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第 83 條 GDPR. 裁處行政罰鍰之一般要件

Article 83 GDPR. General conditions for imposing administrative fines

1. 依本條規定對於違反本規則處以第 4 項、第 5 項及第 6 項所定之 行政罰鍰者,各監管機關應確保於個案中係有效、適當且具懲戒性。

1. Each supervisory authority shall ensure that the imposition of administrative fines pursuant to this Article in respect of infringements of this Regulation referred to in paragraphs 4, 5 and 6 shall in each individual case be effective, proportionate and dissuasive.

2. 依個案情形,行政罰鍰應附加或取代第 58 條第 2 項第 a 至 h 點及 第 j 點所定措施。於個案中決定是否處以行政罰鍰及決定其數額時, 應考慮下列因素:

2. Administrative fines shall, depending on the circumstances of each individual case, be imposed in addition to, or instead of, measures referred to in points (a) to (h) and (j) of Article 58(2). When deciding whether to impose an administrative fine and deciding on the amount of the administrative fine in each individual case due regard shall be given to the following:

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(a) 違規之性質、嚴重性及持續期間,並考量到處理之性質範圍或目 的,以及受影響之資料主體人數及其受損程度;

(a) the nature, gravity and duration of the infringement taking into account the nature scope or purpose of the processing concerned as well as the number of data subjects affected and the level of damage suffered by them;

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(b) 違規之故意或過失;

(b) the intentional or negligent character of the infringement;

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(c) 控管者或處理者所採減少資料主體損害之任何行為;

(c) any action taken by the controller or processor to mitigate the damage suffered by data subjects;

(d) 控管者或處理者之責任程度,並考量到其依第 25 條及第 32 條所 實施之技術上及組織上之措施;

(d) the degree of responsibility of the controller or processor taking into account technical and organisational measures implemented by them pursuant to Articles 25 and 32;

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(e) 控管者或處理者先前任何相關之違規情事;

(e) any relevant previous infringements by the controller or processor;

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(f) 與監管機關之配合程度,以糾正其違規及減輕其違規所可能造成 之不利影響;

(f) the degree of cooperation with the supervisory authority, in order to remedy the infringement and mitigate the possible adverse effects of the infringement;

(g) 違規所影響之個人資料類型;

(g) the categories of personal data affected by the infringement;

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(h) 監管機關知悉其違規之方式,尤其是控管者或處理者是否通知該 違規或其通知之程度;

(h) the manner in which the infringement became known to the supervisory authority, in particular whether, and if so to what extent, the controller or processor notified the infringement;

(i) 先前已依照第 58條第 2項規定命控管者或處理者就同一標的採取 措施者,該等措施之遵循;

(i) where measures referred to in Article 58(2) have previously been ordered against the controller or processor concerned with regard to the same subject-matter, compliance with those measures;

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(j) 第 40 條所定經核准之行為守則或依第 42 條所定經核准之認證機制之遵循;及

(j) adherence to approved codes of conduct pursuant to Article 40 or approved certification mechanisms pursuant to Article 42; and

(k) 任何其他適用於該個案情形之加重或減輕因素,例如因違約而直 接或間接獲得之經濟利益或避免之損失;

(k) any other aggravating or mitigating factor applicable to the circumstances of the case, such as financial benefits gained, or losses avoided, directly or indirectly, from the infringement.

3. 對於相同或相關之處理作業,如控管者或處理者因故意或過失違 反本規則之數個規定者,行政罰鍰總額不得超過最嚴重違規情事所定 之數額。

3. If a controller or processor intentionally or negligently, for the same or linked processing operations, infringes several provisions of this Regulation, the total amount of the administrative fine shall not exceed the amount specified for the gravest infringement.

4. 依照第二項規定,違反下列規定者,最高處以 10,000,000 歐元之 行政罰鍰,或如為企業者,最高達前一會計年度全球年營業額之百分 之二,並以較高者為準:

4. Infringements of the following provisions shall, in accordance with paragraph 2, be subject to administrative fines up to 10 000 000  EUR, or in the case of an undertaking, up to 2 % of the total worldwide annual turnover of the preceding financial year, whichever is higher:

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(a) 第 8 條、第 11 條、第 25 條至第 39 條及第 42 條及第 43 條所定控 管者及處理者之義務;

(a) the obligations of the controller and the processor pursuant to Articles 8, 11, 25 to 39 and 42 and 43;

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(b) 第 42 條及第 43 條所定認證機構之義務;

(b) the obligations of the certification body pursuant to Articles 42 and 43;

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(c) 第 41 條第 4 項所定監管機構之義務。

(c) the obligations of the monitoring body pursuant to Article 41(4).

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5. 依照第二項規定,違反下列規定者,最高處以 20,000,000 歐元之 行政罰鍰,或如為企業者,最高達前一會計年度全球年營業額之百分 之四,並以較高者為準:

5. Infringements of the following provisions shall, in accordance with paragraph 2, be subject to administrative fines up to 20 000 000 EUR, or in the case of an undertaking, up to 4 % of the total worldwide annual turnover of the preceding financial year, whichever is higher:

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(a) 第 5 條、第 6 條、第 7 條及第 9 條所定處理之基本原則,包括同 意之條件;

(a) the basic principles for processing, including conditions for consent, pursuant to Articles 5, 6, 7 and 9;

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(b) 第 12 至 22 條所定資料主體之權利;

(b) the data subjects’ rights pursuant to Articles 12 to 22;

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(c) 第 44 條至第 49 條所定個人資料移轉至第三國或國際組織之接收 者;

(c) the transfers of personal data to a recipient in a third country or an international organisation pursuant to Articles 44 to 49;

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(d) 依照第 9 章通過之會員國法律所定之任何義務;

(d) any obligations pursuant to Member State law adopted under Chapter IX;

(e) 違反監管機關依第58條第2項規定之命令或暫時性或終局性之處 理限制或停止資料傳輸,或未提供進入而違反第 58 條第 1 項規定;

(e) non-compliance with an order or a temporary or definitive limitation on processing or the suspension of data flows by the supervisory authority pursuant to Article 58(2) or failure to provide access in violation of Article 58(1).

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6. 違反監管機關依第 58 條第 2 項規定之命令者,依照本條第 2 項規 定,最高處以 20,000,000 歐元之行政罰鍰,或如為企業者,最高達前 一會計年度全球年營業額之百分之四,並以較高者為準。

6. Non-compliance with an order by the supervisory authority as referred to in Article 58(2) shall, in accordance with paragraph 2 of this Article, be subject to administrative fines up to 20 000 000 EUR, or in the case of an undertaking, up to 4 % of the total worldwide annual turnover of the preceding financial year, whichever is higher.

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7. 在不損及監管機關依第 58 條第 2 項所定糾正權力之情況下,各會 員國得制定是否及如何對設立於該會員國之公務機關及機構處以行 政罰之規定。

7. Without prejudice to the corrective powers of supervisory authorities pursuant to Article 58(2), each Member State may lay down the rules on whether and to what extent administrative fines may be imposed on public authorities and bodies established in that Member State.

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8. 監管機關依本條規定實施權力者,應遵守歐盟法及會員國法律, 採取適當程序保障,包括有效之司法救濟及正當程序。

8. The exercise by the supervisory authority of its powers under this Article shall be subject to appropriate procedural safeguards in accordance with Union and Member State law, including effective judicial remedy and due process.

9. 如會員國之法律體系未規範行政罰鍰,而該體系確保有效之司法 救濟且監管機關所裁處之行政罰鍰具有相同效力者,本條規定得由主 管監管機關裁處之,並由國內管轄法院執行。無論如何,該等罰鍰應 有效、適當且具懲戒性。該等會員國應於 2018 年 5 月 25 日前將其依 本項規定通過之法律規定及任何後續之修法或影響該等規定之修正 案通知執委會,不得遲延。

9. Where the legal system of the Member State does not provide for administrative fines, this Article may be applied in such a manner that the fine is initiated by the competent supervisory authority and imposed by competent national courts, while ensuring that those legal remedies are effective and have an equivalent effect to the administrative fines imposed by supervisory authorities. In any event, the fines imposed shall be effective, proportionate and dissuasive. Those Member States shall notify to the Commission the provisions of their laws which they adopt pursuant to this paragraph by 25 May 2018 and, without delay, any subsequent amendment law or amendment affecting them.

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(148) 為強化本規則之執行,對於本規則之任何違反,應被處以包括 行政罰鍰等處罰,此不問係外加於監管機關依照本規則實施之適當措 施,或取代該等措施。在僅有輕微之違反,或欲處以之罰鍰會造成對 當事人不相當之負擔,得採用告誡之方式取代罰鍰。然而,仍應就該 違反之性質、嚴重性、持續期間、是否為故意、有無降低損害之行為、 責任程度或先前任何相關違反之程度、監管機關知悉其違法行為後之 態度、命控管者或處理者所為措施之遵循、對行為守則之遵守以及有 無任何使之加重或減輕之因素,為相當之考慮。實施包括行政罰鍰之 處罰,應遵循歐盟法及憲章一般法律原則之適當程序保障,包括有效 之司法保護及正當程序。

(148) In order to strengthen the enforcement of the rules of this Regulation, penalties including administrative fines should be imposed for any infringement of this Regulation, in addition to, or instead of appropriate measures imposed by the supervisory authority pursuant to this Regulation. In a case of a minor infringement or if the fine likely to be imposed would constitute a disproportionate burden to a natural person, a reprimand may be issued instead of a fine. Due regard should however be given to the nature, gravity and duration of the infringement, the intentional character of the infringement, actions taken to mitigate the damage suffered, degree of responsibility or any relevant previous infringements, the manner in which the infringement became known to the supervisory authority, compliance with measures ordered against the controller or processor, adherence to a code of conduct and any other aggravating or mitigating factor. The imposition of penalties including administrative fines should be subject to appropriate procedural safeguards in accordance with the general principles of Union law and the Charter, including effective judicial protection and due process.

(150) 為強化及協調違反本規則所處以之行政罰,各監管機關應有權 力處以行政罰鍰。本規則應指出何者構成違反,以及相關行政罰鍰的 上限及裁罰基準,此應由每個個案中之主管監管機關決定之,並考量 該個案情形所有相關之情狀,並適當考量該違反之性質、嚴重性及持 續期間及其後果,及確保遵循本規則所定義務所採取之措施及預防或 減輕該違反所造成之後果。對企業處以行政罰時,企業應被依照歐洲 聯盟運作條約第 101 條及第 102 條所定義之目的為理解。對個人而非 企業處以行政罰時,監管機關在考量適當之罰鍰金額時,應考量該會員國之平均所得,以及該個人之經濟狀況。一致性機制亦得被運用, 以促使行政罰鍰適用之一致性。此應由會員國決定是否得對公務機關 處以行政罰,以及至何程度。處以行政罰或給予警告並不影響監管機 關其他權力之行使,或本規則下其他處罰之實施。

(150) In order to strengthen and harmonise administrative penalties for infringements of this Regulation, each supervisory authority should have the power to impose administrative fines. This Regulation should indicate infringements and the upper limit and criteria for setting the related administrative fines, which should be determined by the competent supervisory authority in each individual case, taking into account all relevant circumstances of the specific situation, with due regard in particular to the nature, gravity and duration of the infringement and of its consequences and the measures taken to ensure compliance with the obligations under this Regulation and to prevent or mitigate the consequences of the infringement. Where administrative fines are imposed on an undertaking, an undertaking should be understood to be an undertaking in accordance with Articles 101 and 102 TFEU for those purposes. Where administrative fines are imposed on persons that are not an undertaking, the supervisory authority should take account of the general level of income in the Member State as well as the economic situation of the person in considering the appropriate amount of the fine. The consistency mechanism may also be used to promote a consistent application of administrative fines. It should be for the Member States to determine whether and to which extent public authorities should be subject to administrative fines. Imposing an administrative fine or giving a warning does not affect the application of other powers of the supervisory authorities or of other penalties under this Regulation.

(151) 丹麥及愛沙尼亞之法律體系不允許本規則所規範之行政罰鍰。 行政罰之規範在丹麥得以該國管轄法院裁判處以刑罰之方式行之;在 愛沙尼亞得以監管機關處理輕罪程序之架構處以罰金之方式行之;惟 上開會員國該等規範之適用,應與監管機關處以罰鍰之效果相當。因 此,內國管轄法院應考慮監管機關處以罰鍰之建議。在任何情況下, 處以罰鍰應係有效、適當且具懲戒性的。

(151) The legal systems of Denmark and Estonia do not allow for administrative fines as set out in this Regulation. The rules on administrative fines may be applied in such a manner that in Denmark the fine is imposed by competent national courts as a criminal penalty and in Estonia the fine is imposed by the supervisory authority in the framework of a misdemeanour procedure, provided that such an application of the rules in those Member States has an equivalent effect to administrative fines imposed by supervisory authorities. Therefore the competent national courts should take into account the recommendation by the supervisory authority initiating the fine. In any event, the fines imposed should be effective, proportionate and dissuasive.

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