MANUAL FOR CCTV SCHEME (BS 7958, BS7858) · The code sets out existing legal obligations arising from the DPA, the HRA and elsewhere, there is inevitably some duplication between

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CITY OF WOLVERHAMPTON COUNCIL

CONTROL CENTRE

PROCEDURAL MANUAL

MANUAL FOR CCTV SCHEME (BS 7958, BS7858)

PROCEDURAL MANUAL

FOR THE CITY OF WOLVERHAMPTON COUNCIL CCTV SCHEME (BS 7958 and BS 7858)

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Page: 2 of 142 Authority: J CHARLES

Date: 16th May 2019

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1.0 INTRODUCTIONS & ADMINISTRATION 4

1.1 INTRODUCTION 4

1.2 OWNERSHIP 4

1.3 DOCUMENTED MANAGEMENT SYSTEM 4

1.4 QUALITY POLICY STATEMENT 4 1.5 ADMINISTRATION 5

1.6 COMMUNICATION 5

2.0 INSTALLATION OF EQUIPMENT 6

2.1 IMPACT ASSESSMENT 6

2.2 HUMAN RIGHTS 7

2.3 PROTECTION OF FREEDOMS ACT 7

2.4 PURPOSE OF THE SCHEME 8

2.5 DOCUMENTED PROCEDURES 8

3.0 HUMAN RESOURCES 9

3.1 GENERAL PRINCIPLE 9

3.2 STAFFING OF THE MONITORING ROOM 9

3.3 TRAINING & EDUCATION 9

3.4 DISCIPLINE 10

3.5 HEALTH & SAFETY 10

3.6 WELFARE 10

3.7 STAFFING STRATEGY 10

4.0 CONTROL AND OPERATION OF EQUIPMENT 12

4.1 GUIDING PRINCIPLES 12

4.2 PRIMARY CONTROL 12

4.3 SECONDARY MONITORING 12

4.4 OPERATIONAL COMMAND OF THE SYSTEM BY POLICE 13

5.0 ACCESS TO AND SECURITY OF MONITORING ROOM 15

5.1 AUTHORISED ACCESS 15

5.2 PUBLIC ACCESS 15

5.3 EQUIPMENT DEMONSTRATION 15

5.4 AUTHORISED VISITS 16

5.5 MAINTENANCE VISITS 16

5.6 DECLARATION OF CONFIDENTIALITY 16

5.7 SECURITY 16

5.8 INCIDENT / OCCURRENCE BOOK 16

5.9 EMERGENCY PROCEDURES 16

6.0 MANAGEMENT OF RECORDED MATERIAL 18 6.1 RELEASE OF RECORDED MATERIAL 18

6.2 MEDIA DISCLOSURE 18

6.3 ACCESS BY DATA SUBJECTS 19

6.4 PROCESS OF DISCLOSURE 21

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6.5 DIGITAL RECORDING 22

6.6 PREPARATION OF DIGITAL COPIES 22

6.7 RECORDING POLICY 23

6.8 EVIDENTIAL PROCEDURES 23

6.9 RETENTION POLICY 24 6.10 RELEASE OF DATA TO THIRD PARTY 25

6.11 AUDIT & EVALUATION 25

6.12 FREEDOM OF INFORMATION 26

7.0 PRINTS 28

7.1 INTRODUCTION 28

7.2 PRODUCTION OF VIDEO PRINTS 28

7.3 RELEASE OF VIDEO PRINTS TO OUTSDIE ORGANISATIONS 29

8.0 OBSERVED OCCURRENCE /INCIDENTS 30

8.1 LIVE OBSERVATION 30

8.2 RECORD OF OCCURRANCES 30

8.3 DISCLOSURE OF EVIDENCE RULES 30

8.4 WHO MAKES THE RESPONSE 30

8.5 TIMESCALE OF RESPONSE 31

8.6 WHEN OBSERVATION / RECORDING IS NEEDED 31

8.7 RESULT OF A SUCCESSFUL RESPONSE 31

9.0 FAULT REPORTING PROCEDURE 33

9.1 CCTV SYSTEM FAULT REPORTING 33

APPENDIX A DIGITAL RECORDING AND PRODUCTION OF COPIES 34

APPENDIX B CRIMINAL PROCEDURES & INVESTIGATION ACT 1996 35

APPENDIX C EXTRACTS FROM THE GENERAL DATA PROTECTION REGULATIONS 39

APPENDIX D HUMAN RIGHTS ACT 1998 & CCTV 114

APPENDIX E RELEASE OF DATA TO THIRD PARTIES 117

APPENDIX F REGULATION OF INVESTIGATORY POWERS ACT 2000 120

APPENDIX G R.I.P.A FORMS 126

APPENDIX H INCIDENT RESPONSE POLICY 141

APPENDIX I CONTRACTORS SPECIAL CONDITIONS 142

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1.0 INTRODUCTION AND ADMINISTRATION

1.1 Introduction

This Procedural Manual should not be read in isolation and is intended to compliment the Code of Practice. It is intended as a reference document by offering procedural guidance and instructions on all aspects of the operation of the System; it is based upon the content of the Code of Practice. Minor operational procedural changes can be made on the authorisation of the System Manager or designate. These changes will be notified to each individual Operator and Supervisor by way of e-mail.

1.2 Ownership The City of Wolverhampton Council CCTV System has evolved from the formation of partnerships between City of Wolverhampton Council, West Midlands Police and other statutory and local bodies. For the purpose of this document, the ‘owner’ of the CCTV systems referred to in this document is City of Wolverhampton Council. The Single Point of Contact is the Customer Engagement Manager. 1.3 Documented Management System

This Manual describes the policy, organisation and procedures that form the documented Management System, which is operated by the Control Centre. The system ensures the effective running of the Control Centre activities and complies with the requirements of BS7958 and BS7858.

The documented Management System consists of this Manual, Code of Practice, Procedures and Work Instruction addressing specific clauses of the Standards and relevant legislation. The processes identified within the Control Centre are detailed below and are covered by Procedures.

1.4 Quality Policy Statement The Control Centre of City of Wolverhampton Council maintains a comprehensive and effective service and ensures that the service is adequately managed and resourced to meet the demands made upon it. It is the aim of the Control Centre to sustain Client needs and satisfaction. It is committed to the documented Management System and to continuous improvement.

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All staff shall be given adequate time and resource to ensure the documented Management System is implemented effectively.

1.5 Administration 1.5.1 Maintenance The maintenance of the Wolverhampton City CCTV System in its entirety is the sole responsibility of the maintenance contractor. Section 8 to this manual includes details of action to be taken in the event of service being required. A log of all requests for service and subsequent results will be maintained.

1.5.2 Time and Date Accuracy There is no need for Operator’s to check time and date accuracy as all recording equipment is interfaced with a Rugby Clock system which automatically takes account of the changes in GMT/BST. 1.6 Communication Various forms of direct communication are provided within the CCTV monitoring room including (e.g. telephone, fax, email and papers).

Telephone: 01902 555795 Fax: 01902 555796 Radio: UTC

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2.0 INSTALLATION OF CCTV 2.1 Impact Assessment Prior to the installation of CCTV there is now a requirement under the Information Commissioners CCTV Code of Practice and the Data Protection Principles to undertake an assessment to determine whether CCTV is justified. The following requirements of an ‘Impact Assessment’ are contained within the Information Commissioners publication and the criteria will be adhered to by the Council for all future camera installations: The things to cover in any impact assessment include:

• What organisation will be using the CCTV images? Who will take legal responsibility under the Data Protection Act / General Data Protection Regulation (DPA)?

• What is the organisation’s purpose for using CCTV? What are the problems it is meant to address?

• What are the benefits to be gained from its use?

• Can CCTV technology realistically deliver these benefits? Can less privacy-intrusive solutions, such as improved lighting, achieve the same objectives?

• Do you need images of identifiable individuals, or could the scheme use other images not capable of identifying the individual?

• Will the particular equipment/system of work being considered deliver the desired benefits now and remain suitable in the future?

• What future demands may arise for wider use of images and how will you address these?

• What are the views of those who will be under surveillance?

• What could you do to minimise intrusion for those that may be monitored, particularly if specific concerns have been expressed?

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2.2 Human Rights As City of Wolverhampton Council are a public authority, there will also be a requirement to consider the implications of the European Convention of Human Rights, Article 8 (the right to respect for private and family life). Prior to the installation of cameras the following will be considered:

• Is the proposed system established on a proper legal basis and operated in accordance with the law?

• Is it necessary to address a pressing need, such as public safety, crime prevention or national security?

• Is it justified in the circumstances?

• Is it proportionate to the problem that it is designed to deal with? If the answer to the above is no, then it will not be appropriate to use CCTV. Once completed, if the afore-mentioned assessment confirms that CCTV is the appropriate option to counter measure the problem(s), it is essential that the technical capability of the camera equipment and locations chosen are able to achieve the purposes identified. This will include both permanent and moveable (re-deployable) cameras. In addition to this if wireless cameras are used, sufficient safeguards must be in place to protect it from being intercepted. To ascertain the quality of images required from the equipment in order to achieve the purposes the Home Office Scientific Development Branch have produced a publication entitled ‘CCTV Operational Requirements Manual’. The Information Commissioner states that this document should be consulted. If the decision is made to install CCTV, an Operational requirement will be completed for every camera and a copy of this will be securely retained in the CCTV control room. A plan of each scheme will also be retained in the control room. 2.3 Protection of Freedoms Act 2012 The above Act came into force on 1st May 2012 and included in the provisions was a requirement to prepare a Surveillance Camera Code of Practice. Following development and consultation the codes received consent and were published 12th August 2013. The codes provide guidance on the appropriate and effective use of surveillance camera systems by relevant authorities (as defined by section 33 of the 2012 Act) in England and Wales who must have regard to the code when exercising any functions to which the code relates.

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Other operators and users of surveillance camera systems in England and Wales are encouraged to adopt the code voluntarily. The code sets out 12 guiding principles, which are designed to provide a framework for operators and users of surveillance camera systems so that there is transparency and proportionality in the use of such systems. The code sets out existing legal obligations arising from the DPA, the HRA and elsewhere, there is inevitably some duplication between the SCC code and the Information Commissioner’s CCTV Code of Practice. The ICO’s CCTV Code of Practice provides advice and guidance to CCTV users throughout the United Kingdom on how to comply with the GDPR and is therefore to be regarded as containing legally enforceable requirements. As a single source of guidance for the use of surveillance camera systems including CCTV, the SCC code will need to include some detail about the GDPR obligations that must be followed. However, it goes beyond the scope of the ICO’s remit in promoting greater transparency in England and Wales than might be necessary under GDPR and the Freedom of Information Act 2000, and also in encouraging certification against approved operational, technical and competency standards recommended by the Surveillance Camera Commissioner. The Protection of Freedoms Act 2012 does not provide any enforcement powers for the Surveillance Camera Commissioner and given that the code is prepared as guidance this is entirely appropriate. As mentioned previously, the ICO has existing enforcement powers under GDPR and therefore there is no need to create further regulation which places unnecessary burdens on system operators. A copy of the Surveillance Camera Code of practice is available from the Home Office website: www.gov.uk/Surveillance_Camera_Code_of_Practice 2.4 Purposes of the scheme 2.4.1 The following purposes have been established and notification as been registered with the

Information Commissioner for the City of Wolverhampton Council CCTV and associated systems:

Crime prevention and prosecution offenders including the use of CCTV

Further details of the registration can be found on the Information Commissioners Website www.ico.org.uk

2.5 Documented Procedures All documented procedures will be reviewed regularly.

http://www.gov.uk/Surveillance_Camera_Code_of_Practice

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3.0 HUMAN RESOURCES

3.1 General Principle It is acknowledged that any CCTV System is only as good as the management of the material being recorded. Therefore, all equipment associated with, and recorded information gathered by, the City of Wolverhampton Council CCTV System will be handled only by authorised personnel who have been properly trained. Each person having direct involvement with the System will be able to access a copy of both the Code of Practice, this Procedural Manual and the Operational Manual. They will be fully conversant with the contents of all documents, which will be reviewed on an annual basis and which all persons connected with the operation of the CCTV systems will be expected to comply with as far as is reasonably practicable at all times. Each member of staff will read the Code of Practice and this Procedural Manual and will sign to confirm this.

3.2 Staffing of the Monitoring Room Only authorised personnel who have been properly educated in respect of the Code of Practice and this Procedural Manual, and fully trained in the use of the equipment, will operate any of the equipment located within the CCTV control room.

3.3 Training and Education 3.3.1 All operators, including those who may have access to control and/or monitoring facilities

at a secondary monitoring site, will be fully trained in the use of each item of equipment as well as the content of the Code of Practice and this Manual. They will also receive training to the required standard as dictated by the Private Security Industry Act 2001. They will undertake continuation training on a regular basis. Operators will also be required to be licensed by the Security Industry Authority in accordance with the afore-mentioned legislation.

3.3.2 Others who may be involved in the use of information gathered by virtue of the CCTV

System (e.g. investigators, managers, etc.) should be properly educated in respect of the Code of Practice and this Manual. They should be made aware of the capabilities and limitations of the System and their responsibilities with regard to the handling of recorded material. They will be expected to comply with the Code of Practice, Procedural Manual and the Operational Manual.

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3.4 Discipline

3.4.1 Any breach of the Code of Practice, or of any aspect of confidentiality, will be dealt with in accordance with existing discipline regulations. Staff must recognise that any such breach may amount to gross misconduct, which could lead to dismissal.

3.4.2 The system manager will accept prime responsibility for ensuring there is no breach of

security and that the Code of Practice is complied with. He/she has day-to-day responsibility for the management of the room and for enforcing the discipline regulations.

3.5 Health & Safety 3.5.1 The Health and Safety at Work Act (HASWA) places a responsibility on both employers and

employees to ensure a safe working environment.

Employees must take reasonable care, both for his/her own safety and also for the safety of others affected by his/her actions. (Section 7 – HASWA).

3.5.2 Each operator must ensure an awareness of the Health and Safety policy in respect of

the monitoring room, the provisions of which must be complied with at all times. Any discrepancies or concerns will be brought to the attention of the System Manager who will ensure appropriate action is taken.

3.6 Welfare

Operators will be encouraged to take short breaks as appropriate and these may take the form of completing other tasks within the control room. The manager/shift supervisor on duty will manage the number away from their workstations at any one time. In any event no operators or shift supervisors should be away from their workstations during ‘busy’ periods. 3.7 Staffing Strategy 3.7.1 As far as reasonably possible, authorised personnel will always be present when the CCTV monitoring and recording system is in use. 3.7.2 Subject to the equipment functioning correctly, images from every camera will be recorded, using the digital recording system 3.7.3 In the event of pre-planned operation or special event the following action should be

undertaken:

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a) Assessment will be made as to the requirements for the criteria contained within the Regulation of Investigatory Powers Act 2000 and they will be complied with.

b) The CCTV room will be staffed by an authorised and trained individual who will have been fully briefed on the exact nature of the operation.

c) Recording will continue uninterrupted.

d) A record of all personnel (including police) involved in the operation will be made in the

Incident (occurrence log). The duration of the operation and camera’s used will also be noted.

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4.0 CONTROL AND OPERATION OF EQUIPMENT 4.1 Guiding Principles 4.1.1. All operators of cameras associated with these CCTV Systems will act with utmost probity

at all times. 4.1.2 Every use of the cameras will accord with the purposes and key objectives of the system

and shall comply with the Codes of Practice and this Procedural Manual. 4.1.3 Cameras will not be used to look into private residential property. ‘Privacy zones’ may be

programmed into the system as required in order to ensure the interior of any private residential properties within range of the system is not surveyed by the cameras.

4.1.4 If the introduction of ‘Privacy Zones’ prohibits the system being used to achieve the

identified purposes, a written account of the use of each camera and the restrictions imposed on operators will be retained in the control room. Training in the use of such cameras will be given to operators.

4.1.5 Camera operators should be aware of exercising prejudices, which may lead to complaints

of the system being used for purposes other than those for which it is intended. The operators may be required to justify their interest in, or recording of, any particular individual, group of individuals or property at any time by virtue of the audit of the system or by the System Manager.

4.2 Primary Control Only those authorised members of staff with responsibility for using the equipment housed within the CCTV monitoring room will have access to the operating controls within that room.

4.3 Secondary Control

Under no circumstances will the recording of information gathered from the City of Wolverhampton Council CCTV system take place anywhere other than the

designated CCTV control room.

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4.4 Operational Command of the System by the Police 4.4.1 Under rare and extreme operational circumstances the Police may make a request to

command the use of the System to which this Code of Practice applies. These circumstances may be a major incident or event that has a significant impact on the prevention and detection of crime or public safety. Such use will provide the police with a broad overview of events in order to command the incident.

4.4.2 Such requests will be viewed separately to the use of the systems’ cameras with regard to the requirement for an authority for specific types of surveillance under the Regulation of Investigatory Powers Act 2000. See Appendix G.

4.4.3 Applications made as at 4.4.1 above will be considered on the written request of a police officer not below the rank of Superintendent. Any such request will only be accommodated upon the personal written permission of the most senior representative of the System owners, or designated deputy of equal standing. In the event of an urgent need, a verbal request of the senior officer in charge, and in any case an officer not below the rank of Inspector, will be necessary. This should be followed as soon as practicable and within 72 hours by a Superintendents’ written request.

4.4.4 In the event of such a request being permitted, the Monitoring Room will continue to be staffed, and equipment operated by, only those personnel who are specifically trained to do so, and who fall within the terms of Sections 6 and 7 of the Code of Practice. They will then operate under the command of the police officer designated in the verbal / written request, taking into account their responsibilities under this code.

4.4.5 In very extreme circumstances a request may be made for the Police to take total control of The System in its entirety, including the staffing of the monitoring room and personal control of all associated equipment, to the exclusion of all representatives of the System owners. Any such request should be made to The System manager in the first instance, who will consult personally with the most senior officer of The System owners (or designated deputy of equal standing). A request for total exclusive control must be made in writing by a police officer not below the rank of Assistant Chief Constable or person of equal standing.

If the above circumstances are applied, whereby the police take total control of the System, the following will pertain:

a) The System Manager will be fully briefed and, if possible, will attend the monitoring

room at the relevant time;

a) The written approval for police control will be retained within the monitoring room;

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b) A detailed entry will be made in the occurrence book which will include: ▪ Full details of all personnel involved; ▪ The names and positions of those granting the application; ▪ All relevant times. ▪ On re-occupation of the room, all systems should be checked to ensure they are in

proper working order. An appropriate entry should be made in the control room occurrence book noting relevant times, tape identification numbers, status of recording in operation, etc.

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5.0 ACCESS TO AND SECURITY OF MONITORING ROOM (AND/OR) ASSOCIATED EQUIPMENT

5.1 Authorised Access Only authorised personnel will operate any of the equipment located within the CCTV monitoring room, (or equipment associated with the CCTV System). All staff, visitors and auditors, other than the public on authorised and controlled visits will be vetted in accordance with BS7858. This applies also to contractors and sub contractors and a list of authorised individuals representing these companies will be retained in the CCTV Control Room.

5.2 Public Access Public access to the monitoring room/CCTV monitoring and recording equipment will be prohibited except for lawful, proper and sufficient reasons. Visits will not take place as a matter of routine and no visit will comprise of more than six people. Visits will only take place with the approval of the System Manager and with the prior knowledge of the authorised CCTV operator on duty at the time. Visitors will always be accompanied by the manager or designated representative, who is not a CCTV operator. Although a visit will only take place in the presence of an authorised operator, he/she will not be expected to take responsibility for such visits but will record the visit as follows:

▪ Time, date and duration of visit

▪ Authorised person accompanying the visitor(s)

▪ Names and status of visitors

▪ Purpose of visit

Any occurrence, which leads to comment during the course of the visit, will also be the subject of record. The system manager may terminate a public visit in the event of an incident occurring which he/she believes that such presence would impede the effective operation of the System and the operators. The reasons for terminating such a visit will be documented in the visitors register.

5.3 Equipment Demonstration The demonstration of the capabilities and limitations of the cameras should be very strictly controlled during the course of any visit with no emphasis being placed on any individual, group of individuals, or property.

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5.4 Authorised Visits Visits by authorised inspectors and auditors do not fall into the scope of this section and may take place at any time unaccompanied and without prior warning, however, inspectors and auditors must still be vetted to BS7858. Any visit by Inspectors and/or auditors should be recorded in the same way as that described above and every visitor, regardless of status, will be required to sign a declaration of confidentiality.

5.5 Maintenance Visits Maintenance visits should, wherever practicable, only be carried out in the presence of an authorised operator or the System Manager. Maintenance contractors will be required to comply with the Code of Practice at all times.

5.6 Declaration of Confidentiality All visitors to the CCTV monitoring room, regardless of purpose or status, including inspectors, auditors and maintenance personnel, will be required to sign a declaration of confidentiality in accordance with Section 7 of the Code of Practice.

5.7 Security Authorised personnel will normally be present at all times when the equipment is in use. In the unlikely event that the monitoring room or associated equipment is to be left unattended for any reason it will be securely locked. IT security is corporately managed with quarterly Penetration Tests carried out by an outsourced organisation. Certificates issued by Cabinet Office confirming results are forwarded to the UTC. 5.8 Incident/Occurrence Book A control room incident/occurrence computerised recording system will be maintained and regularly updated by the personnel authorised to operate the equipment.

5.9 Emergency Procedures 5.9.1 If the need arises to evacuate the CCTV monitoring room by virtue of either a security alert

or fire alarm; all monitoring room staff will act in accordance with local instructions.

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5.9.2 If possible, but without risking the safety of any member of staff, the room should be secured on leaving. Any operations or procedures under way at the time of evacuation should be abandoned.

5.9.3 On returning to the room all systems should be checked to ensure they are in proper working order. An appropriate entry should be made in the control room occurrence book noting relevant times, media identification numbers, status of recording in operation, etc.

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6.0 MANAGEMENT OF RECORDED MATERIAL It is important that access to and disclosure of images recorded by the City of Wolverhampton Council CCTV system is restricted and controlled. This will ensure that the rights of the individual are preserved and evidence remains admissible. Those involved in the operation and management of CCTV will need to ensure that the reason for disclosing images is compatible with the objectives of the CCTV scheme. In addition, disclosure must adhere to the principles contained within the following legislation, The Criminal Procedures and Investigations Act 1996 (Appendix B) The Data Protection Act 2018, Data Protection Act / General Data Protection Regulation (Appendix C), Human Rights Act 1998 (Appendix D), Release of data to third parties (Appendix E) and The Regulation of Investigatory Powers Act 2000 (Appendix F).

6.1 Release of Recorded Material The police, who have a statutory responsibility to investigate alleged criminal offences, may release details of recorded information to the media only in an effort to identify alleged offenders or potential witnesses. The criteria laid down in the Code of Practice will always be followed. Under the above circumstances full details of the information released, to whom, when and how published must be recorded and made available to the prosecuting authority and the defence. It is therefore imperative that full documentation takes place within the CCTV control room. 6.2 Media and other Disclosure issues It would not be appropriate to disclose images of identifiable individuals to the media for entertainment purposes or place them on the internet. Images can be released to the media for identification purposes, this should not generally be done by anyone other than a law enforcement agency.

Any other requests for images should be approached with care, as a wide disclosure of these may be unfair to the individuals concerned. In some limited circumstances it may be appropriate to release images to a third party, where their needs outweigh those of the individuals whose images are recorded. The example provided by the Information Commissioner is: A member of the public requests CCTV footage of a car park, which shows their car being damaged. They say they need it so that they or their insurance company can take legal action. You should consider whether their request is genuine and whether there is a risk to the safety of other people involved.

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It is therefore recommended that before releasing such images, serious consideration must be given as to whether images of people may lead to identification of such individuals and could the release of images lead to personal injury, threats or damage. If a decision is made to release any images, the Data Protection Act / General Data Protection Regulation states, that there should be a record of the date of disclosure along with details of who the images have been provided to (the name of the person and the organisation they represent) and why they are required.

6.3 Access by Data Subjects 6.3.1 Individuals whose images are recorded have a right to view images of themselves and

unless they agree otherwise, to be provided with a copy of the images. This must be provided within 40 calendar days of receiving the request.

Those who request access must provide details which allow identification of themselves as the subject of the images and also to locate the images on the CCTV system.

There will be internal procedures in place for handling subject access requests and this will include maintaining a log of the requests received and how they were dealt with in case of subsequent challenges.

6.3.2 As outlined in the Codes of Practice, under the terms of the Data Protection Act / General

Data Protection Regulation, individual access to personal data, of which that individual is the data subject is a right and must be permitted providing:

a) The image captured is of an identifiable individual and aimed at learning about a

particular person's activities.

b) The request is made in writing.

c) Information is supplied to the Data Controller which satisfies him/her as to the identity of the person making the request. This will require the provision of two official documents, which clearly show name, date of birth, current address and a full face photograph. The details provided will be checked by the system manager prior to processing

d) The person making the request provides sufficient and accurate information about the

time, date and place to enable the data controller to locate the information which that persons seeks.

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e) The person making the request is only shown information relevant to that particular search and which contains personal data of her/him only, unless other individuals who may be identified from the same information have consented to the disclosure. (Further guidance on this matter can be found in Appendix C.)

6.3.3 A standard subject access request form itemising the above will be provided to the data subject upon a request for such information.

6.3.4. Individuals will also be provided with a leaflet which describes the types of images which

are recorded and retained, the purposes for which those images are recorded and retained and information about the disclosure policy in relation to those images. This will be provided at the time that the standard subject access request form is provided to an individual.

6.3.5 On making a request in writing (which includes transmission by electronic means) and if an image has been taken which is aimed at learning about a particular person's activities and upon complying with the above requirements an individual has the following entitlement:

a) to be told whether the Data Controller or someone else on their behalf is processing the

individual’s personal data.

b) If so, they are to be given a description of: ▪ the personal data ▪ the purpose for which they are being processed and ▪ those to whom they are or may be disclosed

6.3.6 This information must be supplied in a permanent form by way of a copy except where the

supply of such a copy is not possible or would involve disproportionate effort or the individual agrees otherwise.

6.3.7 All subject access requests should be dealt with by the Manager/Supervisor promptly and

in any event within a calendar month of receipt of the request or if later, within a calendar month of receipt of the information required (i.e. to satisfy himself as to the identity of the person making the request and to locate the information). In the event of the data controller complying with a request to supply a copy of the data to the subject, consideration must be given as to whether to obscure the images of third parties. If providing these images would involve an unfair intrusion into the privacy of the third party, or cause unwarranted harm or distress, then they should be obscured.

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6.3.8 The data controller need not comply with a request if the image taken is not aimed at learning about a particular person's activities, it has not been received in writing or insufficient or inaccurate information is provided. If it is decided that a subject access request from an individual is not to be complied with, the following should be documented:-

a) the identity of the individual making the request b) the date of the request c) the reason for refusing to supply the images requested d) the name and signature of the manager or designated member of staff making the

decision. 6.3.9 A letter detailing the decision and the reasons must be sent to the person making the

Request. 6.3.10 There are exemptions to an individual’s right of access and further explanation of these can

be found in Appendix C dealing with the rights of Subject Access. 6.4 Process of Disclosure 6.4.1 If the above request meets with the critieria, it may be possible to provide subject access

for viewing only. If that is the case the following applies:

a) Verify the accuracy of the request

b) Replay the data to the person making the request only, (or responsible person acting on behalf of the person making the request)

c) Viewing of recorded images should take place in a restricted area, for example, in a

manager’s or designated member of staff’s office. Other employees should not be allowed to have access to that area when viewing is taking place. Only data, which is specific to the search request, should be shown.

d) Access to recorded images should be restricted to a manager or designated member of

staff who will decide whether to allow requests for access by third parties in accordance with documented disclosure policies.

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e) Following consideration of paragraph 5.3.6, if third party images are not to be disclosed, the Manager/Supervisor shall arrange for the third party images to be disguised or blurred.

f) If a copy of the material is requested and there is no on-site means of editing out other

personal data, then the material should be sent to an editing house for processing prior to being sent to the requestee. An authorised supervisor from the CCTV control centre will be designated to take the tape in person and witness the editing take place. They will also ensure that no copy is made of the original tape.

6.4.2 If an editing company is hired the Data Controller needs to ensure that:-

a) there is a contractual relationship between the data controller and the editing

company b) that the editing company has given appropriate guarantees regarding the security

measures they take in relation to the images c) the data controller has checked to ensure that those guarantees are met d) the written contract makes it explicit that the editing company can only use images in

accordance with the instructions of the data controller e) the written contract makes the security guarantees provided by the editing company

explicit

6.4.3 All staff should be aware of individuals’ rights under this section. Further detailed information is contained within the GDPR Articles which can be found in Appendix C.

6.5 Digital Recording and Audit Trail City of Wolverhampton Council CCTV system records images digitally and the system has sufficient storage up to 28 days of good quality pictures. The digital system is capable of securing relevant images for review and export at a later date to a removable medium. In playback the digital system is able to display recordings from both single and multiple cameras and facilitates searches by time and date. 6.6 Preparation and Provision of Digital copies In the event of a police officer, or authorised representative of another authorised agency (the ‘investigator’), requests copies of images collected by digital equipment, the person making a copy will be responsible for completing the audit trial and providing a unique exhibit reference to a CD/DVD.

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The investigator will be required to make an appointment with the CCTV control room prior to visiting, this is to ensure that an operator is available to assist, as their primary function is the monitoring of the CCTV system. In the case of a serious incident, where viewing/copies of images are required, a written authority by an officer not below the rank of inspector will be required, a copy of which will be retained in the CCTV control room.

Once a copy has been made and prior to handing to the person requesting it, the medium e.g. CD or DVD will be given a unique reference number and this will be entered on the appropriate form, together with the name, address, telephone number of the person receiving the copy. The person receiving the medium will sign and date the form as a receipt, as will the person making the copy and handing over the medium. A flow chart can be found in Appendix ‘A’.

6.7 Recording Policy

The following policy should be adhered to.

6.7.1 Smoking, eating and drinking in the monitoring area is not permitted because of the

possibility of spilling liquid or other matter onto the equipment.

6.7.2 Daily checks are to be made that all equipment is working efficiently.

6.7.3 Recordings should be made without interruption, wherever practicable. Any interruptions should be recorded in the Incident/Occurrence Book.

6.7.4 Subject to the equipment functioning correctly, images from every camera will be recorded in real time throughout every 24 hour period.

6.8 Evidential Procedures The individual responsible for the replaying of recorded images must document the fact that it has been replayed, to whom and for what purpose. 6.8.1 Section 72(1) of the Police and Criminal Evidence Act 1984 holds that a ‘statement’ (as in

Section 10 of the Civil Evidence Act 1968) includes any representation of fact whether in words or otherwise and makes specific reference to film, tape or any device which produces visual images. Therefore, CD and DVD’s containing evidential material can be considered a document.

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6.8.2 An extract of the Criminal Procedures and Investigations Act as far as it may be applicable to the gathering, recording and retention of evidence by way of CCTV systems, is attached at Appendix ‘B’. It is imperative that the provisions of that Act are strictly complied with by CCTV operators at all times.

6.9 Retention Policy 6.9.1 The Data Protection Act / General Data Protection Regulation do not prescribe any specific

minimum or maximum retention periods which apply to all systems or footage. Retention periods should reflect the organisation’s own purposes for recording images. However, images should not be kept for longer than strictly necessary to meet the purposes for recording them. On occasion, it may be necessary to retain images for a longer period, where a law enforcement body is investigating a crime, to give them the opportunity to view the images as part of an active investigation. The Control Centre shall retain the digital evidence on the NAS system for a maximum of 12 months, at which point the evidence will be deleted.

6.9.2 If a criminal investigation results in proceedings being instituted, all material which may be

relevant must be retained at least until the accused is acquitted or convicted or the prosecutor decides not to proceed with the case.

6.9.3 Where the accused is convicted, the original evidential DVD/CD(s) must be resealed and securely stored in accordance with local instructions, together with relevant written records, at least until:

a) the convicted person is released from custody, or discharged from hospital, in cases where the Court imposes a custodial sentence or a hospital order. (If the person is released or discharged within six months from the date of conviction);

b) six months from the date of conviction, in all cases, or

c) an appeal against conviction has been determined.

6.9.4 The above periods are the minimum periods of retention. Alternative directions may be

given to retain the material for longer periods by a member of the judiciary, the manager or owner of the System, or a senior police officer.

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6.10 Release of data to a third party In relation to the Data Protection Act / General Data Protection Regulation, an extract from this legislation concerning the release of personal data and requests from Data Subjects can be found in Appendix C. Every request for the release of personal data other than those outlined previously will be channelled through the System Manager. Any other requests for images should be approached with care, as a wide disclosure of these may be unfair to the individuals concerned. The System Manager will ensure the principles contained within Appendix E to this Procedural Manual are followed at all times. 6.11 Audits and Evaluations 6.11.1 Audit

An independent audit should be conducted to monitor the scheme. This should include annual reviews of the scheme’s operation and working practices and, where appropriate, recommendations for improvements. Where schemes operate within the public domain, an independent audit should be conducted before the publication of the annual report. This audit should consider the following: a) the level of attainment of objectives and procedures; b) random audits of all logs and the release of information; c) the review policy; and d) standard costs for the release or viewing of material.

The complaints procedure should be reviewed, with the following details included: a) the number of complaints received; b) the time taken to acknowledge and respond to complaints; c) the method of receiving and handling complaints; and d) the degree of customer satisfaction in handling complaints.

6.11.2 Annual Report An annual report will be prepared for CCTV schemes monitoring public spaces. This report

should be made available to the public. The report will include the following details: a) a description of the scheme and the geographical area(s) of operation;

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b) the scheme’s policy statement; c) the objective and scope of the scheme; d) any changes to the operation or management of the CCTV scheme; e) any changes that have been made to the policy; f) any proposals to expand or reduce the operation of the scheme; and g) the scheme’s aims and objectives for the next 12 months.

The report should also provide details of the scheme’s achievements during the previous 12 months, which might be based on information already held by the scheme. The details of the scheme’s performance should include:

a) the number of incidents recorded by the scheme; b) the number of incidents reported to the law enforcement agencies and, where c) appropriate, other bodies, e.g. the local authority; d) an assessment of the scheme’s impact on crime levels and types of crime in the area e) covered by it; and f) an assessment of the scheme’s impact on its objectives, including:

▪ the number of privacy impact assessments completed; ▪ the number of reviews of footage by police and authorized agencies; and ▪ the number of incidents per camera for the previous twelve months.

The results will be assessed against the stated purposes of the scheme. If the scheme is not achieving its purpose modification and other options will be considered. The results of the assessment will be made available through the City of Wolverhampton Council. The above are requirements of British Standard 7958, the Information Commissioners CCTV Codes of Practice and Surveillance Camera Code of Practice. 6.12 Freedom of Information The Information Commissioners CCTV Code of Practice suggests the following: A public authority may receive requests under the Freedom of Information Act 2000 (FOIA) and should have a member of staff who is responsible for responding to freedom of information requests, and understands the authority’s responsibilities. They must respond within 20 working days from receipt of the request. Section 40 of the FOIA contain a two-part exemption relating to information about individuals. If you receive a request for CCTV footage, you should consider:

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▪ Are the images those of the requester? If so then that information is exempt from the FOIA. Instead this request should be treated as a data protection subject access request as explained above.

▪ Are the images of other people? These can be disclosed only if disclosing the information in question does not breach the data protection principles.

In practical terms, if individuals are capable of being identified from the relevant CCTV images, then it is personal information about the individual concerned. It is unlikely that this information can be disclosed in response to an FOI request as the requester could potentially use the images for any purpose and the individual concerned is unlikely to expect this. This may therefore be unfair processing in contravention of the Data Protection Act / General Data Protection Regulation.

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7.0 VIDEO PRINTS

7.1 Introduction Video prints are often referred to as photographs, which may lead to confusion. A photograph is an original image. It may be argued that a video print is a copy of an image or images which already exist through another media, e.g. DVD/CD. Even if a video print is taken during a ‘live’ incident, it should not be treated as a photograph. The best evidence must always be the original image; i.e. the video tape.

7.2 Production of Video Prints Before producing a video print, the following will be adhered to:

a) Video prints cannot be used in place of photographs when seeking to establish the identity of an alleged offender under the provisions of the Police and Criminal Evidence Act, 1984 and the SCC Code of Practice.

b) If a video print is required in connection with a criminal investigation, it will be treated as

an exhibit and dealt with in accordance with the rules of evidence in respect of continuity, disclosure, etc.

c) Except when urgently required for investigative or operational reasons, video prints will

not normally be produced from tapes which originate from any system other than the City of Wolverhampton Council system.

d) In the event of a video print being produced it will be dealt with in accordance with the

following:

i) Video prints will not be taken as a matter of routine. Each time a print is made it must be capable to justification by the originator.

ii) If a video print is taken during a ‘live’ incident, the identity of the person requesting

the print or in charge of the incident or occurrence will be recorded. If the print is made as the result of a specific request, the purpose of the request will be recorded. The record will include brief details of the nature of the incident together with the location, time and date.

e) A log will be maintained of all video print productions.

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i) A sequential number will be given to each print. ii) The date, time and location of the incident, together with very brief details of

the occurrence or individual subject to the print.

iii) Date and time of the production of the print.

iv) Identity of the operative producing the print. v) Location of the print

Subject to compliance with the objectives of the System and the Code of Practice, if a print is made on the initiative of a CCTV operator for pro-active or intelligence gathering purposes, the print will be retained within the CCTV monitoring room, in a folder designed for the purpose. No video prints will be displayed or retained in the CCTV monitoring room in such a manner that they may be easily viewed or accessed by anyone visiting the room, or through windows by anyone passing the room. 7.3 Release of Video Prints to Outside Organisations The images contained within a video print will be treated as ‘personal data', which has been ‘processed’ by virtue of the CCTV System and will only be released in accordance with the disclosure policy.

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8.0 OBSERVED OCCURRENCE/INCIDENTS – ACTION TO BE TAKEN

8.1 Live Observation 8.1.1. In the event of an incident being observed by a CCTV operator, contact will be made with the West Midlands Police by whichever method is most appropriate to the circumstances. (See Appendix H - Response Policy) 8.1.2 The police operators will respond by resourcing the incident in accordance with their own procedures and will grade the incident accordingly. 8.2 Record of Occurrences A record of all occurrences will be maintained by the CCTV operators. The information to be recorded should include full details and descriptions of incidents, persons, vehicles and camera numbers used. It should also include anything of note that may be useful for investigative and evidential purposes or future system assessment and evaluation. (Attention is drawn to the obligations placed upon investigators by the Criminal Procedure and Investigations Act 1996).

8.3 Disclosure of Evidence Rules Due cognisance must be taken of the obligations placed upon investigators by the Criminal Procedures and Investigations Act. It is good practice to assume that all video recordings and all written records made in connection with the CCTV surveillance system will be material obtained ‘in the course of a criminal investigation’ which may be relevant to the investigation and therefore will be disclosable to the defence in the event of a prosecution being undertaken. 8.4 Who makes the response (See Appendix H - Response Policy) Depending what the incident or occurrence involves will determine who should make the response. All incidents involving criminal activity or suspected criminal activity or offences will be directed towards the appropriate Police Force. There are however, other incidents which may require a response from one of the following:

* security staff

* key holders The procedures to be adopted will be identified locally in more detail.

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8.5 Timescale of the response The time at which the incident is notified to the relevant authority should be documented.

8.6 When observation and/or recording is needed It should be decided the times at which observation and/or recording is actually needed. These may include:

a) immediately after an incident for example - until arrest/curtailment - during the whole incident, initiated by an alarm

b) It may be that the observation is not incident related for example;

- hourly - set periods of time - particular days of the week - during/outside trading hours - during events organised in advance, based on information or special intelligence - when few/many people are about - on demand by police controller - when police are responding to incidents - daylight/darkness

All these issues will need to be recorded in the Incident/Occurrence log.

8.7 Result of a successful response to the incident A successful response will vary with the incident or occurrence but could be considered to be one of the following:

- restoration of tranquillity - dispersal or control of the situation - prevention or minimisation of injury or damage - identification of suspect - gathering relevant information to assist in the subsequent apprehension of

offenders - apprehension of a suspect with evidence - public safety through effective evacuation - traffic flow restored

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In order that the CCTV scheme can be seen to be effective, value for money and accountable the CCTV operative must maintain full details of incidents and the part they have contributed to the successful conclusion.

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9.0 FAULT REPORTING PROCEDURE

9.1 CCTV System Equipment Fault 9.1.1. A regular maintenance regime is in place to ensure that the system continues to produce

high quality images. The CCTV operators will be responsible for the reporting of faults which manifest themselves in any equipment housed within the CCTV monitoring room or any of the associated equipment located elsewhere, including cameras and secondary monitoring and control equipment at police control rooms. If the CCTV Engineer is on duty then all fault reports will be forwarded to his email address and he will liaise with the maintenance provider.

9.1.2 Having identified the fault as accurately as possible, and in respect of equipment for which the system owner or supplier is responsible, the following action should be taken:

i) Complete the ‘record of fault, maintenance and service form’ – one page for one fault.

ii) Email the fault report to the CCTV engineer or if not available the directly to the

maintenance contractor’s nominated fault reporting line. (The nature of the fault will dictate whether an out of hours call is required). The operator reporting the fault will complete the relevant section of the maintenance reporting form.

iii) On rectification of the fault, and when carrying out routine servicing, the engineer

will contact the CCTV operator who will complete a full test.

iv) The control room maintenance contractor’s own form may be left by the attending engineer whenever service has been carried out. A CCTV operator may be asked to sign that form for and on behalf of the customer.

v) The original form will be filed in the CCTV monitoring room.

vi) Quarterly maintenance reports will be supplied by the System Manager to the

owners for auditing purposes. 9.1.3 In the event of a fault occurring in any other equipment, which is not the responsibility of

the System owners (e.g. lighting, heating, etc.), this is to be reported to the System Manager.

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Appendix A

DIGITAL RECORDING AND PRODUCTION OF COPIES

Make a copy

View the appropriate incident

Recipient and CCTV operator signs to acknowledge receipt of

CD/DVD

Requesting officer signs out in visitors book

Write on CD/DVD’s. Date of Incident, brief details of officer

requesting, operator details and exhibit number e.g. J.A/1 and hand

over to officer

Request to view Incident/ Occurrence by authorised agency

Sign visitors book

Is there any material evidence or

considered to be intelligence

CCTV operator complete appropriate audit

documentation

If No then File

Yes

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Appendix B THE CRIMINAL PROCEDURES AND INVESTIGATIONS ACT 1996

The Criminal Procedures and Investigations Act 1996 (CPI) came into effect on 1 April 1997 and introduced a statutory framework for the disclosure to defendants of material which the prosecution would not intend to use in the presentation of its own case, (known as unused material). Previously there had been no statute governing the disclosure of unused material, only common law rulings. During the years leading up to the CPI it may have been argued that those ‘common law’ rules had become unwieldy and almost unworkable. It was recommended in 1993 that a new Act of Parliament supported by a Code of Practice was required to standardise the procedures and to address the need for a balance of the exchange of information between the defence and the prosecution agencies. There had been ‘rules of disclosure’ for some time, in terms of the recording of evidence by way of video equipment, it is thought that the CPI may necessitate minimal alterations to previously existing practice. However, the Act introduced some fundamental changes which have an impact upon how investigating officers gather and deal with potential evidence which, in turn, will almost certainly have an impact on CCTV operations - both in the public and the private sector. The three key words are; RECORD, RETAIN, REVEAL, the first two of, which may well be relevant to the way in which CCTV operatives deal with their evidence handling procedures. RECORD When and how should material be recorded? “Information should be recorded at the time it is obtained or as soon as practicable after that. Material should be recorded in a durable or retrievable form”. RETAIN What material should be retained? “All material, including information (which would include that recorded by way of video tapes) and objects, which is obtained in the course of a criminal investigation and which may be relevant to the investigation”.

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What is the test for relevance? “Material may be relevant to the investigation if it appears ............ to have some bearing on any offence under investigation or any person being investigated, or to the surrounding circumstances of the case unless it is incapable of having any impact on the case”. REVEAL Responsibility for the revelation of material rests with the disclosure officer, who may also be the investigating officer, but should not normally be the responsibility of CCTV operators. The test for disclosure “... any prosecution material which has not previously been disclosed to the accused and which in the prosecutors opinion might undermine the case for the prosecution against the accused”. DEFINITIONS Whilst this Act specifically refers to criminal investigations being carried out by police officers, it also states that ‘Persons other than police officers who are charged with the duty of conducting an investigation …...... are to have regard to the relevant provisions of the code, and should take these into account in applying their own operating procedures’. An investigator is defined under this Act as: ‘Any police officer involved in the conduct of a criminal investigation’. The definition continues by stipulating that; ‘All investigators have a responsibility for carrying out the duties imposed on them under this code, including in particular recording information, and retaining records of information and other material’. Material may be ‘relevant to the investigation if it appears to an investigator …..... that it has some bearing on any offence under investigation or any person being investigated, or on the surrounding circumstances of the case, unless it is incapable of having any impact on the case’. (The high possibility of the relevance of material not being realised until the conclusion of a case must not be forgotten). RESPONSIBILITIES In conducting an investigation, the investigator should pursue all reasonable lines of enquiry, whether these point towards or away from the suspect. What is reasonable in each case will depend on the particular circumstances.

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There is now an onus upon the investigator to ensure that all potential evidence is retained. If he/she believes that other persons are in possession of material which may be relevant to the investigation, that other person must be contacted and invited to retain the material in case a request is received for disclosure. In view of the statutory requirement to record information at the time it is obtained or as soon as practicable afterwards in a durable and retrievable form, CCTV operators are likely to find themselves being required to make more written records and to submit written statements more frequently than has been practised in the past. This is especially relevant when descriptions of people, vehicles and events are being recorded or monitored. Initial reports are now extremely important and should be carefully recorded – they are very likely to become disclosable. An investigation begins at the moment of instigation, even though the actual crime may not be reported for several days. If an ‘area search’ were to be generated by the circulation of a description resulting in the CCTV operator making a negative search of the area, the details of that search, including details of which streets, etc must be recorded. DISCLOSURE PROCESS The mechanics of the disclosure of unused material will rest with the disclosure officer, but there is a need for CCTV operators to have an awareness of the process:

Primary Prosecution Disclosure The disclosure officer must reveal any prosecution material which has not previously been disclosed to the accused and which, in the opinion of the prosecutor, might undermine the case for the prosecution against the accused.

Defence Disclosure The defence must provide a defence statement in all cases, which are to be dealt with by the Crown Court, and may do so in cases, which are to be dealt with at Magistrates Court.

Secondary Prosecution Disclosure Once a defence statement has been received, the secondary prosecution disclosure must take place as soon as reasonably practicable. At this stage the prosecution must disclose any prosecution material which has not previously been disclosed, and which might reasonably be expected to assist the defence of the accused as disclosed by the defence statement.

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It will be recognised from this process that there are effectively two stages at which requests for a search of video recorded evidence may be made; at any point during the initial investigation up to the point of primary disclosure, and secondly immediately after the provision of a defence statement. It is not possible to foresee the length of an investigation, neither is it possible to dictate the length of time that a video recording should be kept pending the possibility of a requirement being made for further video searches subsequent to the provision of a defence statement. However, if a statutory requirement is placed upon the three stages referred to, it may be anticipated that the policy of retention contained within the CCTV Code of Practice will need to be reviewed.

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Appendix C

EXTRACTS FROM THE GENERAL DATA PROTECTION REGULATION

General Provisions

Article 1 - Subject-Matter and Objectives

1. This Regulation lays down rules relating to the protection of natural persons with regard to the processing of personal data and rules relating to the free movement of personal data.

2. This Regulation protects fundamental rights and freedoms of natural persons and in particular their right to the protection of personal data.

3. The free movement of personal data within the Union shall be neither restricted nor prohibited for reasons connected with the protection of natural persons with regard to the processing of personal data.

Article 2 - Material Scope

1. This Regulation applies to the processing of personal data wholly or partly by automated means and to the processing other than by automated means of personal data which form part of a filing system or are intended to form part of a filing system.

2. This Regulation does not apply to the processing of personal data: (a) in the course of an activity which falls outside the scope of Union law; (b) by the Member States when carrying out activities which fall within the scope of Chapter 2 of Title V of the TEU; (c) by a natural person in the course of a purely personal or household activity; (d) by competent authorities for the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, including the safeguarding against and the prevention of threats to public security.

3. For the processing of personal data by the Union institutions, bodies, offices and agencies, Regulation (EC) No 45/2001 applies. Regulation (EC) No 45/2001 and other Union legal acts applicable to such processing of personal data shall be adapted to the principles and rules of this Regulation in accordance with Article 98.

4. This Regulation shall be without prejudice to the application of Directive 2000/31/EC, in particular of the liability rules of intermediary service providers in Articles 12 to 15 of that Directive.

Article 3 - Territorial Scope

1. This Regulation applies to the processing of personal data in the context of the activities of an establishment of a controller or a processor in the Union, regardless of whether the processing takes place in the Union or not.

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2. This Regulation applies to the processing of personal data of data subjects who are in the Union by a controller or processor not established in the Union, where the processing activities are related to:

(a) the offering of goods or services, irrespective of whether a payment of the data subject is required, to such data subjects in the Union; or (b) the monitoring of their behaviour as far as their behaviour takes place within the Union.

3. This Regulation applies to the processing of personal data by a controller not established in the Union, but in a place where Member State law applies by virtue of public international law.

Article 4 - Definitions

For the purposes of this Regulation: (1) ‘personal data’ means any information relating to an identified or identifiable natural person (‘data subject’); an identifiable natural person is one who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person; (2) ‘processing’ means any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction; (3) ‘restriction of processing’ means the marking of stored personal data with the aim of limiting their processing in the future; (4) ‘profiling’ means any form of automated processing of personal data consisting of the use of personal data to evaluate certain personal aspects relating to a natural person, in particular to analyse or predict aspects concerning that natural person's performance at work, economic situation, health, personal preferences, interests, reliability, behaviour, location or movements; (5) ‘pseudonymisation’ means the processing of personal data in such a manner that the personal data can no longer be attributed to a specific data subject without the use of additional information, provided that such additional information is kept separately and is subject to technical and organisational measures to ensure that the personal data are not attributed to an identified or identifiable natural person; (6) ‘filing system’ means any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis; (7) ‘controller’ means the natural or legal person, public authority, agency or other body which, alone or jointly with others, determines the purposes and means of the processing of personal data; where the purposes and means of such processing are determined by Union or Member State law, the controller or the specific criteria for its nomination may be provided for by Union or Member State law;

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(8) ‘processor’ means a natural or legal person, public authority, agency or other body which processes personal data on behalf of the controller; (9) ‘recipient’ means a natural or legal person, public authority, agency or another body, to which the personal data are disclosed, whether a third party or not. However, public authorities which may receive personal data in the framework of a particular inquiry in accordance with Union or Member State law shall not be regarded as recipients; the processing of those data by those public authorities shall be in compliance with the applicable data protection rules according to the purposes of the processing; (10) ‘third party’ means a natural or legal person, public authority, agency or body other than the data subject, controller, processor and persons who, under the direct authority of the controller or processor, are authorised to process personal data; (11) ‘consent’ of the data subject means any freely given, specific, informed and unambiguous indication of the data subject's wishes by which he or she, by a statement or by a clear affirmative action, signifies agreement to the processing of personal data relating to him or her; (12) ‘personal data breach’ means a breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed; (13) ‘genetic data’ means personal data relating to the inherited or acquired genetic characteristics of a natural person which give unique information about the physiology or the health of that natural person and which result, in particular, from an analysis of a biological sample from the natural person in question; (14) ‘biometric data’ means personal data resulting from specific technical processing relating to the physical, physiological or behavioural characteristics of a natural person, which allow or confirm the unique identification of that natural person, such as facial images or dactyloscopic data; (15) ‘data concerning health’ means personal data related to the physical or mental health of a natural person, including the provision of health care services, which reveal information about his or her health status; (16) ‘main establishment’ means:

(a)as regards a controller with establishments in more than one Member State, the place of its central administration in the Union, unless the decisions on the purposes and means of the processing of personal data are taken in another establishment of the controller in the Union and the latter establishment has the power to have such decisions implemented, in which case the establishment having taken such decisions is to be considered to be the main establishment; (b)as regards a processor with establishments in more than one Member State, the place of its central administration in the Union, or, if the processor has no central administration in the Union, the establishment of the processor in the Union where the main processing activities in the context of the activities of an establishment of the processor take place to the extent that the processor is subject to specific obligations under this Regulation;

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(17) ‘representative’ means a natural or legal person established in the Union who, designated by the controller or processor in writing pursuant to Article 27, represents the controller or processor with regard to their respective obligations under this Regulation; (18) ‘enterprise’ means a natural or legal person engaged in an economic activity, irrespective of its legal form, including partnerships or associations regularly engaged in an economic activity; (19) ‘group of undertakings’ means a controlling undertaking and its controlled undertakings; (20) ‘binding corporate rules’ means personal data protection policies which are adhered to by a controller or processor established on the territory of a Member State for transfers or a set of transfers of personal data to a controller or processor in one or more third countries within a group of undertakings, or group of enterprises engaged in a joint economic activity; (21) ‘supervisory authority’ means an independent public authority which is established by a Member State pursuant to Article 51; (22) ‘supervisory authority concerned’ means a supervisory authority which is concerned by the processing of personal data because:

(a) the controller or processor is established on the territory of the Member State of that supervisory authority; (b) data subjects residing in the Member State of that supervisory authority are substantially affected or likely to be substantially affected by the processing; or (c) a complaint has been lodged with that supervisory authority;

(23) ‘cross-border processing’ means either: (a) processing of personal data which takes place in the context of the activities of establishments in more than one Member State of a controller or processor in the Union where the controller or processor is established in more than one Member State; or (b) processing of personal data which takes place in the context of the activities of a single establishment of a controller or processor in the Union but which substantially affects or is likely to substantially affect data subjects in more than one Member State.

(24) ‘relevant and reasoned objection’ means an objection to a draft decision as to whether there is an infringement of this Regulation, or whether envisaged action in relation to the controller or processor complies with this Regulation, which clearly demonstrates the significance of the risks posed by the draft decision as regards the fundamental rights and freedoms of data subjects and, where applicable, the free flow of personal data within the Union; (25) ‘information society service’ means a service as defined in point (b) of Article 1(1) of Directive (EU) 2015/1535 of the European Parliament and of the Council (1); (26) ‘international organisation’ means an organisation and its subordinate bodies governed by public international law, or any other body which is set up by, or on the basis of, an agreement between two or more countries.

Article 5 - Principles Relating to Processing of Personal Data

1. Personal data shall be:

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(a) processed lawfully, fairly and in a transparent manner in relation to the data subject (‘lawfulness, fairness and transparency’);

(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’);

(c) adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed (‘data 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’); (1)Directive (EU) 2015/1535 of the European Parliament and of the Council of 9 September 2015 laying down a procedure for the provision of information in the field of technical regulations and of rules on Information Society services (OJ L 241, 17.9.2015, p. 1).

(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’);

(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’).

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

Article 6 - Lawfulness of Processing

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

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

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;

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

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

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;

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.

Point (f) of the first subparagraph shall not apply to processing carried out by public authorities in the performance of their tasks.

2. Member States may maintain or introduce more specific provisions to adapt the application of the rules of this Regulation with regard to processing for compliance with points (c) and (e) of paragraph 1 by determining more precisely specific requirements for the processing and other measures to ensure lawful and fair processing including for other specific processing situations as provided for in Chapter IX.

3. The basis for the processing referred to in point (c) and (e) of paragraph 1 shall be laid down by:

a. Union law; or b. Member State law to which the controller is subject.

The purpose of the processing shall be determined in that legal basis or, as regards the processing referred to in point (e) of paragraph 1, shall be necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the controller. That legal basis may contain specific provisions to adapt the application of rules of this Regulation, inter alia: the general conditions governing the lawfulness of processing by the controller; the types of data which are subject to the processing; the data subjects concerned; the entities to, and the purposes for which, the personal data may be disclosed; the purpose limitation; storage periods; and processing operations and processing procedures, including measures to ensure lawful and fair processing such as those for other specific processing situations as provided for in Chapter IX. The Union or the Member State law shall meet an objective of public interest and be proportionate to the legitimate aim pursued.

4. Where the processing for a purpose other than that for which the personal data have been collected is not based on the data subject's consent or on a Union or Member State law which constitutes a necessary and proportionate measure in a democratic society to safeguard the objectives referred to in Article 23(1), the controller shall, in order to ascertain whether processing for another purpose is compatible with the purpose for which the personal data are initially collected, take into account, inter alia: (a) any link between the purposes for which the personal data have been collected and the purposes of the intended further processing; (b) the context in which the personal data have been collected, in particular regarding the relationship between data subjects and the controller;

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(c) the nature of the personal data, in particular whether special categories of personal data are processed, pursuant to Article 9, or whether personal data related to criminal convictions and offences are processed, pursuant to Article 10; (d) the possible consequences of the intended further processing for data subjects; (e) the existence of appropriate safeguards, which may include encryption or pseudonymisation.

Article 7 - Conditions for Consent 1. Where processing is based on consent, the controller shall be able to demonstrate that the

data subject has consented to processing of his or her personal data. 2. If the data subject's consent is given in the context of a written declaration which also

concerns other matters, the request for consent shall be presented in a manner which is clearly distinguishable from the other matters, in an intelligible and easily accessible form, using clear and plain language. Any part of such a declaration which constitutes an infringement of this Regulation shall not be binding.

3. The data subject shall have the right to withdraw his or her consent at any time. The withdrawal of consent shall not affect the lawfulness of processing based on consent before its withdrawal. Prior to giving consent, the data subject shall be informed thereof. It shall be as easy to withdraw as to give consent.

4. When assessing whether consent is freely given, utmost account shall be taken of whether, inter alia, the performance of a contract, including the provision of a service, is conditional on consent to the processing of personal data that is not necessary for the performance of that contract.

Article 8 - Conditions Applicable to Child's Consent in Relation to Information Society Services

1. Where point (a) of Article 6(1) applies, in relation to the offer of information society services directly to a child, the processing of the personal data of a child shall be lawful where the child is at least 16 years old. Where the child is below the age of 16 years, such processing shall be lawful only if and to the extent that consent is given or authorised by the holder of parental responsibility over the child. Member States may provide by law for a lower age for those purposes provided that such lower age is not below 13 years.

2. The controller shall make reasonable efforts to verify in such cases that consent is given or authorised by the holder of parental responsibility over the child, taking into consideration available technology.

3. Paragraph 1 shall not affect the general contract law of Member States such as the rules on the validity, formation or effect of a contract in relation to a child.

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Article 9 - Processing of Special Categories of Personal Data

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

b. processing is necessary for the purposes of carrying out the obligations and exercising specific rights of the controller or of the data subject in the field of employment and social security and social protection law in so far as it is authorised by Union or Member State law or a collective agreement pursuant to Member State law providing for appropriate safeguards for the fundamental rights and the interests of the data subject;

c. processing is necessary to protect the vital interests of the data subject or of another natural person where the data subject is physically or legally incapable of giving consent;

d. processing is carried out in the course of its legitimate activities with appropriate safeguards by a foundation, association or any other not-for-profit body with a political, philosophical, religious or trade union aim and on condition that the processing relates solely to the members or to former members of the body or to persons who have regular contact with it in connection with its purposes and that the personal data are not disclosed outside that body without the consent of the data subjects;

e. processing relates to personal data which are manifestly made public by the data subject;

f. processing is necessary for the establishment, exercise or defence of legal claims or whenever courts are acting in their judicial capacity;

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;

h. processing is necessary for the purposes of preventive or occupational medicine, for the assessment of the working capacity of the employee, medical diagnosis, the provision of health or social care or treatment or the management of health or social care systems and services on the basis of Union or Member State law or pursuant to contract with a health professional and subject to the conditions and safeguards referred to in paragraph 3;

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i. processing is necessary for reasons of public interest in the area of public health, such as protecting against serious cross-border threats to health or ensuring high standards of quality and safety of health care and of medicinal products or medical devices, on the basis of Union or Member State law which provides for suitable and specific measures to safeguard the rights and freedoms of the data subject, in particular professional secrecy;

j. processing is necessary for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes in accordance with Article 89(1) based on 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.

3. Personal data referred to in paragraph 1 may be processed for the purposes referred to in point (h) of paragraph 2 when those data are processed by or under the responsibility of a professional subject to the obligation of professional secrecy under Union or Member State law or rules established by national competent bodies or by another person also subject to an obligation of secrecy under Union or Member State law or rules established by national competent bodies.

4. Member States may maintain or introduce further conditions, including limitations, with regard to the processing of genetic data, biometric data or data concerning health.

Article 10 - Processing of Personal Data Relating to Criminal Convictions and Offences

Processing of personal data relating to criminal convictions and offences or related security measures based on Article 6(1) shall be carried out only under the control of official authority or when the processing is authorised by Union or Member State law providing for appropriate safeguards for the rights and freedoms of data subjects. Any comprehensive register of criminal convictions shall be kept only under the control of official authority.

Article 11 - Processing Which Does Not Require Identification 1. If the purposes for which a controller processes personal data do not or do no longer require

the identification of a data subject by the controller, the controller shall not be obliged to maintain, acquire or process additional information in order to identify the data subject for the sole purpose of complying with this Regulation.

2. Where, in cases referred to in paragraph 1 of this Article, the controller is able to demonstrate that it is not in a position to identify the data subject, the controller shall inform the data subject accordingly, if possible. In such cases, Articles 15 to 20 shall not apply except where the data subject, for the purpose of exercising his or her rights under those articles, provides additional information enabling his or her identification.

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Rights of the Data Subject

Article 12 - Transparent Information, Communication and Modalities for the Exercise of the Rights of the Data Subject

1. The controller shall take appropriate measures to provide any information referred to in

Articles 13 and 14 and any communication under Articles 15 to 22 and 34 relating to processing to the data subject in a concise, transparent, intelligible and easily accessible form, using clear and plain language, in particular for any information addressed specifically to a child. The information shall be provided in writing, or by other means, including, where appropriate, by electronic means. When requested by the data subject, the information may be provided orally, provided that the identity of the data subject is proven by other means.

2. The controller shall facilitate the exercise of data subject rights under Articles 15 to 22. In the cases referred to in Article 11(2), the controller shall not refuse to act on the request of the data subject for exercising his or her rights under Articles 15 to 22, unless the controller demonstrates that it is not in a position to identify the data subject.

3. The controller shall provide information on action taken on a request under Articles 15 to 22 to the data subject without undue delay and in any event within one month of receipt of the request. That period may be extended by two further months where necessary, taking into account the complexity and number of the requests. The controller shall inform the data subject of any such extension within one month of receipt of the request, together with the reasons for the delay. Where the data subject makes the request by electronic form means, the information shall be provided by electronic means where possible, unless otherwise requested by the data subject.

4. If the controller does not take action on the request of the data subject, the controller shall inform the data subject without delay and at the latest within one month of receipt of the request of the reasons for not taking action and on the possibility of lodging a complaint with a supervisory authority and seeking a judicial remedy.

5. Information provided under Articles 13 and 14 and any communication and any actions taken under Articles 15 to 22 and 34 shall be provided free of charge. Where requests from a data subject are manifestly unfounded or excessive, in particular because of their repetitive character, the controller may either:

(a) charge a reasonable fee taking into account the administrative costs of providing the information or communication or taking the action requested; or (b) refuse to act on the request. The controller shall bear the burden of demonstrating the manifestly unfounded or excessive character of the request.

6. Without prejudice to Article 11, where the controller has reasonable doubts concerning the identity of the natural person making the request referred to in Articles 15 to 21, the controller may request the provision of additional information necessary to confirm the identity of the data subject.

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7. The information to be provided to data subjects pursuant to Articles 13 and 14 may be provided in combination with standardised icons in order to give in an easily visible, intelligible and clearly legible manner a meaningful overview of the intended processing. Where the icons are presented electronically they shall be machine-readable.

8. The Commission shall be empowered to adopt delegated acts in accordance with Article 92 for the purpose of determining the information to be presented by the icons and the procedures for providing standardised icons.

Article 13 - Information to be Provided Where Personal Data are Collected from the Data Subject

1. Where personal data relating to a data subject are collected from the data subject, the

controller shall, at the time when personal data are obtained, provide the data subject with all of the following information:

(a) the identity and the contact details of the controller and, where applicable, of the controller's representative; (b) the contact details of the data protection officer, where applicable; (c) the purposes of the processing for which the personal data are intended as well as the legal basis for the processing; (d) where the processing is based on point (f) of Article 6(1), the legitimate interests pursued by the controller or by a third party; (e) the recipients or categories of recipients of the personal data, if any; (f) where applicable, the fact that the controller intends to transfer personal data to a third country or international organisation and the existence or absence of an adequacy decision by the Commission, or in the case of transfers referred to in Article 46 or 47, or the second subparagraph of Article 49(1), reference to the appropriate or suitable safeguards and the means by which to obtain a copy of them or where they have been made available.

2. In addition to the information referred to in paragraph 1, the controller shall, at the time when personal data are obtained, provide the data subject with the following further information necessary to ensure fair and transparent processing:

(a) the period for which the personal data will be stored, or if that is not possible, the criteria used to determine that period; (b) the existence of the right to request from the controller access to and rectification or erasure of personal data or restriction of processing concerning the data subject or to object to processing as well as the right to data portability; (c) where the processing is based on point (a) of Article 6(1) or point (a) of Article 9(2), the existence of the right to withdraw consent at any time, without affecting the lawfulness of processing based on consent before its withdrawal;

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(d) the right to lodge a complaint with a supervisory authority; (e) whether the provision of personal data is a statutory or contractual requirement, or a requirement necessary to enter into a contract, as well as whether the data subject is obliged to provide the personal data and of the possible consequences of failure to provide such data; (f) the existence of automated decision-making, including profiling, referred to in Article 22(1) and (4) and, at least in those cases, meaningful information about the logic involved, as well as the significance and the envisaged consequences of such processing for the data subject.

3. Where the controller intends to further process the personal data for a purpose other than that for which the personal data were collected, the controller shall provide the data subject prior to that further processing with information on that other purpose and with any relevant further information as referred to in paragraph 2.

4. Paragraphs 1, 2 and 3 shall not apply where and insofar as the data subject already has the information.

Article 14 - Information to be Provided Where Personal Data have not been Obtained from the

Data Subject 1. Where personal data have not been obtained from the data subject, the controller shall

provide the data subject with the following information: (a) the identity and the contact details of the controller and, where applicable, of the controller's representative; (b) the contact details of the data protection officer, where applicable; (c) the purposes of the processing for which the personal data are intended as well as the legal basis for the processing; (d) the categories of personal data concerned; (e) the recipients or categories of recipients of the personal data, if any; (f)where applicable, that the controller intends to transfer personal data to a recipient in a third country or international organisation and the existence or absence of an adequacy decision by the Commission, or in the case of transfers referred to in Article 46 or 47, or the second subparagraph of Article 49(1), reference to the appropriate or suitable safeguards and the means to obtain a copy of them or where they have been made available.

2. In addition to the information referred to in paragraph 1, the controller shall provide the data subject with the following information necessary to ensure fair and transparent processing in respect of the data subject:

(a) the period for which the personal data will be stored, or if that is not possible, the criteria used to determine that period; (b) where the processing is based on point (f) of Article 6(1), the legitimate interests pursued by the controller or by a third party;

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(c) the existence of the right to request from the controller access to and rectification or erasure of personal data or restriction of processing concerning the data subject and to object to processing as well as the right to data portability; (d) where processing is based on point (a) of Article 6(1) or point (a) of Article 9(2), the existence of the right to withdraw consent at any time, without affecting the lawfulness of processing based on consent before its withdrawal; (e) the right to lodge a complaint with a supervisory authority; (f) from which source the personal data originate, and if applicable, whether it came from publicly accessible sources; (g) the existence of automated decision-making, including profiling, referred to in Article 22(1) and (4) and, at least in those cases, meaningful information about the logic involved, as well as the significance and the envisaged consequences of such processing for the data subject.

3. The controller shall provide the information referred to in paragraphs 1 and 2: (a) within a reasonable period after obtaining the personal data, but at the latest within one month, having regard to the specific circumstances in which the personal data are processed; (b) if the personal data are to be used for communication with the data subject, at the latest at the time of the first communication to that data subject; or (c) if a disclosure to another recipient is envisaged, at the latest when the personal data are first disclosed.

4. Where the controller intends to further process the personal data for a purpose other than that for which the personal data were obtained, the controller shall provide the data subject prior to that further processing with information on that other purpose and with any relevant further information as referred to in paragraph 2.

5. Paragraphs 1 to 4 shall not apply where and insofar as: (a) the data subject already has the information; (b) the provision of such information proves impossible or would involve a disproportionate effort, in particular for processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes, subject to the conditions and safeguards referred to in Article 89(1) or in so far as the obligation referred to in paragraph 1 of this Article is likely to render impossible or seriously impair the achievement of the objectives of that processing. In such cases the controller shall take appropriate measures to protect the data subject's rights and freedoms and legitimate interests, including making the information publicly available; (c) obtaining or disclosure is expressly laid down by Union or Member State law to which the controller is subject and which provides appropriate measures to protect the data subject's legitimate interests; or

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(d) where the personal data must remain confidential subject to an obligation of professional secrecy regulated by Union or Member State law, including a statutory obligation of secrecy.

Article 15 - Right of Access by the Data Subject

1. The data subject shall have the right to obtain from the controller confirmation as to whether

or not personal data concerning him or her are being processed, and, where that is the case, access to the personal data and the following information:

(a) the purposes of the processing; (b) the categories of personal data concerned; (c) the recipients or categories of recipient to whom the personal data have been or will be disclosed, in particular recipients in third countries or international organisations; (d) where possible, the envisaged period for which the personal data will be stored, or, if not possible, the criteria used to determine that period; (e) the existence of the right to request from the controller rectification or erasure of personal data or restriction of processing of personal data concerning the data subject or to object to such processing; (f) the right to lodge a complaint with a supervisory authority; (g) where the personal data are not collected from the data subject, any available information as to their source; (h) the existence of automated decision-making, including profiling, referred to in Article 22(1) and (4) and, at least in those cases, meaningful information about the logic involved, as well as the significance and the envisaged consequences of such processing for the data subject.

2. Where personal data are transferred to a third country or to an international organisation, the data subject shall have the right to be informed of the appropriate safeguards pursuant to Article 46 relating to the transfer.

3. The controller shall provide a copy of the personal data undergoing processing. For any further copies requested by the data subject, the controller may charge a reasonable fee based on administrative costs. Where the data subject makes the request by electronic means, and unless otherwise requested by the data subject, the information shall be provided in a commonly used electronic form.

4. The right to obtain a copy referred to in paragraph 3 shall not adversely affect the rights and freedoms of others.

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Article 16 - Right to Rectification 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.

Article 17 - Right to Erasure (‘right to be forgotten’) 1. The data subject shall have the right to obtain from the controller the erasure of personal data

concerning him or her without undue delay and the controller shall have the obligation to erase personal data without undue delay where one of the following grounds applies:

(a) the personal data are no longer necessary in relation to the purposes for which they were collected or otherwise processed; (b) the data subject withdraws consent on which the processing is based according to point (a) of Article 6(1), or point (a) of Article 9(2), and where there is no other legal ground for the processing; (c) the data subject objects to the processing pursuant to Article 21(1) and there are no overriding legitimate grounds for the processing, or the data subject objects to the processing pursuant to Article 21(2); (d) the personal data have been unlawfully processed; (e) the personal data have to be erased for compliance with a legal obligation in Union or Member State law to which the controller is subject; (f) the personal data have been collected in relation to the offer of information society services referred to in Article 8(1).

2. Where the controller has made the personal data public and is obliged pursuant to paragraph 1 to erase the personal data, the controller, taking account of available technology and the cost of implementation, shall take reasonable steps, including technical measures, to inform controllers which are processing the personal data that the data subject has requested the erasure by such controllers of any links to, or copy or replication of, those personal data.

3. Paragraphs 1 and 2 shall not apply to the extent that processing is necessary: (a) for exercising the right of freedom of expression and information; (b) for compliance with a legal obligation which requires processing by Union or Member State law to which the controller is subject or for the performance of a task carried out in the public interest or in the exercise of official authority vested in the controller; (c) for reasons of public interest in the area of public health in accordance with points (h) and (i) of Article 9(2) as well as Article 9(3);

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(d) for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes in accordance with Article 89(1) in so far as the right referred to in paragraph 1 is likely to render impossible or seriously impair the achievement of the objectives of that processing; or (e) for the establishment, exercise or defence of legal claims.

Article 18 - Right to Restriction of Processing

1. The data subject shall have the right to obtain from the controller restriction of processing

where one of the following applies: (a) the accuracy of the personal data is contested by the data subject, for a period enabling the controller to verify the accuracy of the personal data; (b) the processing is unlawful and the data subject opposes the erasure of the personal data and requests the restriction of their use instead; (c) the controller no longer needs the personal data for the purposes of the processing, but they are required by the data subject for the establishment, exercise or defence of legal claims; (d) the data subject has objected to processing pursuant to Article 21(1) pending the verification whether the legitimate grounds of the controller override those of the data subject.

2. Where processing has been restricted under paragraph 1, such personal data shall, with the exception of storage, only be processed with the data subject's consent or for the establishment, exercise or defence of legal claims or for the protection of the rights of another natural or legal person or for reasons of important public interest of the Union or of a Member State.

3. A data subject who has obtained restriction of processing pursuant to paragraph 1 shall be informed by the controller before the restriction of processing is lifted.

Article 19 - Notification Obligation Regarding Rectification or Erasure of Personal Data or

Restriction of Processing The controller shall communicate any rectification or erasure of personal data or restriction of processing carried out in accordance with Article 16, Article 17(1) and Article 18 to each recipient to whom the personal data have been disclosed, unless this proves impossible or involves disproportionate effort. The controller shall inform the data subject about those recipients if the data subject requests it.

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Article 20 - Right to Data Portability 1. The data subject shall have the right to receive the personal data concerning him or her, which

he or she has provided to a controller, in a structured, commonly used and machine-readable format and have the right to transmit those data to another controller without hindrance from the controller to which the personal data have been provided, where:

(a) the processing is based on consent pursuant to point (a) of Article 6(1) or point (a) of Article 9(2) or on a contract pursuant to point (b) of Article 6(1); and (b) the processing is carried out by automated means.

2. In exercising his or her right to data portability pursuant to paragraph 1, the data subject shall have the right to have the personal data transmitted directly from one controller to another, where technically feasible.

3. The exercise of the right referred to in paragraph 1 of this Article shall be without prejudice to Article 17. That right shall not apply to processing necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the controller.

4. The right referred to in paragraph 1 shall not adversely affect the rights and freedoms of others.

Article 21 - Right to Object 1. The data subject shall have the right to object, on grounds relating to his or her particular

situation, at any time to processing of personal data concerning him or her which is based on point (e) or (f) of Article 6(1), including profiling based on those provisions. The controller shall no longer process the personal data unless the controller demonstrates compelling legitimate grounds for the processing which override the interests, rights and freedoms of the data subject or for the establishment, exercise or defence of legal claims.

2. Where personal data are processed for direct marketing purposes, the data subject shall have the right to object at any time to processing of personal data concerning him or her for such marketing, which includes profiling to the extent that it is related to such direct marketing.

3. Where the data subject objects to processing for direct marketing purposes, the personal data shall no longer be processed for such purposes.

4. At the latest at the time of the first communication with the data subject, the right referred to in paragraphs 1 and 2 shall be explicitly brought to the attention of the data subject and shall be presented clearly and separately from any other information.

5. In the context of the use of information society services, and notwithstanding Directive 2002/58/EC, the data subject may exercise his or her right to object by automated means using technical specifications.

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6. Where personal data are processed for scientific or historical research purposes or statistical purposes pursuant to Article 89(1), the data subject, on grounds relating to his or her particular situation, shall have the right to object to processing of personal data concerning him or her, unless the processing is necessary for the performance of a task carried out for reasons of public interest.

Article 22 - Automated Individual Decision-Making, Including Profiling

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.

2. Paragraph 1 shall not apply if the decision: (a) is necessary for entering into, or performance of, a contract between the data subject and a data controller; (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 (c) is based on the data subject's explicit consent.

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.

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.

Article 23 – Restrictions

1. Union or Member State law to which the data controller or processor is subject may restrict by

way of a legislative measure the scope of the obligations and rights provided for in Articles 12 to 22 and Article 34, as well as Article 5 in so far as its provisions correspond to the rights and obligations provided for in Articles 12 to 22, when such a restriction respects the essence of the fundamental rights and freedoms and is a necessary and proportionate measure in a democratic society to safeguard:

(a) national security; (b) defence; (c) public security; (d) the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, including the safeguarding against and the prevention of threats to public security;

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(e) other important objectives of general public interest of the Union or of a Member State, in particular an important economic or financial interest of the Union or of a Member State, including monetary, budgetary and taxation a matters, public health and social security; (f) the protection of judicial independence and judicial proceedings; (g) the prevention, investigation, detection and prosecution of breaches of ethics for regulated professions; (h) a monitoring, inspection or regulatory function connected, even occasionally, to the exercise of official authority in the cases referred to in points (a) to (e) and (g); (i) the protection of the data subject or the rights and freedoms of others; (j) the enforcement of civil law claims.

2. In particular, any legislative measure referred to in paragraph 1 shall contain specific provisions at least, where relevant, as to:

(a) the purposes of the processing or categories of processing; (b) the categories of personal data; (c) the scope of the restrictions introduced; (d) the safeguards to prevent abuse or unlawful access or transfer; (e) the specification of the controller or categories of controllers; (f) the storage periods and the applicable safeguards taking into account the nature, scope and purposes of the processing or categories of processing; (g) the risks to the rights and freedoms of data subjects; and (h) the right of data subjects to be informed about the restriction, unless that may be prejudicial to the purpose of the restriction.

Controller and Processor General Obligations

Article 24 - Responsibility of the Controller

1. Taking into account the nature, scope, context and purposes of processing as well as the risks

of varying likelihood and severity for the rights and freedoms of natural persons, the controller shall implement appropriate technical and organisational measures to ensure and to be able to demonstrate that processing is performed in accordance with this Regulation. Those measures shall be reviewed and updated where necessary.

2. Where proportionate in relation to processing activities, the measures referred to in paragraph 1 shall include the implementation of appropriate data protection policies by the controller.

3. Adherence to approved codes of conduct as referred to in Article 40 or approved certification mechanisms as referred to in Article 42 may be used as an element by which to demonstrate compliance with the obligations of the controller.

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Article 25 - Data Protection by Design and by Default 1. Taking into account the state of the art, the cost of implementation and the nature, scope,

context and purposes of processing as well as the risks of varying likelihood and severity for rights and freedoms of natural persons posed by the processing, the controller shall, both at the time of the determination of the means for processing and at the time of the processing itself, implement appropriate technical and organisational measures, such as pseudonymisation, which are designed to implement data-protection principles, such as data minimisation, in an effective manner and to integrate the necessary safeguards into the processing in order to meet the requirements of this Regulation and protect the rights of data subjects.

2. The controller shall implement appropriate technical and organisational measures for ensuring that, by default, only personal data which are necessary for each specific purpose of the processing are processed. That obligation applies to the amount of personal data collected, the extent of their processing, the period of their storage and their accessibility. In particular, such measures shall ensure that by default personal data are not made accessible without the individual's intervention to an indefinite number of natural persons.

3. An approved certification mechanism pursuant to Article 42 may be used as an element to demonstrate compliance with the requirements set out in paragraphs 1 and 2 of this Article.

Article 26 - Joint Controllers

1. Where two or more controllers jointly determine the purposes and means of processing, they

shall be joint controllers. They shall in a transparent manner determine their respective responsibilities for compliance with the obligations under this Regulation, in particular as regards the exercising of the rights of the data subject and their respective duties to provide the information referred to in Articles 13 and 14, by means of an arrangement between them unless, and in so far as, the respective responsibilities of the controllers are determined by Union or Member State law to which the controllers are subject. The arrangement may designate a contact point for data subjects.

2. The arrangement referred to in paragraph 1 shall duly reflect the respective roles and relationships of the joint controllers vis-à-vis the data subjects. The essence of the arrangement shall be made available to the data subject.

3. Irrespective of the terms of the arrangement referred to in paragraph 1, the data subject may exercise his or her rights under this Regulation in respect of and against each of the controllers.

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Article 27 - Representatives of Controllers or Processors not Established in the Union 1. Where Article 3(2) applies, the controller or the processor shall designate in writing a

representative in the Union. 2. The obligation laid down in paragraph 1 of this Article shall not apply to: (a) processing which is

occasional, does not include, on a large scale, processing of special categories of data as referred to in Article 9(1) or processing of personal data relating to criminal convictions and offences referred to in Article 10, and is unlikely to result in a risk to the rights and freedoms of natural persons, taking into account the nature, context, scope and purposes of the processing; or (b) a public authority or body.

3. The representative shall be established in one of the Member States where the data subjects, whose personal data are processed in relation to the offering of goods or services to them, or whose behaviour is monitored, are.

4. The representative shall be mandated by the controller or processor to be addressed in addition to or instead of the controller or the processor by, in particular, supervisory authorities and data subjects, on all issues related to processing, for the purposes of ensuring compliance with this Regulation.

5. The designation of a representative by the controller or processor shall be without prejudice to legal actions which could be initiated against the controller or the processor themselves.

Article 28 - Processor

1. Where processing is to be carried out on behalf of a controller, the controller shall use only

processors providing sufficient guarantees to implement appropriate technical and organisational measures in such a manner that processing will meet the requirements of this Regulation and ensure the protection of the rights of the data subject.

2. The processor shall not engage another processor without prior specific or general written authorisation of the controller. In the case of general written authorisation, the processor shall inform the controller of any intended changes concerning the addition or replacement of other processors, thereby giving the controller the opportunity to object to such changes.

3. Processing by a processor shall be governed by a contract or other legal act under Union or Member State law, that is binding on the processor with regard to the controller and that sets out the subject-matter and duration of the processing, the nature and purpose of the processing, the type of personal data and categories of data subjects and the obligations and rights of the controller. That contract or other legal act shall stipulate, in particular, that the processor:

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(a) processes the personal data only on documented instructions from the controller, including with regard to transfers of personal data to a third country or an international organisation, unless required to do so by Union or Member State law to which the processor is subject; in such a case, the processor shall inform the controller of that legal requirement before processing, unless that law prohibits such information on important grounds of public interest; (b) ensures that persons authorised to process the personal data have committed themselves to confidentiality or are under an appropriate statutory obligation of confidentiality; (c) takes all measures required pursuant to Article 32; (d) respects the conditions referred to in paragraphs 2 and 4 for engaging another processor; (e) taking into account the nature of the processing, assists the controller by appropriate technical and organisational measures, insofar as this is possible, for the fulfilment of the controller's obligation to respond to requests for exercising the data subject's rights laid down in Chapter III; (f) assists the controller in ensuring compliance with the obligations pursuant to Articles 32 to 36 taking into account the nature of processing and the information available to the processor; (g) at the choice of the controller, deletes or returns all the personal data to the controller after the end of the provision of services relating to processing, and deletes existing copies unless Union or Member State law requires storage of the personal data; (h) makes available to the controller all information necessary to demonstrate compliance with the obligations laid down in this Article and allow for and contribute to audits, including inspections, conducted by the controller or another auditor mandated by the controller. With regard to point (h) of the first subparagraph, the processor shall immediately inform the controller if, in its opinion, an instruction infringes this Regulation or other Union or Member State data protection provisions.

4. Where a processor engages another processor for carrying out specific processing activities on behalf of the controller, the same data protection obligations as set out in the contract or other legal act between the controller and the processor as referred to in paragraph 3 shall be imposed on that other processor by way of a contract or other legal act under Union or Member State law, in particular providing sufficient guarantees to implement appropriate technical and organisational measures in such a manner that the processing will meet the requirements of this Regulation. Where that other processor fails to fulfil its data protection obligations, the initial processor shall remain fully liable to the controller for the performance of that other processor's obligations.

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5. Adherence of a processor to an approved code of conduct as referred to in Article 40 or an approved certification mechanism as referred to in Article 42 may be used as an element by which to demonstrate sufficient guarantees as referred to in paragraphs 1 and 4 of this Article.

6. Without prejudice to an individual contract between the controller and the processor, the contract or the other legal act referred to in paragraphs 3 and 4 of this Article may be based, in whole or in part, on standard contractual clauses referred to in paragraphs 7 and 8 of this Article, including when they are part of a certification granted to the controller or processor pursuant to Articles 42 and 43.

7. The Commission may lay down standard contractual clauses for the matters referred to in paragraph 3 and 4 of this Article and in accordance with the examination procedure referred to in Article 93(2).

8. A supervisory authority may adopt standard contractual clauses for the matters referred to in paragraph 3 and 4 of this Article and in accordance with the consistency mechanism referred to in Article 63.

9. The contract or the other legal act referred to in paragraphs 3 and 4 shall be in writing, including in electronic form. 1

10. Without prejudice to Articles 82, 83 and 84, if a processor infringes this Regulation by determining the purposes and means of processing, the processor shall be considered to be a controller in respect of that processing.

Article 29 - Processing under the Authority of the Controller or Processor

The processor and any person acting under the authority of the controller or of the processor, who has access to personal data, shall not process those data except on instructions from the controller, unless required to do so by Union or Member State law.

Article 30 - Records of Processing Activities 1. Each controller and, where applicable, the controller's representative, shall maintain a record

of processing activities under its responsibility. That record shall contain all of the following information:

(a) the name and contact details of the controller and, where applicable, the joint controller, the controller's representative and the data protection officer;

(b) the purposes of the processing; (c) a description of the categories of data subjects and of the categories of personal data; (d) the categories of recipients to whom the personal data have been or will be disclosed

including recipients in third countries or international organisations;

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(e) where applicable, transfers of personal data to a third country or an international organisation, including the identification of that third country or international organisation and, in the case of transfers referred to in the second subparagraph of Article 49(1), the documentation of suitable safeguards;

(f) where possible, the envisaged time limits for erasure of the different categories of data;

(g) where possible, a general description of the technical and organisational security measures referred to in Article 32(1).

2. Each processor and, where applicable, the processor's representative shall maintain a record of all categories of processing activities carried out on behalf of a controller, containing:

(a) the name and contact details of the processor or processors and of each controller on behalf of which the processor is acting, and, where applicable, of the controller's or the processor's representative, and the data protection officer;

(b) the categories of processing carried out on behalf of each controller; (c) where applicable, transfers of personal data to a third country or an international

organisation, including the identification of that third country or international organisation and, in the case of transfers referred to in the second subparagraph of Article 49(1), the documentation of suitable safeguards;

(d) where possible, a general description of the technical and organisational security measures referred to in Article 32(1).

3. The records referred to in paragraphs 1 and 2 shall be in writing, including in electronic form. 4. The controller or the processor and, where applicable, the controller's or the processor's

representative, shall make the record available to the supervisory authority on request. 5. The obligations referred to in paragraphs 1 and 2 shall not apply to an enterprise or an

organisation employing fewer than 250 persons unless the processing it carries out is likely to result in a risk to the rights and freedoms of data subjects, the processing is not occasional, or the processing includes special categories of data as referred to in Article 9(1) or personal data relating to criminal convictions and offences referred to in Article 10.

Article 31 - Cooperation with the Supervisory Authority

The controller and the processor and, where applicable, their representatives, shall cooperate, on request, with the supervisory authority in the performance of its tasks.

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Article 32 - Security of Processing 1. Taking into account the state of the art, the costs of implementation and the nature, scope,

context and purposes of processing as well as the risk of varying likelihood and severity for the rights and freedoms of natural persons, the controller and the processor shall implement appropriate technical and organisational measures to ensure a level of security appropriate to the risk, including inter alia as appropriate:

(a) the pseudonymisation and encryption of personal data; (b) the ability to ensure the ongoing confidentiality, integrity, availability and resilience of processing systems and services; (c) the ability to restore the availability and access to personal data in a timely manner in the event of a physical or technical incident; (d) a process for regularly testing, assessing and evaluating the effectiveness of technical and organisational measures for ensuring the security of the processing.

2. In assessing the appropriate level of security account shall be taken in particular of the risks that are presented by processing, in particular from accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to personal data transmitted, stored or otherwise processed.

3. Adherence to an approved code of conduct as referred to in Article 40 or an approved certification mechanism as referred to in Article 42 may be used as an element by which to demonstrate compliance with the requirements set out in paragraph 1 of this Article.

4. The controller and processor shall take steps to ensure that any natural person acting under the authority of the controller or the processor who has access to personal data does not process them except on instructions from the controller, unless he or she is required to do so by Union or Member State law.

Article 33 - Notification of a Personal Data Breach to the Supervisory Authority

1. In the case of a personal data breach, the controller shall without undue delay and, where

feasible, not later than 72 hours after having become aware of it, notify the personal data breach to the supervisory authority competent in accordance with Article 55, unless the personal data breach is unlikely to result in a risk to the rights and freedoms of natural persons. Where the notification to the supervisory authority is not made within 72 hours, it shall be accompanied by reasons for the delay.

2. The processor shall notify the controller without undue delay after becoming aware of a personal data breach.

3. The notification referred to in paragraph 1 shall at least: (a) describe the nature of the personal data breach including where possible, the categories and approximate number of data subjects concerned and the categories and approximate number of personal data records concerned;

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(b) communicate the name and contact details of the data protection officer or other contact point where more information can be obtained; (c) describe the likely consequences of the personal data breach; (d) describe the measures taken or proposed to be taken by the controller to address the personal data breach, including, where appropriate, measures to mitigate its possible adverse effects.

4. Where, and in so far as, it is not possible to provide the information at the same time, the information may be provided in phases without undue further delay.

5. The controller shall document any personal data breaches, comprising the facts relating to the personal data breach, its effects and the remedial action taken. That documentation shall enable the supervisory authority to verify compliance with this Article.

Article 34 - Communication of a Personal Data Breach to the Data Subject 1. When the personal data breach is likely to result in a high risk to the rights and freedoms of

natural persons, the controller shall communicate the personal data breach to the data subject without undue delay.

2. The communication to the data subject referred to in paragraph 1 of this Article shall describe in clear and plain language the nature of the personal data breach and contain at least the information and measures referred to in points (b), (c) and (d) of Article 33(3).

3. The communication to the data subject referred to in paragraph 1 shall not be required if any of the following conditions are met:

(a) the controller has implemented appropriate technical and organisational protection measures, and those measures were applied to the personal data affected by the personal data breach, in particular those that render the personal data unintelligible to any person who is not authorised to access it, such as encryption; (b) the controller has taken subsequent measures which ensure that the high risk to the rights and freedoms of data subjects referred to in paragraph 1 is no longer likely to materialise; (c) it would involve disproportionate effort. In such a case, there shall instead be a public communication or similar measure whereby the data subjects are informed in an equally effective manner.

4. If the controller has not already communicated the personal data breach to the data subject, the supervisory authority, having considered the likelihood of the personal data breach resulting in a high risk, may require it to do so or may decide that any of the conditions referred to in paragraph 3 are met.

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Article 35 - Data Protection Impact Assessment 1. Where a type of processing in particular using new technologies, and taking into account the

nature, scope, context and purposes of the processing, is likely to result in a high risk to the rights and freedoms of natural persons, the controller shall, prior to the processing, carry out an assessment of the impact of the envisaged processing operations on the protection of personal data. A single assessment may address a set of similar processing operations that present similar high risks.

2. The controller shall seek the advice of the data protection officer, where designated, when carrying out a data protection impact assessment.

3. A data protection impact assessment referred to in paragraph 1 shall in particular be required in the case of:

(a) a systematic and extensive evaluation of personal aspects relating to natural persons which is based on automated processing, including profiling, and on which decisions are based that produce legal effects concerning the natural person or similarly significantly affect the natural person; (b) processing on a large scale of special categories of data referred to in Article 9(1), or of personal data relating to criminal convictions and offences referred to in Article 10; or (c) a systematic monitoring of a publicly accessible area on a large scale.

4. The supervisory authority shall establish and make public a list of the kind of processing operations which are subject to the requirement for a data protection impact assessment pursuant to paragraph 1. The supervisory authority shall communicate those lists to the Board referred to in Article 68.

5. The supervisory authority may also establish and make public a list of the kind of processing operations for which no data protection impact assessment is required. The supervisory authority shall communicate those lists to the Board.

6. Prior to the adoption of the lists referred to in paragraphs 4 and 5, the competent supervisory authority shall apply the consistency mechanism referred to in Article 63 where such lists involve processing activities which are related to the offering of goods or services to data subjects or to the monitoring of their behaviour in several Member States, or may substantially affect the free movement of personal data within the Union.

7. The assessment shall contain at least: (a) a systematic description of the envisaged processing operations and the purposes of the processing, including, where applicable, the legitimate interest pursued by the controller; (b) an assessment of the necessity and proportionality of the processing operations in relation to the purposes; (c) an assessment of the risks to the rights and freedoms of data subjects referred to in paragraph 1; and

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(d) the measures envisaged to address the risks, including safeguards, security measures and mechanisms to ensure the protection of personal data and to demonstrate compliance with this Regulation taking into account the rights and legitimate interests of data subjects and other persons concerned.

8. Compliance with approved codes of conduct referred to in Article 40 by the relevant controllers or processors shall be taken into due account in assessing the impact of the processing operations performed by such controllers or processors, in particular for the purposes of a data protection impact assessment.

9. Where appropriate, the controller shall seek the views of data subjects or their representatives on the intended processing, without prejudice to the protection of commercial or public interests or the security of processing operations.

10. Where processing pursuant to point (c) or (e) of Article 6(1) has a legal basis in Union law or in the law of the Member State to which the controller is subject, that law regulates the specific processing operation or set of operations in question, and a data protection impact assessment has already been carried out as part of a general impact assessment in the context of the adoption of that legal basis, paragraphs 1 to 7 shall not apply unless Member States deem it to be necessary to carry out such an assessment prior to processing activities.

11. Where necessary, the controller shall carry out a review to assess if processing is performed in accordance with the data protection impact assessment at least when there is a change of the risk represented by processing operations.

Article 36 - Prior Consultation

1. The controller shall consult the supervisory authority prior to processing where a data

protection impact assessment under Article 35 indicates that the processing would result in a high risk in the absence of measures taken by the controller to mitigate the risk.

2. Where the supervisory authority is of the opinion that the intended processing referred to in paragraph 1 would infringe this Regulation, in particular where the controller has insufficiently identified or mitigated the risk, the supervisory authority shall, within period of up to eight weeks of receipt of the request for consultation, provide written advice to the controller and, where applicable to the processor, and may use any of its powers referred to in Article 58. That period may be extended by six weeks, taking into account the complexity of the intended processing. The supervisory authority shall inform the controller and, where applicable, the processor, of any such extension within one month of receipt of the request for consultation together with the reasons for the delay. Those periods may be suspended until the supervisory authority has obtained information it has requested for the purposes of the consultation.

3. When consulting the supervisory authority pursuant to paragraph 1, the controller shall provide the supervisory authority with:

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(a) where applicable, the respective responsibilities of the controller, joint controllers and processors involved in the processing, in particular for processing within a group of undertakings; (b) the purposes and means of the intended processing; (c) the measures and safeguards provided to protect the rights and freedoms of data subjects pursuant to this Regulation; (d) where applicable, the contact details of the data protection officer; (e) the data protection impact assessment provided for in Article 35; and (f) any other information requested by the supervisory authority.

4. Member States shall consult the supervisory authority during the preparation of a proposal for a legislative measure to be adopted by a national parliament, or of a regulatory measure based on such a legislative measure, which relates to processing.

5. Notwithstanding paragraph 1, Member State law may require controllers to consult with, and obtain prior authorisation from, the supervisory authority in relation to processing by a controller for the performance of a task carried out by the controller in the public interest, including processing in relation to social protection and public health.

Article 37 - Designation of the data protection officer

1. The controller and the processor shall designate a data protection officer in any case where:

a) the processing is carried out by a public authority or body, except for courts acting in their judicial capacity; (b) the core activities of the controller or the processor consist of processing operations which, by virtue of their nature, their scope and/or their purposes, require regular and systematic monitoring of data subjects on a large scale; or (c) the core activities of the controller or the processor consist of processing on a large scale of special categories of data pursuant to Article 9 and personal data relating to criminal convictions and offences referred to in Article 10.

2. A group of undertakings may appoint a single data protection officer provided that a data protection officer is easily accessible from each establishment.

3. Where the controller or the processor is a public authority or body, a single data protection officer may be designated for several such authorities or bodies, taking account of their organisational structure and size.

4. In cases other than those referred to in paragraph 1, the controller or processor or associations and other bodies representing categories of controllers or processors may or, where required by Union or Member State law shall, designate a data protection officer. The data protection officer may act for such associations and other bodies representing controllers or processors.

5. The data protection officer shall be designated on the basis of professional qualities and, in particular, expert knowledge of data protection law and practices and the ability to fulfil the tasks referred to in Article 39.

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6. The data protection officer may be a staff member of the controller or processor, or fulfil the tasks on the basis of a service contract.

7. The controller or the processor shall publish the contact details of the data protection officer and communicate them to the supervisory authority.

Article 38 - Position of the data protection officer

1. The controller and the processor shall ensure that the data protection officer is involved,

properly and in a timely manner, in all issues which relate to the protection of personal data. 2. The controller and processor shall support the data protection officer in performing the tasks

referred to in Article 39 by providing resources necessary to carry out those tasks and access to personal data and processing operations, and to maintain his or her expert knowledge.

3. The controller and processor shall ensure that the data protection officer does not receive any instructions regarding the exercise of those tasks. He or she shall not be dismissed or penalised by the controller or the processor for performing his tasks. The data protection officer shall directly report to the highest management level of the controller or the processor.

4. Data subjects may contact the data protection officer with regard to all issues related to processing of their personal data and to the exercise of their rights under this Regulation.

5. The data protection officer shall be bound by secrecy or confidentiality concerning the performance of his or her tasks, in accordance with Union or Member State law.

6. The data protection officer may fulfil other tasks and duties. The controller or processor shall ensure that any such tasks and duties do not result in a conflict of interests.

Article 39 - Tasks of the data protection officer

1. The data protection officer shall have at least the following tasks:

(a) to inform and advise the controller or the processor and the employees who carry out processing of their obligations pursuant to this Regulation and to other Union or Member State data protection provisions; (b) to monitor compliance with this Regulation, with other Union or Member State data protection provisions and with the policies of the controller or processor in relation to the protection of personal data, including the assignment of responsibilities, awareness-raising and training of staff involved in processing operations, and the related audits; (c) to provide advice where requested as regards the data protection impact assessment and monitor its performance pursuant to Article 35; (d) to cooperate with the supervisory authority; (e) to act as the contact point for the supervisory authority on issues relating to processing, including the prior consultation referred to in Article 36, and to consult, where appropriate, with regard to any other matter.

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2. The data protection officer shall in the performance of his or her tasks have due regard to the risk associated with processing operations, taking into account the nature, scope, context and purposes of processing.

Article 40 - Codes of Conduct 1. The Member States, the supervisory authorities, the Board and the Commission shall

encourage the drawing up of codes of conduct intended to contribute to the proper application of this Regulation, taking account of the specific features of the various processing sectors and the specific needs of micro, small and medium-sized enterprises.

2. Associations and other bodies representing categories of controllers or processors may prepare codes of conduct, or amend or extend such codes, for the purpose of specifying the application of this Regulation, such as with regard to:

(a) fair and transparent processing; (b) the legitimate interests pursued by controllers in specific contexts; (c) the collection of personal data; (d) the pseudonymisation of personal data; (e) the information provided to the public and to data subjects; (f) the exercise of the rights of data subjects; (g) the information provided to, and the protection of, children, and the manner in which the consent of the holders of parental responsibility over children is to be obtained; (h) the measures and procedures referred to in Articles 24 and 25 and the measures to ensure security of processing referred to in Article 32; (i) the notification of personal data breaches to supervisory authorities and the communication of such personal data breaches to data subjects; (j) the transfer of personal data to third countries or international organisations; or (k) out-of-court proceedings and other dispute resolution procedures for resolving disputes between controllers and data subjects with regard to processing, without prejudice to the rights of data subjects pursuant to Articles 77 and 79.

3. In addition to adherence by controllers or processors subject to this Regulation, codes of conduct approved pursuant to paragraph 5 of this Article and having general validity pursuant to paragraph 9 of this Article may also be adhered to by controllers or processors that are not subject to this Regulation pursuant to Article 3 in order to provide appropriate safeguards within the framework of personal data transfers to third countries or international organisations under the terms referred to in point (e) of Article 46(2). Such controllers or processors shall make binding and enforceable commitments, via contractual or other legally binding instruments, to apply those appropriate safeguards including with regard to the rights of data subjects.

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4. A code of conduct referred to in paragraph 2 of this Article shall contain mechanisms which enable the body referred to in Article 41(1) to carry out the mandatory monitoring of compliance with its provisions by the controllers or processors which undertake to apply it, without prejudice to the tasks and powers of supervisory authorities competent pursuant to Article 55 or 56.

5. Associations and other bodies referred to in paragraph 2 of this Article which intend to prepare a code of conduct or to amend or extend an existing code shall submit the draft code, amendment or extension to the supervisory authority which is competent pursuant to Article 55. The supervisory authority shall provide an opinion on whether the draft code, amendment or extension complies with this Regulation and shall approve that draft code, amendment or extension if it finds that it provides sufficient appropriate safeguards.

6. Where the draft code, or amendment or extension is approved in accordance with paragraph 5, and where the code of conduct concerned does not relate to processing activities in several Member States, the supervisory authority shall register and publish the code.

7. Where a draft code of conduct relates to processing activities in several Member States, the supervisory authority which is competent pursuant to Article 55 shall, before approving the draft code, amendment or extension, submit it in the procedure referred to in Article 63 to the Board which shall provide an opinion on whether the draft code, amendment or extension complies with this Regulation or, in the situation referred to in paragraph 3 of this Article, provides appropriate safeguards.

8. Where the opinion referred to in paragraph 7 confirms that the draft code, amendment or extension complies with this Regulation, or, in the situation referred to in paragraph 3, provides appropriate safeguards, the Board shall submit its opinion to the Commission.

9. The Commission may, by way of implementing acts, decide that the approved code of conduct, amendment or extension submitted to it pursuant to paragraph 8 of this Article have general validity within the Union. Those implementing acts shall be adopted in accordance with the examination procedure set out in Article 93(2).

10. The Commission shall ensure appropriate publicity for the approved codes which have been decided as having general validity in accordance with paragraph 9.

11. The Board shall collate all approved codes of conduct, amendments and extensions in a register and shall make them publicly available by way of appropriate means.

Article 41 - Monitoring of Approved Codes of Conduct

1. Without prejudice to the tasks and powers of the competent supervisory authority under

Articles 57 and 58, the monitoring of compliance with a code of conduct pursuant to Article 40 may be carried out by a body which has an appropriate level of expertise in relation to the subject-matter of the code and is accredited for that purpose by the competent supervisory authority.

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2. A body as referred to in paragraph 1 may be accredited to monitor compliance with a code of conduct where that body has:

(a) demonstrated its independence and expertise in relation to the subject-matter of the code to the satisfaction of the competent supervisory authority; (b) established procedures which allow it to assess the eligibility of controllers and processors concerned to apply the code, to monitor their compliance with its provisions and to periodically review its operation; (c) established procedures and structures to handle complaints about infringements of the code or the manner in which the code has been, or is being, implemented by a controller or processor, and to make those procedures and structures transparent to data subjects and the public; and (d) demonstrated to the satisfaction of the competent supervisory authority that its tasks and duties do not result in a conflict of interests.

3. The competent supervisory authority shall submit the draft criteria for accreditation of a body as referred to in paragraph 1 of this Article to the Board pursuant to the consistency mechanism referred to in Article 63.

4. Without prejudice to the tasks and powers of the competent supervisory authority and the provisions of Chapter VIII, a body as referred to in paragraph 1 of this Article shall, subject to appropriate safeguards, take appropriate action in cases of infringement of the code by a controller or processor, including suspension or exclusion of the controller or processor concerned from the code. It shall inform the competent supervisory authority of such actions and the reasons for taking them.

5. The competent supervisory authority shall revoke the accreditation of a body as referred to in paragraph 1 if the conditions for accreditation are not, or are no longer, met or where actions taken by the body infringe this Regulation.

6. This Article shall not apply to processing carried out by public authorities and bodies.

Article 42 - Certification 1. The Member States, the supervisory authorities, the Board and the Commission shall

encourage, in particular at Union level, the establishment of data protection certification mechanisms and of data protection seals and marks, for the purpose of demonstrating compliance with this Regulation of processing operations by controllers and processors. The specific needs of micro, small and medium-sized enterprises shall be taken into account.

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2. In addition to adherence by controllers or processors subject to this Regulation, data protection certification mechanisms, seals or marks approved pursuant to paragraph 5 of this Article may be established for the purpose of demonstrating the existence of appropriate safeguards provided by controllers or processors that are not subject to this Regulation pursuant to Article 3 within the framework of personal data transfers to third countries or international organisations under the terms referred to in point (f) of Article 46(2). Such controllers or processors shall make binding and enforceable commitments, via contractual or other legally binding instruments, to apply those appropriate safeguards, including with regard to the rights of data subjects.

3. The certification shall be voluntary and available via a process that is transparent. 4. A certification pursuant to this Article does not reduce the responsibility of the controller or

the processor for compliance with this Regulation and is without prejudice to the tasks and powers of the supervisory authorities which are competent pursuant to Article 55 or 56.

5. A certification pursuant to this Article shall be issued by the certification bodies referred to in Article 43 or by the competent supervisory authority, on the basis of criteria approved by that competent supervisory authority pursuant to Article 58(3) or by the Board pursuant to Article 63. Where the criteria are approved by the Board, this may result in a common certification, the European Data Protection Seal.

6. The controller or processor which submits its processing to the certification mechanism shall provide the certification body referred to in Article 43, or where applicable, the competent supervisory authority, with all information and access to its processing activities which are necessary to conduct the certification procedure.

7. Certification shall be issued to a controller or processor for a maximum period of three years and may be renewed, under the same conditions, provided that the relevant requirements continue to be met. Certification shall be withdrawn, as applicable, by the certification bodies referred to in Article 43 or by the competent supervisory authority where the requirements for the certification are not or are no longer met.

8. The Board shall collate all certification mechanisms and data protection seals and marks in a register and shall make them publicly available by any appropriate means.

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Article 43 - Certification Bodies 1. Without prejudice to the tasks and powers of the competent supervisory authority under

Articles 57 and 58, certification bodies which have an appropriate level of expertise in relation to data protection shall, after informing the supervisory authority in order to allow it to exercise its powers pursuant to point (h) of Article 58(2) where necessary, issue and renew certification. Member States shall ensure that those certification bodies are accredited by one or both of the following: (a) the supervisory authority which is competent pursuant to Article 55 or 56; (b) the national accreditation body named in accordance with Regulation (EC) No 765/2008 of the European Parliament and of the Council (1) in accordance with EN-ISO/IEC 17065/2012 and with the additional requirements established by the supervisory authority which is competent pursuant to Article 55 or 56.

2. Certification bodies referred to in paragraph 1 shall be accredited in accordance with that paragraph only where they have:

(a) demonstrated their independence and expertise in relation to the subject-matter of the certification to the satisfaction of the competent supervisory authority; (1)Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93 (OJ L 218, 13.8.2008, p. 30). (b) undertaken to respect the criteria referred to in Article 42(5) and approved by the supervisory authority which is competent pursuant to Article 55 or 56 or by the Board pursuant to Article 63; (c) established procedures for the issuing, periodic review and withdrawal of data protection certification, seals and marks; (d) established procedures and structures to handle complaints about infringements of the certification or the manner in which the certification has been, or is being, implemented by the controller or processor, and to make those procedures and structures transparent to data subjects and the public; and (e) demonstrated, to the satisfaction of the competent supervisory authority, that their tasks and duties do not result in a conflict of interests.

3. The accreditation of certification bodies as referred to in paragraphs 1 and 2 of this Article shall take place on the basis of criteria approved by the supervisory authority which is competent pursuant to Article 55 or 56 or by the Board pursuant to Article 63. In the case of accreditation pursuant to point (b) of paragraph 1 of this Article, those requirements shall complement those envisaged in Regulation (EC) No 765/2008 and the technical rules that describe the methods and procedures of the certification bodies.

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4. The certification bodies referred to in paragraph 1 shall be responsible for the proper assessment leading to the certification or the withdrawal of such certification without prejudice to the responsibility of the controller or processor for compliance with this Regulation. The accreditation shall be issued for a maximum period of five years and may be renewed on the same conditions provided that the certification body meets the requirements set out in this Article.

5. The certification bodies referred to in paragraph 1 shall provide the competent supervisory authorities with the reasons for granting or withdrawing the requested certification.

6. The requirements referred to in paragraph 3 of this Article and the criteria referred to in Article 42(5) shall be made public by the supervisory authority in an easily accessible form. The supervisory authorities shall also transmit those requirements and criteria to the Board. The Board shall collate all certification mechanisms and data protection seals in a register and shall make them publicly available by any appropriate means.

7. Without prejudice to Chapter VIII, the competent supervisory authority or the national accreditation body shall revoke an accreditation of a certification body pursuant to paragraph 1 of this Article where the conditions for the accreditation are not, or are no longer, met or where actions taken by a certification body infringe this Regulation.

8. The Commission shall be empowered to adopt delegated acts in accordance with Article 92 for the purpose of specifying the requirements to be taken into account for the data protection certification mechanisms referred to in Article 42(1).

9. The Commission may adopt implementing acts laying down technical standards for certification mechanisms and data protection seals and marks, and mechanisms to promote and recognise those certification mechanisms, seals and marks. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 93(2).

Article 44 - General Principle for Transfers

Any transfer of personal data which are undergoing processing or are intended for processing after transfer to a third country or to an international organisation shall take place only if, subject to the other provisions of this Regulation, the conditions laid down in this Chapter are complied with by the controller and processor, including for onward transfers of personal data from the third country or an international organisation to another third country or to another international organisation. All provisions in this Chapter shall be applied in order to ensure that the level of protection of natural persons guaranteed by this Regulation is not undermined.

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Article 45 - Transfers on the Basis of an Adequacy Decision 1. A transfer of personal data to a third country or an international organisation may take place

where the Commission has decided that the third country, a territory or one or more specified sectors within that third country, or the international organisation in question ensures an adequate level of protection. Such a transfer shall not require any specific authorisation.

2. When assessing the adequacy of the level of protection, the Commission shall, in particular, take account of the following elements:

(a) the rule of law, respect for human rights and fundamental freedoms, relevant legislation, both general and sectoral, including concerning public security, defence, national security and criminal law and the access of public authorities to personal data, as well as the implementation of such legislation, data protection rules, professional rules and security measures, including rules for the onward transfer of personal data to another third country or international organisation which are complied with in that country or international organisation, case-law, as well as effective and enforceable data subject rights and effective administrative and judicial redress for the data subjects whose personal data are being transferred; (b) the existence and effective functioning of one or more independent supervisory authorities in the third country or to which an international organisation is subject, with responsibility for ensuring and enforcing compliance with the data protection rules, including adequate enforcement powers, for assisting and advising the data subjects in exercising their rights and for cooperation with the supervisory authorities of the Member States; and (c) the international commitments the third country or international organisation concerned has entered into, or other obligations arising from legally binding conventions or instruments as well as from its participation in multilateral or regional systems, in particular in relation to the protection of personal data.

3. The Commission, after assessing the adequacy of the level of protection, may decide, by means of implementing act, that a third country, a territory or one or more specified sectors within a third country, or an international organisation ensures an adequate level of protection within the meaning of paragraph 2 of this Article. The implementing act shall provide for a mechanism for a periodic review, at least every four years, which shall take into account all relevant developments in the third country or international organisation. The implementing act shall specify its territorial and sectoral application and, where applicable, identify the supervisory authority or authorities referred to in point (b) of paragraph 2 of this Article. The implementing act shall be adopted in accordance with the examination procedure referred to in Article 93(2).

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4. The Commission shall, on an ongoing basis, monitor developments in third countries and international organisations that could affect the functioning of decisions adopted pursuant to paragraph 3 of this Article and decisions adopted on the basis of Article 25(6) of Directive 95/46/EC.

5. The Commission shall, where available information reveals, in particular following the review referred to in paragraph 3 of this Article, that a third country, a territory or one or more specified sectors within a third country, or an international organisation no longer ensures an adequate level of protection within the meaning of paragraph 2 of this Article, to the extent necessary, repeal, amend or suspend the decision referred to in paragraph 3 of this Article by means of implementing acts without retro-active effect. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 93(2). On duly justified imperative grounds of urgency, the Commission shall adopt immediately applicable implementing acts in accordance with the procedure referred to in Article 93(3).

6. The Commission shall enter into consultations with the third country or international organisation with a view to remedying the situation giving rise to the decision made pursuant to paragraph 5.

7. A decision pursuant to paragraph 5 of this Article is without prejudice to transfers of personal data to the third country, a territory or one or more specified sectors within that third country, or the international organisation in question pursuant to Articles 46 to 49.

8. The Commission shall publish in the Official Journal of the European Union and on its website a list of the third countries, territories and specified sectors within a third country and international organisations for which it has decided that an adequate level of protection is or is no longer ensured.

9. Decisions adopted by the Commission on the basis of Article 25(6) of Directive 95/46/EC shall remain in force until amended, replaced or repealed by a Commission Decision adopted in accordance with paragraph 3 or 5 of this Article.

Article 46 - Transfers Subject to Appropriate Safeguards

1. In the absence of a decision pursuant to Article 45(3), a controller or processor may transfer

personal data to a third country or an international organisation only if the controller or processor has provided appropriate safeguards, and on condition that enforceable data subject rights and effective legal remedies for data subjects are available.

2. The appropriate safeguards referred to in paragraph 1 may be provided for, without requiring any specific authorisation from a supervisory authority, by:

(a) a legally binding and enforceable instrument between public authorities or bodies; (b) binding corporate rules in accordance with Article 47; (c) standard data protection clauses adopted by the Commission in accordance with the examination procedure referred to in Article 93(2);

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(d) standard data protection clauses adopted by a supervisory authority and approved by the Commission pursuant to the examination procedure referred to in Article 93(2); (e) an approved code of conduct pursuant to Article 40 together with binding and enforceable commitments of the controller or processor in the third country to apply the appropriate safeguards, including as regards data subjects' rights; or (f) an approved certification mechanism pursuant to Article 42 together with binding and enforceable commitments of the controller or processor in the third country to apply the appropriate safeguards, including as regards data subjects' rights.

3. Subject to the authorisation from the competent supervisory authority, the appropriate safeguards referred to in paragraph 1 may also be provided for, in particular, by: (a) contractual clauses between the controller or processor and the controller, processor or the recipient of the personal data in the third country or international organisation; or (b) provisions to be inserted into administrative arrangements between public authorities or bodies which include enforceable and effective data subject rights.

4. The supervisory authority shall apply the consistency mechanism referred to in Article 63 in the cases referred to in paragraph 3 of this Article.

5. Authorisations by a Member State or supervisory authority on the basis of Article 26(2) of Directive 95/46/EC shall remain valid until amended, replaced or repealed, if necessary, by that supervisory authority. Decisions adopted by the Commission on the basis of Article 26(4) of Directive 95/46/EC shall remain in force until amended, replaced or repealed, if necessary, by a Commission Decision adopted in accordance with paragraph 2 of this Article.

Article 47 - Binding Corporate Rules

1. The competent supervisory authority shall approve binding corporate rules in accordance with

the consistency mechanism set out in Article 63, provided that they: (a) are legally binding and apply to and are enforced by every member concerned of the group of undertakings, or group of enterprises engaged in a joint economic activity, including their employees; (b) expressly confer enforceable rights on data subjects with regard to the processing of their personal data; and (c) fulfil the requirements laid down in paragraph 2.

2. The binding corporate rules referred to in paragraph 1 shall specify at least: (a) the structure and contact details of the group of undertakings, or group of enterprises engaged in a joint economic activity and of each of its members; (b) the data transfers or set of transfers, including the categories of personal data, the type of processing and its purposes, the type of data subjects affected and the identification of the third country or countries in question; (c) their legally binding nature, both internally and externally;

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(d) the application of the general data protection principles, in particular purpose limitation, data minimisation, limited storage periods, data quality, data protection by design and by default, legal basis for processing, processing of special categories of personal data, measures to ensure data security, and the requirements in respect of onward transfers to bodies not bound by the binding corporate rules; (e) the rights of data subjects in regard to processing and the means to exercise those rights, including the right not to be subject to decisions based solely on automated processing, including profiling in accordance with Article 22, the right to lodge a complaint with the competent supervisory authority and before the competent courts of the Member States in accordance with Article 79, and to obtain redress and, where appropriate, compensation for a breach of the binding corporate rules; (f) the acceptance by the controller or processor established on the territory of a Member State of liability for any breaches of the binding corporate rules by any member concerned not established in the Union; the controller or the processor shall be exempt from that liability, in whole or in part, only if it proves that that member is not responsible for the event giving rise to the damage; (g) how the information on the binding corporate rules, in particular on the provisions referred to in points (d), (e) and (f) of this paragraph is provided to the data subjects in addition to Articles 13 and 14; (h) the tasks of any data protection officer designated in accordance with Article 37 or any other person or entity in charge of the monitoring compliance with the binding corporate rules within the group of undertakings, or group of enterprises engaged in a joint economic activity, as well as monitoring training and complaint-handling; (i) the complaint procedures; (j) the mechanisms within the group of undertakings, or group of enterprises engaged in a joint economic activity for ensuring the verification of compliance with the binding corporate rules. Such mechanisms shall include data protection audits and methods for ensuring corrective actions to protect the rights of the data subject. Results of such verification should be communicated to the person or entity referred to in point (h) and to the board of the controlling undertaking of a group of undertakings, or of the group of enterprises engaged in a joint economic activity, and should be available upon request to the competent supervisory authority; (k) the mechanisms for reporting and recording changes to the rules and reporting those changes to the supervisory authority; (l) the cooperation mechanism with the supervisory authority to ensure compliance by any member of the group of undertakings, or group of enterprises engaged in a joint economic activity, in particular by making available to the supervisory authority the results of verifications of the measures referred to in point (j);

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(m) the mechanisms for reporting to the competent supervisory authority any legal requirements to which a member of the group of undertakings, or group of enterprises engaged in a joint economic activity is subject in a third country which are likely to have a substantial adverse effect on the guarantees provided by the binding corporate rules; and (n) the appropriate data protection training to personnel having permanent or regular access to personal data.

3. The Commission may specify the format and procedures for the exchange of information between controllers, processors and supervisory authorities for binding corporate rules within the meaning of this Article. Those implementing acts shall be adopted in accordance with the examination procedure set out in Article 93(2).

Article 48 - Transfers or Disclosures Not Authorised by Union Law Any judgment of a court or tribunal and any decision of an administrative authority of a third country requiring a controller or processor to transfer or disclose personal data may only be recognised or enforceable in any manner if based on an international agreement, such as a mutual legal assistance treaty, in force between the requesting third country and the Union or a Member State, without prejudice to other grounds for transfer pursuant to this Chapter.

Article 49 - Derogations for Specific Situations 1. In the absence of an adequacy decision pursuant to Article 45(3), or of appropriate safeguards

pursuant to Article 46, including binding corporate rules, a transfer or a set of transfers of personal data to a third country or an international organisation shall take place only on one of the following conditions:

(a) the data subject has explicitly consented to the proposed transfer, after having been informed of the possible risks of such transfers for the data subject due to the absence of an adequacy decision and appropriate safeguards; (b) the transfer is necessary for the performance of a contract between the data subject and the controller or the implementation of pre-contractual measures taken at the data subject's request; (c) the transfer is necessary for the conclusion or performance of a contract concluded in the interest of the data subject between the controller and another natural or legal person; (d) the transfer is necessary for important reasons of public interest; (e) the transfer is necessary for the establishment, exercise or defence of legal claims; (f) the transfer is necessary in order to protect the vital interests of the data subject or of other persons, where the data subject is physically or legally incapable of giving consent;

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(g) the transfer is made from a register which according to Union or Member State law is intended to provide information to the public and which is open to consultation either by the public in general or by any person who can demonstrate a legitimate interest, but only to the extent that the conditions laid down by Union or Member State law for consultation are fulfilled in the particular case. Where a transfer could not be based on a provision in Article 45 or 46, including the provisions on binding corporate rules, and none of the derogations for a specific situation referred to in the first subparagraph of this paragraph is applicable, a transfer to a third country or an international organisation may take place only if the transfer is not repetitive, concerns only a limited number of data subjects, is necessary for the purposes of compelling legitimate interests pursued by the controller which are not overridden by the interests or rights and freedoms of the data subject, and the controller has assessed all the circumstances surrounding the data transfer and has on the basis of that assessment provided suitable safeguards with regard to the protection of personal data. The controller shall inform the supervisory authority of the transfer. The controller shall, in addition to providing the information referred to in Articles 13 and 14, inform the data subject of the transfer and on the compelling legitimate interests pursued.

2. A transfer pursuant to point (g) of the first subparagraph of paragraph 1 shall not involve the entirety of the personal data or entire categories of the personal data contained in the register. Where the register is intended for consultation by persons having a legitimate interest, the transfer shall be made only at the request of those persons or if they are to be the recipients.

3. Points (a), (b) and (c) of the first subparagraph of paragraph 1 and the second subparagraph thereof shall not apply to activities carried out by public authorities in the exercise of their public powers.

4. The public interest referred to in point (d) of the first subparagraph of paragraph 1 shall be recognised in Union law or in the law of the Member State to which the controller is subject.

5. In the absence of an adequacy decision, Union or Member State law may, for important reasons of public interest, expressly set limits to the transfer of specific categories of personal data to a third country or an international organisation. Member States shall notify such provisions to the Commission.

6. The controller or processor shall document the assessment as well as the suitable safeguards referred to in the second subparagraph of paragraph 1 of this Article in the records referred to in Article 30.

Article 50 - International Cooperation for the Protection of Personal Data

In relation to third countries and international organisations, the Commission and supervisory authorities shall take appropriate steps to:

(a) develop international cooperation mechanisms to facilitate the effective enforcement of legislation for the protection of personal data;

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(b) provide international mutual assistance in the enforcement of legislation for the protection of personal data, including through notification, complaint referral, investigative assistance and information exchange, subject to appropriate safeguards for the protection of personal data and other fundamental rights and freedoms; (c) engage relevant stakeholders in discussion and activities aimed at furthering international cooperation in the enforcement of legislation for the protection of personal data; (d) promote the exchange and documentation of personal data protection legislation and practice, including on jurisdictional conflicts with third countries.

Independent status

Article 51 - Supervisory Authority 1. Each Member State shall provide for one or more independent public authorities to be

responsible for monitoring the application of this Regulation, in order to protect the fundamental rights and freedoms of natural persons in relation to processing and to facilitate the free flow of personal data within the Union (‘supervisory authority’).

2. Each supervisory authority shall contribute to the consistent application of this Regulation throughout the Union. For that purpose, the supervisory authorities shall cooperate with each other and the Commission in accordance with Chapter VII.

3. Where more than one supervisory authority is established in a Member State, that Member State shall designate the supervisory authority which is to represent those authorities in the Board and shall set out the mechanism to ensure compliance by the other authorities with the rules relating to the consistency mechanism referred to in Article 63.

4. Each Member State shall notify to the Commission the provisions of its law which it adopts pursuant to this Chapter, by 25 May 2018 and, without delay, any subsequent amendment affecting them.

Article 52 - Independence 1. Each supervisory authority shall act with complete independence in performing its tasks and

exercising its powers in accordance with this Regulation. 2. The member or members of each supervisory authority shall, in the performance of their tasks

and exercise of their powers in accordance with this Regulation, remain free from external influence, whether direct or indirect, and shall neither seek nor take instructions from anybody.

3. Member or members of each supervisory authority shall refrain from any action incompatible with their duties and shall not, during their term of office, engage in any incompatible occupation, whether gainful or not.

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4. Each Member State shall ensure that each supervisory authority is provided with the human, technical and financial resources, premises and infrastructure necessary for the effective performance of its tasks and exercise of its powers, including those to be carried out in the context of mutual assistance, cooperation and participation in the Board.

5. Each Member State shall ensure that each supervisory authority chooses and has its own staff which shall be subject to the exclusive direction of the member or members of the supervisory authority concerned.

6. Each Member State shall ensure that each supervisory authority is subject to financial control which does not affect its independence and that it has separate, public annual budgets, which may be part of the overall state or national budget.

Article 53 - General Conditions for the Members of the Supervisory Authority 1. Member States shall provide for each member of their supervisory authorities to be appointed

by means of a transparent procedure by: — their parliament; — their government; — their head of State; or — an independent body entrusted with the appointment under Member State law.

2. Each member shall have the qualifications, experience and skills, in particular in the area of the protection of personal data, required to perform its duties and exercise its powers.

3. The duties of a member shall end in the event of the expiry of the term of office, resignation or compulsory retirement, in accordance with the law of the Member State concerned.

4. A member shall be dismissed only in cases of serious misconduct or if the member no longer fulfils the conditions required for the performance of the duties.

Article 54 - Rules on the Establishment of the Supervisory Authority

1. Each Member State shall provide by law for all of the following:

(a) the establishment of each supervisory authority; (b) the qualifications and eligibility conditions required to be appointed as member of each supervisory authority; (c) the rules and procedures for the appointment of the member or members of each supervisory authority; (d) the duration of the term of the member or members of each supervisory authority of no less than four years, except for the first appointment after 24 May 2016, part of which may take place for a shorter period where that is necessary to protect the independence of the supervisory authority by means of a staggered appointment procedure; (e) whether and, if so, for how many terms the member or members of each supervisory authority is eligible for reappointment;

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(f) the conditions governing the obligations of the member or members and staff of each supervisory authority, prohibitions on actions, occupations and benefits incompatible therewith during and after the term of office and rules governing the cessation of employment.

2. The member or members and the staff of each supervisory authority shall, in accordance with Union or Member State law, be subject to a duty of professional secrecy both during and after their term of office, with regard to any confidential information which has come to their knowledge in the course of the performance of their tasks or exercise of their powers. During their term of office, that duty of professional secrecy shall in particular apply to reporting by natural persons of infringements of this Regulation.

Article 55 - Competence

1. Each supervisory authority shall be competent for the performance of the tasks assigned to

and the exercise of the powers conferred on it in accordance with this Regulation on the territory of its own Member State.

2. Where processing is carried out by public authorities or private bodies acting on the basis of point (c) or (e) of Article 6(1), the supervisory authority of the Member State concerned shall be competent. In such cases Article 56 does not apply.

3. Supervisory authorities shall not be competent to supervise processing operations of courts acting in their judicial capacity.

Article 56 - Competence of the Lead Supervisory Authority

1. Without prejudice to Article 55, the supervisory authority of the main establishment or of the

single establishment of the controller or processor shall be competent to act as lead supervisory authority for the cross-border processing carried out by that controller or processor in accordance with the procedure provided in Article 60.

2. By derogation from paragraph 1, each supervisory authority shall be competent to handle a complaint lodged with it or a possible infringement of this Regulation, if the subject matter relates only to an establishment in its Member State or substantially affects data subjects only in its Member State.

3. In the cases referred to in paragraph 2 of this Article, the supervisory authority shall inform the lead supervisory authority without delay on that matter. Within a period of three weeks after being informed the lead supervisory authority shall decide whether or not it will handle the case in accordance with the procedure provided in Article 60, taking into account whether or not there is an establishment of the controller or processor in the Member State of which the supervisory authority informed it.

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4. Where the lead supervisory authority decides to handle the case, the procedure provided in Article 60 shall apply. The supervisory authority which informed the lead supervisory authority may submit to the lead supervisory authority a draft for a decision. The lead supervisory authority shall take utmost account of that draft when preparing the draft decision referred to in Article 60(3).

5. Where the lead supervisory authority decides not to handle the case, the supervisory authority which informed the lead supervisory authority shall handle it according to Articles 61 and 62.

6. The lead supervisory authority shall be the sole interlocutor of the controller or processor for the cross-border processing carried out by that controller or processor.

Article 57 - Tasks

1. Without prejudice to other tasks set out under this Regulation, each supervisory authority shall

on its territory: (a) monitor and enforce the application of this Regulation; (b) promote public awareness and understanding of the risks, rules, safeguards and rights in relation to processing. Activities addressed specifically to children shall receive specific attention; (c) advise, in accordance with Member State law, the national parliament, the government, and other institutions and bodies on legislative and administrative measures relating to the protection of natural persons' rights and freedoms with regard to processing; (d) promote the awareness of controllers and processors of their obligations under this Regulation; (e) upon request, provide information to any data subject concerning the exercise of their rights under this Regulation and, if appropriate, cooperate with the supervisory authorities in other Member States to that end; (f) handle complaints lodged by a data subject, or by a body, organisation or association in accordance with Article 80, and investigate, to the extent appropriate, the subject matter of the complaint and inform the complainant of the progress and the outcome of the investigation within a reasonable period, in particular if further investigation or coordination with another supervisory authority is necessary; (g) cooperate with, including sharing information and provide mutual assistance to, other supervisory authorities with a view to ensuring the consistency of application and enforcement of this Regulation; (h) conduct investigations on the application of this Regulation, including on the basis of information received from another supervisory authority or other public authority; (i) monitor relevant developments, insofar as they have an impact on the protection of personal data, in particular the development of information and communication technologies and commercial practices;

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(j) adopt standard contractual clauses referred to in Article 28(8) and in point (d) of Article 46(2); (k) establish and maintain a list in relation to the requirement for data protection impact assessment pursuant to Article 35(4); (l) give advice on the processing operations referred to in Article 36(2); (m) encourage the drawing up of codes of conduct pursuant to Article 40(1) and provide an opinion and approve such codes of conduct which provide sufficient safeguards, pursuant to Article 40(5); (n) encourage the establishment of data protection certification mechanisms and of data protection seals and marks pursuant to Article 42(1), and approve the criteria of certification pursuant to Article 42(5); (o) where applicable, carry out a periodic review of certifications issued in accordance with Article 42(7); (p) draft and publish the criteria for accreditation of a body for monitoring codes of conduct pursuant to Article 41 and of a certification body pursuant to Article 43; (q) conduct the accreditation of a body for monitoring codes of conduct pursuant to Article 41 and of a certification body pursuant to Article 43; (r) authorise contractual clauses and provisions referred to in Article 46(3); (s) approve binding corporate rules pursuant to Article 47; (t) contribute to the activities of the Board; (u) keep internal records of infringements of this Regulation and of measures taken in accordance with Article 58(2); and (v) fulfil any other tasks related to the protection of personal data.

2. Each supervisory authority shall facilitate the submission of complaints referred to in point (f) of paragraph 1 by measures such as a complaint submission form which can also be completed electronically, without excluding other means of communication.

3. The performance of the tasks of each supervisory authority shall be free of charge for the data subject and, where applicable, for the data protection officer.

4. Where requests are manifestly unfounded or excessive, in particular because of their repetitive character, the supervisory authority may charge a reasonable fee based on administrative costs, or refuse to act on the request. The supervisory authority shall bear the burden of demonstrating the manifestly unfounded or excessive character of the request.

Article 58 - Powers

1. Each supervisory authority shall have all of the following investigative powers:

(a) to order the controller and the processor, and, where applicable, the controller's or the processor's representative to provide any information it requires for the performance of its tasks; (b) to carry out investigations in the form of data protection audits; (c) to carry out a review on certifications issued pursuant to Article 42(7);

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(d) to notify the controller or the processor of an alleged infringement of this Regulation; (e) to obtain, from the controller and the processor, access to all personal data and to all information necessary for the performance of its tasks; (f) to obtain access to any premises of the controller and the processor, including to any data processing equipment and means, in accordance with Union or Member State procedural law.

2. Each supervisory authority shall have all of the following corrective powers: (a) to issue warnings to a controller or processor that intended processing operations are likely to infringe provisions of this Regulation; (b) to issue reprimands to a controller or a processor where processing operations have infringed provisions of this Regulation; (c) to order the controller or the processor to comply with the data subject's requests to exercise his or her rights pursuant to this Regulation; (d) to order the controller or processor to bring processing operations into compliance with the provisions of this Regulation, where appropriate, in a specified manner and within a specified period; (e) to order the controller to communicate a personal data breach to the data subject; (f) to impose a temporary or definitive limitation including a ban on processing; (g) to order the rectification or erasure of personal data or restriction of processing pursuant to Articles 16, 17 and 18 and the notification of such actions to recipients to whom the personal data have been disclosed pursuant to Article 17(2) and Article 19; (h) to withdraw a certification or to order the certification body to withdraw a certification issued pursuant to Articles 42 and 43, or to order the certification body not to issue certification if the requirements for the certification are not or are no longer met; (i) to impose an administrative fine pursuant to Article 83, in addition to, or instead of measures referred to in this paragraph, depending on the circumstances of each individual case; (j) to order the suspension of data flows to a recipient in a third country or to an international organisation.

3. Each supervisory authority shall have all of the following authorisation and advisory powers: (a) to advise the controller in accordance with the prior consultation procedure referred to in Article 36; (b) to issue, on its own initiative or on request, opinions to the national parliament, the Member State government or, in accordance with Member State law, to other institutions and bodies as well as to the public on any issue related to the protection of personal data; (c) to authorise processing referred to in Article 36(5), if the law of the Member State requires such prior authorisation; (d) to issue an opinion and approve draft codes of conduct pursuant to Article 40(5); (e) to accredit certification bodies pursuant to Article 43;

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(f) to issue certifications and approve criteria of certification in accordance with Article 42(5); (g) to adopt standard data protection clauses referred to in Article 28(8) and in point (d) of Article 46(2); (h) to authorise contractual clauses referred to in point (a) of Article 46(3); (i) to authorise administrative arrangements referred to in point (b) of Article 46(3); (j) to approve binding corporate rules pursuant to Article 47.

4. The exercise of the powers conferred on the supervisory authority pursuant to this Article shall be subject to appropriate safeguards, including effective judicial remedy and due process, set out in Union and Member State law in accordance with the Charter.

5. Each Member State shall provide by law that its supervisory authority shall have the power to bring infringements of this Regulation to the attention of the judicial authorities and where appropriate, to commence or engage otherwise in legal proceedings, in order to enforce the provisions of this Regulation.

6. Each Member State may provide by law that its supervisory authority shall have additional powers to those referred to in paragraphs 1, 2 and 3. The exercise of those powers shall not impair the effective operation of Chapter VII.

Article 59 - Activity Reports

Each supervisory authority shall draw up an annual report on its activities, which may include a list of types of infringement notified and types of measures taken in accordance with Article 58(2). Those reports shall be transmitted to the national parliament, the government and other authorities as designated by Member State law. They shall be made available to the public, to the Commission and to the Board.

Cooperation and Consistency

Article 60 - Cooperation Between the Lead Supervisory Authority and the Other Supervisory Authorities Concerned

1. The lead supervisory authority shall cooperate with the other supervisory authorities

concerned in accordance with this Article in an endeavour to reach consensus. The lead supervisory authority and the supervisory authorities concerned shall exchange all relevant information with each other.

2. The lead supervisory authority may request at any time other supervisory authorities concerned to provide mutual assistance pursuant to Article 61 and may conduct joint operations pursuant to Article 62, in particular for carrying out investigations or for monitoring the implementation of a measure concerning a controller or processor established in another Member State.

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3. The lead supervisory authority shall, without delay, communicate the relevant information on the matter to the other supervisory authorities concerned. It shall without delay submit a draft decision to the other supervisory authorities concerned for their opinion and take due account of their views.

4. Where any of the other supervisory authorities concerned within a period of four weeks after having been consulted in accordance with paragraph 3 of this Article, expresses a relevant and reasoned objection to the draft decision, the lead supervisory authority shall, if it does not follow the relevant and reasoned objection or is of the opinion that the objection is not relevant or reasoned, submit the matter to the consistency mechanism referred to in Article 63.

5. Where the lead supervisory authority intends to follow the relevant and reasoned objection made, it shall submit to the other supervisory authorities concerned a revised draft decision for their opinion. That revised draft decision shall be subject to the procedure referred to in paragraph 4 within a period of two weeks.

6. Where none of the other supervisory authorities concerned has objected to the draft decision submitted by the lead supervisory authority within the period referred to in paragraphs 4 and 5, the lead supervisory authority and the supervisory authorities concerned shall be deemed to be in agreement with that draft decision and shall be bound by it.

7. The lead supervisory authority shall adopt and notify the decision to the main establishment or single establishment of the controller or processor, as the case may be and inform the other supervisory authorities concerned and the Board of the decision in question, including a summary of the relevant facts and grounds. The supervisory authority with which a complaint has been lodged shall inform the complainant on the decision.

8. By derogation from paragraph 7, where a complaint is dismissed or rejected, the supervisory authority with which the complaint was lodged shall adopt the decision and notify it to the complainant and shall inform the controller thereof.

9. Where the lead supervisory authority and the supervisory authorities concerned agree to dismiss or reject parts of a complaint and to act on other parts of that complaint, a separate decision shall be adopted for each of those parts of the matter. The lead supervisory authority shall adopt the decision for the part concerning actions in relation to the controller, shall notify it to the main establishment or single establishment of the controller or processor on the territory of its Member State and shall inform the complainant thereof, while the supervisory authority of the complainant shall adopt the decision for the part concerning dismissal or rejection of that complaint, and shall notify it to that complainant and shall inform the controller or processor thereof. 1

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10. After being notified of the decision of the lead supervisory authority pursuant to paragraphs 7 and 9, the controller or processor shall take the necessary measures to ensure compliance with the decision as regards processing activities in the context of all its establishments in the Union. The controller or processor shall notify the measures taken for complying with the decision to the lead supervisory authority, which shall inform the other supervisory authorities concerned.

11. Where, in exceptional circumstances, a supervisory authority concerned has reasons to consider that there is an urgent need to act in order to protect the interests of data subjects, the urgency procedure referred to in Article 66 shall apply.

12. The lead supervisory authority and the other supervisory authorities concerned shall supply the information required under this Article to each other by electronic means, using a standardised format.

Article 61 - Mutual Assistance 1. Supervisory authorities shall provide each other with relevant information and mutual

assistance in order to implement and apply this Regulation in a consistent manner, and shall put in place measures for effective cooperation with one another. Mutual assistance shall cover, in particular, information requests and supervisory measures, such as requests to carry out prior authorisations and consultations, inspections and investigations.

2. Each supervisory authority shall take all appropriate measures required to reply to a request of another supervisory authority without undue delay and no later than one month after receiving the request. Such measures may include, in particular, the transmission of relevant information on the conduct of an investigation.

3. Requests for assistance shall contain all the necessary information, including the purpose of and reasons for the request. Information exchanged shall be used only for the purpose for which it was requested.

4. The requested supervisory authority shall not refuse to comply with the request unless: (a) it is not competent for the subject-matter of the request or for the measures it is requested to execute; or (b) compliance with the request would infringe this Regulation or Union or Member State law to which the supervisory authority receiving the request is subject.

5. The requested supervisory authority shall inform the requesting supervisory authority of the results or, as the case may be, of the progress of the measures taken in order to respond to the request. The requested supervisory authority shall provide reasons for any refusal to comply with a request pursuant to paragraph 4.

6. Requested supervisory authorities shall, as a rule, supply the information requested by other supervisory authorities by electronic means, using a standardised format.

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7. Requested supervisory authorities shall not charge a fee for any action taken by them pursuant to a request for mutual assistance. Supervisory authorities may agree on rules to indemnify each other for specific expenditure arising from the provision of mutual assistance in exceptional circumstances.

8. Where a supervisory authority does not provide the information referred to in paragraph 5 of this Article within one month of receiving the request of another supervisory authority, the requesting supervisory authority may adopt a provisional measure on the territory of its Member State in accordance with Article 55(1). In that case, the urgent need to act under Article 66(1) shall be presumed to be met and require an urgent binding decision from the Board pursuant to Article 66(2).

9. The Commission may, by means of implementing acts, specify the format and procedures for mutual assistance referred to in this Article and the arrangements for the exchange of information by electronic means between supervisory authorities, and between supervisory authorities and the Board, in particular the standardised format referred to in paragraph 6 of this Article. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 93(2).

Article 62 - Joint Operations of Supervisory Authorities

1. The supervisory authorities shall, where appropriate, conduct joint operations including joint

investigations and joint enforcement measures in which members or staff of the supervisory authorities of other Member States are involved.

2. Where the controller or processor has establishments in several Member States or where a significant number of data subjects in more than one Member State are likely to be substantially affected by processing operations, a supervisory authority of each of those Member States shall have the right to participate in joint operations. The supervisory authority which is competent pursuant to Article 56(1) or (4) shall invite the supervisory authority of each of those Member States to take part in the joint operations and shall respond without delay to the request of a supervisory authority to participate.

3. A supervisory authority may, in accordance with Member State law, and with the seconding supervisory authority's authorisation, confer powers, including investigative powers on the seconding supervisory authority's members or staff involved in joint operations or, in so far as the law of the Member State of the host supervisory authority permits, allow the seconding supervisory authority's members or staff to exercise their investigative powers in accordance with the law of the Member State of the seconding supervisory authority. Such investigative powers may be exercised only under the guidance and in the presence of members or staff of the host supervisory authority. The seconding supervisory authority's members or staff shall be subject to the Member State law of the host supervisory authority.

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4. Where, in accordance with paragraph 1, staff of a seconding supervisory authority operate in another Member State, the Member State of the host supervisory authority shall assume responsibility for their actions, including liability, for any damage caused by them during their operations, in accordance with the law of the Member State in whose territory they are operating.

5. The Member State in whose territory the damage was caused shall make good such damage under the conditions applicable to damage caused by its own staff. The Member State of the seconding supervisory authority whose staff has caused damage to any person in the territory of another Member State shall reimburse that other Member State in full any sums it has paid to the persons entitled on their behalf.

6. Without prejudice to the exercise of its rights vis-à-vis third parties and with the exception of paragraph 5, each Member State shall refrain, in the case provided for in paragraph 1, from requesting reimbursement from another Member State in relation to damage referred to in paragraph 4.

7. Where a joint operation is intended and a supervisory authority does not, within one month, comply with the obligation laid down in the second sentence of paragraph 2 of this Article, the other supervisory authorities may adopt a provisional measure on the territory of its Member State in accordance with Article 55. In that case, the urgent need to act under Article 66(1) shall be presumed to be met and require an opinion or an urgent binding decision from the Board pursuant to Article 66(2).

Consistency

Article 63 - Consistency Mechanism In order to contribute to the consistent application of this Regulation throughout the Union, the supervisory authorities shall cooperate with each other and, where relevant, with the Commission, through the consistency mechanism as set out in this Section.

Article 64 - Opinion of the Board 1. The Board shall issue an opinion where a competent supervisory authority intends to adopt

any of the measures below. To that end, the competent supervisory authority shall communicate the draft decision to the Board, when it:

(a) aims to adopt a list of the processing operations subject to the requirement for a data protection impact assessment pursuant to Article 35(4); (b) concerns a matter pursuant to Article 40(7) whether a draft code of conduct or an amendment or extension to a code of conduct complies with this Regulation; (c) aims to approve the criteria for accreditation of a body pursuant to Article 41(3) or a certification body pursuant to Article 43(3);

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(d) aims to determine standard data protection clauses referred to in point (d) of Article 46(2) and in Article 28(8); (e) aims to authorise contractual clauses referred to in point (a) of Article 46(3); or (f) aims to approve binding corporate rules within the meaning of Article 47.

2. Any supervisory authority, the Chair of the Board or the Commission may request that any matter of general application or producing effects in more than one Member State be examined by the Board with a view to obtaining an opinion, in particular where a competent supervisory authority does not comply with the obligations for mutual assistance in accordance with Article 61 or for joint operations in accordance with Article 62.

3. In the cases referred to in paragraphs 1 and 2, the Board shall issue an opinion on the matter submitted to it provided that it has not already issued an opinion on the same matter. That opinion shall be adopted within eight weeks by simple majority of the members of the Board. That period may be extended by a further six weeks, taking into account the complexity of the subject matter. Regarding the draft decision referred to in paragraph 1 circulated to the members of the Board in accordance with paragraph 5, a member which has not objected within a reasonable period indicated by the Chair, shall be deemed to be in agreement with the draft decision.

4. Supervisory authorities and the Commission shall, without undue delay, communicate by electronic means to the Board, using a standardised format any relevant information, including as the case may be a summary of the facts, the draft decision, the grounds which make the enactment of such measure necessary, and the views of other supervisory authorities concerned.

5. The Chair of the Board shall, without undue, delay inform by electronic means: (a) the members of the Board and the Commission of any relevant information which has been communicated to it using a standardised format. The secretariat of the Board shall, where necessary, provide translations of relevant information; and (b) the supervisory authority referred to, as the case may be, in paragraphs 1 and 2, and the Commission of the opinion and make it public.

6. The competent supervisory authority shall not adopt its draft decision referred to in paragraph 1 within the period referred to in paragraph 3.

7. The supervisory authority referred to in paragraph 1 shall take utmost account of the opinion of the Board and shall, within two weeks after receiving the opinion, communicate to the Chair of the Board by electronic means whether it will maintain or amend its draft decision and, if any, the amended draft decision, using a standardised format.

8. Where the supervisory authority concerned informs the Chair of the Board within the period referred to in paragraph 7 of this Article that it does not intend to follow the opinion of the Board, in whole or in part, providing the relevant grounds, Article 65(1) shall apply.

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Article 65 - Dispute Resolution by the Board 1. In order to ensure the correct and consistent application of this Regulation in individual cases,

the Board shall adopt a binding decision in the following cases: (a) where, in a case referred to in Article 60(4), a supervisory authority concerned has

raised a relevant and reasoned objection to a draft decision of the lead authority or the lead authority has rejected such an objection as being not relevant or reasoned. The binding decision shall concern all the matters which are the subject of the relevant and reasoned objection, in particular whether there is an infringement of this Regulation;

(b) where there are conflicting views on which of the supervisory authorities concerned is competent for the main establishment;

(c) where a competent supervisory authority does not request the opinion of the Board in the cases referred to in Article 64(1), or does not follow the opinion of the Board issued under Article 64. In that case, any supervisory authority concerned or the Commission may communicate the matter to the Board.

2. The decision referred to in paragraph 1 shall be adopted within one month from the referral of the subject-matter by a two-thirds majority of the members of the Board. That period may be extended by a further month on account of the complexity of the subject-matter. The decision referred to in paragraph 1 shall be reasoned and addressed to the lead supervisory authority and all the supervisory authorities concerned and binding on them.

3. Where the Board has been unable to adopt a decision within the periods referred to in paragraph 2, it shall adopt its decision within two weeks following the expiration of the second month referred to in paragraph 2 by a simple majority of the members of the Board. Where the members of the Board are split, the decision shall by adopted by the vote of its Chair.

4. The supervisory authorities concerned shall not adopt a decision on the subject matter submitted to the Board under paragraph 1 during the periods referred to in paragraphs 2 and 3.

5. The Chair of the Board shall notify, without undue delay, the decision referred to in paragraph 1 to the supervisory authorities concerned. It shall inform the Commission thereof. The decision shall be published on the website of the Board without delay after the supervisory authority has notified the final decision referred to in paragraph 6. The lead supervisory authority or, as the case may be, the supervisory authority with which the complaint has been lodged shall adopt its final decision on the basis of the decision referred to in paragraph 1 of this Article, without undue delay and at the latest by one month after the Board has notified its decision. The lead supervisory authority or, as the case may be, the supervisory authority with which the complaint has been lodged, shall inform the Board of the date when its final decision is notified respectively to the controller or the processor and to the data subject. The final decision of the supervisory authorities concerned shall be adopted under the terms of Article 60(7), (8) and (9). The final decision shall refer to the decision referred to in paragraph 1 of this Article and shall specify that the decision referred to in that paragraph will be published

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on the website of the Board in accordance with paragraph 5 of this Article. The final decision shall attach the decision referred to in paragraph 1 of this Article.

Article 66 - Urgency Procedure

1. In exceptional circumstances, where a supervisory authority concerned considers that there is

an urgent need to act in order to protect the rights and freedoms of data subjects, it may, by way of derogation from the consistency mechanism referred to in Articles 63, 64 and 65 or the procedure referred to in Article 60, immediately adopt provisional measures intended to produce legal effects on its own territory with a specified period of validity which shall not exceed three months. The supervisory authority shall, without delay, communicate those measures and the reasons for adopting them to the other supervisory authorities concerned, to the Board and to the Commission.

2. Where a supervisory authority has taken a measure pursuant to paragraph 1 and considers that final measures need urgently be adopted, it may request an urgent opinion or an urgent binding decision from the Board, giving reasons for requesting such opinion or decision.

3. Any supervisory authority may request an urgent opinion or an urgent binding decision, as the case may be, from the Board where a competent supervisory authority has not taken an appropriate measure in a situation where there is an urgent need to act, in order to protect the rights and freedoms of data subjects, giving reasons for requesting such opinion or decision, including for the urgent need to act. 4.By derogation from Article 64(3) and Article 65(2), an urgent opinion or an urgent binding decision referred to in paragraphs 2 and 3 of this Article shall be adopted within two weeks by simple majority of the members of the Board.

Article 67 - Exchange of Information The Commission may adopt implementing acts of general scope in order to specify the arrangements for the exchange of information by electronic means between supervisory authorities, and between supervisory authorities and the Board, in particular the standardised format referred to in Article 64. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 93(2).

European Data Protection Board

Article 68 - European Data Protection Board 1. The European Data Protection Board (the ‘Board’) is hereby established as a body of the Union

and shall have legal personality. 2. The Board shall be represented by its Chair.

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3. The Board shall be composed of the head of one supervisory authority of each Member State and of the European Data Protection Supervisor, or their respective representatives.

4. Where in a Member State more than one supervisory authority is responsible for monitoring the application of the provisions pursuant to this Regulation, a joint representative shall be appointed in accordance with that Member State's law.

5. The Commission shall have the right to participate in the activities and meetings of the Board without voting right. The Commission shall designate a representative. The Chair of the Board shall communicate to the Commission the activities of the Board.

6. In the cases referred to in Article 65, the European Data Protection Supervisor shall have voting rights only on decisions which concern principles and rules applicable to the Union institutions, bodies, offices and agencies which correspond in substance to those of this Regulation.

Article 69 - Independence 1. The Board shall act independently when performing its tasks or exercising its powers pursuant

to Articles 70 and 71. 2. Without prejudice to requests by the Commission referred to in point (b) of Article 70(1) and in

Article 70(2), the Board shall, in the performance of its tasks or the exercise of its powers, neither seek nor take instructions from anybody.

Article 70 - Tasks of the Board 1. The Board shall ensure the consistent application of this Regulation. To that end, the Board

shall, on its own initiative or, where relevant, at the request of the Commission, in particular: (a) monitor and ensure the correct application of this Regulation in the cases provided for in Articles 64 and 65 without prejudice to the tasks of national supervisory authorities; (b) advise the Commission on any issue related to the protection of personal data in the Union, including on any proposed amendment of this Regulation; (c) advise the Commission on the format and procedures for the exchange of information between controllers, processors and supervisory authorities for binding corporate rules; (d) issue guidelines, recommendations, and best practices on procedures for erasing links, copies or replications of personal data from publicly available communication services as referred to in Article 17(2); (e) examine, on its own initiative, on request of one of its members or on request of the Commission, any question covering the application of this Regulation and issue guidelines, recommendations and best practices in order to encourage consistent application of this Regulation; (f) issue guidelines, recommendations and best practices in accordance with point (e) of this paragraph for further specifying the criteria and conditions for decisions based on profiling pursuant to Article 22(2);

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(g) issue guidelines, recommendations and best practices in accordance with point (e) of this paragraph for establishing the personal data breaches and determining the undue delay referred to in Article 33(1) and (2) and for the particular circumstances in which a controller or a processor is required to notify the personal data breach; (h) issue guidelines, recommendations and best practices in accordance with point (e) of this paragraph as to the circumstances in which a personal data breach is likely to result in a high risk to the rights and freedoms of the natural persons referred to in Article 34(1). (i) issue guidelines, recommendations and best practices in accordance with point (e) of this paragraph for the purpose of further specifying the criteria and requirements for personal data transfers based on binding corporate rules adhered to by controllers and binding corporate rules adhered to by processors and on further necessary requirements to ensure the protection of personal data of the data subjects concerned referred to in Article 47; (j) issue guidelines, recommendations and best practices in accordance with point (e) of this paragraph for the purpose of further specifying the criteria and requirements for the personal data transfers on the basis of Article 49(1); (k) draw up guidelines for supervisory authorities concerning the application of measures referred to in Article 58(1), (2) and (3) and the setting of administrative fines pursuant to Article 83; (l) review the practical application of the guidelines, recommendations and best practices referred to in points (e) and (f); (m) issue guidelines, recommendations and best practices in accordance with point (e) of this paragraph for establishing common procedures for reporting by natural persons of infringements of this Regulation pursuant to Article 54(2); (n) encourage the drawing-up of codes of conduct and the establishment of data protection certification mechanisms and data protection seals and marks pursuant to Articles 40 and 42; (o) carry out the accreditation of certification bodies and its periodic review pursuant to Article 43 and maintain a public register of accredited bodies pursuant to Article 43(6) and of the accredited controllers or processors established in third countries pursuant to Article 42(7); (p) specify the requirements referred to in Article 43(3) with a view to the accreditation of certification bodies under Article 42; (q) provide the Commission with an opinion on the certification requirements referred to in Article 43(8); (r) provide the Commission with an opinion on the icons referred to in Article 12(7);

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(s) provide the Commission with an opinion for the assessment of the adequacy of the level of protection in a third country or international organisation, including for the assessment whether a third country, a territory or one or more specified sectors within that third country, or an international organisation no longer ensures an adequate level of protection. To that end, the Commission shall provide the Board with all necessary documentation, including correspondence with the government of the third country, with regard to that third country, territory or specified sector, or with the international organisation. (t) issue opinions on draft decisions of supervisory authorities pursuant to the consistency mechanism referred to in Article 64(1), on matters submitted pursuant to Article 64(2) and to issue binding decisions pursuant to Article 65, including in cases referred to in Article 66; (u) promote the cooperation and the effective bilateral and multilateral exchange of information and best practices between the supervisory authorities; (v) promote common training programmes and facilitate personnel exchanges between the supervisory authorities and, where appropriate, with the supervisory authorities of third countries or with international organisations; (w) promote the exchange of knowledge and documentation on data protection legislation and practice with data protection supervisory authorities worldwide. (x) issue opinions on codes of conduct drawn up at Union level pursuant to Article 40(9); and (y) maintain a publicly accessible electronic register of decisions taken by supervisory authorities and courts on issues handled in the consistency mechanism.

2. Where the Commission requests advice from the Board, it may indicate a time limit, taking into account the urgency of the matter.

3. The Board shall forward its opinions, guidelines, recommendations, and best practices to the Commission and to the committee referred to in Article 93 and make them public.

4. The Board shall, where appropriate, consult interested parties and give them the opportunity to comment within a reasonable period. The Board shall, without prejudice to Article 76, make the results of the consultation procedure publicly available.

Article 71 - Reports

1. The Board shall draw up an annual report regarding the protection of natural persons with

regard to processing in the Union and, where relevant, in third countries and international organisations. The report shall be made public and be transmitted to the European Parliament, to the Council and to the Commission.

2. The annual report shall include a review of the practical application of the guidelines, recommendations and best practices referred to in point (l) of Article 70(1) as well as of the binding decisions referred to in Article 65.

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Article 72 - Procedure 1. The Board shall take decisions by a simple majority of its members, unless otherwise provided

for in this Regulation. 2. The Board shall adopt its own rules of procedure by a two-thirds majority of its members and

organise its own operational arrangements.

Article 73 - Chair The Board shall elect a chair and two deputy chairs from amongst its members by simple majority. 2.The term of office of the Chair and of the deputy chairs shall be five years and be renewable once.

Article 74 - Tasks of the Chair 1. The Chair shall have the following tasks:

(a) to convene the meetings of the Board and prepare its agenda; (b) to notify decisions adopted by the Board pursuant to Article 65 to the lead supervisory authority and the supervisory authorities concerned; (c) to ensure the timely performance of the tasks of the Board, in particular in relation to the consistency mechanism referred to in Article 63.

2. The Board shall lay down the allocation of tasks between the Chair and the deputy chairs in its rules of procedure.

Article 75 Secretariat 1. The Board shall have a secretariat, which shall be provided by the European Data Protection

Supervisor. 2. The secretariat shall perform its tasks exclusively under the instructions of the Chair of the

Board. 3. The staff of the European Data Protection Supervisor involved in carrying out the tasks

conferred on the Board by this Regulation shall be subject to separate reporting lines from the staff involved in carrying out tasks conferred on the European Data Protection Supervisor.

4. Where appropriate, the Board and the European Data Protection Supervisor shall establish and publish a Memorandum of Understanding implementing this Article, determining the terms of their cooperation, and applicable to the staff of the European Data Protection Supervisor involved in carrying out the tasks conferred on the Board by this Regulation.

5. The secretariat shall provide analytical, administrative and logistical support to the Board. 6.The secretariat shall be responsible in particular for:

(a) the day-to-day business of the Board; (b) communication between the members of the Board, its Chair and the Commission; (c) communication with other institutions and the public;

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(d) the use of electronic means for the internal and external communication; (e) the translation of relevant information; (f) the preparation and follow-up of the meetings of the Board; (g) the preparation, drafting and publication of opinions, decisions on the settlement of disputes between supervisory authorities and other texts adopted by the Board.

Article 76 - Confidentiality

1. The discussions of the Board shall be confidential where the Board deems it necessary, as

provided for in its rules of procedure. 2. Access to documents submitted to members of the Board, experts and representatives of third

parties shall be governed by Regulation (EC) No 1049/2001 of the European Parliament and of the Council (1).

Remedies, Liability and Penalties

Article 77 - Right to Lodge a Complaint with a Supervisory Authority 1. Without prejudice to any other administrative or judicial remedy, every data subject shall have

the right to lodge a complaint with a supervisory authority, in particular in the Member State of his or her habitual residence, place of work or place of the alleged infringement if the data subject considers that the processing of personal data relating to him or her infringes this Regulation.

2. The supervisory authority with which the complaint has been lodged shall inform the complainant on the progress and the outcome of the complaint including the possibility of a judicial remedy pursuant to Article 78.

Article 78 - Right to an Effective Judicial Remedy Against a Supervisory Authority

1. Without prejudice to any other administrative or non-judicial remedy, each natural or legal

person shall have the right to an effective judicial remedy against a legally binding decision of a supervisory authority concerning them.

2. Without prejudice to any other administrative or non-judicial remedy, each data subject shall have the right to an effective judicial remedy where the supervisory authority which is competent pursuant to Articles 55 and 56 does not handle a complaint or does not inform the data subject within three months on the progress or outcome of the complaint lodged pursuant to Article 77.

3. Proceedings against a supervisory authority shall be brought before the courts of the Member State where the supervisory authority is established.

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4. Where proceedings are brought against a decision of a supervisory authority which was preceded by an opinion or a decision of the Board in the consistency mechanism, the supervisory authority shall forward that opinion or decision to the court.

Article 79 - Right to an Effective Judicial Remedy Against a Controller or Processor

1. Without prejudice to any available administrative or non-judicial remedy, including the right to

lodge a complaint with a supervisory authority pursuant to Article 77, each data subject shall have the right to an effective judicial remedy where he or she considers that his or her rights under this Regulation have been infringed as a result of the processing of his or her personal data in non-compliance with this Regulation.

2. Proceedings against a controller or a processor shall be brought before the courts of the Member State where the controller or processor has an establishment. Alternatively, such proceedings may be brought before the courts of the Member State where the data subject has his or her habitual residence, unless the controller or processor is a public authority of a Member State acting in the exercise of its public powers. (1)Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (OJ L 145, 31.5.2001, p. 43).

Article 80 - Representation of Data Subjects

1. The data subject shall have the right to mandate a not-for-profit body, organisation or

association which has been properly constituted in accordance with the law of a Member State, has statutory objectives which are in the public interest, and is active in the field of the protection of data subjects' rights and freedoms with regard to the protection of their personal data to lodge the complaint on his or her behalf, to exercise the rights referred to in Articles 77, 78 and 79 on his or her behalf, and to exercise the right to receive compensation referred to in Article 82 on his or her behalf where provided for by Member State law.

2. Member States may provide that any body, organisation or association referred to in paragraph 1 of this Article, independently of a data subject's mandate, has the right to lodge, in that Member State, a complaint with the supervisory authority which is competent pursuant to Article 77 and to exercise the rights referred to in Articles 78 and 79 if it considers that the rights of a data subject under this Regulation have been infringed as a result of the processing.

Article 81 - Suspension of Proceedings

1. Where a competent court of a Member State has information on proceedings, concerning the

same subject matter as regards processing by the same controller or processor, that are pending in a court in another Member State, it shall contact that court in the other Member State to confirm the existence of such proceedings.

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2. Where proceedings concerning the same subject matter as regards processing of the same controller or processor are pending in a court in another Member State, any competent court other than the court first seized may suspend its proceedings.

3. Where those proceedings are pending at first instance, any court other than the court first seized may also, on the application of one of the parties, decline jurisdiction if the court first seized has jurisdiction over the actions in question and its law permits the consolidation thereof.

Article 82 - Right to Compensation and Liability 1. Any person who has suffered material or non-material damage as a result of an infringement

of this Regulation shall have the right to receive compensation from the controller or processor for the damage suffered.

2. Any controller involved in processing shall be liable for the damage caused by processing which infringes this Regulation. A processor shall be liable for the damage caused by processing only where it has not complied with obligations of this Regulation specifically directed to processors or where it has acted outside or contrary to lawful instructions of the controller.

3. A controller or processor shall be exempt from liability under paragraph 2 if it proves that it is not in any way responsible for the event giving rise to the damage.

4. Where more than one controller or processor, or both a controller and a processor, are involved in the same processing and where they are, under paragraphs 2 and 3, responsible for any damage caused by processing, each controller or processor shall be held liable for the entire damage in order to ensure effective compensation of the data subject.

5. Where a controller or processor has, in accordance with paragraph 4, paid full compensation for the damage suffered, that controller or processor shall be entitled to claim back from the other controllers or processors involved in the same processing that part of the compensation corresponding to their part of responsibility for the damage, in accordance with the conditions set out in paragraph 2.

6. Court proceedings for exercising the right to receive compensation shall be brought before the courts competent under the law of the Member State referred to in Article 79(2).

Article 83 - General Conditions for Imposing Administrative Fines

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. 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) 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; (b) the intentional or negligent character of the infringement; (c) any action taken by the controller or processor to mitigate the damage suffered by data subjects; (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; (e) any relevant previous infringements by the controller or processor; (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) the categories of personal data affected by the infringement; (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) 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; (j) adherence to approved codes of conduct pursuant to Article 40 or approved certification mechanisms pursuant to Article 42; and (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. 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. 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:

(a) the obligations of the controller and the processor pursuant to Articles 8, 11, 25 to 39 and 42 and 43; (b) the obligations of the certification body pursuant to Articles 42 and 43; (c) the obligations of the monitoring body pursuant to Article 41(4).

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:

(a) the basic principles for processing, including conditions for consent, pursuant to Articles 5, 6, 7 and 9; (b) the data subjects' rights pursuant to Articles 12 to 22;

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(c) the transfers of personal data to a recipient in a third country or an international organisation pursuant to Articles 44 to 49; (d) any obligations pursuant to Member State law adopted under Chapter IX; (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).

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.

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.

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. 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.

Article 84 - Penalties

1. Member States shall lay down the rules on other penalties applicable to infringements of this

Regulation in particular for infringements which are not subject to administrative fines pursuant to Article 83, and shall take all measures necessary to ensure that they are implemented. Such penalties shall be effective, proportionate and dissuasive.

2. Each Member State shall notify to the Commission the provisions of its law which it adopts pursuant to paragraph 1, by 25 May 2018 and, without delay, any subsequent amendment affecting them.

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Provisions Relating to Specific Processing Situations

Article 85 - Processing and Freedom of Expression and Information 1. Member States shall by law reconcile the right to the protection of personal data pursuant to

this Regulation with the right to freedom of expression and information, including processing for journalistic purposes and the purposes of academic, artistic or literary expression.

2. For processing carried out for journalistic purposes or the purpose of academic artistic or literary expression, Member States shall provide for exemptions or derogations from Chapter II (principles), Chapter III (rights of the data subject), Chapter IV (controller and processor), Chapter V (transfer of personal data to third countries or international organisations), Chapter VI (independent supervisory authorities), Chapter VII (cooperation and consistency) and Chapter IX (specific data processing situations) if they are necessary to reconcile the right to the protection of personal data with the freedom of expression and information.

3. Each Member State shall notify to the Commission the provisions of its law which it has adopted pursuant to paragraph 2 and, without delay, any subsequent amendment law or amendment affecting them.

Article 86 - Processing and Public Access to Official Documents

Personal data in official documents held by a public authority or a public body or a private body for the performance of a task carried out in the public interest may be disclosed by the authority or body in accordance with Union or Member State law to which the public authority or body is subject in order to reconcile public access to official documents with the right to the protection of personal data pursuant to this Regulation.

Article 87 - Processing of the National Identification Number Member States may further determine the specific conditions for the processing of a national identification number or any other identifier of general application. In that case the national identification number or any other identifier of general application shall be used only under appropriate safeguards for the rights and freedoms of the data subject pursuant to this Regulation.

Article 88 - Processing in the Context of Employment 1. Member States may, by law or by collective agreements, provide for more specific rules to

ensure the protection of the rights and freedoms in respect of the processing of employees' personal data in the employment context, in particular for the purposes of the recruitment, the performance of the contract of employment, including discharge of obligations laid down by law or by collective agreements, management, planning and organisation of work, equality

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and diversity in the workplace, health and safety at work, protection of employer's or customer's property and for the purposes of the exercise and enjoyment, on an individual or collective basis, of rights and benefits related to employment, and for the purpose of the termination of the employment relationship.

2. Those rules shall include suitable and specific measures to safeguard the data subject's human dignity, legitimate interests and fundamental rights, with particular regard to the transparency of processing, the transfer of personal data within a group of undertakings, or a group of enterprises engaged in a joint economic activity and monitoring systems at the work place.

3. Each Member State shall notify to the Commission those provisions of its law which it adopts pursuant to paragraph 1, by 25 May 2018 and, without delay, any subsequent amendment affecting them.

Article 89 - Safeguards and Derogations Relating to Processing for Archiving Purposes in the

Public Interest, Scientific or Historical Research Purposes or Statistical Purposes 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.

2. Where personal data are processed for scientific or historical research purposes or statistical purposes, Union or Member State law may provide for derogations from the rights referred to in Articles 15, 16, 18 and 21 subject to the conditions and safeguards referred to in paragraph 1 of this Article in so far as such rights are likely to render impossible or seriously impair the achievement of the specific purposes, and such derogations are necessary for the fulfilment of those purposes.

3. Where personal data are processed for archiving purposes in the public interest, Union or Member State law may provide for derogations from the rights referred to in Articles 15, 16, 18, 19, 20 and 21 subject to the conditions and safeguards referred to in paragraph 1 of this Article in so far as such rights are likely to render impossible or seriously impair the achievement of the specific purposes, and such derogations are necessary for the fulfilment of those purposes.

4. Where processing referred to in paragraphs 2 and 3 serves at the same time another purpose, the derogations shall apply only to processing for the purposes referred to in those paragraphs.

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Article 90 - Obligations of Secrecy 1. Member States may adopt specific rules to set out the powers of the supervisory authorities

laid down in points (e) and (f) of Article 58(1) in relation to controllers or processors that are subject, under Union or Member State law or rules established by national competent bodies, to an obligation of professional secrecy or other equivalent obligations of secrecy where this is necessary and proportionate to reconcile the right of the protection of personal data with the obligation of secrecy. Those rules shall apply only with regard to personal data which the controller or processor has received as a result of or has obtained in an activity covered by that obligation of secrecy.

2. Each Member State shall notify to the Commission the rules adopted pursuant to paragraph 1, by 25 May 2018 and, without delay, any subsequent amendment affecting them.

Article 91 - Existing Data Protection Rules of Churches and Religious Associations

1. Where in a Member State, churches and religious associations or communities apply, at the

time of entry into force of this Regulation, comprehensive rules relating to the protection of natural persons with regard to processing, such rules may continue to apply, provided that they are brought into line with this Regulation.

2. Churches and religious associations which apply comprehensive rules in accordance with paragraph 1 of this Article shall be subject to the supervision of an independent supervisory authority, which may be specific, provided that it fulfils the conditions laid down in Chapter VI of this Regulation.

Delegated Acts and Implementing Acts

Article 92 - Exercise of the Delegation 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions

laid down in this Article. 2. The delegation of power referred to in Article 12(8) and Article 43(8) shall be conferred on the

Commission for an indeterminate period of time from 24 May 2016. 3. The delegation of power referred to in Article 12(8) and Article 43(8) may be revoked at any

time by the European Parliament or by the Council. A decision of revocation shall put an end to the delegation of power specified in that decision. It shall take effect the day following that of its publication in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

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5. A delegated act adopted pursuant to Article 12(8) and Article 43(8) shall enter into force only if no objection has been expressed by either the European Parliament or the Council within a period of three months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by three months at the initiative of the European Parliament or of the Council.

Article 93 - Committee Procedure

1. The Commission shall be assisted by a committee. That committee shall be a committee within

the meaning of Regulation (EU) No 182/2011. 2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall

apply. 3. Where reference is made to this paragraph, Article 8 of Regulation (EU) No 182/2011, in

conjunction with Article 5 thereof, shall apply.

Final provisions

Article 94 - Repeal of Directive 95/46/EC Directive 95/46/EC is repealed with effect from 25 May 2018. 2.References to the repealed Directive shall be construed as references to this Regulation. References to the Working Party on the Protection of Individuals with regard to the Processing of Personal Data established by Article 29 of Directive 95/46/EC shall be construed as references to the European Data Protection Board established by this Regulation.

Article 95 - Relationship with Directive 2002/58/EC This Regulation shall not impose additional obligations on natural or legal persons in relation to processing in connection with the provision of publicly available electronic communications services in public communication networks in the Union in relation to matters for which they are subject to specific obligations with the same objective set out in Directive 2002/58/EC.

Article 96 - Relationship with Previously Concluded Agreements International agreements involving the transfer of personal data to third countries or international organisations which were concluded by Member States prior to 24 May 2016, and which comply with Union law as applicable prior to that date, shall remain in force until amended, replaced or revoked.

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Article 97 - Commission Reports 1. By 25 May 2020 and every four years thereafter, the Commission shall submit a report on the

evaluation and review of this Regulation to the European Parliament and to the Council. The reports shall be made public.

2. In the context of the evaluations and reviews referred to in paragraph 1, the Commission shall examine, in particular, the application and functioning of:

(a) Chapter V on the transfer of personal data to third countries or international organisations with particular regard to decisions adopted pursuant to Article 45(3) of this Regulation and decisions adopted on the basis of Article 25(6) of Directive 95/46/EC; (b) Chapter VII on cooperation and consistency.

3. For the purpose of paragraph 1, the Commission may request information from Member States and supervisory authorities.

4. In carrying out the evaluations and reviews referred to in paragraphs 1 and 2, the Commission shall take into account the positions and findings of the European Parliament, of the Council, and of other relevant bodies or sources.

5. The Commission shall, if necessary, submit appropriate proposals to amend this Regulation, in particular taking into account of developments in information technology and in the light of the state of progress in the information society.

Article 98 - Review of Other Union Legal Acts on Data Protection

The Commission shall, if appropriate, submit legislative proposals with a view to amending other Union legal acts on the protection of personal data, in order to ensure uniform and consistent protection of natural persons with regard to processing. This shall in particular concern the rules relating to the protection of natural persons with regard to processing by Union institutions, bodies, offices and agencies and on the free movement of such data.

Article 99 - Entry into Force and Application 1. This Regulation shall enter into force on the twentieth day following that of its publication in

the Official Journal of the European Union. 2. It shall apply from 25 May 2018.

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RIGHTS OF SUBJECT ACCESS

Upon making a request in writing, (which includes transmission by electronic means), decide whether the image captured is an identifiable image of an individual or information relating to individuals for any of the following purposes. ▪ Seeing what an individual is doing, for example monitoring them in a shop or walking down the

street ▪ Potentially taking some action in relation to an individual, foe example handing the images

over to the police to investigate crime. ▪ Using the images of an individual in some way that will affect their privacy, for example

passing images to a TV company. If it has an individual is entitled: ▪ To be told by the data controller whether they or someone else on their behalf is processing

that individual’s personal data.

▪ If so, to be given a description of:

a) the personal data,

b) the purposes for which they are being processed, and

c) those to whom they are or may be disclosed.

▪ To be told, in an intelligible manner, of:

a) all the information, which forms any such personal data. This information must be supplied in permanent form by way of a copy, except where the supply of such a copy is not possible or would involve disproportionate effort or the individual agrees otherwise. If any of the information in the copy is not intelligible without explanation, the individual should be given an explanation of that information, e.g. where the data controller holds the information in coded form which cannot be understood without the key to the code, and

b) any information as to the source of those data. However, in some instances the data controller is not obliged to disclose such information where the source of the data is, or can be identified as, an individual.

A data controller must comply with a subject access request promptly, and in any event within a month of receipt of the request or, if later, within a month of receipt of:

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▪ the information required (i.e. to satisfy himself as to the identity of the person making the request, (e.g. photograph and birth certificate) and to locate the information which that person seeks).

However, unless the data controller has received a request in writing, if necessary, the said information the data controller need not comply with the request. A data controller does not need to comply with a request where they have already complied with an identical or similar request by the same individual unless a reasonable interval has elapsed between compliance with the previous request and the making of the current request. In deciding what amounts to a reasonable interval, the following factors should be considered: the nature of the data, the purpose for which the data are processed and the frequency with which the data are altered.

The information given in response to a subject access request should be all that which is contained in the personal data at the time the request was received. However, routine amendments and deletions of the data may continue between the date of the request and the date of the reply. To this extent, the information revealed to the individual may differ from the personal data which were held at the time the request was received, even to the extent that data are no longer held. But, having received a request, the data controller must not make any special amendment or deletion which would not otherwise have been made. The information must not be tampered with in order to make it acceptable to the individual.

A particular problem arises for data controllers who may find that in complying with a subject access request they will disclose information relating to an individual other than the individual who has made the request, who can be identified from that information, including the situation where the information enables that other individual to be identified as the source of the information. If images of third parties are also shown with the images of the person who has made the access request, you must consider whether you need to obscure the images of third parties. If providing these images would involve an unfair intrusion into the privacy of the third party, or cause unwarranted harm or distress, then they should be obscured. In many cases, images can be disclosed as there will not be such intrusion.

Where a decision is made that third parties should not be identifiable, then you will need to make arrangements to disguise or blur the images in question. It may be necessary to contract this work out to another organisation. Where this occurs, you will need to have a written contract with the processor which specifies exactly how the information is to be used and provides you with explicit security guarantees.

If a data controller is satisfied that the individual will not be able to identify the other individual from the information, taking into account any other information which, in the reasonable belief of the data controller, is likely to be in (or to come into) the possession of the individual, then the data controller must provide the information.

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If an individual believes that a data controller has failed to comply with a subject access request in contravention of the Act they may apply to Court for an order that the data controller complies with the request. An order may be made if the Court is satisfied that the data controller has failed to comply with the request in contravention of the Act.

Note: In addition to the principles contained within the Data Protection legislation, the data controller should be satisfied that the data is: a) Not currently and as far as can be reasonably ascertained, not likely to become, part of a ‘live’

criminal investigation; b) Not currently and, as far as reasonably ascertained, not likely to become, relevant to civil

proceedings c) Not the subject of a complaint or dispute which has not been actioned d) The original data and that the audit trail has been maintained e) Not removed or copied without proper authority f) For individual disclosure only ( i.e. to be disclosed to a named subject)

1. Exemptions to subject access rights

There are a limited number of exemptions to an individual’s right of access. One of potential relevance to CCTV images is found at Section 29 of the Act. This provides an exemption from the subject access rights, which is similar to that discussed in relation to the exemption to the fairness requirements of the First Data Protection Principle. This means that where personal data are held for the purposes of: - ▪ prevention or detection of crime, ▪ apprehension or prosecution of offenders, the data controller will be entitled to withhold personal data from an individual making a subject access request, where it has been adjudged that to disclose the personal data would be likely to prejudice one or both of the above purposes. Like the exemption to the fairness requirements, this judgement must be made on a case-by-case basis, and in relation to each element of the personal data held about the individual. It is likely that this exemption may only be appropriately relied upon where the data controller has recorded personal data about an individual in accordance with guidance set out in relation to the fairness requirements.

2. Other rights

Right to Prevent Processing Likely to Cause Damage or Distress

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Under GDPR, an individual is entitled to serve a notice on a data controller requiring the data controller not to begin, or to cease, processing personal data relating to that individual. Such a notice could only be served on the grounds that the processing in question is likely to cause substantial, unwarranted damage or distress to that individual or another person. There are certain limited situations where this right to serve a notice does not apply. These are where the individual has consented; the processing is in connection with performance of a contract with the data subject, or in compliance with a legal obligation on the data controller, or in order to protect the vital interests of the individual. If a data controller receives such a notice they must respond indicating either compliance with the notice or why the notice is not justified. Rights in Relation to Automated Decision-Taking Under GDPR individuals also have certain rights to prevent automated decision taking where a decision, which significantly affects them is based solely on automated processing. The GDPR draws particular attention to decisions taken aimed at evaluating matters such as the individual’s performance at work and their reliability or conduct. The GDPR does provide exemption for certain decisions reached by automated means and these cover decisions which have been taken in the course of contractual arrangements with the individual, where a decision is authorised or required by statute, where the decision is to grant a request of the individual or where steps have been taken to safeguard the legitimate interests of individuals. This latter point may include matters such as allowing them to make representations about a decision before it is implemented. Where no notice has been served by an individual and a decision which significantly affects the individual based solely on automated processing will be made, then there is still an obligation on the data controller to notify the individual that the decision was taken on the basis of automated processing as soon as reasonably practicable. The individual may request the data controller to reconsider the decision or take another decision on a new basis. Having received such a notice the data controller must respond, specifying the steps that they intend to take to comply with the notice. In the context of CCTV surveillance it may be the case that certain automated decision-making techniques are deployed, such as with automatic facial recognition. It is important therefore that any system takes account of an individual’s rights in relation to automated decision taking. It should be noted that these rights are founded on decisions, which are taken solely on the basis of automated processing. If a decision whether to take particular action in relation to a particular identified individual is taken further to human intervention, then such a decision would not be based solely on automated processing.

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The individual’s rights to prevent processing in certain circumstances and in connection with automated decision taking are underpinned by an individual’s right to seek a Court Order should any notice served by the individual not be complied with. Further guidance in the publication ‘How can I stop them processing my personal information?’ and ‘Preventing decisions based on automated processing of personal information’ available from the Information Commissioners website www.ico.gov.uk Compensation for Failure to Comply with Certain Requirements Under GDPR, individuals who suffer unwarranted damage or damage and distress as a result of any contravention of the requirements of the Act are entitled to go to court to seek compensation in certain circumstances. This right to claim compensation for a breach of GDPR is in addition to an individual’s right to request the Data Protection Commissioner to make an assessment as to whether processing is likely or unlikely to comply with GDPR.

http://www.ico.gov.uk/

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Appendix D HUMAN RIGHTS 1998

There are sixteen basic rights in the Human Rights Act, all taken from European Convention on Human Rights. They don’t only affect matters of life and death, like freed from torture and killing. They also affect individual’s rights in everyday life. Whilst some of the articles may influence the use of CCTV, it is Article Eight that provides the most impact. Article 8 -The right to respect for private and family life, home and correspondence. This article is very broad and has wide ranging implications. Public authorities may only interfere with someone’s private life where they have legal authority to do so, the interference is necessary in a democratic society for one of the aims stated in the article and is proportionate to that aim. The article will affect matters as diverse as the introduction and management of CCTV systems and workplace monitoring decisions. The Formulation of Rights The convention rights are formulated in three broad ways: some are absolute some are limited and some are qualified. Absolute rights include the right to protection from torture, inhuman and degrading treatment and punishment (Article 3), the prohibition on slavery and enforced labour (Article 4), and protection from retrospective criminal penalties (Article 7). Other rights, such as the right to liberty (Article 5), are limited under explicit and finite circumstances, defined in the Convention itself, which provide exceptions to the general right. Qualified rights include the right to respect for private and family life (Article 8). Where the CCTV system will be operated by or on behalf of a public authority, the authority will also need to consider the human rights issues and in particular the implications of the European Convention on Human Rights, Article 8 (the right to respect for private and family life). This will include:

▪ Is the proposed system established on a proper legal basis and operated in accordance with the law?

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▪ Is it necessary to address a pressing need, such as public safety, crime prevention or national security?

▪ Is it justified in the circumstances? ▪ Is it proportionate to the problem that it is designed to deal with?

If this is not the case then it would not be appropriate to use CCTV. Proportionality This is a crucial concept. Any interference with a Convention right must be proportionate to the intended objective. This means that even if a particular policy action which interferes with a Convention right is aimed at pursuing a legitimate aim (for example the prevention of crime) this will not justify the interference if the means used to achieve the aim are excessive in the circumstances. Any interference with a Convention right should be carefully designed to meet the objective in question and must not be arbitrary or unfair. You must not use a 'sledgehammer to crack a nut'. Even taking all these considerations into account, in a particular case interference may still not be justified because the impact on the individual or group is to severe. To comply with this a Privacy Impact statement will be completed for each new camera installed and included within this document will be the required justification. Legality CCTV operators must be fully aware and signed up to the systems Code of Practice and Procedures, including matters relating to the Human Rights Act 1998, the Data Protection Act / General Data Protection Regulation, the Regulation of Investigatory Powers Act 2000 the Police and Criminal Evidence Act 1984 and the Criminal Procedures and Investigations Act 1996. All police actions must be supported by legislation or stated cases. CCTV operators will receive training on relevant legislation as required. Accountability It must be clear that the monitoring is being carried out for appropriate reasons and are governed by publicly available Codes of Practice and Procedures. All actions must be open to scrutiny and fully recorded/documented. Any alternative options must also be considered and recorded, in logs. There must be indications as to what factors influenced a decision, including the reasons for not taking action. Appropriate documentation will be available to the public on request.

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Necessity/Compulsion Is public space surveillance by CCTV necessary at all, or are there other methods to increase community safety and prevent and detect crime. Is there a likelihood of another offence being committed in this surveilled location? All surveillance carried out must be ‘necessary in a democratic society’. The operator must be able to justify any infringement of rights and be recorded as such. Subsidarity The means of operation of the CCTV system should cause minimum interference with the privacy and the rights of the individual and will be tested and enforced through devolved U.K courts. Always remember the following when using CCTV:

▪ Is the action legal ▪ Is it necessary ▪ Is it proportionate ▪ Is the process accountable

Article 14 - Prohibition of Discrimination The owners, managers and operators of CCTV systems must also be aware of Article 14 which states; The enjoyment of the rights and freedoms set forth in this convention shall secure without discrimination on any grounds such as sex, race, colour, language, religion, political or other opinion, national or social origin, association with a national minority, property, birth or other status. This is where any discriminate use of CCTV may be called into question and as such those charged with the operation of CCTV systems may be asked to justify their actions.

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Appendix E RELEASE OF DATA TO THIRD PARTIES

I Introduction

Arguably CCTV is one of the most powerful tools to be developed during recent years to assist with efforts to combat crime and disorder, whilst enhancing community safety. Equally, it may be regarded by some as the most potent infringement of people’s liberty. If users, owners and managers of such systems are to command the respect and support of the general public, the systems must not only be used with the upmost probity at all times, they must be used in a manner which stands up to scrutiny and are accountable to the very people they are aiming to protect.

II General Policy

Initially every request will be channelled through the System Manager.

III Primary Request to View Data Primary requests to view data generated by the CCTV system are likely to be made by third parties for any one or more of the following purposes:

i) Providing evidence in criminal proceedings (e.g. Police and Criminal Evidence Act 1984,

Criminal Procedures and Investigations Act 1996) ii) Proving evidence in civil proceedings or tribunals iii) The prevention of crime iv) The investigation and detection of crime (may include identification of offenders) v) Identification of witnesses Third parties, which should be required to show adequate grounds for disclosure of data within the above criteria, may include, but are not limited to:

i) Police - See Note (1) ii) Statutory authorities with powers to prosecute, (e.g. Customs and Excise; Trading

Standards etc.) iii) Solicitors - See Note (2) iv) Plaintiffs in civil proceedings - See Note (3) v) Accused persons or defendants in criminal proceedings - See Note (3) vi) Other agencies, (which should be specified in the Code of Practice) according to purpose

and legal status - See Note (4)

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Upon receipt from a third party of a bona fide request for the release of data, the scheme manager should:

i) Not unduly obstruct a third-party investigation to verify the existence of relevant data.

ii) Endure the retention of data which may be relevant to a request, but which may be pending application for, or the issue of, a court order or subpoena, (it may be appropriate to impose a time limit on such retention which should be notified at the time of the request).

In circumstances outlined at note (3) below, (requests by plaintiffs, accused persons or defendants) the owner, (or nominated representative) should:

i) Be satisfied that there is no connection with any existing data held by the police in

connection with the same investigation. ii) Treat all enquiries with strict confidentiality.

Notes (1) The release of data to the police may not be restricted to the civil police but could include,

British Transport Police, Ministry of Defence Police, Military Police etc. (It may be appropriate to put in special arrangements in response to local requirements).

(2) Aside for criminal investigations, data may be of evidential value in respect of civil

proceedings or tribunals. In such cases a solicitor, or authorised representative of the tribunal, should be required to give relevant information in writing prior to a search being granted. In the event of a search resulting in a requirement being made for the release of data, such release will only be facilitated on the instructions of a court order or subpoena. (It may be considered appropriate to make a charge for this service. In all circumstances data will only be released for lawful and proper purposes).

(3) There may be occasions when an enquiry by a plaintiff, an accused person, a defendant or

a defence solicitor falls outside the terms of disclosure or subject access disclosure. An example could be the investigation of an alibi. Such an enquiry may not form part of a prosecution investigation. Defence enquiries could arise in a case where there appeared to be no recorded evidence in a prosecution investigation. In these cases the manager should refer to appropriate legislation e.g. Data Protection Act / General Data Protection Regulation and seek advice from City of Wolverhampton Council's Data Protection Office and/or Legal Services Department.

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(4) The scheme owner has decided that no “other agencies” will be permitted access to data. Should requests be made they are to be referred to the City Council's Data Protection Office and/or Legal Services Department.

IV Secondary Request to view Data

A ‘secondary’ request for access to data may be defined as any request being made which does not fall into the category of a primary request. Secondary requests for access to data will be referred to the CCTV System Manager or nominated deputy, being the nominated representative of the owners.

Such requests will be considered by City of Wolverhampton Council only after clarification of any legislation prevailing at the time, and after receiving advice from City of Wolverhampton Council's Data Protection Office and/or Legal Services department. A charge may be made for this service.

V Media Access

In the event of a request from the media for access to recorded material, the procedures outlined under ‘secondary request’ should be followed.

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Appendix F REGULATION OF INVESTIGATORY POWERS ACT 2000 – GUIDANCE TO CCTV USERS

Introduction The Regulation of Investigatory Powers Act 2000 (hereafter referred to as ‘the Act’) came into force on 2nd October 2000. It places a requirement on public authorities listed in Schedule 1; Part 1 of the act to authorise certain types of covert surveillance during planned investigations. The guidance contained in this Code of Practice serves to explain and highlight the legislation to be considered. A more detailed section will be included in the Procedural Manual to assist users in the application of the requirements Background

General observation forms part of the duties of many law enforcement officers and other public bodies. Police officers will be on patrol at football grounds and other venues monitoring the crowd to maintain public safety and prevent disorder. Officers may also target a crime "hot spot" in order to identify and arrest offenders committing crime at that location. Trading standards or HM Customs & Excise officers might covertly observe and then visit a shop as part of their enforcement function to verify the supply or level of supply of goods or services that may be liable to a restriction or tax. Such observation may involve the use of equipment to merely reinforce normal sensory perception, such as binoculars, or the use of cameras, where this does not involve systematic surveillance of an individual. It forms a part of the everyday functions of law enforcement or other public bodies. This low-level activity will not usually be regulated under the provisions of the 2000 Act.

Neither do the provisions of the Act cover the normal, everyday use of overt CCTV surveillance systems. Members of the public are aware that such systems are in use, for their own protection, and to prevent crime. However, it had not been envisaged how much the Act would impact on specific, targeted use of public/private CCTV systems by ‘relevant Public Authorities’ covered in Schedule 1: Part1 of the Act, when used during their planned investigations.

The consequences of not obtaining an authorisation under this Part may be, where there is an interference by a public authority with Article 8 rights (invasion of privacy), and there is no other source of authority, that the action is unlawful by virtue of section 6 of the Human Rights Act 1998 (Right to fair trial) and the evidence obtained could be excluded in court under Section 78 Police & Criminal Evidence Act 1984.

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The Act is divided into five parts. Part II is the relevant part of the act for CCTV. It creates a system of authorisations for various types of covert surveillance. The types of activity covered are "intrusive surveillance" and "directed surveillance". “Covert surveillance” defined

Observations which are carried out by, or with, the use of a surveillance device. Surveillance will be covert where it is carried out in a manner calculated to ensure that the person or persons subject to the surveillance are unaware that it is, or may be, taking place. Part II - Surveillance types We should clearly differentiate in this guidance between “Intrusive” surveillance which will be a great rarity for CCTV operations and “Directed” surveillance which will the more likely. “Intrusive” surveillance

This is a highly invasive type of covert surveillance, the like of which CCTV equipment and their images alone would not be able to engage in except on the most rare occasion. The act says:

"Intrusive surveillance" is defined as covert surveillance carried out in relation to anything

taking place on residential premises or in any private vehicle. This kind of surveillance may take place by means either of a person or device located inside

residential premises or a private vehicle of the person who is subject to the surveillance, or by means of a device placed outside which consistently provides a product of equivalent quality and detail as a product which would be obtained from a device located inside.

Therefore, it is not intrusive unless the camera capabilities are such that it consistently provides information of the same quality and detail as might be expected to be obtained from a device actually present on the premises or in the vehicle. Our CCTV cameras are deemed incapable of providing this level of detail so as to be considered “intrusive” for the purposes of the act. Current interpretations re sustained gathering of images of persons in a car in a car park dealing in drugs; being able to see clearly inside the car, would not be considered “intrusive” under the act. In particular, the following extract from Section 4 of this code prevents us from carrying out intrusion of premises with cameras. This section puts us in a strong position to resist the use of public cameras in this way by investigators.

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Cameras will not be used to look into private residential property. Where the equipment permits it 'Privacy zones' will be programmed into the system as required in order to ensure that the interior of any private residential property within range of the system is not surveyed by the cameras. If such ‘zones’ cannot be programmed the operators will be specifically trained in privacy issues.

“Directed” surveillance This level of covert surveillance is likely to be engaged more by public/private CCTV users when they are requested by “authorised bodies” (see later) to operate their cameras in a specific way; for a planned purpose or operation; where ‘private information’ is to be gained.

The act says: "Directed surveillance" is defined in subsection (2) as covert surveillance that is undertaken in

relation to a specific investigation or a specific operation…….. which is likely to result in the obtaining of private information about a person (whether or not one specifically identified for the purposes of the investigation or operation); and otherwise than by way of an immediate response to events or circumstances the nature of which is such that it would not be reasonably practicable for an authorisation under this Part to be sought for the carrying out of the surveillance. - (planned),

In this section "private information", in relation to a person, includes any information relating to his private or family life. If a CCTV user is carrying out normal everyday observations by operating a particular camera to gain the best information; albeit it may not be the most obvious camera to use, or the nearest to the incident being observed, that use will not deemed to be “covert” under the terms of the act; it is using modern technology to the advantage of the operator. It will only be where CCTV cameras are to be used in a planned, targeted way to gain private information that the requirements of authorised directed surveillance need to be met. If users are requested to operate their cameras as part of a planned operation where the subject is unaware that targeted surveillance is, or may be, taking place; "private information" is to be gained and it involves systematic surveillance of an individual/s (whether or not the target of the operation) then a RIPA “directed surveillance” authority must be obtained.

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Authorisations: Intrusive surveillance can be only be “authorised” by chief officers within UK police forces and H.M. Customs & Excise and is therefore irrelevant for any other authority or agency. It is an area of RIPA that CCTV users can largely disregard. Those who can authorise covert surveillance for public authorities listed in Sch. 1/Part1, in respect to Directed surveillance are detailed in Article 2 / Part I - Statutory Instrument 2417/2000: The Regulation of Investigatory Powers (Prescription of Offices, Ranks and Positions) Order 2000. E.g.: A Local Authority (within the meaning of section 1 of the Local Government Act 1999). The prescribed office as a minimum level of authority is: Assistant Chief Officer; Officer responsible for the management of an investigation. Police Forces - A police force maintained under section 2 of the Police Act 1996 (police forces in England and Wales). The prescribed level is a Superintendent; for urgent cases an Inspector. The impact for staff in Police control rooms and CCTV monitoring centres, is that there might be cause to monitor for some time, a person or premises using the cameras. In most cases, this will be an immediate response to events or circumstances. In this case, it would not require authorisation unless it were to continue for some time. The RIPA draft Code of Practice suggests some hours rather than minutes. In cases where a pre-planned incident or operation wishes to make use of public/private CCTV for such monitoring, an authority will almost certainly be required from the appropriate person with the authorised agency.

The ‘authority’ must indicate the reasons and should fall within one of the following categories:-

An authorisation is necessary on grounds falling within this subsection if it is necessary-

(a) in the interests of national security;

(b) for the purpose of preventing or detecting crime or of preventing disorder;

(c) in the interests of the economic well-being of the United Kingdom;

(d) in the interests of public safety;

(e) for the purpose of protecting public health;

(f) for the purpose of assessing or collecting any tax, duty, levy or other imposition, contribution or charge payable to a government department; or

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(g) for any purpose (not falling within paragraphs (a) to (f)) which is specified for the purposes of this subsection by an order made by the Secretary of State.

Every RIPA authority must be thought through and the thought process clearly demonstrated and recorded on the application. Necessity and Proportionality must be fully considered; asking the questions: “is it the only way?”, “what else have I considered?”. It should not be a repeat of principles – in order to prevent & detect crime or in the interests of public safety etc. Whenever an authority is issued it must be regularly reviewed as the investigation progresses and it must be cancelled properly upon conclusion. The completion of these stages will be looked at during any inspection process.

In cases where there is doubt as to whether an authorisation is required or not, it may be prudent to obtain the necessary authority verbally and then later in writing using the forms.

Forms should be available at each CCTV monitoring centre and are to be included in the procedural manual and available from the CCTV User Group Website. Policing examples: Insp. Authorisation- urgent request (up to 72hrs) An example of a request requiring an urgent Inspectors authority might be where a car is found in a car park late at night and known to belong to drug dealers. The officers might task CCTV to watch the vehicle over a period of time (no longer response to immediate events) and note who goes to and from the vehicle - sustained surveillance of individual/s gaining private information. Supt Authorisation – non-urgent request Where crime squad officers are acting on intelligence linked to a long term, planned operation and they wish to have a shop premises monitored from the outside over a period of days, which is suspected of dealing in stolen goods. No authorisation required Where officers are on patrol and come across a local drug dealer sitting in the town centre/street. It would not be effective for them to remain in a shop doorway and wish to have the cameras monitor them instead, so as not to divulge the observation taking place. Response to immediate events.

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For access to all relevant information on this Act , including the Schedules and Statutory Instruments referred to in this guidance please visit: www.homeoffice.gov.uk/ripa/ripact.htm

http://www.homeoffice.gov.uk/ripa/ripact.htm

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Appendix G R.I.P.A 2000

APPLICATION FORMS / AUTHORISATION FORMS /CANCELLATION FORMS

Definitions of Part II RIP Act (1) Interpretation of Part II. 48. - (1) In this Part-

"covert human intelligence source" shall be construed in accordance with section 26(8); "directed" and "intrusive", in relation to surveillance, shall be construed in accordance with section 26(2) to (6); "private vehicle" means (subject to subsection (7)(a)) any vehicle which is used primarily for the private purposes of the person who owns it or of a person otherwise having the right to use it; "residential premises" means (subject to subsection (7)(b)) so much of any premises as is for the time being occupied or used by any person, however temporarily, for residential purposes or otherwise as living accommodation (including hotel or prison accommodation that is so occupied or used); "senior authorising officer" means a person who by virtue of subsection (6) of section 32 is a senior authorising officer for the purposes of that section; "surveillance" shall be construed in accordance with subsections (2) to (4); "surveillance device" means any apparatus designed or adapted for use in surveillance.

(2) Subject to subsection (3), in this Part "surveillance" includes- (a) monitoring, observing or listening to persons, their movements, their conversations or their other activities or communications; (b) recording anything monitored, observed or listened to in the course of surveillance; and (c) surveillance by or with the assistance of a surveillance device.

(3) References in this Part to surveillance do not include references to- (a) any conduct of a covert human intelligence source for obtaining or recording (whether or not using a surveillance device) any information which is disclosed in the presence of the source; (b) the use of a covert human intelligence source for so obtaining or recording information; or (c) any such entry on or interference with property or with wireless telegraphy as would be unlawful unless authorised under-

(i) section 5 of the Intelligence Services Act 1994 (warrants for the intelligence services); or (ii) Part III of the Police Act 1997 (powers of the police and of customs officers).

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(4) References in this Part to surveillance include references to the interception of a communication in the course of its transmission by means of a postal service or telecommunication system if, and only if-

(a) the communication is one sent by or intended for a person who has consented to the interception of communications sent by or to him; and (b) there is no interception warrant authorising the interception.

(5) References in this Part to an individual holding an office or position with a public authority include references to any member, official or employee of that authority.

(6) For the purposes of this Part, the activities of a covert human intelligence source, which are to

be taken as activities for the benefit of a particular public authority, include any conduct of his as such a source, which is in response to inducements or requests made by or on behalf of that authority.

(7) In subsection (1)-

(a) the reference to a person having the right to use a vehicle does not, in relation to a motor vehicle, include a reference to a person whose right to use the vehicle derives only from his having paid, or undertaken to pay, for the use of the vehicle and its driver for a particular journey; and (b) the reference to premises occupied or used by any person for residential purposes or otherwise as living accommodation does not include a reference to so much of any premises as constitutes any common area to which he has or is allowed access in connection with his use or occupation of any accommodation.

(8) In this section- "premises" includes any vehicle or moveable structure and any other place whatever, whether or not occupied as land; "vehicle" includes any vessel, aircraft or hovercraft.

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REGULATION OF INVESTIGATORY POWERS ACT 2000

PART II APPLICATION FOR AUTHORITY FOR DIRECTED SURVEILLANCE (PUBLIC AUTHORITY)

Public Authority

(including full address)

Name of Applicant Unit/Branch /Division

Full Address

Contact Details

Operation Name (if

applicable)

Details of application:

1. The level of authority required or recommended (where that is different): - Give office, rank or

position of authorising officer in accordance with the Regulation of Investigatory Powers

(Prescription of Offices, Ranks and Positions) Order 2000/2417

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2. Grounds on which the action is necessary: delete as inapplicable

In the interests of national security;

For the purpose of preventing or detecting crime or of preventing disorder;

In the interests of the economic well-being of the United Kingdom;

In the interests of public safety;

for the purpose of protecting public health;

for the purpose of assessing or collecting any tax, duty, levy or other imposition, contribution or charge payable

to a government department;

3. Explain why the directed surveillance is proportionate to what it seeks to achieve

4. The identities, where known, of those to be subject of the directed surveillance:

Name:

Address:

DOB:

Other information as appropriate:

5. The action to be authorised, including any premises or vehicles involved;

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6. Give an account of the investigation or operation;

7. Explanation of the information which it is desired to obtain as a result of the authorisation:

8. Collateral intrusion:

INDICATE ANY POTENTIAL FOR COLLATERAL INTRUSION ON OTHER PERSONS THAN THOSE

TARGETED: INCLUDE A PLAN TO MINIMISE COLLATERAL INTRUSION

9. Confidential/Religious Material:

INDICATE THE LIKELIHOOD OF ACQUIRING ANY CONFIDENTIAL/RELIGIOUS MATERIAL:

Anticipated Start Date: Time:

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10. Applicant’s Details

Name (print) Tel No:

Grade/Rank Date

Signature

11. Authorising Officer's Comments.

12. Authorising Officer's Recommendation.

I, [insert name], hereby authorise the directed surveillance operation as detailed above. This written

authorisation will cease to have effect at the end of a period of 3 months unless renewed (see separate form for

renewals).

Name (Print) Grade / Rank

Signature Date

13. Confidential Material Authorisation.

Name (Print) Grade /

Rank

Signature Date

From Time: Date:

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14. Urgent Authorisation: Details of why application is urgent.

Name (Print) Grade/

Rank

Signature Date/Time

15. Authorising officers comments. (This must include why the authorising officer or the person entitled

to act in their absence considered the case urgent).

16. Please give the reasons why the person entitled to act in urgent cases considered that it was not

reasonably practicable for the authorisation to be considered by a person otherwise entitled at act.

Name (Print) Grade/

Rank

Signature Date/Time

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POLICE

APPLICATION FOR DIRECTED SURVEILLANCE AUTHORITY

Part II Regulation of Investigatory Powers Act 2000

Applicant Area/Division

Station/Branch Operation Name

Operation

Number TSU Ref

1. Authority required from:

Inspector

(Urgent Written only) Superintendent Written (Confidential Material only)

Chief Officer or Designate

2. Detail why the action is necessary under one or more of the following grounds:

Preventing/detecting crime or preventing disorder

In the interests of national security

In the interests of public safety

For the purpose of protecting public health

Other (Specify) S28(3)(g) RIPA

3. Brief description of investigation, activity to be undertaken and what information is expected

to be obtained.

4. Anticipated Start Date: Time:

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5. Particulars of surveillance subject(s) against whom this application is directed (or description)

Name:

Address:

DOB:

ID code:

NIB No:

Name:

Address:

DOB:

ID code:

NIB No:

Force/NCIS Flagged/Folio No Force/NCIS Flagged/Folio No

Name:

Address:

DOB:

ID code:

NIB No:

Name:

Address:

DOB:

ID code:

NIB No:

Force/NCIS Flagged/Folio No Force/NCIS Flagged/Folio No

6. National Compromise

Database checked

Date: By whom:

7. Explain why the directed surveillance is proportionate to what it seeks to achieve, including

the information sought and an assessment of the likelihood of acquiring confidential material.

8. Collateral intrusion: indicate any potential for collateral intrusion on persons other than

those targeted; include a plan to minimise any collateral intrusion.

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9. Details of why urgency provisions are required (for Inspector’s urgent written only)

10. Applicant

Name (Print) Tel No

Signature/Rank Date

11. Supervisor’s comments.

Name (Print) Tel No

Signature/Rank Date

12. Superintendent’s comments and recommendations (only where Chief Officer authority is

required).

Name (Print) Tel No

Signature/Rank Date

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AUTHORISATION FOR DIRECTED SURVEILLANCE

Part II Regulation of Investigatory Powers Act 2000

Applicant Area/Division

Station/Branch Operation Name

Operation Number TSU Reference

New Renewal Renewal Number

1. Authority required from

Inspector

(Urgent Written only) Superintendent Written Confidential Material

Chief Officer or Designate

2. Authority

In order to ensure that the conduct complies with s28(4) of the Act this authorisation must:

(i) specify the directed surveillance authorised

(ii) describe the circumstances in which the surveillance can be carried out and

(iii) describe the investigation or operation for the purposes of which the surveillance is authorised.

I have considered this application and I am satisfied that the surveillance proposed is

proportionate to what is sought to be achieved. I hereby grant authorisation for:

Name Rank

Signature Time/Date

Authorisation

effective from

(Time/Date)

Effective to

(Time/Date) *

* This must be either 72 hours in urgent/oral cases or three months in written cases. Other time

periods cannot be substituted.

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3. Urgent Cases

In Urgent cases detail why the authorising officer considers the case urgent and/or why the

authorising officer was not available to give the authorisation.

4. Review

Review Required? (Optional) Yes No

To be conducted by

(Name)

On (Time/Date)

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PART II APPLICATION FOR RENEWAL OF DIRECTED SURVEILLANCE

AUTHORITY (please attach the original authorisation)

Public Authority


Applicant Unit/Branch

/Division

Full Address

Contact Details

Operation Name Operation Number*

*Filing Ref

Renewal Number

Details of renewal:

1. Renewal numbers and dates of any previous renewals.

Renewal Number Date

2. Detail the information as listed in the original authorisation as it applies at the time of the renewal.

3. Detail any significant changes to the information in the previous authorisation

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4. Detail why it is necessary to continue with the authorisation.

5. Indicate the content and value to the investigation of the product so far obtained by the surveillance.

6. Give an estimate of the length of time the authorisation will continue to be necessary.

7. Applicant's Details

Name (Print)

Tel No

Grade/Rank

Date

Signature

8. Authorising Officer's Comments.


I, [insert name], hereby authorise the renewal of the directed surveillance operation as detailed above. The

renewal of this authorisation will last for 3 months unless renewed in writing.

Name (Print) Grade / Rank

Signature Date

Renewal From: Time: Date:

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PART II - CANCELLATION OF DIRECTED SURVEILLANCE

Public Authority


Applicant Unit/Branch

/Division

Operation Name Operation Number*

*Filing Ref

Details of cancellation:

1. Explain the reason(s) for the cancellation of the authorisation:

2. Explain the value of surveillance in the operation:

3. Time and Date of when the authorising officer instructed the surveillance to cease.

Date: Time:

4. Authorisation cancelled Date: Time:


I, [insert name], hereby authorise the cancellation of the directed surveillance operation as detailed above.

Name (Print) Grade

Signature Date

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Appendix H CCTV INCIDENT RESPONSE POLICY

C O N FI D E N T I A L

Introduction Where incidents involving criminal activity are observed by operator's it is imperative that any action taken is done so quickly, efficiently, effectively and consistently. To this end, it is vital that the area in which the incident is taking place is reported through to the correct Police communications centre wherever possible. The instructions below for incidents involving criminal activity are issued as a guideline only and where contact cannot be made with the relevant Police communications centre then the incident should be reported without delay using the '999' system. Where any other type of incident is observed then this should be reported to the relevant organisation. Action - Criminal Activity

• Attract the attention of a colleague who can assist you

• Obtain 'best evidence' and as far as practicable obtain good facial shots of all persons involved. (See CCTV Procedural Manual Appendix E - Articles 8 & 14) This may assist with identification at a later stage (do not wait until something 'more serious' happens) - do not stop monitoring until conclusion of incident - see CCTV Procedural Manual Section 7 para.VI & VII

• Record all relevant information, description of person(s) involved, make/model/colour & registration number (V.R.M) of vehicle(s) involved, what has happened

• Use the relevant contact numbers for the Police in the first instance

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Appendix I

CONTRACTOR’S SPECIAL CONDITIONS FOR

CARRYING OUT WORK’S WITHIN

CONTROL CENTRE

▪ All contracted personnel and auditors attending the City of Wolverhampton Council CCTV control room must be security vetted to BS 7858

▪ All visits to the Control centre must be by prior arrangement with either the control centre

supervisor or the duty shift supervisor – No appointment, No entry

▪ All contracted personnel must sign the visitor’s book together with their arrival time and must also sign and enter their departure time on leaving.

▪ Where contracted personnel are engineer’s who have carried out works to the system they

must inform either the control centre supervisor or the duty shift supervisor of what they have done, if the problem(s) have been rectified or if there remains any works outstanding. An entry in the relevant maintenance log book must also be made.

▪ Vehicles – Parking should be arranged at the time of making arrangements to attend.