Статья 5 📖 GDPR. Принципы, касающиеся обработки персональных данных

(EN) Example of lawful processing:

Example A bank plans to offer a service to improve efficiency in the management of loan applications. The idea behind the service is that the bank, by requesting permission from the customer, can be able to retrieve data from public authorities about the customer. This may be, for example, tax data from the tax administration.

Initially, this personal data is necessary in order to take steps at the request of the data subject prior to entering into a contract. However, this specific way of processing the personal data is not necessary for entering into a contract, because a loan may be granted without obtaining data directly from public authorities. The customer is able to enter into a contract by providing the information from the tax administration herself.

When implementing the principle of lawfulness, the controller realizes that they cannot use the “necessary for contract-”basis for the part of the processing that involves gathering personal data directly from the tax authorities. The fact that this specific processing presents a risk of the data subject becoming less involved in the processing of their data is also a relevant factor in assessing the lawfulness of the processing itself. The bank concludes that this part of the processing must rely on consent.

The bank therefore presents information about the processing on the online application platform in such a manner that makes it easy for data subjects to understand what processing is mandatory and what is optional. The processing options, by default, do not allow retrieval of data directly from other sources than the data subject herself, and the option for direct information retrieval is presented in a manner that does not deter the data subject from abstaining. Any consent given to collect data directly from other controllers is a temporary right of access to a specific set of information.

Any given consent is processed electronically in a documentable manner, and data subjects are presented with an easy way of controlling what they have consented to and to withdraw their consent.

The controller has assessed these Data protection by design and default (DPbDD) requirements beforehand and includes all of these criteria in their requirements specification for the tender to procure the platform. The controller is aware that if they do not include the DPbDD requirements in the tender, it may either be too late or a very costly process to implement data protection afterwards.

Source: EDPB, Guidelines 4/2019 on Article 25 – Data Protection by Design and by Default (Version for public consultation) (2019).

(EN) Example of transparency measures:

A controller is designing a privacy policy in order to comply with the requirements of transparency. The privacy policy cannot contain a lengthy bulk of information that is difficult for the average data subject to penetrate and understand, it must be written in clear and concise language and make it easy for the user of the website to understand how their personal data is processed. The controller therefore provides information in a multi-layered manner, where the most important points are highlighted. Drop-down menus and links to other pages are provided to further explain the concepts in the policy. The controller also makes sure that the information is provided in a multi-channel manner, providing video clips to explain the most important points of the information.

The privacy policy cannot be difficult for data subjects to access. The privacy policy is thus made available and visible on all internal web-pages of the site in question, so that the data subject is always only one click away from accessing the information. The information provided is also designed in accordance with the best practices and standards of universal design to make it accessible to all.

Moreover, necessary information must also be provided in the right context, at the appropriate time. This means, that generally a privacy policy on the website alone is not sufficient for the controller to meet the requirements of transparency. The controller therefore designs an information flow, presenting the data subject with relevant information within the appropriate contexts using e.g. informational snippets or pop-ups. For example, when asking the data subject to enter personal data, the controller informs the data subject of how the personal data will be processed and why that personal data is necessary for the processing.

Source: EDPB, Guidelines 4/2019 on Article 25 – Data Protection by Design and by Default (Version for public consultation) (2019).

(EN) Examples of fairness considerations:

Example 1

A controller operates a search engine that processes mostly user-generated personal data. The controller benefits from having large amounts of personal data and being able to use that personal data for targeted advertisements. The controller therefore wishes to influence data subjects to allow extensive collection and use of their personal data.

When implementing the fairness principle, taking into account the nature, scope, context and purpose of the processing, the controller realizes that they cannot present the options in a way that nudges the data subject in the direction of allowing the controller to collect more personal data than if the options were presented in an equal and neutral way. This means that they cannot present the processing options in such a manner that makes it difficult for data subjects to abstain from sharing their data, or make it difficult for the data subjects to adjust their privacy settings and limit the processing. The default options for the processing must be the least invasive, and the choice for further processing must be presented in a manner that does not deter the data subject from abstaining.

Example 2

Another controller processes personal data for the provision of a streaming service where users may choose between a regular subscription of standard quality and a premium subscription with higher quality. As part of the premium subscription, subscribers get prioritized customer service. With regard to the fairness principle, the prioritized customer service granted to premium subscribers cannot discriminate other data subjects’ rights according to the GDPR Article 12. This means that although the premium subscribers get prioritized service, such prioritization cannot result in a lack of appropriate measures to respond to request from regular subscribers without undue delay and in any event within one month of receipt of the requests.

Prioritized customers may pay to get better service, but all data subjects shall have equal and indiscriminate access to enforce their rights and freedoms according to the GDPR.

Source: EDPB, Guidelines 4/2019 on Article 25 – Data Protection by Design and by Default (Version for public consultation) (2019).

ISO/IEC 27701, принятый в 2019, добавил дополнительное руководство к ISO/IEC 27002 для контролеров персональных данных (ПИИ).

Приводим соответствующий параграф к статье 5(1)(а) GDPR:

7.2.2. Определение правового основания

Средство управления

Организация должна определить, задокументировать и соблюдать соответствующие правовые основания для обработки ПИИ в определенных целях.

Руководство по внедрению

В некоторых юрисдикциях организация должна иметь возможность продемонстрировать, что законность обработки была должным образом установлена до её осуществления. Правовое основание для обработки ПИИ может включать в себя:

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(EN) EDPB, Guidelines 8/2020 on the targeting of social media users (2020).

Преамбулы

(39) Any processing of personal data should be lawful and fair. It should be transparent to natural persons that personal data concerning them are collected, used, consulted or otherwise processed and to what extent the personal data are or will be processed. The principle of transparency requires that any information and communication relating to the processing of those personal data be easily accessible and easy to understand, and that clear and plain language be used. That principle concerns, in particular, information to the data subjects on the identity of the controller and the purposes of the processing and further information to ensure fair and transparent processing in respect of the natural persons concerned and their right to obtain confirmation and communication of personal data concerning them which are being processed. Natural persons should be made aware of risks, rules, safeguards and rights in relation to the processing of personal data and how to exercise their rights in relation to such processing. In particular, the specific purposes for which personal data are processed should be explicit and legitimate and determined at the time of the collection of the personal data. The personal data should be adequate, relevant and limited to what is necessary for the purposes for which they are processed. This requires, in particular, ensuring that the period for which the personal data are stored is limited to a strict minimum. Personal data should be processed only if the purpose of the processing could not reasonably be fulfilled by other means. In order to ensure that the personal data are not kept longer than necessary, time limits should be established by the controller for erasure or for a periodic review. Every reasonable step should be taken to ensure that personal data which are inaccurate are rectified or deleted. Personal data should be processed in a manner that ensures appropriate security and confidentiality of the personal data, including for preventing unauthorised access to or use of personal data and the equipment used for the processing.

(39) Jede Verarbeitung personenbezogener Daten sollte rechtmäßig und nach Treu und Glauben erfolgen. Für natürliche Personen sollte Transparenz dahingehend bestehen, dass sie betreffende personenbezogene Daten erhoben, verwendet, eingesehen oder anderweitig verarbeitet werden und in welchem Umfang die personenbezogenen Daten verarbeitet werden und künftig noch verarbeitet werden. Der Grundsatz der Transparenz setzt voraus, dass alle Informationen und Mitteilungen zur Verarbeitung dieser personenbezogenen Daten leicht zugänglich und verständlich und in klarer und einfacher Sprache abgefasst sind. Dieser Grundsatz betrifft insbesondere die Informationen über die Identität des Verantwortlichen und die Zwecke der Verarbeitung und sonstige Informationen, die eine faire und transparente Verarbeitung im Hinblick auf die betroffenen natürlichen Personen gewährleisten, sowie deren Recht, eine Bestätigung und Auskunft darüber zu erhalten, welche sie betreffende personenbezogene Daten verarbeitet werden. Natürliche Personen sollten über die Risiken, Vorschriften, Garantien und Rechte im Zusammenhang mit der Verarbeitung personenbezogener Daten informiert und darüber aufgeklärt werden, wie sie ihre diesbezüglichen Rechte geltend machen können. Insbesondere sollten die bestimmten Zwecke, zu denen die personenbezogenen Daten verarbeitet werden, eindeutig und rechtmäßig sein und zum Zeitpunkt der Erhebung der personenbezogenen Daten feststehen. Die personenbezogenen Daten sollten für die Zwecke, zu denen sie verarbeitet werden, angemessen und erheblich sowie auf das für die Zwecke ihrer Verarbeitung notwendige Maß beschränkt sein. Dies erfordert insbesondere, dass die Speicherfrist für personenbezogene Daten auf das unbedingt erforderliche Mindestmaß beschränkt bleibt. Personenbezogene Daten sollten nur verarbeitet werden dürfen, wenn der Zweck der Verarbeitung nicht in zumutbarer Weise durch andere Mittel erreicht werden kann. Um sicherzustellen, dass die personenbezogenen Daten nicht länger als nötig gespeichert werden, sollte der Verantwortliche Fristen für ihre Löschung oder regelmäßige Überprüfung vorsehen. Es sollten alle vertretbaren Schritte unternommen werden, damit unrichtige personenbezogene Daten gelöscht oder berichtigt werden. Personenbezogene Daten sollten so verarbeitet werden, dass ihre Sicherheit und Vertraulichkeit hinreichend gewährleistet ist, wozu auch gehört, dass Unbefugte keinen Zugang zu den Daten haben und weder die Daten noch die Geräte, mit denen diese verarbeitet werden, benutzen können.

Guidelines 4/2019 on Article 25 Data Protection by Design and by Default Version 2.0.

Article 6 GDPR. Lawfulness of processing

Artikel 6 DSGVO. Rechtmäßigkeit der Verarbeitung

1. Processing shall be lawful only if and to the extent that at least one of the following applies:

(1) Die Verarbeitung ist nur rechtmäßig, wenn mindestens eine der nachstehenden Bedingungen erfüllt ist:

(a) the data subject has given consent to the processing of his or her personal data for one or more specific purposes;

a) Die betroffene Person hat ihre Einwilligung zu der Verarbeitung der sie betreffenden personenbezogenen Daten für einen oder mehrere bestimmte Zwecke gegeben;

(b) processing is necessary for the performance of a contract to which the data subject is party or in order to take steps at the request of the data subject prior to entering into a contract;

b) die Verarbeitung ist für die Erfüllung eines Vertrags, dessen Vertragspartei die betroffene Person ist, oder zur Durchführung vorvertraglicher Maßnahmen erforderlich, die auf Anfrage der betroffenen Person erfolgen;

(c) processing is necessary for compliance with a legal obligation to which the controller is subject;

c) die Verarbeitung ist zur Erfüllung einer rechtlichen Verpflichtung erforderlich, der der Verantwortliche unterliegt;

(d) processing is necessary in order to protect the vital interests of the data subject or of another natural person;

d) die Verarbeitung ist erforderlich, um lebenswichtige Interessen der betroffenen Person oder einer anderen natürlichen Person zu schützen;

(e) processing is necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the controller;

e) die Verarbeitung ist für die Wahrnehmung einer Aufgabe erforderlich, die im öffentlichen Interesse liegt oder in Ausübung öffentlicher Gewalt erfolgt, die dem Verantwortlichen übertragen wurde;

(f) processing is necessary for the purposes of the legitimate interests pursued by the controller or by a third party, except where such interests are overridden by the interests or fundamental rights and freedoms of the data subject which require protection of personal data, in particular where the data subject is a child.

f) die Verarbeitung ist zur Wahrung der berechtigten Interessen des Verantwortlichen oder eines Dritten erforderlich, sofern nicht die Interessen oder Grundrechte und Grundfreiheiten der betroffenen Person, die den Schutz personenbezogener Daten erfordern, überwiegen, insbesondere dann, wenn es sich bei der betroffenen Person um ein Kind handelt.

[…]

3.1 Transparency [24]

_{[24]Elaboration on how to understand the concept of transparency can be found in Article 29 Working Party. «Guidelines on transparency under Regulation 2016/679». WP 260 rev.01, 11 April 2018. ec.europa.eu/newsroom/article29/document.cfm?action=display&doc_id=51025 — endorsed by the EDPB}

65. The controller must be clear and open with the data subject about how they will collect, use and share personal data. Transparency is about enabling data subjects to understand, and if necessary, make use of their rights in Articles 15 to 22. The principle is embedded in Articles 12, 13, 14 and 34. Measures and safeguards put in place to support the principle of transparency should also support the implementation of these Articles.

66. Key design and default elements for the principle of transparency may include:

•Clarity – Information shall be in clear and plain language, concise and intelligible.

•Semantics – Communication should have a clear meaning to the audience in question.

•Accessibility — Information shall be easily accessible for the data subject.

•Contextual – Information should be provided at the relevant time and in the appropriate form.

•Relevance – Information should be relevant and applicable to the specific data subject.

•Universal design – Information shall be accessible to all data subjects, include use of machine readable languages to facilitate and automate readability and clarity.

•Comprehensible – Data subjects should have a fair understanding of what they can expect with regards to the processing of their personal data, particularly when the data subjects are children or other vulnerable groups.

• Multi-channel – Information should be provided in different channels and media, not only the textual, to increase the probability for the information to effectively reach the data subject.

• Layered – The information should be layered in a manner that resolves the tension between completeness and understanding, while accounting for data subjects’ reasonable expectations.

3.2 Lawfulness

67. The controller must identify a valid legal basis for the processing of personal data. Measures and safeguards should support the requirement to make sure that the whole processing lifecycle is in line with the relevant legal grounds of processing.

68. Key design and default elements for lawfulness may include:

• Relevance – The correct legal basis shall be applied to the processing.

• Differentiation [26] – The legal basis used for each processing activity shall be differentiated.

_{[26] EDPB. «Guidelines 2/2019 on the processing of personal data under Article 6(1)(b) GDPR in the context of the provision of online services to data subjects». Version 2.0, 8 October 2019. edpb.europa.eu/sites/edpb/files/files/file1/edpb_guidelines-art_6-1-b- adopted_after_public_consultation_en.pdf}

• Specified purpose – The appropriate legal basis must be clearly connected to the specific purpose of processing.[27]

_{[27] See section on purpose limitation below.}

• Necessity– Processing must be necessary and unconditional for the purpose to be lawful.

• Autonomy – The data subject should be granted the highest degree of autonomy as possible with respect to control over personal data within the frames of the legal basis.

• Gaining consent – consent must be freely given, specific, informed and unambiguous.[28] Particular consideration should be given to the capacity of children and young people to provide informed consent.

_{[28] See Guidelines 05/2020 on consent under Regulation 2016/679. https://edpb.europa.eu/our-work- tools/our-documents/guidelines/guidelines-052020-consent-under-regulation-2016679_en}

• Consent withdrawal – Where consent is the legal basis, the processing should facilitate withdrawal of consent. Withdrawal shall be as easy as giving consent. If not, then the consent mechanism of the controller does not comply with the GDPR.[29]

_{[29] See Guidelines 05/2020 on consent under Regulation 2016/679, p. 24. https://edpb.europa.eu/our-work- tools/our-documents/guidelines/guidelines-052020-consent-under-regulation-2016679_en}

• Balancing of interests – Where legitimate interests is the legal basis, the controller must carry out a weighted balancing of interest, giving particular consideration to the power imbalance, specifically children under the age of 18 and other vulnerable groups. There shall be measures and safeguards to mitigate the negative impact on the data subjects.

• Predetermination – The legal basis shall be established before the processing takes place.

• Cessation – If the legal basis ceases to apply, the processing shall cease accordingly.

• Adjust – If there is a valid change of legal basis for the processing, the actual processing must be adjusted in accordance with the new legal basis.[30]

_{[30] If the original legal basis is consent, see Guidelines 05/2020 on consent under Regulation 2016/679. https://edpb.europa.eu/our-work-tools/our-documents/guidelines/guidelines-052020-consent-under- regulation-2016679_en}

• Allocation of responsibility – Whenever joint controllership is envisaged, the parties must apportion in a clear and transparent way their respective responsibilities vis-à-vis the data subject, and design the measures of the processing in accordance with this allocation.

Guidelines 4/2019 on Article 25 Data Protection by Design and by Default Version 2.0.

3.3 Fairness

69. Fairness is an overarching principle which requires that personal data should not be processed in a way that is unjustifiably detrimental, unlawfully discriminatory, unexpected or misleading to the data subject. Measures and safeguards implementing the principle of fairness also support the rights and freedoms of data subjects, specifically the right to information (transparency), the right to intervene (access, erasure, data portability, rectify) and the right to limit the processing (right not to be subject to automated individual decision-making and non-discrimination of data subjects in such processes).

70. Key design and default elements may include:

• Autonomy – Data subjects should be granted the highest degree of autonomy possible to determine the use made of their personal data, as well as over the scope and conditions of that use or processing.

• Interaction – Data subjects must be able to communicate and exercise their rights in respect of the personal data processed by the controller.

• Expectation – Processing should correspond with data subjects’ reasonable expectations.

• Non-discrimination – The controller shall not unfairly discriminate against data subjects.

• Non-exploitation – The controller shall not exploit the needs or vulnerabilities of data subjects.

• Consumer choice – The controller should not «lock in» their users in an unfair manner. Whenever a service processing personal data is proprietary, it may create a lock-in to the service, which may not be fair, if it impairs the data subjects’ possibility to exercise their right of data portability in accordance with Article 20.

• Power balance – Power balance should be a key objective of the controller-data subject relationship. Power imbalances should be avoided. When this is not possible, they should be recognised and accounted for with suitable countermeasures.

• No risk transfer – Controllers should not transfer the risks of the enterprise to the data subjects.

• No deception – Data processing information and options should be provided in an objective and neutral way, avoiding any deceptive or manipulative language or design.

• Respect rights – The controller must respect the fundamental rights of data subjects and implement appropriate measures and safeguards and not impinge on those rights unless expressly justified by law.

• Ethical – The controller should see the processing’s wider impact on individuals’ rights and dignity.

• Truthful – The controller must make available information about how they process personal data, they should act as they declare they will and not mislead the data subjects.

• Human intervention – The controller must incorporate qualified human intervention that is capable of uncovering biases that machines may create in accordance with the right to not be subject to automated individual decision making in Article 22.[32]

_{[32] See Guidelines on Automated individual decision-making and Profiling for the purposes of Regulation 2016/679. https://ec.europa.eu/newsroom/article29/document.cfm?action=display&doc_id=49826}

• Fair algorithms – Regularly assess whether algorithms are functioning in line with the purposes and adjust the algorithms to mitigate uncovered biases and ensure fairness in the processing. Data subjects should be informed about the functioning of the processing of personal data based on algorithms that analyse or make predictions about them, such as work performance, economic situation, health, personal preferences, reliability or behaviour, location or movements.[33]

(b) collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes; further processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes shall, in accordance with Article 89(1), not be considered to be incompatible with the initial purposes (‘purpose limitation’);

b) für festgelegte, eindeutige und legitime Zwecke erhoben werden und dürfen nicht in einer mit diesen Zwecken nicht zu vereinbarenden Weise weiterverarbeitet werden; eine Weiterverarbeitung für im öffentlichen Interesse liegende Archivzwecke, für wissenschaftliche oder historische Forschungszwecke oder für statistische Zwecke gilt gemäß Artikel 89 Absatz 1 nicht als unvereinbar mit den ursprünglichen Zwecken („Zweckbindung“);

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(EN) Examples of purpose limitation

Example

The controller processes personal data about its customers. The purpose of the processing is to fulfil a contract, i.e. to be able to deliver goods to the correct address and obtain payment. The personal data stored is the purchase history, name, address, e-mail address and telephone number.

The controller is considering buying a Customer Relationship Management (CRM) product that gathers all the customer data such as sales, marketing and customer service in one place. The product gives the opportunity of storing all phone calls, activities, documents, emails and marketing campaigns to get a 360-degree view of the customer. Ultimately the CRM automatically analyses the customers’ purchasing power by using public information. The purpose of the analysis is to target the advertising better but is not a part of the original lawful purpose of the processing.

To be in line with the principle of purpose limitation, the controller requires the provider of the product to map the different processing activities using personal data with the purposes relevant for the controller. Another requirement is that the product shall be able to flag which kind of processing activities using personal data that is not in line with the legitimate purposes of the controller.

After receiving the results of the mapping, the controller assesses whether the new marketing purpose and the targeted advertisement purpose are within the contractual purposes or if they need another legal ground for this processing. Alternatively the controller could choose to not make use of this functionality in the product.

Source: EDPB, Guidelines 4/2019 on Article 25 – Data Protection by Design and by Default (Version for public consultation) (2019).

Приводим соответствующий параграф к статье 5(1)(b) GDPR:

7.2.1. Определение и документирование цели

Средство управления

Организация должна определить и задокументировать конкретные цели, для которых будет обрабатываться ПИИ.

Руководство по внедрению

Организация должна обеспечить понимание субъектами ПИИ цели, для которой обрабатываются их ПИИ. Организация несет ответственность за четкое документирование и донесение этой цели субъектам ПИИ.

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(EN) WP29, Opinion 03/2013 on purpose limitation (2013).

EDPB, Guidelines on the use of location data and contact tracing tools in the context of the COVID-19 outbreak (2020).

EDPB, Guidelines 8/2020 on the targeting of social media users (2020).

Guidelines 4/2019 on Article 25 Data Protection by Design and by Default Version 2.0.

Article 89 GDPR. Safeguards and derogations relating to processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes

Artikel 89 DSGVO. Garantien und Ausnahmen in Bezug auf die Verarbeitung zu im öffentlichen Interesse liegenden Archivzwecken, zu wissenschaftlichen oder historischen Forschungszwecken und zu statistischen Zwecken

Safeguards and derogations relating to processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes

Garantien und Ausnahmen in Bezug auf die Verarbeitung zu im öffentlichen Interesse liegenden Archivzwecken, zu wissenschaftlichen oder historischen Forschungszwecken und zu statistischen Zwecken

1. Processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes, shall be subject to appropriate safeguards, in accordance with this Regulation, for the rights and freedoms of the data subject. Those safeguards shall ensure that technical and organisational measures are in place in particular in order to ensure respect for the principle of data minimisation. Those measures may include pseudonymisation provided that those purposes can be fulfilled in that manner. Where those purposes can be fulfilled by further processing which does not permit or no longer permits the identification of data subjects, those purposes shall be fulfilled in that manner.

(1) Die Verarbeitung zu im öffentlichen Interesse liegenden Archivzwecken, zu wissenschaftlichen oder historischen Forschungszwecken oder zu statistischen Zwecken unterliegt geeigneten Garantien für die Rechte und Freiheiten der betroffenen Person gemäß dieser Verordnung. Mit diesen Garantien wird sichergestellt, dass technische und organisatorische Maßnahmen bestehen, mit denen insbesondere die Achtung des Grundsatzes der Datenminimierung gewährleistet wird. Zu diesen Maßnahmen kann die Pseudonymisierung gehören, sofern es möglich ist, diese Zwecke auf diese Weise zu erfüllen. In allen Fällen, in denen diese Zwecke durch die Weiterverarbeitung, bei der die Identifizierung von betroffenen Personen nicht oder nicht mehr möglich ist, erfüllt werden können, werden diese Zwecke auf diese Weise erfüllt.

[…]

3.4 Purpose Limitation [34]

_{[34] The Article 29 Working Party provided guidance for the understanding of the principle of purpose limitation under Directive 95/46/EC. Although the Opinion is not adopted by the EDBP, it may still be relevant as the wording of the principle is the same under the GDPR. Article 29 Working Party. «Opinion 03/2013 on purpose limitation». WP 203, 2 April 2013. ec.europa.eu/justice/article-29/documentation/opinion- recommendation/files/2013/wp203_en.pdf}

71. The controller must collect data for specified, explicit, and legitimate purposes, and not further process the data in a manner that is incompatible with the purposes for which they were collected.[35] The design of the processing should therefore be shaped by what is necessary to achieve the purposes. If any further processing is to take place, the controller must first make sure that this processing has purposes compatible with the original ones and design such processing accordingly. Whether a new purpose is compatible or not, shall be assessed according to the criteria in Article 6(4).

_{[35] Art. 5.1.b GDPR}

(c) adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed (‘data minimisation’);

c) dem Zweck angemessen und erheblich sowie auf das für die Zwecke der Verarbeitung notwendige Maß beschränkt sein („Datenminimierung“);

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(EN) Examples of data minimisation

Example 1

A bookshop wants to add to their revenue by selling their books online. The bookshop owner wants to set up a standardised form for the ordering process. To prevent that customers don’t fill out all the necessary information the bookshop owner makes all of the fields in the form a required field (if you don’t fill out all the fields the customer can’t place the order) using a standard contact form. The webshop owner initially uses a standard contact form, which asks the customer’s date of birth, phone number and home address. However, not all the fields in the form are strictly necessary for the purpose of buying and delivering the books. The data subject’s date of birth and phone number are not necessary for the purchase of the product. This means that these cannot be required fields in the web form to order the product. Moreover, there are situations where an address will not be necessary. For example, when ordering an eBook the customer can download the product and his or her address does not need to be processed by the webshop.

The webshop owner therefore decides to make two web forms: one for ordering books, with a field for the customer’s address and one web form for ordering eBooks without a field for the customer’s address.

Example 2

A public transportation company wishes to gather statistical information based on travellers’ routes. This is useful for the purposes of making proper choices on changes in public transport schedules and proper routings of the trains. The passengers must pass their ticket through a reader every time they enter or exit a means of transport. Having carried out a risk assessment related to the rights and freedoms of passengers’ regarding the collection of passengers’ travel routes, the controller establishes that it is possible to identify the passengers based on the ticket identifier. Therefore, since it is not necessary for the purpose of optimizing the public transport schedules and routings of the trains, the controller does not store the ticket identifier. Once the trip is over, the controller only stores the individual travel routes so as to not be able to identify trips connected to a single ticket, but only retains information about separate travel routes.

In cases where there can be a risk of identifying a person solely by their travel route (this might be the case in remote areas) the controller implements measures to aggregate the travel route, such as cutting the beginning and the end of the route.

Example 3

A courier aims at assessing the effectiveness of its deliveries in terms of delivery times, workload scheduling and fuel consumption. In order to reach this goal, the courier has to process a number of personal data relating to both employees (drivers) and customers (addresses, items to be delivered, etc.). This processing operation entails risks of both monitoring employees, which requires specific legal safeguards, and tracking customers’ habits through the knowledge of the delivered items over time. These risks can be significantly reduced with appropriate pseudonymization of employees and customers. In particular if pseudonymization keys are frequently rotated and macro areas are considered instead of detailed addresses, an effective data minimization is pursued, and the controller can solely focus on the delivery process and on the purpose of resource optimization, without crossing the threshold of monitoring individuals’ (customers’ or employees’) behaviours.

Source: EDPB, Guidelines 4/2019 on Article 25 – Data Protection by Design and by Default (Version for public consultation) (2019).

Приводим соответствующий параграф к статье 5(1)(c) GDPR:

7.4.1. Ограниченный сбор информации

Средство управления

Организация должна ограничить сбор ПИИ до минимума, который является уместным, пропорциональным и необходимым для определенных целей.

Руководство по внедрению

Организация должна ограничить сбор ПИИ до того объема, который является адекватным, актуальным и необходимым для определенных целей.

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(EN) EDPB, Guidelines on the use of location data and contact tracing tools in the context of the COVID-19 outbreak (2020).

European Commission, Guidance on Apps supporting the fight against COVID 19 pandemic in relation to data protection Brussels (2020).

Guidelines 4/2019 on Article 25 Data Protection by Design and by Default Version 2.0.

3.5 Data Minimisation

73. Only personal data that is adequate, relevant and limited to what is necessary for the purpose shall be processed. [36] As a result, the controller has to predetermine which features and parameters of processing systems and their supporting functions are permissible. Data minimisation substantiates and operationalises the principle of necessity. In the further processing, the controller should periodically consider whether processed personal data is still adequate, relevant and necessary, or if the data shall be deleted or anonymized.

_{[36] Art. 5(1)(c) GDPR}

74. Controllers should first of all determine whether they even need to process personal data for their relevant purposes. The controller should verify whether the relevant purposes can be achieved by processing less personal data, or having less detailed or aggregated personal data or without having to process personal data at all.[37] Such verification should take place before any processing takes place, but could also be carried out at any point during the processing lifecycle. This is also consistent with Article 11.

_{[37] Recital 39 GDPR so states: «…Personal data should be processed only if the purpose of the processing could not reasonably be fulfilled by other means.»}

75. Minimising can also refer to the degree of identification. If the purpose of the processing does not require the final set of data to refer to an identified or identifiable individual (such as in statistics), but the initial processing does (e.g. before data aggregation), then the controller shall delete or anonymize personal data as soon as identification is no longer needed. Or, if continued identification is needed for other processing activities, personal data should be pseudonymized to mitigate risks for the data subjects’ rights.

76. Key design and default data minimisation elements may include:

• Data avoidance — Avoid processing personal data altogether when this is possible for the relevant purpose.

• Limitation – Limit the amount of personal data collected to what is necessary for the purpose

• Access limitation – Shape the data processing in a way that a minimal number of people need access to personal data to perform their duties, and limit access accordingly.

• Relevance – Personal data should be relevant to the processing in question, and the controller should be able to demonstrate this relevance.

• Necessity – Each personal data category shall be necessary for the specified purposes and should only be processed if it is not possible to fulfil the purpose by other means.

• Limitation – Limit the amount of personal data collected to what is necessary for the purpose

• Aggregation – Use aggregated data when possible.

• Pseudonymization – Pseudonymize personal data as soon as it is no longer necessary to have directly identifiable personal data, and store identification keys separately.

• Anonymization and deletion – Where personal data is not, or no longer necessary for the purpose, personal data shall be anonymized or deleted.

• Data flow – The data flow should be made efficient enough to not create more copies than necessary.

• «State of the art» – The controller should apply up to date and appropriate technologies for data avoidance and minimisation.

(d) accurate and, where necessary, kept up to date; every reasonable step must be taken to ensure that personal data that are inaccurate, having regard to the purposes for which they are processed, are erased or rectified without delay (‘accuracy’);

d) sachlich richtig und erforderlichenfalls auf dem neuesten Stand sein; es sind alle angemessenen Maßnahmen zu treffen, damit personenbezogene Daten, die im Hinblick auf die Zwecke ihrer Verarbeitung unrichtig sind, unverzüglich gelöscht oder berichtigt werden („Richtigkeit“);

Комментарий эксперта ISO 27701 Связанные статьи

(EN) Examples of the measures ensuring data accuracy

Example 1

A bank wishes to use artificial intelligence (AI) to profile customers applying for bank loans as a basis for their decision making. When determining how their AI solutions should be developed, they are determining the means of processing and must consider data protection by design when choosing an AI from a vendor and when deciding on how to train the AI.

When determining how to train the AI, the controller must have accurate data to achieve precise results. Therefore, the controller must ensure that the data used to train the AI is accurate.

Granted they have the legal basis to train the AI using personal data from a large pool of their existing customers, the controller chooses a pool of customers that is representative of the population to also avoid bias.

Customer data is gathered from their own systems, gathering data about the existing loan customers’ payment history, bank transactions, credit card debt, they conduct new credit checks, and they gather data from public registries that they have legal access to use.

To ensure that the data used for AI training is as accurate as possible, the controller only collects data from data sources with correct and up-to date information.

Finally, the bank tests whether the AI is reliable and provides non-discriminatory results. When the AI is fully trained and operative, the bank uses the results as a part of the loan assessments, and will never rely solely on the AI to decide whether to grant loans.

The bank will also review the reliability of the results from the AI at regular intervals.

Example 2

The controller is a health institution looking to find methods to ensure the integrity and accuracy of personal data in their client registers.

In situations where two persons arrive at the institution at the same time and receive the same treatment, there is a risk of mistaking them if the only parameter to separate them is by name. To ensure accuracy, the controller needs a unique identifier for each person, and therefore more information than just the name of the client.

The institution uses several systems containing personal information of clients, and need to ensure that the information related to the client is correct, accurate and consistent in all the systems at any point in time. The institution has identified several risks that may arise if information is changed in one system but not another.

The controller decides to mitigate the risk by using a hashing technique that can be used to ensure integrity of data in the treatment journal. Immutable hash signatures are created for treatment journal records and the employee associated with them so that any changes can be recognized, correlated and traced if required.

Source: EDPB, Guidelines 4/2019 on Article 25 – Data Protection by Design and by Default (Version for public consultation) (2019).

Приводим соответствующий параграф к статье 5(1)(d) GDPR:

7.3.6. Доступ, исправление и/или удаление

Средство управления

Организация должна внедрить политику, процедуры и / или механизмы для выполнения своих обязательств перед субъектами ПИИ по доступу, исправлению и / или удалению своей ПИИ.

Руководство по внедрению

Организация должна внедрить политики, процедуры и / или механизмы, позволяющие субъектам ПИИ получать доступ, исправлять и стирать свою ПИИ, если это требуется и без неоправданной задержки

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Guidelines 4/2019 on Article 25 Data Protection by Design and by Default Version 2.0.

Article 16 GDPR. Right to rectification

Artikel 16 DSGVO. Recht auf Berichtigung

The data subject shall have the right to obtain from the controller without undue delay the rectification of inaccurate personal data concerning him or her. Taking into account the purposes of the processing, the data subject shall have the right to have incomplete personal data completed, including by means of providing a supplementary statement.

Die betroffene Person hat das Recht, von dem Verantwortlichen unverzüglich die Berichtigung sie betreffender unrichtiger personenbezogener Daten zu verlangen. Unter Berücksichtigung der Zwecke der Verarbeitung hat die betroffene Person das Recht, die Vervollständigung unvollständiger personenbezogener Daten — auch mittels einer ergänzenden Erklärung — zu verlangen.

3.6 Accuracy

77. Personal data shall be accurate and kept up to date, and every reasonable step shall be taken to ensure that personal data that is inaccurate, having regard to the purposes for which they are processed, are erased or rectified without delay. [38]

_{[38] Art. 5(1)(d) GDPR}

78. The requirements should be seen in relation to the risks and consequences of the concrete use of data. Inaccurate personal data could be a risk to the data subjects’ rights and freedoms, for example when leading to a faulty diagnosis or wrongful treatment of a health protocol, or an incorrect image of a person can lead to decisions being made on the wrong basis either manually, using automated decision-making, or through artificial intelligence.

79. Key design and default accuracy elements may include:

• Data source – Sources of personal data should be reliable in terms of data accuracy.

• Degree of accuracy – Each personal data element should be as accurate as necessary for the specified purposes.

• Measurably accurate — Reduce the number of false positives/negatives, for example biases in automated decisions and artificial intelligence.

• Verification – Depending on the nature of the data, in relation to how often it may change, the controller should verify the correctness of personal data with the data subject before and at different stages of the processing (e.g. to age requirements).

• Erasure/rectification – The controller shall erase or rectify inaccurate data without delay. The controller shall in particular facilitate this where the data subjects are or were children and later want to remove such personal data.[39]

_{[39] Cf. Recital 65.}

• Error propagation avoidance – Controllers should mitigate the effect of an accumulated error in the processing chain.

• Access – Data subjects should be given information about and effective access to personal data in accordance with the GDPR articles 12 to 15 in order to control accuracy and rectify as needed.

• Continued accuracy – Personal data should be accurate at all stages of the processing, tests of accuracy should be carried out at critical steps.

• Up to date – Personal data shall be updated if necessary for the purpose.

• Data design — Use of technological and organisational design features to decrease inaccuracy, for example present concise predetermined choices instead of free text fields.

(e) kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the personal data are processed; personal data may be stored for longer periods insofar as the personal data will be processed solely for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes in accordance with Article 89(1) subject to implementation of the appropriate technical and organisational measures required by this Regulation in order to safeguard the rights and freedoms of the data subject (‘storage limitation’);

e) in einer Form gespeichert werden, die die Identifizierung der betroffenen Personen nur so lange ermöglicht, wie es für die Zwecke, für die sie verarbeitet werden, erforderlich ist; personenbezogene Daten dürfen länger gespeichert werden, soweit die personenbezogenen Daten vorbehaltlich der Durchführung geeigneter technischer und organisatorischer Maßnahmen, die von dieser Verordnung zum Schutz der Rechte und Freiheiten der betroffenen Person gefordert werden, ausschließlich für im öffentlichen Interesse liegende Archivzwecke oder für wissenschaftliche und historische Forschungszwecke oder für statistische Zwecke gemäß Artikel 89 Absatz 1 verarbeitet werden („Speicherbegrenzung“);

Комментарий эксперта ISO 27701 Руководство и прецедентное право Связанные статьи

(EN) Example of storage limitation

The controller collects personal data where the purpose of the processing is to administer a membership with the data subject, the personal data shall be deleted when the membership is terminated.

The controller makes an internal procedure for data retention and deletion. According to this, employees must manually delete personal data after the retention period ends. The employee follows the procedure to regularly delete and correct data from any devices, from backups, logs, e-mails and other relevant storage media.

To make deletion more effective, the controller instead implements an automatic system to delete data automatically and more regularly. The system is configured to follow the given procedure for data deletion which then occurs at a predefined regular interval to remove personal data from all of the company’s storage media. The controller reviews and tests the retention policy regularly.

Source: EDPB, Guidelines 4/2019 on Article 25 – Data Protection by Design and by Default (Version for public consultation) (2019).

Приводим соответствующий параграф к статье 5(1)(e) GDPR:

7.4.4. Цели минимизации ПИИ

Средство управления

Организация должна определить и задокументировать цели минимизации данных и какие механизмы (например, де-идентификация) используются для достижения этих целей.

Руководство по внедрению

Организации должны определить, каким образом конкретная ПИИ и количество собранной и обработанной ПИИ ограничены по сравнению с указанными целями.

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(EN) Article 29 Working Party, Opinion 1/2008 on data protection issues related to search engines (2008).

In view of the initial explanations given by search engine providers on the possible purposes for collecting personal data, the Working Party does not see a basis for a retention period beyond 6 months.

In case search engine providers retain personal data longer than 6 months, they will have to demonstrate comprehensively that it is strictly necessary for the service.

European Commission, Guidance on Apps supporting the fight against COVID 19 pandemic in relation to data protection Brussels (2020).

Guidelines 4/2019 on Article 25 Data Protection by Design and by Default Version 2.0.

Article 89 GDPR. Safeguards and derogations relating to processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes

3.7 Storage limitation

80. The controller must ensure that personal data is kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the personal data is processed.[40] It is vital that the controller knows exactly what personal data the company processes and why. The purpose of the processing shall be the main criterion to decide in how long personal data shall be stored.

_{[40] Art. 5(1)(c) GDPR}

81. Measures and safeguards that implement the principle of storage limitation shall complement the rights and freedoms of the data subjects, specifically, the right to erasure and the right to object.

82. Key design and default storage limitation elements may include:

• Deletion and anonymization – The controller should have clear internal procedures and functionalities for deletion and/or anonymization.

• Automation – Deletion of certain personal data should be automated

• Storage criteria – The controller must determine what data and length of storage is necessary for the purpose.

• Enforcement of retention policies – The controller must enforce internal retention policies and conduct tests of whether the organization practices its policies.

• Effectiveness of anonymization/deletion – The controller shall make sure that it is not possible to re-identify anonymized data or recover deleted data, and should test whether this is possible.

• Automation – Deletion of certain personal data should be automated.

• Storage criteria – The controller shall determine what data and length of storage is necessary for the purpose.

• Justification – The controller shall be able to justify why the period of storage is necessary for the purpose and the personal data in question, and be able to disclose the rationale behind, and legal grounds for the retention period.

• Enforcement of retention policies – The controller should enforce internal retention policies and conduct tests of whether the organization practices its policies.

• Backups/logs – Controllers shall determine what personal data and length of storage is necessary for back-ups and logs.

• Data flow – Controllers should beware of the flow of personal data, and the storage of any copies thereof, and seek to limit their «temporary» storage.

Guidelines on consent under Regulation 2016/679

Scientific research

153. Recital 33 seems to bring some flexibility to the degree of specification and granularity of consent in the context of scientific research. Recital 33 states: “It is often not possible to fully identify the purpose of personal data processing for scientific research purposes at the time of data collection. Therefore, data subjects should be allowed to give their consent to certain areas of scientific research when in keeping with recognised ethical standards for scientific research. Data subjects should have the opportunity to give their consent only to certain areas of research or parts of research projects to the extent allowed by the intended purpose.”

(f) 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 (‘integrity and confidentiality’).

f) in einer Weise verarbeitet werden, die eine angemessene Sicherheit der personenbezogenen Daten gewährleistet, einschließlich Schutz vor unbefugter oder unrechtmäßiger Verarbeitung und vor unbeabsichtigtem Verlust, unbeabsichtigter Zerstörung oder unbeabsichtigter Schädigung durch geeignete technische und organisatorische Maßnahmen („Integrität und Vertraulichkeit“);

Комментарий эксперта ISO 27701 Руководство и прецедентное право Связанные статьи

(EN) Example of integrity and confidentiality measures

A controller wants to extract personal data from a medical database to a server in the company. The company has assessed the risk for routing the extracts to a server that is accessible to all of the company’s employees as likely to be high for data subjects’ rights and freedoms. There is only one department in the company who needs to process these patient data. The extracts will also have a high value to the company.

To regulate access and mitigate possible damage from malware, the company decides to segregate the network, and establish access controls to the server and the directory. In addition, they put up security monitoring and an intrusion detection and prevention system. The controller activates access control on the server and isolates it from routine use. An automated auditing system is put in place to monitor access and changes. Reporting and automated alerts are generated from this when certain events related to usage are configured. This security measure will ensure that all users have access on a need to know basis and with the appropriate access level. Inappropriate use can be quickly and easily recognised.

Some of the extracts have to be compared with new extracts, and must therefore be stored for three months. The controller decides to put them into separate directories and encrypt the stored extracts.

Handling the incident makes the system more robust, and reliable, both for the controller and the data subjects. The data controller understands that preventative and effective measures and safeguards should be built into all personal data processing undertakes now and in the future, and that doing so may help prevent future such data breach incidents.

The controller establishes these security measures both to ensure accuracy, integrity and confidentiality, but also to prevent malware spread by cyber-attacks to make the solution robust.

Source: EDPB, Guidelines 4/2019 on Article 25 – Data Protection by Design and by Default (Version for public consultation) (2019).

Приводим соответствующий параграф к статье 5(1)(f) GDPR:

6.3.2.1. Политика в отношении мобильных устройств

Руководство по внедрению

Организация должна обеспечить, чтобы использование мобильных устройств не приводило к компрометации ПИИ.

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(EN) European Commission, Guidance on Apps supporting the fight against COVID 19 pandemic in relation to data protection Brussels (2020).

Guidelines 4/2019 on Article 25 Data Protection by Design and by Default Version 2.0.

3.8 Integrity and confidentiality

83. The principle of integrity and confidentiality includes protection against unauthorised or unlawful processing and against accidental loss, destruction or damage, using appropriate technical or organisational measures. The security of personal data requires appropriate measures designed to prevent and manage data breach incidents; to guarantee the proper execution of data processing tasks, and compliance with the other principles; and to facilitate the effective exercise of individuals’ rights.

2. The controller shall be responsible for, and be able to demonstrate compliance with, paragraph 1 (‘accountability’).

(2) Der Verantwortliche ist für die Einhaltung des Absatzes 1 verantwortlich und muss dessen Einhaltung nachweisen können („Rechenschaftspflicht“).

ISO 27701 Руководство и прецедентное право Преамбулы Связанные статьи

Приводим соответствующий параграф к статье 5(2) GDPR:

6.15.1.3 Защита записей

Может потребоваться пересмотр текущих и исторических политик и процедур (например, в случаях разрешения споров с клиентами и расследования контролирующим органом).

Организация должна хранить копии своих политик конфиденциальности и связанных с ними процедур в течение периода, указанного в графике хранения (см. 7.4.7 ISO27701).

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(EN) WP29, Opinion 3/2010 on the principle of accountability (2010).

EDPB, Guidelines on the use of location data and contact tracing tools in the context of the COVID-19 outbreak (2020).

Преамбулы

(82) In order to demonstrate compliance with this Regulation, the controller or processor should maintain records of processing activities under its responsibility. Each controller and processor should be obliged to cooperate with the supervisory authority and make those records, on request, available to it, so that it might serve for monitoring those processing operations.

(82) Zum Nachweis der Einhaltung dieser Verordnung sollte der Verantwortliche oder der Auftragsverarbeiter ein Verzeichnis der Verarbeitungstätigkeiten, die seiner Zuständigkeit unterliegen, führen. Jeder Verantwortliche und jeder Auftragsverarbeiter sollte verpflichtet sein, mit der Aufsichtsbehörde zusammenzuarbeiten und dieser auf Anfrage das entsprechende Verzeichnis vorzulegen, damit die betreffenden Verarbeitungsvorgänge anhand dieser Verzeichnisse kontrolliert werden können.