Artikel 22 📖 AVG (GDPR). Geautomatiseerde individuele besluitvorming, waaronder profilering

Artikel 22 AVG (GDPR). Geautomatiseerde individuele besluitvorming, waaronder profilering

Article 22 GDPR. Automated individual decision-making, including profiling

1. De betrokkene heeft het recht niet te worden onderworpen aan een uitsluitend op geautomatiseerde verwerking, waaronder profilering, gebaseerd besluit waaraan voor hem rechtsgevolgen zijn verbonden of dat hem anderszins in aanmerkelijke mate treft.

1. The data subject shall have the right not to be subject to a decision based solely on automated processing, including profiling, which produces legal effects concerning him or her or similarly significantly affects him or her.

Commentaar

(EN) The data subject shall have the right not to be subject to a decision based solely on automated processing, including profiling, which produces legal effects concerning him or her or similarly significantly affects him or her. In such cases, the data subject shall have the right to obtain human intervention, to express his or her point of view, to contest the decision and to have it reconsidered.

Scope of the Right

The applicability of this article is limited to automated data processing where the decisions have a big impact on data subjects. According to the Guidelines on Automated individual decision-making and Profiling for the purposes of Regulation 2016/679, this article sets up a general ban on deciding based just on automated processing, regardless of whether or not the data subject takes any action.

In a nutshell, Article 22 states that:

There is a general prohibition on completely automated individual decision-making, including profiling that has a legal or similarly significant effect;
There are exceptions to this rule;
Where one of these exceptions applies, measures must be in place to protect the data subject’s rights, freedoms, and legitimate interests.

But, the Article 22(1) ban only counts in certain cases where a decision based just on automated processing, including profiling, has a legal effect on or similarly affects someone. Even in these cases, there are specified exceptions which allow such processing to take place.

Automated Processing

An automated process can produce a recommendation about a data subject. If a person reviews and takes into account other elements to make the final decision, it won’t be a decision that’s just based on automated processing.

The controller can’t bypass Article 22 requirements by making it look like a human is involved. For example, if someone constantly uses automatically generated profiles for individuals without any actual effect on the result, that’s still a decision based solely on automated processing.

To qualify as human involvement, the controller must make sure that any oversight of the decision is significant, not just a formality. It should be done by someone who can override the decision and has the knowledge to consider all the relevant data.

Significant Effect

Even if a decision-making process does not have an effect on people’s legal rights it could still fall within the scope of Article 22 of the GDPR if it produces an effect that is equivalent or similarly significant in its impact. This means that even if there is no legal change, the data subject could still be impacted enough to require the protections under this provision. The GDPR introduces the word ‘similarly’ to the phrase ‘significantly affects’ in order to provide a threshold for significance that is similar to that of a decision producing a legal effect.

A legal effect occurs when a decision based solely on automated processing impacts someone’s legal rights, such as freedom of association, voting, and legal action, or creates legal effects like contract cancellation, entitlement/denial of social benefits, denial of admission to a country of refusal in citizenship.

According to Recital 71, typical examples of other similarly significant effects could include ‘automatic refusal of an online credit application’ or ‘e-recruiting practices without any human intervention’.

For data processing to significantly affect someone the effects of the processing must be great or important enough. This could include decisions that affect someone’s financial circumstances, such as their eligibility for credit; decisions that affect someone’s access to health services; decisions that deny someone an employment opportunity or put them at a serious disadvantage; or decisions that affect someone’s access to education, for example, university admissions.

In many typical cases, the automated decision to present targeted advertising based on profiling will not have a similarly significant effect on individuals. However, it is possible for data profiling to have an effect on individuals depending on the characteristics of the case. This includes the intrusiveness of the profiling process, the expectations and wishes of the individuals, and the knowledge of the vulnerabilities of the data subjects. Even if it has little effect on some individuals, it can have a significant impact on certain groups, such as minority groups or vulnerable adults.

Similarly, automated decision-making that results in differential pricing based on personal data or personal characteristics could also have a significant effect if, for example, prohibitively high prices effectively bar someone from certain goods or services.

(EN) Author

(EN) Siarhei Varankevich CIPP/E, CIPM, CIPT, MBA, FIP

(EN) Co-Founder & CEO of Data Privacy Office LLC. Data Protection Trainer and Principal Consultant

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2. Lid 1 geldt niet indien het besluit:

2. Paragraph 1 shall not apply if the decision:

Commentaar

(EN) Paragraph 1 of this article laid down a general ban on the use of automated decision-making that has legal or similarly significant effects (as mentioned above). This prohibition is intended to serve as a safeguard, ensuring that decisions of this kind are not taken without due consideration and oversight.

This implies that the controller should not undertake the processing described in Article 22(1) unless one of the exceptions listed below applies.

a) noodzakelijk is voor de totstandkoming of de uitvoering van een overeenkomst tussen de betrokkene en een verwerkingsverantwoordelijke;

(a) is necessary for entering into, or performance of, a contract between the data subject and a data controller;

Commentaar

(EN) The use of automated decision-making processes for contractual purposes may be the most appropriate way to achieve the desired outcome in certain situations. This is especially true where routine human involvement is impractical or impossible due to the large volume of data. In such instances, it is essential that the controller is able to demonstrate that the processing is necessary, taking into account whether a less privacy-intrusive method could be employed. For example, if there are alternative methods that are equally effective and less intrusive, then automated decision-making is not considered to be ‘necessary’.

Moreover, automated decision-making may also be necessary for pre-contractual processing in accordance with Article 22(1). It is essential that controllers consider the privacy implications of their automated decision-making processes, ensuring that any processing is necessary and proportionate, and that there are sufficient safeguards in place to protect individuals’ data rights.

For instance, it may be necessary to utilize automated decision-making in order to identify a short list of suitable candidates due to the exceptionally high volume of applications received for this open position. This is done with the intention of entering into a contract with the data subject in order to progress the recruitment process.

b) is toegestaan bij een Unierechtelijke of lidstaatrechtelijke bepaling die op de verwerkingsverantwoordelijke van toepassing is en die ook voorziet in passende maatregelen ter bescherming van de rechten en vrijheden en gerechtvaardigde belangen van de betrokkene; of

(b) is authorised by Union or Member State law to which the controller is subject and which also lays down suitable measures to safeguard the data subject’s rights and freedoms and legitimate interests; or

Commentaar

c) berust op de uitdrukkelijke toestemming van de betrokkene.

(c) is based on the data subject’s explicit consent.

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Commentaar

(EN) Article 22 of the GDPR makes an exception for using explicit consent for significant automated individual decision-making. This is due to the serious privacy risks posed by such processing and, as such, a higher level of individual control over personal data is deemed appropriate.

However, ‘explicit consent’ is not defined in the GDPR. For this reason, the WP29 guidelines on consent (see the “Related” tab for Art.22(2b)) provide important guidance. These guidelines emphasize that consent must be demonstrated through clear affirmative action, such as ticking a box when visiting an internet website or choosing technical settings for an online service.

Verbindingen

Guidelines on consent under Regulation 2016/679

OBTAINING EXPLICIT CONSENT

93. The term explicit refers to the way consent is expressed by the data subject. It means that the data subject must give an express statement of consent. An obvious way to make sure consent is explicit would be to expressly confirm consent in a written statement. Where appropriate, the controller could make sure the written statement is signed by the data subject, in order to remove all possible doubt and potential lack of evidence in the future.[47]

_{[47] See also WP29 Opinion 15/2011, on the definition of consent (WP 187), p. 25.}

94. However, such a signed statement is not the only way to obtain explicit consent and, it cannot be said that the GDPR prescribes written and signed statements in all circumstances that require valid explicit consent. For example, in the digital or online context, a data subject may be able to issue the required statement by filling in an electronic form, by sending an email, by uploading a scanned document carrying the signature of the data subject, or by using an electronic signature. In theory, the use of oral statements can also be sufficiently express to obtain valid explicit consent, however, it may be difficult to prove for the controller that all conditions for valid explicit consent were met when the statement was recorded.

95. An organisation may also obtain explicit consent through a telephone conversation, provided that the information about the choice is fair, intelligible and clear, and it asks for a specific confirmation from the data subject (e.g. pressing a button or providing oral confirmation).

3. In de in lid 2, punten a) en c), bedoelde gevallen treft de verwerkingsverantwoordelijke passende maatregelen ter bescherming van de rechten en vrijheden en gerechtvaardigde belangen van de betrokkene, waaronder ten minste het recht op menselijke tussenkomst van de verwerkingsverantwoordelijke, het recht om zijn standpunt kenbaar te maken en het recht om het besluit aan te vechten.

3. In the cases referred to in points (a) and (c) of paragraph 2, the data controller shall implement suitable measures to safeguard the data subject’s rights and freedoms and legitimate interests, at least the right to obtain human intervention on the part of the controller, to express his or her point of view and to contest the decision.

Commentaar

(EN) According to Art29 Working Party Guidelines on Automated Individual Decision-Making and Profiling for the Purposes of Regulation 2016/679 (2018) the controllers should implement measures that include providing a way for the data subject to obtain human intervention, express their point of view and contest the decision.

Recital 71 further emphasizes the need for transparency around processing, as it outlines that appropriate safeguards should include providing the data subject with specific information and the right to obtain an explanation and to challenge the decision reached after assessment. Furthermore, the controller must provide an easy way for the data subject to exercise these rights, as this ensures they are able to adequately challenge a decision or express their view if they understand how it was made and on what basis.

Errors in data or automated decision-making can lead to wrong classifications and inaccurate projections that can harm individuals. So, controllers should regularly assess their data sets to find any bias, and figure out how to handle any prejudiced elements. Data controllers must regularly review algorithms to ensure accuracy and the absence of bias. Furthermore, they should review the underlying data to guarantee that automated decisions are based on valid and reliable information.

Controllers should establish regular procedures to prevent errors, inaccuracies, and discrimination during both the design and production stages.

The European supervisory authority recommended the following measures in its Guidelines:

Ensuring regular QA checks of systems to ensure individuals are treated fairly, without discrimination based on personal data or other factors.
Algorithmic auditing that involves testing the algorithms utilized and developed by machine learning systems to validate that they are functioning as intended, and not producing discriminatory, erroneous, or unjustified results.
Provide auditor with information on how algorithm/ML system works for independent auditing of the decisions taken.
Making sure any third party algorithms you’re using have contractual assurances that they’ve been audited and tested, and are compliant with the agreed standards.
Data minimisation and setting clear timelines for using and applying the profiles
Utilization of anonymization or pseudonymization
Providing data subjects with the opportunity to express his or her point of view and contest the decision; and,
Provide a mechanism for human intervention in defined cases (e.g. a link to an appeals process at the point of automated decision delivery). Establish agreed timescales and contact point for any queries.https://gdpr-text.com/wp-admin/post.php?post=288&action=edit

4. De in lid 2 bedoelde besluiten worden niet gebaseerd op de in artikel 9, lid 1, bedoelde bijzondere categorieën van persoonsgegevens, tenzij artikel 9, lid 2, punt a) of g), van toepassing is en er passende maatregelen ter bescherming van de gerechtvaardigde belangen van de betrokkene zijn getroffen.

4. Decisions referred to in paragraph 2 shall not be based on special categories of personal data referred to in Article 9(1), unless point (a) or (g) of Article 9(2) applies and suitable measures to safeguard the data subject’s rights and freedoms and legitimate interests are in place.

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Commentaar

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Artikel 9 AVG (GDPR). Verwerking van bijzondere categorieën van persoonsgegevens

Article 9 GDPR. Processing of special categories of personal data

1. Verwerking van persoonsgegevens waaruit ras of etnische afkomst, politieke opvattingen, religieuze of levensbeschouwelijke overtuigingen, of het lidmaatschap van een vakbond blijken, en verwerking van genetische gegevens, biometrische gegevens met het oog op de unieke identificatie van een persoon, of gegevens over gezondheid, of gegevens met betrekking tot iemands seksueel gedrag of seksuele gerichtheid zijn verboden.

1. Processing of personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, and the processing of genetic data, biometric data for the purpose of uniquely identifying a natural person, data concerning health or data concerning a natural person’s sex life or sexual orientation shall be prohibited.

2. Lid 1 is niet van toepassing wanneer aan een van de onderstaande voorwaarden is voldaan:

2. Paragraph 1 shall not apply if one of the following applies:

a) de betrokkene heeft uitdrukkelijke toestemming gegeven voor de verwerking van die persoonsgegevens voor een of meer welbepaalde doeleinden, behalve indien in Unierecht of lidstatelijk recht is bepaald dat het in lid 1 genoemde verbod niet door de betrokkene kan worden opgeheven;

(a) the data subject has given explicit consent to the processing of those personal data for one or more specified purposes, except where Union or Member State law provide that the prohibition referred to in paragraph 1 may not be lifted by the data subject;

[…]

g) de verwerking is noodzakelijk om redenen van zwaarwegend algemeen belang, op grond van Unierecht of lidstatelijk recht, waarbij de evenredigheid met het nagestreefde doel wordt gewaarborgd, de wezenlijke inhoud van het recht op bescherming van persoonsgegevens wordt geëerbiedigd en passende en specifieke maatregelen worden getroffen ter bescherming van de grondrechten en de fundamentele belangen van de betrokkene;

(g) processing is necessary for reasons of substantial public interest, on the basis of Union or Member State law which shall be proportionate to the aim pursued, respect the essence of the right to data protection and provide for suitable and specific measures to safeguard the fundamental rights and the interests of the data subject;

[…]

Algemene verordening gegevensbescherming (AVG, GDPR)

General Data Protection Regulation (EU GDPR)

The latest consolidated version of the Regulation with corrections by Corrigendum, OJ L 127, 23.5.2018, p. 2 ((EU) 2016/679). Source: EUR-lex.

Commentaar ISO 27701 Overwegingen Richtlijnen & Case Law laat een reactie achter

Commentaar

(EN)

Data Subject Request Letter Sample

Concern: Request to object to automated decision

Dear Madam, Dear Sir,

I am subject to a decision made by your [company | organization | etc.] based solely on [automated processing | profiling | etc.].

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(EN) Author

(EN) Louis-Philippe Gratton PhD, LLM

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ISO 27701

(EN) ISO/IEC 27701, adopted in 2019, added additional ISO/IEC 27002 guidance for PII controllers.

Here is the relevant paragraphs to article 22 GDPR:

7.2.2 Identify lawful basis

Control

The organization should determine, document and comply with the relevant lawful basis for the processing of PII for the identified purposes.

Implementation guidance

Some jurisdictions require the organization to be able to demonstrate that the lawfulness of processing was duly established before the processing.

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Overwegingen

(71) De betrokkene dient het recht te hebben niet te worden onderworpen aan een louter op geautomatiseerde verwerking gebaseerd besluit, dat een maatregel kan behelzen — over persoonlijke hem betreffende aspecten, waaraan voor hem rechtsgevolgen zijn verbonden of dat hem op vergelijkbare wijze aanmerkelijk treft, zoals de automatische weigering van een online ingediende kredietaanvraag of van verwerking van sollicitaties via internet zonder menselijke tussenkomst. Een verwerking van die aard omvat „profilering”, wat bestaat in de geautomatiseerde verwerking van persoonsgegevens ter beoordeling van persoonlijke aspecten van een natuurlijke persoon, met name om kenmerken betreffende beroepsprestaties, economische situatie, gezondheid, persoonlijke voorkeuren of interesses, betrouwbaarheid of gedrag, locatie of verplaatsingen van de betrokkene te analyseren of te voorspellen, wanneer daaraan voor hem rechtsgevolgen zijn verbonden of dat hem op vergelijkbare wijze aanmerkelijk treft. Besluitvorming op basis van een dergelijke verwerking, met inbegrip van profilering, dient echter wel mogelijk te zijn wanneer deze uitdrukkelijk is toegestaan bij Unierecht of lidstatelijk recht dat op de verwerkingsverantwoordelijke van toepassing is, onder meer ten behoeve van de controle en voorkoming van belastingfraude en -ontduiking overeenkomstig de regelgeving, normen en aanbevelingen van de instellingen van de Unie of de nationale voor oversight bevoegde instanties, en om te zorgen voor de veiligheid en betrouwbaarheid van een dienst die door de verwerkingsverantwoordelijke wordt verleend, of noodzakelijk voor de sluiting of uitvoering van een overeenkomst tussen de betrokkene en een verwerkingsverantwoordelijke, of wanneer de betrokkene zijn uitdrukkelijke toestemming heeft gegeven. In ieder geval moeten voor dergelijke verwerking passende waarborgen worden geboden, waaronder specifieke informatie aan de betrokkene en het recht op menselijke tussenkomst, om zijn standpunt kenbaar te maken, om uitleg over de na een dergelijke beoordeling genomen besluit te krijgen en om het besluit aan te vechten. Een dergelijke maatregel mag geen betrekking hebben op een kind.

(71) The data subject should have the right not to be subject to a decision, which may include a measure, evaluating personal aspects relating to him or her which is based solely on automated processing and which produces legal effects concerning him or her or similarly significantly affects him or her, such as automatic refusal of an online credit application or e-recruiting practices without any human intervention. Such processing includes ‘profiling’ that consists of any form of automated processing of personal data evaluating the personal aspects relating to a natural person, in particular to analyse or predict aspects concerning the data subject's performance at work, economic situation, health, personal preferences or interests, reliability or behaviour, location or movements, where it produces legal effects concerning him or her or similarly significantly affects him or her. However, decision-making based on such processing, including profiling, should be allowed where expressly authorised by Union or Member State law to which the controller is subject, including for fraud and tax-evasion monitoring and prevention purposes conducted in accordance with the regulations, standards and recommendations of Union institutions or national oversight bodies and to ensure the security and reliability of a service provided by the controller, or necessary for the entering or performance of a contract between the data subject and a controller, or when the data subject has given his or her explicit consent. In any case, such processing should be subject to suitable safeguards, which should include specific information to the data subject and the right to obtain human intervention, to express his or her point of view, to obtain an explanation of the decision reached after such assessment and to challenge the decision. Such measure should not concern a child.

Teneinde een voor de betrokkene behoorlijke en transparante verwerking te garanderen, met inachtneming van de concrete omstandigheden en context waarin de persoonsgegevens worden verwerkt, dient de verwerkingsverantwoordelijke voor de profilering passende wiskundige en statistische procedures te hanteren en technische en organisatorische maatregelen te treffen waarmee factoren die aanleiding geven tot onjuistheden van persoonsgegevens worden gecorrigeerd en het risico op fouten wordt geminimaliseerd, en de persoonsgegevens zodanig te bewaren dat rekening wordt gehouden met de potentiële risico's voor de belangen en rechten van de betrokkene en dat onder meer wordt voorkomen dat zulks voor natuurlijke personen discriminerende gevolgen zou hebben op grond van ras of etnische afkomst, politieke overtuiging, godsdienst of levensbeschouwelijke overtuigingen, lidmaatschap van een vakbond, genetische of gezondheidsstatus, of seksuele gerichtheid, of gevolgen zou hebben die leiden tot maatregelen met een vergelijkbaar effect. Geautomatiseerde besluitvorming en profilering gebaseerd op bijzondere categorieën van persoonsgegevens mogen uitsluitend op specifieke voorwaarden worden toegestaan.

In order to ensure fair and transparent processing in respect of the data subject, taking into account the specific circumstances and context in which the personal data are processed, the controller should use appropriate mathematical or statistical procedures for the profiling, implement technical and organisational measures appropriate to ensure, in particular, that factors which result in inaccuracies in personal data are corrected and the risk of errors is minimised, secure personal data in a manner that takes account of the potential risks involved for the interests and rights of the data subject and that prevents, inter alia, discriminatory effects on natural persons on the basis of racial or ethnic origin, political opinion, religion or beliefs, trade union membership, genetic or health status or sexual orientation, or that result in measures having such an effect. Automated decision-making and profiling based on special categories of personal data should be allowed only under specific conditions.

(72) Voor profilering gelden de regels van deze verordening betreffende de verwerking van persoonsgegevens, bijvoorbeeld de rechtsgronden voor verwerking of beginselen van gegevensbescherming. Het Europees Comité voor gegevensbescherming dat door deze verordening wordt ingesteld (het „Comité”) dient de mogelijkheid te krijgen om in dat verband richtsnoeren op te stellen.

(72) Profiling is subject to the rules of this Regulation governing the processing of personal data, such as the legal grounds for processing or data protection principles. The European Data Protection Board established by this Regulation (the ‘Board’) should be able to issue guidance in that context.

Richtlijnen & Case Law

(EN)