1. Purpose and Scope

Purpose: This Data Protection Policy establishes requirements and controls to protect sensitive data throughout its lifecycle, from creation to destruction. The policy ensures compliance with regulatory requirements and industry best practices while protecting PPOIC's business interests and customer trust.

Scope: This policy applies to all sensitive data, including:

• Customer and client data (names, contact information, business details)
• Personal information subject to CCPA and privacy regulations
• Financial data (payment information, banking details, financial records)
• Proprietary business information (trade secrets, formulas, processes)
• Employee personal information (HR records, payroll data)
• Intellectual property and confidential business data

Applicability: All employees, contractors, vendors, and third parties who handle sensitive data.

2. Definitions and Data Classification

Data Classification Levels

Classification	Description	Examples	Protection Requirements
Highly Confidential	Data that would cause severe damage if disclosed	Trade secrets, payment card data, SSNs, authentication credentials	Encryption at rest and in transit, strict access controls, audit logging
Confidential	Data that would cause significant harm if disclosed	Customer lists, contracts, financial reports, employee records	Encryption in transit, access controls, secure storage
Internal Use	Data for internal business use only	Internal policies, procedures, organizational charts	Access controls, not for public distribution
Public	Data approved for public disclosure	Marketing materials, public website content, press releases	Integrity protection, version control

Key Definitions

Term	Definition
Sensitive Data	Data classified as Highly Confidential or Confidential per PPOIC's data classification scheme
Personal Information	Information that identifies, relates to, or could reasonably be linked with a particular individual (CCPA definition)
Encryption in Transit	Cryptographic protection of data while being transmitted over networks (TLS/SSL, VPN, etc.)
Encryption at Rest	Cryptographic protection of data stored on physical media (disk encryption, database encryption, etc.)
Data Segregation	Physical or logical separation of customer data to prevent unauthorized cross-customer access
Data Controller	Entity that determines the purposes and means of processing personal data (PPOIC)
Data Processor	Entity that processes personal data on behalf of the data controller
Data Subject	Individual to whom personal data relates

3. Roles and Responsibilities

Chief Information Officer / Data Protection Officer - Clarence Simms

Responsibilities:

• Overall accountability for data protection policy and compliance
• Oversight of data protection controls and technical implementations
• Data protection impact assessments (DPIAs)
• Coordination with regulatory authorities on data protection matters
• Data breach notification and response coordination
• Privacy rights management (access, deletion, portability requests)
• Vendor data protection agreement oversight
• Data protection training and awareness programs

Chief Executive Officer - Jason Robertson

Responsibilities:

• Executive approval of data protection policy
• Final authority on data protection investments and strategic decisions
• Accountability to stakeholders for data protection posture
• Support for data protection culture and compliance initiatives

Chief Financial Officer - Tamika Boga

Responsibilities:

• Oversight of financial data protection and compliance
• Budget allocation for data protection initiatives
• Compliance with financial data regulations (PCI DSS, SOX, etc.)
• Vendor contract review for data protection terms

IT Security Team

Responsibilities:

• Implementation and maintenance of encryption technologies
• Configuration of data protection controls (TLS, database encryption, etc.)
• Security monitoring and incident detection
• Access control management and audit logging
• Data protection technical assessments and audits

All Employees

Responsibilities:

• Compliance with data protection policy and procedures
• Proper handling of sensitive data per classification
• Reporting of data protection incidents or concerns
• Completion of data protection training
• Use of approved encryption tools for sensitive data

4. Policy Statements

4.1 Data Encryption in Transit

Requirements:

• All web-based data transmission must use HTTPS with TLS 1.2 or higher
• Database connections must use TLS/SSL encryption
• File transfers must use secure protocols (SFTP, FTPS, SCP, HTTPS)
• Email containing sensitive data must be encrypted (see Section 4.2)
• API communications must use HTTPS with mutual TLS authentication where appropriate
• Remote access must use VPN with strong encryption (AES-256)
• Wireless networks must use WPA3 or WPA2-Enterprise with strong passwords
• Unencrypted protocols (FTP, Telnet, HTTP for sensitive data) are prohibited

Technical Implementation:

Data Flow	Encryption Method	Minimum Standard
Web Application Traffic	HTTPS (TLS/SSL)	TLS 1.2, AES-256-GCM cipher
Database Connections	TLS/SSL	TLS 1.2, certificate validation
File Transfers	SFTP, FTPS, or HTTPS	SSH-2, TLS 1.2
Email (Sensitive Data)	S/MIME or PGP	RSA 2048-bit, AES-256
Remote Access	IPsec VPN or SSL VPN	AES-256, SHA-256
API Communications	HTTPS with API keys/OAuth	TLS 1.2, token-based auth
Wireless Networks	WPA3 or WPA2-Enterprise	AES-256, 802.1X authentication

4.2 Email Encryption

Requirements:

• Emails containing Highly Confidential or Confidential data must be encrypted
• S/MIME or PGP/GPG encryption must be used for end-to-end protection
• Digital signatures should be used to verify sender authenticity
• Email encryption certificates must be obtained from trusted Certificate Authorities
• Employees must be trained on email encryption tools and procedures
• Sensitive data must not be sent via unencrypted email
• Alternative secure file sharing methods (encrypted portals) may be used

Email Encryption Decision Tree:

Approved Email Encryption Solutions:

• S/MIME: Certificate-based encryption integrated with Outlook, Gmail, Apple Mail
• PGP/GPG: Open-source encryption for cross-platform compatibility
• Secure File Sharing: Encrypted portal for large files or external recipients without encryption capability

4.3 Data Encryption at Rest

Requirements:

• Database encryption for all databases containing sensitive data
• Full disk encryption on all servers storing sensitive data
• Workstation and laptop encryption (BitLocker, FileVault, LUKS)
• Mobile device encryption (iOS, Android built-in encryption)
• Removable media encryption (USB drives, external hard drives)
• File-level encryption for highly sensitive documents
• Backup encryption for all backup media
• Cloud storage encryption (server-side and client-side)

Encryption Standards:

Storage Type	Encryption Method	Algorithm/Standard	Key Management
Database	Transparent Data Encryption (TDE)	AES-256	Database key management system
Server Disks	Full Disk Encryption	AES-256 (LUKS, BitLocker)	TPM or key escrow
Workstations	BitLocker (Windows), FileVault (Mac)	AES-256	TPM + recovery key
Mobile Devices	Device encryption (iOS, Android)	AES-256	Device passcode/biometric
Removable Media	BitLocker To Go, VeraCrypt	AES-256	Password-based
Backup Media	Backup software encryption	AES-256	Centralized key management
Cloud Storage	Server-side + client-side encryption	AES-256	Cloud KMS + customer-managed keys
File-Level	7-Zip, GPG, or enterprise DLP	AES-256	Password or certificate-based

Key Management Requirements:

• Encryption keys must be stored separately from encrypted data
• Key management system (KMS) or Hardware Security Module (HSM) for enterprise keys
• Key rotation at least annually or per vendor recommendations
• Key backup and recovery procedures documented and tested
• Access to encryption keys restricted to authorized personnel only
• Key destruction procedures for decommissioned systems

4.4 Physical Document Security and Destruction

Physical Document Handling Requirements:

• Sensitive documents must be stored in locked cabinets or secure areas
• Access to physical document storage areas must be restricted and logged
• Documents must not be left unattended in public or unsecured areas
• Clean desk policy: sensitive documents must be secured at end of day
• Faxing of sensitive documents should be avoided; if necessary, use secure fax
• Printing of sensitive documents should be minimized; use secure print release

Secure Destruction Methods:

Document Type	Destruction Method	Standard	Verification
Paper Documents	Cross-cut shredding	DIN 66399 P-4 or higher	Certificate of destruction from vendor
Highly Confidential Paper	Micro-cut shredding or pulping	DIN 66399 P-5 or P-6	Witnessed destruction + certificate
Hard Drives	Degaussing + physical destruction	NIST SP 800-88 Purge/Destroy	Certificate of destruction
Optical Media (CD/DVD)	Physical destruction (shredding)	NIST SP 800-88	Destruction log
USB Drives / Flash Media	Physical destruction	NIST SP 800-88 Destroy	Destruction log

Destruction Procedures:

1. Identification: Identify documents/media for destruction per retention schedule
2. Inventory: Create inventory of items to be destroyed
3. Secure Storage: Store items securely until destruction (locked bins)
4. Destruction: Use approved destruction method (on-site shredder or certified vendor)
5. Verification: Obtain certificate of destruction from vendor
6. Documentation: Maintain destruction logs and certificates for audit

4.5 Customer Data Segregation

Data Segregation Requirements:

• Each customer's data must be logically or physically separated
• Database-level segregation using separate schemas, tables, or databases
• Application-level access controls enforce customer data boundaries
• Multi-tenant applications must implement tenant isolation
• File storage segregation using separate directories or containers
• Backup segregation to prevent cross-customer data restoration
• Access controls prevent users from accessing other customers' data
• Regular audits to verify segregation effectiveness

Segregation Implementation Methods:

Segregation Type	Implementation	Use Case	Security Level
Physical Segregation	Separate servers/databases per customer	High-security customers, regulatory requirements	Highest
Database Segregation	Separate databases per customer on shared infrastructure	Medium to large customers	High
Schema Segregation	Separate schemas within shared database	Small to medium customers	Medium-High
Row-Level Security	Customer ID filtering in shared tables	Multi-tenant SaaS applications	Medium
File System Segregation	Separate directories/containers per customer	Document storage, file uploads	Medium

Access Control for Segregated Data:

• Role-Based Access Control (RBAC) with customer context
• Application enforces customer boundaries in all queries
• Database views and stored procedures enforce segregation
• API authentication includes customer identification
• Administrative access requires explicit customer selection
• Audit logging of all cross-customer access attempts

5. Technical Requirements and Controls

Encryption Algorithm Standards

Purpose	Approved Algorithms	Minimum Key Size	Prohibited Algorithms
Symmetric Encryption	AES-256, AES-128, ChaCha20	128-bit (256-bit preferred)	DES, RC4, Blowfish
Asymmetric Encryption	RSA, ECDSA, EdDSA	RSA 2048-bit, ECDSA P-256	RSA < 2048-bit
Hashing	SHA-256, SHA-384, SHA-512, SHA-3	256-bit	MD5, SHA-1
Transport Encryption	TLS 1.2, TLS 1.3	N/A	SSL 2.0, SSL 3.0, TLS 1.0, TLS 1.1
VPN Encryption	IPsec (AES-256), OpenVPN (AES-256)	256-bit	PPTP, L2TP without IPsec

Data Loss Prevention (DLP) Controls

PPOIC implements Data Loss Prevention controls to prevent unauthorized disclosure of sensitive data:

• Email DLP: Scan outbound emails for sensitive data patterns; block or encrypt automatically
• Endpoint DLP: Prevent copying sensitive data to unauthorized removable media
• Network DLP: Monitor network traffic for sensitive data exfiltration attempts
• Cloud DLP: Monitor cloud storage and SaaS applications for sensitive data exposure
• Content Discovery: Scan file shares and databases to identify sensitive data

Access Control Requirements

Access to sensitive data is controlled through:

• Principle of Least Privilege: Users granted minimum access necessary for job function
• Role-Based Access Control (RBAC): Access based on job roles and responsibilities
• Need-to-Know: Access granted only when business need is demonstrated
• Separation of Duties: Critical functions require multiple approvals
• Regular Access Reviews: Quarterly review of user access rights
• Automated Provisioning/Deprovisioning: Access granted/revoked based on HR system
• Multi-Factor Authentication: Required for access to highly confidential data

6. Data Lifecycle Management

Data Retention and Disposal

Data Type	Retention Period	Disposal Method	Legal Basis
Customer Contracts	7 years after termination	Secure deletion or shredding	Business records retention
Financial Records	7 years	Secure deletion or shredding	Tax and accounting regulations
Employee Records	7 years after termination	Secure deletion or shredding	Employment law requirements
Customer Personal Data	As long as business relationship + 1 year	Secure deletion	CCPA data minimization
Security Logs	1 year (critical events: 3 years)	Secure deletion	Security and compliance
Backup Data	90 days (monthly: 1 year)	Secure deletion or destruction	Business continuity

7. Compliance and Regulatory Requirements

NIST 800-53 Controls Implementation

Control Family	Control ID	Control Name	Implementation
SC - System and Communications Protection	SC-8	Transmission Confidentiality and Integrity	TLS 1.2+ for all sensitive data in transit
	SC-13	Cryptographic Protection	AES-256 encryption at rest and in transit
	SC-28	Protection of Information at Rest	Full disk encryption, database encryption
	SC-28(1)	Cryptographic Protection	FIPS 140-2 validated encryption modules
MP - Media Protection	MP-6	Media Sanitization	Secure destruction per NIST SP 800-88
	MP-6(1)	Review, Approve, Track, Document, Verify	Destruction certificates and logs
	MP-6(2)	Equipment Testing	Verification of destruction effectiveness

CCPA Compliance

This Data Protection Policy supports CCPA compliance through:

• Security of Personal Information (§1798.150): Encryption and access controls protect personal information
• Data Minimization: Collection limited to necessary data for business purposes
• Purpose Limitation: Data used only for disclosed purposes
• Consumer Rights Support: Technical controls enable access, deletion, and portability rights
• Vendor Management: Data processing agreements with third parties
• Breach Notification: Incident response procedures for breach notification

GDPR Principles Alignment

While PPOIC is primarily subject to CCPA, this policy aligns with GDPR principles as best practice:

• Lawfulness, Fairness, Transparency: Clear privacy notices and consent management
• Purpose Limitation: Data collected for specified, explicit purposes
• Data Minimization: Adequate, relevant, and limited data collection
• Accuracy: Procedures to keep personal data accurate and up-to-date
• Storage Limitation: Retention schedules and secure disposal
• Integrity and Confidentiality: Encryption and security controls
• Accountability: Documentation, audits, and DPO oversight

8. CyberVadis Audit Evidence Requirements

Proof of Commitment

Evidence Type	Description	Location
Data Protection Policy	This comprehensive policy document	Policy repository
Executive Approval	Signed approval from CEO and DPO	Section 12 of this document
Data Classification Scheme	Documented data classification levels and handling requirements	Section 2 of this document
Encryption Standards	Technical standards for encryption algorithms and key management	Section 5 of this document
Destruction Procedures	Documented procedures for secure data destruction	Section 4.4 of this document

Proof of Implementation

Control	Evidence Type	Description	Collection Method
Data Encryption in Transit	Configuration Screenshot	TLS/SSL configuration showing encryption algorithms	Web server config, database connection settings
Email Encryption	Certificate Screenshot	S/MIME or PGP certificate configuration	Email client certificate manager screenshot
Data Encryption at Rest	Encryption Tool Screenshot	Database TDE, BitLocker, or disk encryption status	Database management console, BitLocker status
Physical Document Destruction	Destruction Certificate	Certificate from shredding vendor with date and quantity	Vendor-provided certificate of destruction
Customer Data Segregation	Configuration Screenshot	Database schema showing customer segregation	Database management tool showing separate schemas/tables
Access Controls	Access Control Matrix	RBAC configuration and user permissions	Identity management system screenshot

9. Data Breach Response

Data Breach Definition: Unauthorized access, acquisition, use, or disclosure of sensitive data that compromises the security, confidentiality, or integrity of the data.

Breach Response Procedures

Notification Requirements

Notification Type	Trigger	Timeline	Content
Internal (DPO/CIO)	Any suspected breach	Immediate (< 1 hour)	Initial assessment, affected systems
Executive Management	Confirmed breach affecting > 100 individuals	< 4 hours	Scope, impact, response actions
Affected Individuals	Personal information compromised (CCPA)	Without unreasonable delay	Nature of breach, data affected, mitigation steps, contact info
California Attorney General	Breach affecting > 500 California residents	Without unreasonable delay	Breach details, affected individuals, remediation
Customers/Partners	Customer data compromised	< 72 hours	Breach details, customer impact, support resources

10. Monitoring and Review

Policy Review Schedule:

• Annual comprehensive policy review (January each year)
• Review after data breaches or security incidents
• Review when regulatory requirements change (CCPA updates, etc.)
• Review before CyberVadis or compliance audits

Continuous Monitoring:

Activity	Frequency	Responsible Party
Encryption Status Verification	Monthly	IT Security Team
Access Control Review	Quarterly	IT Security + Department Managers
Data Classification Audit	Semi-annually	DPO + Data Owners
Vendor Data Protection Assessment	Annually	DPO + Procurement
Data Protection Training	Annually (new hires: upon hire)	HR + IT Security
Destruction Certificate Review	Quarterly	IT Security Team

11. Policy Enforcement and Violations

Violations and Consequences:

Violation Type	Examples	Consequences
Critical	Intentional data theft, unauthorized disclosure of customer data, disabling encryption	Immediate termination, legal action, law enforcement notification
Major	Sending unencrypted sensitive data, improper data disposal, unauthorized data access	Written warning, mandatory training, access restrictions, potential termination
Minor	Failure to classify data, leaving documents unsecured, delayed incident reporting	Verbal warning, corrective action, additional training

12. Approval and Signatures