1. PURPOSE AND SCOPE

1.1 Purpose

This Information Security Policy establishes the security framework for UK Transcription Service's operations, ensuring the protection of client data, system integrity, and compliance with regulatory requirements including Cyber Essentials.

1.2 Scope

This policy applies to:

• All UK Transcription Service systems, applications, and infrastructure
• All staff, contractors, and third-party service providers
• Client data, audio files, transcripts, and associated metadata
• All physical and logical assets used in business operations

2. POLICY STATEMENT

UK Transcription Service is committed to maintaining the highest standards of information security to protect client confidentiality, ensure service availability, and maintain data integrity. We implement comprehensive security controls to safeguard against cyber threats while enabling efficient business operations.

3. INFORMATION SECURITY FRAMEWORK

3.1 Security Architecture

Our security approach employs multiple layers of defense:

Application Layer:

• Secure development frameworks with industry best practices
• Multi-tier authentication systems
• Role-based access control (RBAC) with separation of duties
• Input validation and output encoding

Database Layer:

• Enterprise-grade database systems with access controls
• Encrypted data at rest using industry-standard encryption
• Secure API endpoints with authentication requirements
• Database activity monitoring

Storage Layer:

• Private storage with controlled access mechanisms
• Secure upload protocols with file size limitations
• Encrypted backup systems
• Access logging and monitoring

3.2 Data Classification

• Confidential: Client audio files, transcripts, personal information, business-sensitive data
• Internal: System configurations, business processes, operational data
• Public: Marketing materials, published information, general business content

4. RISK MANAGEMENT

4.1 Risk Assessment Framework

Methodology:

• Annual comprehensive risk assessments
• Quarterly targeted risk reviews
• Event-driven assessments for significant changes
• Standardized risk scoring methodology (likelihood × impact)

Risk Categories:

• Cyber security threats (malware, hacking, data breaches)
• Operational risks (system failures, human error)
• Compliance risks (regulatory non-compliance)
• Third-party risks (supplier security failures)

4.2 Risk Treatment

Treatment Options:

• Mitigate: Implement controls to reduce risk
• Accept: Formally acknowledge and monitor residual risk
• Transfer: Use insurance or contractual arrangements
• Avoid: Eliminate risk-causing activities

Risk Appetite:

• Zero tolerance for data breaches involving client information
• Low tolerance for service availability disruptions
• Moderate tolerance for operational inefficiencies due to security measures

5. CYBER ESSENTIALS COMPLIANCE

5.1 Secure Configuration

Implementation:

• Hardened system configurations with minimal necessary services
• Regular security updates applied within 14 days for critical vulnerabilities
• Secure defaults for all system configurations
• Documented configuration standards

5.2 Boundary Firewalls and Internet Gateways

Implementation:

• Network perimeter security controls
• Application-level firewall rules
• Rate limiting on public-facing services
• DDoS protection mechanisms
• Regular firewall rule reviews

5.3 Access Control and Administrative Privilege Management

Implementation:

• Multi-factor authentication for privileged accounts
• Principle of least privilege access
• Regular access reviews and deprovisioning procedures
• Strong authentication requirements

5.4 Patch Management

Implementation:

• Automated vulnerability scanning and patch management
• Prioritized patching based on risk assessment
• Testing procedures before production deployment
• Emergency patch procedures for critical vulnerabilities

5.5 Malware Protection

Implementation:

• Multi-layered anti-malware solutions
• File type validation and content scanning
• Email security with anti-malware filtering
• Regular security monitoring and threat detection

6. PHYSICAL SECURITY

6.1 Facility Security

Office/Workspace Requirements:

• Controlled access to business premises
• Visitor registration and escort procedures
• Secure storage for sensitive documents and equipment
• Environmental controls and monitoring

6.2 Equipment Security

Device Management:

• Asset inventory and tracking procedures
• Secure storage requirements for mobile devices
• Equipment loan and return procedures
• Secure disposal and data destruction protocols

6.3 Clean Desk Policy

• Secure storage of confidential information when not in use
• Screen locking when away from workstations
• Proper disposal of confidential waste
• Restrictions on removable media usage

7. CHANGE MANAGEMENT

7.1 Change Control Process

Standard Changes:

• Formal change request and approval process
• Impact assessment and risk evaluation
• Testing requirements in non-production environments
• Documented rollback procedures

Emergency Changes:

• Expedited approval process for urgent security fixes
• Post-implementation review and documentation
• Communication to affected stakeholders
• Audit trail maintenance

7.2 Configuration Management

• Baseline configuration documentation
• Version control for all system configurations
• Regular configuration drift monitoring
• Change tracking and audit capabilities

8. DATA PROTECTION AND PRIVACY

8.1 Data Handling Procedures

Client Audio Files:

• Encrypted storage with appropriate access controls
• Secure transmission protocols
• Time-limited access mechanisms
• Automated deletion policies

Personal Information:

• GDPR-compliant data processing procedures
• Data minimization principles
• Consent management systems
• Data subject rights fulfillment processes

8.2 Data Retention and Disposal

• Audio files: Retained for defined period post-delivery
• Personal data: Retained per legal requirements and business need
• System logs: Appropriate retention periods
• Secure data destruction procedures

9. SUPPLIER AND VENDOR MANAGEMENT

9.1 Vendor Selection and Due Diligence

Security Assessment Requirements:

• Security certifications (Cyber Essentials, ISO 27001, SOC 2)
• Data processing agreements and contract terms
• Financial stability and business continuity assessment
• Reference checks and security questionnaires

9.2 Ongoing Vendor Management

Monitoring and Review:

• Annual security reviews of critical suppliers
• Regular assessment of vendor security posture
• Incident notification and response procedures
• Contract renewal and security requirement updates

9.3 Third-Party Access Management

• Least privilege access for vendor personnel
• Monitoring of third-party access activities
• Regular access reviews and deprovisioning
• Secure authentication mechanisms

10. INCIDENT RESPONSE

10.1 Security Incident Classification

Critical: Data breach, system compromise, ransomware, complete service outage

High: Unauthorized access attempts, DDoS attacks, partial service disruption

Medium: Failed authentication patterns, suspicious activity, minor service impact

Low: Policy violations, configuration issues, individual user problems

10.2 Response Procedures

Incident Response Process:

1. Detection and Reporting: Automated monitoring and manual reporting channels
2. Assessment and Classification: Impact analysis and severity determination
3. Containment: Immediate threat isolation and damage limitation
4. Investigation: Root cause analysis and evidence preservation
5. Recovery: System restoration and service resumption
6. Post-Incident Review: Lessons learned and improvement implementation

10.3 Communication and Notification

• Internal escalation procedures and timelines
• Client notification requirements and templates
• Regulatory reporting obligations
• Public communication protocols (if required)

11. BUSINESS CONTINUITY AND DISASTER RECOVERY

11.1 Business Continuity Planning

Continuity Objectives:

• Recovery Time Objective (RTO): 4 hours for critical services
• Recovery Point Objective (RPO): 4 hours maximum data loss
• Alternative processing arrangements
• Supplier dependency management

11.2 Backup and Recovery

Backup Procedures:

• Automated backup systems with regular scheduling
• Encrypted backup storage with appropriate retention
• Multiple backup locations and recovery points
• Regular recovery testing and validation

11.3 Crisis Management

• Emergency response team structure and roles
• Communication plans for extended outages
• Customer and stakeholder notification procedures
• Media relations and public communication protocols

12. LEGAL AND REGULATORY COMPLIANCE

12.1 Regulatory Framework

Applicable Regulations:

• General Data Protection Regulation (GDPR)
• UK Data Protection Act 2018
• Industry-specific regulations and standards
• Contractual security obligations

12.2 Compliance Management

Compliance Monitoring:

• Regular compliance assessments and audits
• Legal and regulatory update monitoring
• Policy and procedure alignment with requirements
• Training on regulatory obligations

12.3 Legal Hold and Evidence Preservation

• Legal hold procedures for litigation or investigations
• Evidence preservation and chain of custody
• E-discovery support and data production
• Record retention compliance

13. SECURITY MONITORING AND ASSESSMENT

13.1 Continuous Monitoring

Monitoring Capabilities:

• Real-time security event monitoring and alerting
• System performance and availability monitoring
• User activity and access monitoring
• Network traffic analysis and anomaly detection

13.2 Security Testing and Assessment

Regular Assessments:

• Annual penetration testing
• Quarterly vulnerability assessments
• Security control effectiveness reviews
• Third-party security audits

13.3 Security Metrics and Reporting

Key Performance Indicators:

• Security incident frequency and severity
• System availability and performance metrics
• Patch deployment timeliness
• Training completion and compliance rates

14. TRAINING AND AWARENESS

14.1 Security Awareness Program

Training Requirements:

• Annual mandatory security awareness training
• Role-specific security training programs
• New employee security orientation
• Regular security updates and communications

14.2 Specialized Training

Technical Training:

• Incident response training and exercises
• Secure coding and development practices
• Security tool training and certification
• Industry conference and education participation

14.3 Contractor and Third-Party Training

• Security requirements acknowledgment
• Specific training for high-risk activities
• Regular updates on security policies
• Compliance verification procedures

15. ROLES AND RESPONSIBILITIES

15.1 Senior Management

• Overall security strategy and governance
• Resource allocation and budget approval
• Risk appetite and tolerance setting
• Compliance oversight and accountability

15.2 Security Management

• Security policy development and maintenance
• Incident response coordination and management
• Security control implementation oversight
• Risk assessment and treatment planning

15.3 Technical Teams

• Security control implementation and maintenance
• System monitoring and threat detection
• Vulnerability management and patching
• Security tool administration

15.4 All Personnel

• Policy compliance and secure work practices
• Security incident reporting
• Continuous security awareness
• Protection of organizational assets

16. POLICY GOVERNANCE

16.1 Policy Management

Review and Update Process:

• Annual comprehensive policy review
• Quarterly updates for significant changes
• Event-driven updates for incidents or threats
• Stakeholder consultation and approval process

16.2 Compliance Monitoring and Enforcement

Compliance Framework:

• Regular audit and assessment procedures
• Automated compliance monitoring where possible
• Exception reporting and management
• Corrective action planning and tracking

16.3 Non-Compliance Management

Enforcement Procedures:

• Progressive disciplinary actions for policy violations
• Immediate access revocation for security breaches
• Mandatory retraining for policy violations
• Appeal and escalation procedures