GDPR and Personal Data Transfers 1.1.pdf

GDPR. Personal Data Transfers
Andrey Prozorov, CISM, CIPP/E
80na20.blogspot.ru
v.1.1 2020-04-06

Agenda
I. General requirements
• GDPR
• The contract
• Article 88 Processing in the context of employment
II. International transfers
• Comments by ISO (UK)
• Basis for data transfers from the EU
• Notification of the Data Subject
• Adequacy decisions
• Privacy Shield
• Guidelines (EDPB and WP29)
• Binding corporate rules
III. Transfers of personal data from Russia to third countries
2
by Andrey Prozorov, CISM, CIPP/E

3
I. General requirements

GDPR
4
Main requirements Cross-border processing
• Article 24 Responsibility of the controller
• Article 26 Joint controllers
• Article 27 Representatives of controllers or
processors not established in the Union
• Article 28 Processor
• Article 88 Processing in the context of
employment
• Article 13 Information to be provided where
personal data are collected from the data
subject
• Article 14 Information to be provided where
personal data have not been obtained from
the data subject
• Article 15 Right of access by the data
subject
• Article 30 Records of processing activities
CHAPTER V. Transfers of personal data to third
countries or international organisations
• Article 44 General principles for transfers
of personal data
• Article 45 Transfers on the basis of an
adequacy decision
• Article 46 Transfers subject to appropriate
safeguards
• Article 47 Binding corporate rules
• Article 48 Transfers or disclosures not
authorised by Union law
• Article 49 Derogations for specific
situations
• Article 50 International cooperation for
the protection of personal data

The contract
Data controllers in the EU are always required to enter into a contract when a
transfer is made for processing purposes only, whether the processing operation
is carried out inside or outside the EU, and whether or not the processor
participates in the Privacy Shield.
The purpose of the contract is to make sure that the processor:
• acts only on instructions from the controller;
• provides appropriate technical and organizational measures to protect
personal data against accidental or unlawful destruction or accidental loss,
alteration, unauthorized disclosure or access, and understands whether onward
transfer is allowed; and
• taking into account the nature of the processing, assists the controller in
responding to individuals exercising their right to access their personal data.
5

GDPR 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. …
6

The contract (by Art.28 3)
That contract or other legal act shall stipulate, in particular, that the processor:
• processes the personal data only on documented instructions from the controller
• ensures that persons authorised to process the personal data have committed
themselves to confidentiality
• takes all measures required pursuant to Article 32 (Security of processing)
• respects the conditions referred to in paragraphs 2 and 4 for engaging another
processor
• assists the controller by appropriate technical and organisational measures, helps to
respond to requests for exercising the data subject's rights
• assists the controller in ensuring compliance with the obligations pursuant to Articles 32
to 36 (Security of personal data: Security of processing, Breach notification, DPIA and
prior consultation)
• 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
• makes available to the controller all information necessary to demonstrate compliance
with the obligations (e.g. external audits)
7

Analyse and revise your contracts
This contract must define:
q the subject-matter and duration of the service you are carrying
out on your client's behalf
q the nature and purposes of the processing
q the type of personal data that you are processing on your
client's behalf
q the categories of data subjects
q the obligations and rights of your client as the controller
q your obligations as the processor as set out in Article 28 of the
GDPR
8
General Data Protection Regulation: a guide to assist processors (by CNIL)

9
General Data Protection Regulation: a guide to assist processors (by CNIL)

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 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.
10
Other

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II. International transfers

Comments by ISO (UK)
• The GDPR primarily applies to controllers and processors located in the
European Economic Area (the EEA) with some exceptions.
• Individuals risk losing the protection of the GDPR if their personal data is
transferred outside of the EEA.
• On that basis, the GDPR restricts transfers of personal data outside
the EEA, or the protection of the GDPR, unless the rights of the
individuals in respect of their personal data is protected in another way,
or one of a limited number of exceptions applies.
• A transfer of personal data outside the protection of the GDPR (which
we refer to as a ‘restricted transfer’), most often involves a transfer from
inside the EEA to a country outside the EEA.
• Other comments - https://ico.org.uk/for-organisations/guide-to-data-
protection/guide-to-the-general-data-protection-regulation-
gdpr/international-transfers
12

Basis for data transfers from the EU
1. Transfers on the basis of an adequacy decision (Art.45)
• By the European Commission
• Such a transfer shall not require any specific authorisation
2. Transfers subject to appropriate safeguards (Art.46)
The appropriate safeguard:
• a legally binding and enforceable instrument between public
authorities or bodies
• binding corporate rules (BCR)
• standard data protection clauses adopted by the Commission:
• standard data protection clauses adopted by a supervisory authority
and approved by the Commission
• an approved code of conduct (binding and enforceable
commitments)…
• an approved certification mechanism (binding and enforceable
commitments)…
3. Derogations for specific situations (Art.49)…
13

Derogations for specific situations
3. 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
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
g) the transfer is made from a register which according to Union or Member State law is
intended to provide information to the public…
14

15

About the consent
1. Consent must be explicit
2. Consent must be specific for the
particular data transfer/set of
transfers
3. Consent must be informed
particularly as to the possible
risks of the transfer
16
Guidelines 2/2018 on derogations of Article 49 under Regulation 2016/679

Notification of the Data Subject
q 1. The fact that the controller intends to transfer personal
data to a third country or international organisation
q 2. The existence or absence of an adequacy decision by the
Commission
3. Reference to the appropriate or suitable safeguards*
4. The possible risks*
q 5. The means by which to obtain a copy of personal data or
where they have been made available
17
GDPR Article 13 Information to be provided where personal data are collected from the data subject, 1 f)
GDPR Article 14 Information to be provided where personal data have not been obtained from the data subject, 1 f)
GDPR Article Article 15 Right of access by the data subject, 2
Article 30 Records of processing activities, 1 e)
Article 49 Derogations for specific situations, 1 a)
* - if applicable

Adequacy decisions
How the EU determines if a non-EU country has an adequate level of data protection.
• The European Commission has the power to determine, on the basis of article 45 of
Regulation (EU) 2016/679 whether a country outside the EU offers an adequate level of
data protection.
• The effect of such a decision is that personal data can flow from the EU (and Norway,
Liechtenstein and Iceland) to that third country without any further safeguard being
necessary. In others words, transfers to the country in question will be assimilated to
intra-EU transmissions of data.
• The European Commission has so far recognised Andorra, Argentina, Canada
(commercial organisations), Faroe Islands, Guernsey, Israel, Isle of Man, Japan, Jersey,
New Zealand, Switzerland, Uruguay and the United States of America (limited to the
Privacy Shield framework) as providing adequate protection.
• Adequacy talks are ongoing with South Korea.
18
https://ec.europa.eu/info/law/law-topic/data-protection/international-dimension-data-protection/adequacy-decisions_en#relatedlinks

Privacy Shield
The EU-U.S. and Swiss-U.S. Privacy Shield Frameworks were
designed by the U.S. Department of Commerce and the European
Commission and Swiss Administration to provide companies on both
sides of the Atlantic with a mechanism to comply with data
protection requirements when transferring personal data from the
European Union and Switzerland to the United States in support of
transatlantic commerce.
• Self-Certification
• 5287 Total Organizations (27.03.2020)
• Privacy Shield List - www.privacyshield.gov/list
19

Privacy Shield Framework
20
Privacy Shield Principles Privacy Shield Supplemental Principles
• Notice
• Choice
• Accountability for
Onward Transfer
• Security
• Data Integrity and
Purpose Limitation
• Access
• Recourse, Enforcement,
and Liability
• Sensitive Data
• Journalistic Exceptions
• Secondary Liability
• Performing Due Diligence and Conducting Audits
• The Role of the Data Protection Authorities
• Access
• Self-Certification
• Verification
• Human Resources Data
• Obligatory Contracts for Onward Transfers
• Dispute Resolution and Enforcement
• Choice -- Timing of Opt-Out
• Travel Information
• Pharmaceutical and Medical Products
• Public Record and Publicly Available Information
• Access Requests by Public Authorities
https://www.privacyshield.gov/EU-US-Framework

Guidelines
21
EDPB WP29 (about BCR)
• Guidelines 2/2020 on
articles 46 (2) (a) and 46
(3) (b) of Regulation
2016/679 for transfers of
personal data between
EEA and non-EEA public
authorities and bodies
• Guidelines 2/2018 on
derogations of Article 49
under Regulation
2016/679
• Working Document Setting Forth a Co-Operation
Procedure for the approval of “Binding Corporate
Rules” for controllers and processors under the GDPR,
WP 263 rev.01
• Recommendation on the Standard Application for
Approval of Controller Binding Corporate Rules for the
Transfer of Personal Data, WP 264
• Recommendation on the Standard Application form for
Approval of Processor Binding Corporate Rules for the
Transfer of Personal Data, WP 265
• Working Document setting up a table with the elements
and principles to be found in Binding Corporate Rules,
WP 256 rev.01
• Working Document setting up a table with the elements
and principles to be found in Processor Binding
Corporate Rules, WP 257 rev.01

‘Binding corporate rules’ (BCRs) 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.
22

Binding corporate rules (Art.47)
The competent supervisory authority (SA) approves BCRs.
BCRs shall specify at least:
23
a) the structure and contact details of the
group of undertakings
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
d) the application of the general data
protection principles and the
requirements in respect of onward
transfers to bodies not bound by the BCRs
e) the rights of data subjects
f) the acceptance by the controller or
processor of liability for any breaches of
the BCRs
g) Information about notification of the data
subjects
h) the tasks of DPOs
i) the complaint procedures
j) the mechanisms for ensuring the
verification of compliance with the BCRs
k) the mechanisms for reporting and
recording changes
l) the cooperation mechanism with the SA
m) the mechanisms for reporting to the
competent SA
n) the appropriate data protection training
to personnel

Register of approved BCRs, 27.03.2020
24
https://edpb.europa.eu/our-work-tools/accountability-tools/bcr_en

25
III. Transfers of personal data
from Russia to third countries

152-FZ
Russian Personal Data Act (152-FZ, 27.07.2006)
Article 12. Cross-Border Transmission of Personal Data
26
3. Prior to commencing cross-
border transmission of personal
data, the operator [Controller]
must make sure that the foreign
state to which territory the
personal data are transmitted
provides adequate protection of
the rights of personal data
subjects
3. Оператор обязан убедиться в том,
что иностранным государством, на
территорию которого осуществляется
передача персональных данных,
обеспечивается адекватная защита
прав субъектов персональных
данных, до начала осуществления
трансграничной передачи
персональных данных.

Countries that provide adequate protection
Parties to the Convention 108:
Members of Council of Europe:
Albania, Andorra, Armenia, Austria, Azerbaijan, Belgium, Bosnia and Herzegovina, Bulgaria, Croatia,
Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Georgia, Germany, Greece, Hungary,
Iceland, Ireland, Italy, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Monaco, Montenegro,
Netherlands, North Macedonia, Norway, Poland, Portugal, Republic of Moldova, Romania, Russian
Federation, San Marino, Serbia, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, Turkey, Ukraine,
United Kingdom
Non-Members of Council of Europe:
Argentina, Burkina Faso, Cabo Verde, Mauritius, Mexico, Morocco, Senegal, Tunisia, Uruguay
Other (from the list): the Commonwealth of Australia, the Argentine Republic, the Gabonese Republic,
the State of Israel, the State of Qatar, Canada, the Kingdom of Morocco, Malaysia, Mongolia, New
Zealand, the Republic of Angola, the Republic of Benin, the Republic of Kazakhstan, the Republic of
Korea, the Republic of Costa Rica, the Republic of Mali, the Republic of Peru, the Republic of
Singapore, the Tunisian Republic, the Republic of Chile, the Republic of South Africa, Japan.
!!! No the United States of America
by Andrey Prozorov, CISM, CIPP/E 27

28
The RKN (Roscomnadzor) approves the list of foreign states which are not parties to the Convention
108 and providing adequate protection of the rights of personal data subjects /
РКН утверждает перечень иностранных государств, не являющихся сторонами Конвенции
Совета Европы о защите физических лиц при автоматизированной обработке персональных
данных и обеспечивающих адекватную защиту прав субъектов персональных данных.
https://pd.rkn.gov.ru/press-service/subject1/news4400

29
4. Cross-border transmission of personal data in
the territory of foreign states that do not provide
adequate protection of the rights of personal data
subjects may be performed in case of:
1) availability of the personal data subject’s
consent given in writing;
2) provided for by international treaties of the
Russian Federation
3) provided for by federal laws if it is necessary
for the purposes of protecting the fundamental
principles of the constitutional order of the
Russian Federation, ensuring defense of the
country and security of the state, as well as
ensuring the security of sustainable and safe
functioning of the transport complex, protection
of interests of the individual, society and the state
in the sphere of the transport complex from acts
of unlawful interference;
4) performance of a contract the personal data
subject is a party to;
5) protection of the life, health, other vital
interests of the personal data subject or other
persons if it is impossible to obtain the personal
data subject’s consent in writing.
4. Трансграничная передача персональных данных
на территории иностранных государств, не
обеспечивающих адекватной защиты прав субъектов
персональных данных, может осуществляться в
случаях:
1) наличия согласия в письменной форме субъекта
персональных данных на трансграничную передачу
его персональных данных;
2) предусмотренных международными договорами
Российской Федерации;
3) предусмотренных федеральными законами, если
это необходимо в целях защиты основ
конституционного строя РФ, обеспечения обороны
страны и безопасности государства, а также
обеспечения безопасности устойчивого и
безопасного функционирования транспортного
комплекса, защиты интересов личности, общества и
государства в сфере транспортного комплекса от
актов незаконного вмешательства;
4) исполнения договора, стороной которого является
субъект персональных данных;
5) защиты жизни, здоровья, иных жизненно важных
интересов субъекта персональных данных или
других лиц при невозможности получения согласия в
письменной форме субъекта персональных данных.

Thanks!
Andrey Prozorov, CISM, CIPP/E
prozorov.info@gmail.com
My GDPR and ISMS toolkits:
www.patreon.com/AndreyProzorov

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