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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.

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 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 (20) 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;

(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.

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).

CHAPTER V

Transfers of personal_data to third countries or international_organisations

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;

(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.

Section 2

Competence, tasks and powers

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;

(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);

(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;

(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 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);

(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);

(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 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:

(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;

(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.

CHAPTER IX

Provisions relating to specific processing situations


whereas

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