aggravating or mitigating the
circumstances of the case). These factors differ case-to-case and
must be considered on the facts of each case.
d) Upon considering all the circumstances of the case, a fine in the
sum of £60,000 is effective, proportionate and dissuasive,
therefore an appropriate adjustment was required when applying
Step 5 of the Fining Guidance to the facts of DPP’s case. In
determining the appropriate adjustment to make at Step 5 to
77
The fine in Tuckers was calculated under the Commissioner’s Regulatory Action Policy; whereas, the fine imposed
on DPP has been calculated under the Fining Guidance.
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ensure the fine is effective, proportionate and dissuasive, the
Commissioner has exercised his evaluation and judgement
taking into account all the relevant circumstances of this case.
164. In making his decision and setting the amount of the penalty, the
Commissioner has also had regard to the desirability of promoting
economic growth (as required by section 108(1) of the Deregulation Act
2015). In particular, the Commissioner has taken into consideration:
a) the nature and level of risk associated with non-compliance with
data protection legislation (including risks to economic growth);
b) the steps taken by DPP to achieve compliance and the reasons
for its failure;
c) the willingness and ability of DPP to address its non-compliance;
d) the likely impact of the proposed intervention on DPP’s business
and the likely impact of the Commissioner’s regulatory
intervention on the wider legal services sector (both in terms of
deterrence and the economic benefit to legal services firms); and
e) the necessity and proportionality of imposing a penalty on DPP
in the sum of £60,000 in respect of its infringements of the UK
GDPR.
Having regard to the factors stated above, the Commissioner considers
that this Penalty Notice is unlikely to have an impact on any measure of
economic activity or growth in the United Kingdom, including levels of
employment and Gross Domestic Product.
F. Conclusion - Penalty
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165. For the reasons set out above, the Commissioner decides to impose a
monetary penalty on DPP in the amount of £60,000.
G. Financial hardship
166. The Fining Guidance outlines that, in exceptional circumstances, the
Commissioner may reduce a fine where an organisation is unable to pay
due to its financial position.78
167. The Notice of Intent given to DPP on 11 December 2024 indicated that
the amount of the penalty the Commissioner proposed to impose was
£60,000. The Commissioner received no representations from DPP in
relation to financial hardship.
VII. PAYMENT OF THE PENALTY
168. The penalty must be paid to the Commissioner’s office by BACS transfer
or cheque by 19 May 2025.
169. Under paragraph 9(1) of Schedule 16 to the DPA, the Commissioner
cannot take action to recover a penalty unless:
a) the period specified in this Penalty Notice (i.e. by 19 May 2025)
has ended;
b) any appeals against this Penalty Notice have been decided or
otherwise ended;
c) if this Penalty Notice has been varied, any appeals against the
penalty variation notice have been decided or otherwise ended;
and
d) the period for DPP to appeal this Penalty Notice, and any
variation of it, has ended.
78
Fining Guidance at paragraph 151.
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170. Under paragraph 9(2) of Schedule 16 to the DPA, in England and Wales,
the Commissioner is able to enforce the payment of the penalty. The
penalty is recoverable:
a) if the County Court so orders, as if it were payable under an order
of that court; or
b) if the High Court so orders, as if it were payable under an order
of that court.
VIII. RIGHTS OF APPEAL
171. By virtue of section 162 DPA, DPP may appeal to the First-tier Tribunal
(General Regulatory Chamber) (Information Rights) against this Penalty
Notice. DPP may appeal to the Tribunal against the amount of the
penalty, whether or not it appeals against the Penalty Notice.
172. Information about the appeals process is set out in the Annex. Any notice
of appeal should be sent or delivered to the Tribunal so that it is received
within 28 days of the date of this Penalty Notice.
Dated: 14 April 2025
Andy Curry
Director of Investigations (Interim)
Information Commissioner’s Office
Wycliffe House
Water Lane
Wilmslow
Cheshire
SK9 5AF
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ANNEX
DATA PROTECTION ACT 2018 (PART 6, SECTION 162)
RIGHTS OF APPEAL
1. By virtue of section 162(1) of the DPA, you may appeal to the Tribunal
against this Penalty Notice. By virtue of section 162(3), you may
appeal to the Tribunal against the amount of the penalty specified in
this Penalty Notice, whether or not you appeal against this Penalty
Notice.
2. If you appeal and if the Tribunal considers:
a. that the notice or decision against which the appeal is brought is
not in accordance with the law; or
b. to the extent that the notice or decision involved an exercise of
discretion by the Commissioner, that the Commissioner ought to
have exercised the discretion differently,
the Tribunal must allow the appeal or substitute another notice or
decision which the Commissioner could have given or made.
3. You may bring an appeal by sending a notice of appeal to the Tribunal
at:
[email protected]
or
General Regulatory Chamber
HM Courts and Tribunals Service
PO Box 9300
Leicester
LE1 8DJ
UK
(Telephone: 0300 123 4504)
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a. The notice of appeal should be received by the Tribunal within 28
days of the date of this Penalty Notice (which is the date that this
Penalty Notice was sent).
b. If your notice of appeal is late the Tribunal will not accept it
unless the Tribunal has extended the time for complying with this
rule.
4. The notice of appeal must include:
a. your name and address;
b. the name and address of your representative (if any);
c. an address where documents may be sent or delivered to you;
d. the name and address of the respondent (the Information
Commissioner);
e. details of the decision to which the proceedings relate;
f. the result you are seeking;
g. the grounds on which you rely;
h. a full copy of this Penalty Notice; and
i. (if the notice of appeal is late) a request for an extension of time,
giving the reason(s) why the notice of appeal is late and why the
Tribunal should accept it.
5. Before deciding whether or not to appeal you may wish to consult your
solicitor or another adviser. At the hearing of an appeal a party may
conduct their case themselves or may be represented by any person
whom they may appoint for that purpose.
6. The statutory provisions concerning appeals to the First-tier Tribunal
(General Regulatory Chamber) are contained in sections 162 and 163
of, and Schedule 16 to, the Data Protection Act 2018, and The Tribunal
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Procedure (First-tier Tribunal) (General Regulatory Chamber) Rules
2009 (Statutory Instrument 2009 No. 1976 (L.20)).
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