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SCHEDULES

Section 4(1) and (2).

SCHEDULE 1The data protection principles

Part IThe principles

1Personal data shall be processed fairly and lawfully and, in particular, shall not be processed unless—

(a)at least one of the conditions in Schedule 2 is met, and

(b)in the case of sensitive personal data, at least one of the conditions in Schedule 3 is also met.

2Personal data shall be obtained only for one or more specified and lawful purposes, and shall not be further processed in any manner incompatible with that purpose or those purposes.

3Personal data shall be adequate, relevant and not excessive in relation to the purpose or purposes for which they are processed.

4Personal data shall be accurate and, where necessary, kept up to date.

5Personal data processed for any purpose or purposes shall not be kept for longer than is necessary for that purpose or those purposes.

6Personal data shall be processed in accordance with the rights of data subjects under this Act.

7Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data.

8Personal data shall not be transferred to a country or territory outside the European Economic Area unless that country or territory ensures an adequate level of protection for the rights and freedoms of data subjects in relation to the processing of personal data.

Part IIInterpretation of the principles in Part I

The first principle

1(1)In determining for the purposes of the first principle whether personal data are processed fairly, regard is to be had to the method by which they are obtained, including in particular whether any person from whom they are obtained is deceived or misled as to the purpose or purposes for which they are to be processed.

(2)Subject to paragraph 2, for the purposes of the first principle data are to be treated as obtained fairly if they consist of information obtained from a person who—

(a)is authorised by or under any enactment to supply it, or

(b)is required to supply it by or under any enactment or by any convention or other instrument imposing an international obligation on the United Kingdom.

2(1)Subject to paragraph 3, for the purposes of the first principle personal data are not to be treated as processed fairly unless—

(a)in the case of data obtained from the data subject, the data controller ensures so far as practicable that the data subject has, is provided with, or has made readily available to him, the information specified in sub-paragraph (3), and

(b)in any other case, the data controller ensures so far as practicable that, before the relevant time or as soon as practicable after that time, the data subject has, is provided with, or has made readily available to him, the information specified in sub-paragraph (3).

(2)In sub-paragraph (1)(b) “the relevant time” means—

(a)the time when the data controller first processes the data, or

(b)in a case where at that time disclosure to a third party within a reasonable period is envisaged—

(i)if the data are in fact disclosed to such a person within that period, the time when the data are first disclosed,

(ii)if within that period the data controller becomes, or ought to become, aware that the data are unlikely to be disclosed to such a person within that period, the time when the data controller does become, or ought to become, so aware, or

(iii)in any other case, the end of that period.

(3)The information referred to in sub-paragraph (1) is as follows, namely—

(a)the identity of the data controller,

(b)if he has nominated a representative for the purposes of this Act, the identity of that representative,

(c)the purpose or purposes for which the data are intended to be processed, and

(d)any further information which is necessary, having regard to the specific circumstances in which the data are or are to be processed, to enable processing in respect of the data subject to be fair.

3(1)Paragraph 2(1)(b) does not apply where either of the primary conditions in sub-paragraph (2), together with such further conditions as may be prescribed by the Secretary of State by order, are met.

(2)The primary conditions referred to in sub-paragraph (1) are—

(a)that the provision of that information would involve a disproportionate effort, or

(b)that the recording of the information to be contained in the data by, or the disclosure of the data by, the data controller is necessary for compliance with any legal obligation to which the data controller is subject, other than an obligation imposed by contract.

4(1)Personal data which contain a general identifier falling within a description prescribed by the Secretary of State by order are not to be treated as processed fairly and lawfully unless they are processed in compliance with any conditions so prescribed in relation to general identifiers of that description.

(2)In sub-paragraph (1) “a general identifier” means any identifier (such as, for example, a number or code used for identification purposes) which—

(a)relates to an individual, and

(b)forms part of a set of similar identifiers which is of general application.

The second principle

5The purpose or purposes for which personal data are obtained may in particular be specified—

(a)in a notice given for the purposes of paragraph 2 by the data controller to the data subject, or

(b)in a notification given to the Commissioner under Part III of this Act.

6In determining whether any disclosure of personal data is compatible with the purpose or purposes for which the data were obtained, regard is to be had to the purpose or purposes for which the personal data are intended to be processed by any person to whom they are disclosed.

The fourth principle

7The fourth principle is not to be regarded as being contravened by reason of any inaccuracy in personal data which accurately record information obtained by the data controller from the data subject or a third party in a case where—

(a)having regard to the purpose or purposes for which the data were obtained and further processed, the data controller has taken reasonable steps to ensure the accuracy of the data, and

(b)if the data subject has notified the data controller of the data subject’s view that the data are inaccurate, the data indicate that fact.

The sixth principle

8A person is to be regarded as contravening the sixth principle if, but only if—

(a)he contravenes section 7 by failing to supply information in accordance with that section,

(b)he contravenes section 10 by failing to comply with a notice given under subsection (1) of that section to the extent that the notice is justified or by failing to give a notice under subsection (3) of that section,

(c)he contravenes section 11 by failing to comply with a notice given under subsection (1) of that section, or

(d)he contravenes section 12 by failing to comply with a notice given under subsection (1) or (2)(b) of that section or by failing to give a notification under subsection (2)(a) of that section or a notice under subsection (3) of that section.

The seventh principle

9Having regard to the state of technological development and the cost of implementing any measures, the measures must ensure a level of security appropriate to—

(a)the harm that might result from such unauthorised or unlawful processing or accidental loss, destruction or damage as are mentioned in the seventh principle, and

(b)the nature of the data to be protected.

10The data controller must take reasonable steps to ensure the reliability of any employees of his who have access to the personal data.

11Where processing of personal data is carried out by a data processor on behalf of a data controller, the data controller must in order to comply with the seventh principle—

(a)choose a data processor providing sufficient guarantees in respect of the technical and organisational security measures governing the processing to be carried out, and

(b)take reasonable steps to ensure compliance with those measures.

12Where processing of personal data is carried out by a data processor on behalf of a data controller, the data controller is not to be regarded as complying with the seventh principle unless—

(a)the processing is carried out under a contract—

(i)which is made or evidenced in writing, and

(ii)under which the data processor is to act only on instructions from the data controller, and

(b)the contract requires the data processor to comply with obligations equivalent to those imposed on a data controller by the seventh principle.

The eighth principle

13An adequate level of protection is one which is adequate in all the circumstances of the case, having regard in particular to—

(a)the nature of the personal data,

(b)the country or territory of origin of the information contained in the data,

(c)the country or territory of final destination of that information,

(d)the purposes for which and period during which the data are intended to be processed,

(e)the law in force in the country or territory in question,

(f)the international obligations of that country or territory,

(g)any relevant codes of conduct or other rules which are enforceable in that country or territory (whether generally or by arrangement in particular cases), and

(h)any security measures taken in respect of the data in that country or territory.

14The eighth principle does not apply to a transfer falling within any paragraph of Schedule 4, except in such circumstances and to such extent as the Secretary of State may by order provide.

15(1)Where—

(a)in any proceedings under this Act any question arises as to whether the requirement of the eighth principle as to an adequate level of protection is met in relation to the transfer of any personal data to a country or territory outside the European Economic Area, and

(b)a Community finding has been made in relation to transfers of the kind in question,

that question is to be determined in accordance with that finding.

(2)In sub-paragraph (1) “Community finding” means a finding of the European Commission, under the procedure provided for in Article 31(2) of the Data Protection Directive, that a country or territory outside the European Economic Area does, or does not, ensure an adequate level of protection within the meaning of Article 25(2) of the Directive.

Section 4(3).

SCHEDULE 2Conditions relevant for purposes of the first principle: processing of any personal data

1The data subject has given his consent to the processing.

2The processing is necessary—

(a)for the performance of a contract to which the data subject is a party, or

(b)for the taking of steps at the request of the data subject with a view to entering into a contract.

3The processing is necessary for compliance with any legal obligation to which the data controller is subject, other than an obligation imposed by contract.

4The processing is necessary in order to protect the vital interests of the data subject.

5The processing is necessary—

(a)for the administration of justice,

(b)for the exercise of any functions conferred on any person by or under any enactment,

(c)for the exercise of any functions of the Crown, a Minister of the Crown or a government department, or

(d)for the exercise of any other functions of a public nature exercised in the public interest by any person.

6(1)The processing is necessary for the purposes of legitimate interests pursued by the data controller or by the third party or parties to whom the data are disclosed, except where the processing is unwarranted in any particular case by reason of prejudice to the rights and freedoms or legitimate interests of the data subject.

(2)The Secretary of State may by order specify particular circumstances in which this condition is, or is not, to be taken to be satisfied.

Section 4(3).

SCHEDULE 3Conditions relevant for purposes of the first principle: processing of sensitive personal data

1The data subject has given his explicit consent to the processing of the personal data.

2(1)The processing is necessary for the purposes of exercising or performing any right or obligation which is conferred or imposed by law on the data controller in connection with employment.

(2)The Secretary of State may by order—

(a)exclude the application of sub-paragraph (1) in such cases as may be specified, or

(b)provide that, in such cases as may be specified, the condition in sub-paragraph (1) is not to be regarded as satisfied unless such further conditions as may be specified in the order are also satisfied.

3The processing is necessary—

(a)in order to protect the vital interests of the data subject or another person, in a case where—

(i)consent cannot be given by or on behalf of the data subject, or

(ii)the data controller cannot reasonably be expected to obtain the consent of the data subject, or

(b)in order to protect the vital interests of another person, in a case where consent by or on behalf of the data subject has been unreasonably withheld.

4The processing—

(a)is carried out in the course of its legitimate activities by any body or association which—

(i)is not established or conducted for profit, and

(ii)exists for political, philosophical, religious or trade-union purposes,

(b)is carried out with appropriate safeguards for the rights and freedoms of data subjects,

(c)relates only to individuals who either are members of the body or association or have regular contact with it in connection with its purposes, and

(d)does not involve disclosure of the personal data to a third party without the consent of the data subject.

5The information contained in the personal data has been made public as a result of steps deliberately taken by the data subject.

6The processing—

(a)is necessary for the purpose of, or in connection with, any legal proceedings (including prospective legal proceedings),

(b)is necessary for the purpose of obtaining legal advice, or

(c)is otherwise necessary for the purposes of establishing, exercising or defending legal rights.

7(1)The processing is necessary—

(a)for the administration of justice,

(b)for the exercise of any functions conferred on any person by or under an enactment, or

(c)for the exercise of any functions of the Crown, a Minister of the Crown or a government department.

(2)The Secretary of State may by order—

(a)exclude the application of sub-paragraph (1) in such cases as may be specified, or

(b)provide that, in such cases as may be specified, the condition in sub-paragraph (1) is not to be regarded as satisfied unless such further conditions as may be specified in the order are also satisfied.

8(1)The processing is necessary for medical purposes and is undertaken by—

(a)a health professional, or

(b)a person who in the circumstances owes a duty of confidentiality which is equivalent to that which would arise if that person were a health professional.

(2)In this paragraph “medical purposes” includes the purposes of preventative medicine, medical diagnosis, medical research, the provision of care and treatment and the management of healthcare services.

9(1)The processing—

(a)is of sensitive personal data consisting of information as to racial or ethnic origin,

(b)is necessary for the purpose of identifying or keeping under review the existence or absence of equality of opportunity or treatment between persons of different racial or ethnic origins, with a view to enabling such equality to be promoted or maintained, and

(c)is carried out with appropriate safeguards for the rights and freedoms of data subjects.

(2)The Secretary of State may by order specify circumstances in which processing falling within sub-paragraph (1)(a) and (b) is, or is not, to be taken for the purposes of sub-paragraph (1)(c) to be carried out with appropriate safeguards for the rights and freedoms of data subjects.

10The personal data are processed in circumstances specified in an order made by the Secretary of State for the purposes of this paragraph.

Section 4(3).

SCHEDULE 4Cases where the eighth principle does not apply

1The data subject has given his consent to the transfer.

2The transfer is necessary—

(a)for the performance of a contract between the data subject and the data controller, or

(b)for the taking of steps at the request of the data subject with a view to his entering into a contract with the data controller.

3The transfer is necessary—

(a)for the conclusion of a contract between the data controller and a person other than the data subject which—

(i)is entered into at the request of the data subject, or

(ii)is in the interests of the data subject, or

(b)for the performance of such a contract.

4(1)The transfer is necessary for reasons of substantial public interest.

(2)The Secretary of State may by order specify—

(a)circumstances in which a transfer is to be taken for the purposes of sub-paragraph (1) to be necessary for reasons of substantial public interest, and

(b)circumstances in which a transfer which is not required by or under an enactment is not to be taken for the purpose of sub-paragraph (1) to be necessary for reasons of substantial public interest.

5The transfer—

(a)is necessary for the purpose of, or in connection with, any legal proceedings (including prospective legal proceedings),

(b)is necessary for the purpose of obtaining legal advice, or

(c)is otherwise necessary for the purposes of establishing, exercising or defending legal rights.

6The transfer is necessary in order to protect the vital interests of the data subject.

7The transfer is of part of the personal data on a public register and any conditions subject to which the register is open to inspection are complied with by any person to whom the data are or may be disclosed after the transfer.

8The transfer is made on terms which are of a kind approved by the Commissioner as ensuring adequate safeguards for the rights and freedoms of data subjects.

9The transfer has been authorised by the Commissioner as being made in such a manner as to ensure adequate safeguards for the rights and freedoms of data subjects.

Section 6(7).

SCHEDULE 5The Data Protection Commissioner and the Data Protection Tribunal

Part IThe Commissioner

Status and capacity

1(1)The corporation sole by the name of the Data Protection Registrar established by the [1984 c. 35.] Data Protection Act 1984 shall continue in existence by the name of the Data Protection Commissioner.

(2)The Commissioner and his officers and staff are not to be regarded as servants or agents of the Crown.

Tenure of office

2(1)Subject to the provisions of this paragraph, the Commissioner shall hold office for such term not exceeding five years as may be determined at the time of his appointment.

(2)The Commissioner may be relieved of his office by Her Majesty at his own request.

(3)The Commissioner may be removed from office by Her Majesty in pursuance of an Address from both Houses of Parliament.

(4)The Commissioner shall in any case vacate his office—

(a)on completing the year of service in which he attains the age of sixty-five years, or

(b)if earlier, on completing his fifteenth year of service.

(5)Subject to sub-paragraph (4), a person who ceases to be Commissioner on the expiration of his term of office shall be eligible for re-appointment, but a person may not be re-appointed for a third or subsequent term as Commissioner unless, by reason of special circumstances, the person’s re-appointment for such a term is desirable in the public interest.

Salary etc.

3(1)There shall be paid—

(a)to the Commissioner such salary, and

(b)to or in respect of the Commissioner such pension,

as may be specified by a resolution of the House of Commons.

(2)A resolution for the purposes of this paragraph may—

(a)specify the salary or pension,

(b)provide that the salary or pension is to be the same as, or calculated on the same basis as, that payable to, or to or in respect of, a person employed in a specified office under, or in a specified capacity in the service of, the Crown, or

(c)specify the salary or pension and provide for it to be increased by reference to such variables as may be specified in the resolution.

(3)A resolution for the purposes of this paragraph may take effect from the date on which it is passed or from any earlier or later date specified in the resolution.

(4)A resolution for the purposes of this paragraph may make different provision in relation to the pension payable to or in respect of different holders of the office of Commissioner.

(5)Any salary or pension payable under this paragraph shall be charged on and issued out of the Consolidated Fund.

(6)In this paragraph “pension” includes an allowance or gratuity and any reference to the payment of a pension includes a reference to the making of payments towards the provision of a pension.

Officers and staff

4(1)The Commissioner—

(a)shall appoint a deputy commissioner, and

(b)may appoint such number of other officers and staff as he may determine.

(2)The remuneration and other conditions of service of the persons appointed under this paragraph shall be determined by the Commissioner.

(3)The Commissioner may pay such pensions, allowances or gratuities to or in respect of the persons appointed under this paragraph, or make such payments towards the provision of such pensions, allowances or gratuities, as he may determine.

(4)The references in sub-paragraph (3) to pensions, allowances or gratuities to or in respect of the persons appointed under this paragraph include references to pensions, allowances or gratuities by way of compensation to or in respect of any of those persons who suffer loss of office or employment.

(5)Any determination under sub-paragraph (1)(b), (2) or (3) shall require the approval of the Secretary of State.

(6)The [1969 c. 57.] Employers' Liability (Compulsory Insurance) Act 1969 shall not require insurance to be effected by the Commissioner.

5(1)The deputy commissioner shall perform the functions conferred by this Act on the Commissioner during any vacancy in that office or at any time when the Commissioner is for any reason unable to act.

(2)Without prejudice to sub-paragraph (1), any functions of the Commissioner under this Act may, to the extent authorised by him, be performed by any of his officers or staff.

Authentication of seal of the Commissioner

6The application of the seal of the Commissioner shall be authenticated by his signature or by the signature of some other person authorised for the purpose.

Presumption of authenticity of documents issued by the Commissioner

7Any document purporting to be an instrument issued by the Commissioner and to be duly executed under the Commissioner’s seal or to be signed by or on behalf of the Commissioner shall be received in evidence and shall be deemed to be such an instrument unless the contrary is shown.

Money

8The Secretary of State may make payments to the Commissioner out of money provided by Parliament.

9(1)All fees and other sums received by the Commissioner in the exercise of his functions under this Act or section 159 of the [1974 c. 39.] Consumer Credit Act 1974 shall be paid by him to the Secretary of State.

(2)Sub-paragraph (1) shall not apply where the Secretary of State, with the consent of the Treasury, otherwise directs.

(3)Any sums received by the Secretary of State under sub-paragraph (1) shall be paid into the Consolidated Fund.

Accounts

10(1)It shall be the duty of the Commissioner—

(a)to keep proper accounts and other records in relation to the accounts,

(b)to prepare in respect of each financial year a statement of account in such form as the Secretary of State may direct, and

(c)to send copies of that statement to the Comptroller and Auditor General on or before 31st August next following the end of the year to which the statement relates or on or before such earlier date after the end of that year as the Treasury may direct.

(2)The Comptroller and Auditor General shall examine and certify any statement sent to him under this paragraph and lay copies of it together with his report thereon before each House of Parliament.

(3)In this paragraph “financial year” means a period of twelve months beginning with 1st April.

Application of Part I in Scotland

11Paragraphs 1(1), 6 and 7 do not extend to Scotland.

Part IIThe Tribunal

Tenure of office

12(1)Subject to the following provisions of this paragraph, a member of the Tribunal shall hold and vacate his office in accordance with the terms of his appointment and shall, on ceasing to hold office, be eligible for re-appointment.

(2)Any member of the Tribunal may at any time resign his office by notice in writing to the Lord Chancellor (in the case of the chairman or a deputy chairman) or to the Secretary of State (in the case of any other member).

(3)A person who is the chairman or deputy chairman of the Tribunal shall vacate his office on the day on which he attains the age of seventy years; but this sub-paragraph is subject to section 26(4) to (6) of the [1993 c. 8.] Judicial Pensions and Retirement Act 1993 (power to authorise continuance in office up to the age of seventy-five years).

Salary etc.

13The Secretary of State shall pay to the members of the Tribunal out of money provided by Parliament such remuneration and allowances as he may determine.

Officers and staff

14The Secretary of State may provide the Tribunal with such officers and staff as he thinks necessary for the proper discharge of its functions.

Expenses

15Such expenses of the Tribunal as the Secretary of State may determine shall be defrayed by the Secretary of State out of money provided by Parliament.

Part IIITransitional provisions

16Any reference in any enactment, instrument or other document to the Data Protection Registrar shall be construed, in relation to any time after the commencement of section 6(1), as a reference to the Commissioner.

17Any reference in this Act or in any instrument under this Act to the Commissioner shall be construed, in relation to any time before the commencement of section 6(1), as a reference to the Data Protection Registrar.

Sections 28(12), 48(5).

SCHEDULE 6Appeal proceedings

Hearing of appeals

1For the purpose of hearing and determining appeals or any matter preliminary or incidental to an appeal the Tribunal shall sit at such times and in such places as the chairman or a deputy chairman may direct and may sit in two or more divisions.

Constitution of Tribunal in national security cases

2(1)The Lord Chancellor shall from time to time designate, from among the chairman and deputy chairmen appointed by him under section 6(4)(a) and (b), those persons who are to be capable of hearing appeals under section 28(4) or (6).

(2)A designation under sub-paragraph (1) may at any time be revoked by the Lord Chancellor.

3In any case where the application of paragraph 6(1) is excluded by rules under paragraph 7, the Tribunal shall be duly constituted for an appeal under section 28(4) or (6) if it consists of three of the persons designated under paragraph 2(1), of whom one shall be designated by the Lord Chancellor to preside.

Constitution of Tribunal in other cases

4(1)Subject to any rules made under paragraph 7, the Tribunal shall be duly constituted for an appeal under section 48(1), (2) or (4) if it consists of—

(a)the chairman or a deputy chairman (who shall preside), and

(b)an equal number of the members appointed respectively in accordance with paragraphs (a) and (b) of section 6(6).

(2)The members who are to constitute the Tribunal in accordance with sub-paragraph (1) shall be nominated by the chairman or, if he is for any reason unable to act, by a deputy chairman.

Determination of questions by full Tribunal

5The determination of any question before the Tribunal when constituted in accordance with paragraph 3 or 4 shall be according to the opinion of the majority of the members hearing the appeal.

Ex parte proceedings

6(1)Subject to any rules made under paragraph 7, the jurisdiction of the Tribunal in respect of an appeal under section 28(4) or (6) shall be exercised ex parte by one or more persons designated under paragraph 2(1).

(2)Subject to any rules made under paragraph 7, the jurisdiction of the Tribunal in respect of an appeal under section 48(3) shall be exercised ex parte by the chairman or a deputy chairman sitting alone.

Rules of procedure

7(1)The Secretary of State may make rules for regulating the exercise of the rights of appeal conferred by sections 28(4) or (6) and 48 and the practice and procedure of the Tribunal.

(2)Rules under this paragraph may in particular make provision—

(a)with respect to the period within which an appeal can be brought and the burden of proof on an appeal,

(b)for the summoning (or, in Scotland, citation) of witnesses and the administration of oaths,

(c)for securing the production of documents and material used for the processing of personal data,

(d)for the inspection, examination, operation and testing of any equipment or material used in connection with the processing of personal data,

(e)for the hearing of an appeal wholly or partly in camera,

(f)for hearing an appeal in the absence of the appellant or for determining an appeal without a hearing,

(g)for enabling an appeal under section 48(1) against an information notice to be determined by the chairman or a deputy chairman,

(h)for enabling any matter preliminary or incidental to an appeal to be dealt with by the chairman or a deputy chairman,

(i)for the awarding of costs or, in Scotland, expenses,

(j)for the publication of reports of the Tribunal’s decisions, and

(k)for conferring on the Tribunal such ancillary powers as the Secretary of State thinks necessary for the proper discharge of its functions.

(3)In making rules under this paragraph which relate to appeals under section 28(4) or (6) the Secretary of State shall have regard, in particular, to the need to secure that information is not disclosed contrary to the public interest.

Obstruction etc.

8(1)If any person is guilty of any act or omission in relation to proceedings before the Tribunal which, if those proceedings were proceedings before a court having power to commit for contempt, would constitute contempt of court, the Tribunal may certify the offence to the High Court or, in Scotland, the Court of Session.

(2)Where an offence is so certified, the court may inquire into the matter and, after hearing any witness who may be produced against or on behalf of the person charged with the offence, and after hearing any statement that may be offered in defence, deal with him in any manner in which it could deal with him if he had committed the like offence in relation to the court.

Section 37.

SCHEDULE 7Miscellaneous exemptions

Confidential references given by the data controller

1Personal data are exempt from section 7 if they consist of a reference given or to be given in confidence by the data controller for the purposes of—

(a)the education, training or employment, or prospective education, training or employment, of the data subject,

(b)the appointment, or prospective appointment, of the data subject to any office, or

(c)the provision, or prospective provision, by the data subject of any service.

Armed forces

2Personal data are exempt from the subject information provisions in any case to the extent to which the application of those provisions would be likely to prejudice the combat effectiveness of any of the armed forces of the Crown.

Judicial appointments and honours

3Personal data processed for the purposes of—

(a)assessing any person’s suitability for judicial office or the office of Queen’s Counsel, or

(b)the conferring by the Crown of any honour,

are exempt from the subject information provisions.

Crown employment and Crown or Ministerial appointments

4The Secretary of State may by order exempt from the subject information provisions personal data processed for the purposes of assessing any person’s suitability for—

(a)employment by or under the Crown, or

(b)any office to which appointments are made by Her Majesty, by a Minister of the Crown or by a Northern Ireland department.

Management forecasts etc.

5Personal data processed for the purposes of management forecasting or management planning to assist the data controller in the conduct of any business or other activity are exempt from the subject information provisions in any case to the extent to which the application of those provisions would be likely to prejudice the conduct of that business or other activity.

Corporate finance

6(1)Where personal data are processed for the purposes of, or in connection with, a corporate finance service provided by a relevant person—

(a)the data are exempt from the subject information provisions in any case to the extent to which either—

(i)the application of those provisions to the data could affect the price of any instrument which is already in existence or is to be or may be created, or

(ii)the data controller reasonably believes that the application of those provisions to the data could affect the price of any such instrument, and

(b)to the extent that the data are not exempt from the subject information provisions by virtue of paragraph (a), they are exempt from those provisions if the exemption is required for the purpose of safeguarding an important economic or financial interest of the United Kingdom.

(2)For the purposes of sub-paragraph (1)(b) the Secretary of State may by order specify—

(a)matters to be taken into account in determining whether exemption from the subject information provisions is required for the purpose of safeguarding an important economic or financial interest of the United Kingdom, or

(b)circumstances in which exemption from those provisions is, or is not, to be taken to be required for that purpose.

(3)In this paragraph—

Negotiations

7Personal data which consist of records of the intentions of the data controller in relation to any negotiations with the data subject are exempt from the subject information provisions in any case to the extent to which the application of those provisions would be likely to prejudice those negotiations.

Examination marks

8(1)Section 7 shall have effect subject to the provisions of sub-paragraphs (2) to (4) in the case of personal data consisting of marks or other information processed by a data controller—

(a)for the purpose of determining the results of an academic, professional or other examination or of enabling the results of any such examination to be determined, or

(b)in consequence of the determination of any such results.

(2)Where the relevant day falls before the day on which the results of the examination are announced, the period mentioned in section 7(8) shall be extended until—

(a)the end of five months beginning with the relevant day, or

(b)the end of forty days beginning with the date of the announcement,

whichever is the earlier.

(3)Where by virtue of sub-paragraph (2) a period longer than the prescribed period elapses after the relevant day before the request is complied with, the information to be supplied pursuant to the request shall be supplied both by reference to the data in question at the time when the request is received and (if different) by reference to the data as from time to time held in the period beginning when the request is received and ending when it is complied with.

(4)For the purposes of this paragraph the results of an examination shall be treated as announced when they are first published or (if not published) when they are first made available or communicated to the candidate in question.

(5)In this paragraph—

Examination scripts etc.

9(1)Personal data consisting of information recorded by candidates during an academic, professional or other examination are exempt from section 7.

(2)In this paragraph “examination” has the same meaning as in paragraph 8.

Legal professional privilege

10Personal data are exempt from the subject information provisions if the data consist of information in respect of which a claim to legal professional privilege or, in Scotland, to confidentiality as between client and professional legal adviser, could be maintained in legal proceedings.

Self-incrimination

11(1)A person need not comply with any request or order under section 7 to the extent that compliance would, by revealing evidence of the commission of any offence other than an offence under this Act, expose him to proceedings for that offence.

(2)Information disclosed by any person in compliance with any request or order under section 7 shall not be admissible against him in proceedings for an offence under this Act.

Section 39.

SCHEDULE 8Transitional relief

Part IInterpretation of Schedule

1(1)For the purposes of this Schedule, personal data are “eligible data” at any time if, and to the extent that, they are at that time subject to processing which was already under way immediately before 24th October 1998.

(2)In this Schedule—

Part IIExemptions available before 24th October 2001

Manual data

2(1)Eligible manual data, other than data forming part of an accessible record, are exempt from the data protection principles and Parts II and III of this Act during the first transitional period.

(2)This paragraph does not apply to eligible manual data to which paragraph 4 applies.

3(1)This paragraph applies to—

(a)eligible manual data forming part of an accessible record, and

(b)personal data which fall within paragraph (d) of the definition of “data” in section 1(1) but which, because they are not subject to processing which was already under way immediately before 24th October 1998, are not eligible data for the purposes of this Schedule.

(2)During the first transitional period, data to which this paragraph applies are exempt from—

(a)the data protection principles, except the sixth principle so far as relating to sections 7 and 12A,

(b)Part II of this Act, except—

(i)section 7 (as it has effect subject to section 8) and section 12A, and

(ii)section 15 so far as relating to those sections, and

(c)Part III of this Act.

4(1)This paragraph applies to eligible manual data which consist of information relevant to the financial standing of the data subject and in respect of which the data controller is a credit reference agency.

(2)During the first transitional period, data to which this paragraph applies are exempt from—

(a)the data protection principles, except the sixth principle so far as relating to sections 7 and 12A,

(b)Part II of this Act, except—

(i)section 7 (as it has effect subject to sections 8 and 9) and section 12A, and

(ii)section 15 so far as relating to those sections, and

(c)Part III of this Act.

Processing otherwise than by reference to the data subject

5During the first transitional period, for the purposes of this Act (apart from paragraph 1), eligible automated data are not to be regarded as being “processed” unless the processing is by reference to the data subject.

Payrolls and accounts

6(1)Subject to sub-paragraph (2), eligible automated data processed by a data controller for one or more of the following purposes—

(a)calculating amounts payable by way of remuneration or pensions in respect of service in any employment or office or making payments of, or of sums deducted from, such remuneration or pensions, or

(b)keeping accounts relating to any business or other activity carried on by the data controller or keeping records of purchases, sales or other transactions for the purpose of ensuring that the requisite payments are made by or to him in respect of those transactions or for the purpose of making financial or management forecasts to assist him in the conduct of any such business or activity,

are exempt from the data protection principles and Parts II and III of this Act during the first transitional period.

(2)It shall be a condition of the exemption of any eligible automated data under this paragraph that the data are not processed for any other purpose, but the exemption is not lost by any processing of the eligible data for any other purpose if the data controller shows that he had taken such care to prevent it as in all the circumstances was reasonably required.

(3)Data processed only for one or more of the purposes mentioned in sub-paragraph (1)(a) may be disclosed—

(a)to any person, other than the data controller, by whom the remuneration or pensions in question are payable,

(b)for the purpose of obtaining actuarial advice,

(c)for the purpose of giving information as to the persons in any employment or office for use in medical research into the health of, or injuries suffered by, persons engaged in particular occupations or working in particular places or areas,

(d)if the data subject (or a person acting on his behalf) has requested or consented to the disclosure of the data either generally or in the circumstances in which the disclosure in question is made, or

(e)if the person making the disclosure has reasonable grounds for believing that the disclosure falls within paragraph (d).

(4)Data processed for any of the purposes mentioned in sub-paragraph (1) may be disclosed—

(a)for the purpose of audit or where the disclosure is for the purpose only of giving information about the data controller’s financial affairs, or

(b)in any case in which disclosure would be permitted by any other provision of this Part of this Act if sub-paragraph (2) were included among the non-disclosure provisions.

(5)In this paragraph “remuneration” includes remuneration in kind and “pensions” includes gratuities or similar benefits.

Unincorporated members' clubs and mailing lists

7Eligible automated data processed by an unincorporated members' club and relating only to the members of the club are exempt from the data protection principles and Parts II and III of this Act during the first transitional period.

8Eligible automated data processed by a data controller only for the purposes of distributing, or recording the distribution of, articles or information to the data subjects and consisting only of their names, addresses or other particulars necessary for effecting the distribution, are exempt from the data protection principles and Parts II and III of this Act during the first transitional period.

9Neither paragraph 7 nor paragraph 8 applies to personal data relating to any data subject unless he has been asked by the club or data controller whether he objects to the data relating to him being processed as mentioned in that paragraph and has not objected.

10It shall be a condition of the exemption of any data under paragraph 7 that the data are not disclosed except as permitted by paragraph 11 and of the exemption under paragraph 8 that the data are not processed for any purpose other than that mentioned in that paragraph or as permitted by paragraph 11, but—

(a)the exemption under paragraph 7 shall not be lost by any disclosure in breach of that condition, and

(b)the exemption under paragraph 8 shall not be lost by any processing in breach of that condition,

if the data controller shows that he had taken such care to prevent it as in all the circumstances was reasonably required.

11Data to which paragraph 10 applies may be disclosed—

(a)if the data subject (or a person acting on his behalf) has requested or consented to the disclosure of the data either generally or in the circumstances in which the disclosure in question is made,

(b)if the person making the disclosure has reasonable grounds for believing that the disclosure falls within paragraph (a), or

(c)in any case in which disclosure would be permitted by any other provision of this Part of this Act if paragraph 8 were included among the non-disclosure provisions.

Back-up data

12Eligible automated data which are processed only for the purpose of replacing other data in the event of the latter being lost, destroyed or impaired are exempt from section 7 during the first transitional period.

Exemption of all eligible automated data from certain requirements

13(1)During the first transitional period, eligible automated data are exempt from the following provisions—

(a)the first data protection principle to the extent to which it requires compliance with—

(i)paragraph 2 of Part II of Schedule 1,

(ii)the conditions in Schedule 2, and

(iii)the conditions in Schedule 3,

(b)the seventh data protection principle to the extent to which it requires compliance with paragraph 12 of Part II of Schedule 1;

(c)the eighth data protection principle,

(d)in section 7(1), paragraphs (b), (c)(ii) and (d),

(e)sections 10 and 11,

(f)section 12, and

(g)section 13, except so far as relating to—

(i)any contravention of the fourth data protection principle,

(ii)any disclosure without the consent of the data controller,

(iii)loss or destruction of data without the consent of the data controller, or

(iv)processing for the special purposes.

(2)The specific exemptions conferred by sub-paragraph (1)(a), (c) and (e) do not limit the data controller’s general duty under the first data protection principle to ensure that processing is fair.

Part IIIExemptions available after 23rd October 2001 but before 24th October 2007

14(1)This paragraph applies to—

(a)eligible manual data which were held immediately before 24th October 1998, and

(b)personal data which fall within paragraph (d) of the definition of “data” in section 1(1) but do not fall within paragraph (a) of this sub-paragraph,

but does not apply to eligible manual data to which the exemption in paragraph 16 applies.

(2)During the second transitional period, data to which this paragraph applies are exempt from the following provisions—

(a)the first data protection principle except to the extent to which it requires compliance with paragraph 2 of Part II of Schedule 1,

(b)the second, third, fourth and fifth data protection principles, and

(c)section 14(1) to (3).

Part IVExemptions after 23rd October 2001 for historical research

15In this Part of this Schedule “the relevant conditions” has the same meaning as in section 33.

16(1)Eligible manual data which are processed only for the purpose of historical research in compliance with the relevant conditions are exempt from the provisions specified in sub-paragraph (2) after 23rd October 2001.

(2)The provisions referred to in sub-paragraph (1) are—

(a)the first data protection principle except in so far as it requires compliance with paragraph 2 of Part II of Schedule 1,

(b)the second, third, fourth and fifth data protection principles, and

(c)section 14(1) to (3).

17(1)After 23rd October 2001 eligible automated data which are processed only for the purpose of historical research in compliance with the relevant conditions are exempt from the first data protection principle to the extent to which it requires compliance with the conditions in Schedules 2 and 3.

(2)Eligible automated data which are processed—

(a)only for the purpose of historical research,

(b)in compliance with the relevant conditions, and

(c)otherwise than by reference to the data subject,

are also exempt from the provisions referred to in sub-paragraph (3) after 23rd October 2001.

(3)The provisions referred to in sub-paragraph (2) are—

(a)the first data protection principle except in so far as it requires compliance with paragraph 2 of Part II of Schedule 1,

(b)the second, third, fourth and fifth data protection principles, and

(c)section 14(1) to (3).

18For the purposes of this Part of this Schedule personal data are not to be treated as processed otherwise than for the purpose of historical research merely because the data are disclosed—

(a)to any person, for the purpose of historical research only,

(b)to the data subject or a person acting on his behalf,

(c)at the request, or with the consent, of the data subject or a person acting on his behalf, or

(d)in circumstances in which the person making the disclosure has reasonable grounds for believing that the disclosure falls within paragraph (a), (b) or (c).

Part VExemption from section 22

19Processing which was already under way immediately before 24th October 1998 is not assessable processing for the purposes of section 22.

Section 50.

SCHEDULE 9Powers of entry and inspection

Issue of warrants

1(1)If a circuit judge is satisfied by information on oath supplied by the Commissioner that there are reasonable grounds for suspecting—

(a)that a data controller has contravened or is contravening any of the data protection principles, or

(b)that an offence under this Act has been or is being committed,

and that evidence of the contravention or of the commission of the offence is to be found on any premises specified in the information, he may, subject to sub-paragraph (2) and paragraph 2, grant a warrant to the Commissioner.

(2)A judge shall not issue a warrant under this Schedule in respect of any personal data processed for the special purposes unless a determination by the Commissioner under section 45 with respect to those data has taken effect.

(3)A warrant issued under sub-paragraph (1) shall authorise the Commissioner or any of his officers or staff at any time within seven days of the date of the warrant to enter the premises, to search them, to inspect, examine, operate and test any equipment found there which is used or intended to be used for the processing of personal data and to inspect and seize any documents or other material found there which may be such evidence as is mentioned in that sub-paragraph.

2(1)A judge shall not issue a warrant under this Schedule unless he is satisfied—

(a)that the Commissioner has given seven days' notice in writing to the occupier of the premises in question demanding access to the premises, and

(b)that either—

(i)access was demanded at a reasonable hour and was unreasonably refused, or

(ii)although entry to the premises was granted, the occupier unreasonably refused to comply with a request by the Commissioner or any of the Commissioner’s officers or staff to permit the Commissioner or the officer or member of staff to do any of the things referred to in paragraph 1(3), and

(c)that the occupier, has, after the refusal, been notified by the Commissioner of the application for the warrant and has had an opportunity of being heard by the judge on the question whether or not it should be issued.

(2)Sub-paragraph (1) shall not apply if the judge is satisfied that the case is one of urgency or that compliance with those provisions would defeat the object of the entry.

3A judge who issues a warrant under this Schedule shall also issue two copies of it and certify them clearly as copies.

Execution of warrants

4A person executing a warrant issued under this Schedule may use such reasonable force as may be necessary.

5A warrant issued under this Schedule shall be executed at a reasonable hour unless it appears to the person executing it that there are grounds for suspecting that the evidence in question would not be found if it were so executed.

6If the person who occupies the premises in respect of which a warrant is issued under this Schedule is present when the warrant is executed, he shall be shown the warrant and supplied with a copy of it; and if that person is not present a copy of the warrant shall be left in a prominent place on the premises.

7(1)A person seizing anything in pursuance of a warrant under this Schedule shall give a receipt for it if asked to do so.

(2)Anything so seized may be retained for so long as is necessary in all the circumstances but the person in occupation of the premises in question shall be given a copy of anything that is seized if he so requests and the person executing the warrant considers that it can be done without undue delay.

Matters exempt from inspection and seizure

8The powers of inspection and seizure conferred by a warrant issued under this Schedule shall not be exercisable in respect of personal data which by virtue of section 28 are exempt from any of the provisions of this Act.

9(1)Subject to the provisions of this paragraph, the powers of inspection and seizure conferred by a warrant issued under this Schedule shall not be exercisable in respect of—

(a)any communication between a professional legal adviser and his client in connection with the giving of legal advice to the client with respect to his obligations, liabilities or rights under this Act, or

(b)any communication between a professional legal adviser and his client, or between such an adviser or his client and any other person, made in connection with or in contemplation of proceedings under or arising out of this Act (including proceedings before the Tribunal) and for the purposes of such proceedings.

(2)Sub-paragraph (1) applies also to—

(a)any copy or other record of any such communication as is there mentioned, and

(b)any document or article enclosed with or referred to in any such communication if made in connection with the giving of any advice or, as the case may be, in connection with or in contemplation of and for the purposes of such proceedings as are there mentioned.

(3)This paragraph does not apply to anything in the possession of any person other than the professional legal adviser or his client or to anything held with the intention of furthering a criminal purpose.

(4)In this paragraph references to the client of a professional legal adviser include references to any person representing such a client.

10If the person in occupation of any premises in respect of which a warrant is issued under this Schedule objects to the inspection or seizure under the warrant of any material on the grounds that it consists partly of matters in respect of which those powers are not exercisable, he shall, if the person executing the warrant so requests, furnish that person with a copy of so much of the material as is not exempt from those powers.

Return of warrants

11A warrant issued under this Schedule shall be returned to the court from which it was issued—

(a)after being executed, or

(b)if not executed within the time authorised for its execution;

and the person by whom any such warrant is executed shall make an endorsement on it stating what powers have been exercised by him under the warrant.

Offences

12Any person who—

(a)intentionally obstructs a person in the execution of a warrant issued under this Schedule, or

(b)fails without reasonable excuse to give any person executing such a warrant such assistance as he may reasonably require for the execution of the warrant,

is guilty of an offence.

Vessels, vehicles etc.

13In this Schedule “premises” includes any vessel, vehicle, aircraft or hovercraft, and references to the occupier of any premises include references to the person in charge of any vessel, vehicle, aircraft or hovercraft.

Scotland and Northern Ireland

14In the application of this Schedule to Scotland—

(a)for any reference to a circuit judge there is substituted a reference to the sheriff,

(b)for any reference to information on oath there is substituted a reference to evidence on oath, and

(c)for the reference to the court from which the warrant was issued there is substituted a reference to the sheriff clerk.

15In the application of this Schedule to Northern Ireland—

(a)for any reference to a circuit judge there is substituted a reference to a county court judge, and

(b)for any reference to information on oath there is substituted a reference to a complaint on oath.

Section 53(6).

SCHEDULE 10Further provisions relating to assistance under section 53

1In this Schedule “applicant” and “proceedings” have the same meaning as in section 53.

2The assistance provided under section 53 may include the making of arrangements for, or for the Commissioner to bear the costs of—

(a)the giving of advice or assistance by a solicitor or counsel, and

(b)the representation of the applicant, or the provision to him of such assistance as is usually given by a solicitor or counsel—

(i)in steps preliminary or incidental to the proceedings, or

(ii)in arriving at or giving effect to a compromise to avoid or bring an end to the proceedings.

3Where assistance is provided with respect to the conduct of proceedings—

(a)it shall include an agreement by the Commissioner to indemnify the applicant (subject only to any exceptions specified in the notification) in respect of any liability to pay costs or expenses arising by virtue of any judgment or order of the court in the proceedings,

(b)it may include an agreement by the Commissioner to indemnify the applicant in respect of any liability to pay costs or expenses arising by virtue of any compromise or settlement arrived at in order to avoid the proceedings or bring the proceedings to an end, and

(c)it may include an agreement by the Commissioner to indemnify the applicant in respect of any liability to pay damages pursuant to an undertaking given on the grant of interlocutory relief (in Scotland, an interim order) to the applicant.

4Where the Commissioner provides assistance in relation to any proceedings, he shall do so on such terms, or make such other arrangements, as will secure that a person against whom the proceedings have been or are commenced is informed that assistance has been or is being provided by the Commissioner in relation to them.

5In England and Wales or Northern Ireland, the recovery of expenses incurred by the Commissioner in providing an applicant with assistance (as taxed or assessed in such manner as may be prescribed by rules of court) shall constitute a first charge for the benefit of the Commissioner—

(a)on any costs which, by virtue of any judgment or order of the court, are payable to the applicant by any other person in respect of the matter in connection with which the assistance is provided, and

(b)on any sum payable to the applicant under a compromise or settlement arrived at in connection with that matter to avoid or bring to an end any proceedings.

6In Scotland, the recovery of such expenses (as taxed or assessed in such manner as may be prescribed by rules of court) shall be paid to the Commissioner, in priority to other debts—

(a)out of any expenses which, by virtue of any judgment or order of the court, are payable to the applicant by any other person in respect of the matter in connection with which the assistance is provided, and

(b)out of any sum payable to the applicant under a compromise or settlement arrived at in connection with that matter to avoid or bring to an end any proceedings.

Section 68(1)(6).

SCHEDULE 11Educational records

Meaning of “educational record”

1For the purposes of section 68 “educational record” means any record to which paragraph 2, 5 or 7 applies.

England and Wales

2This paragraph applies to any record of information which—

(a)is processed by or on behalf of the governing body of, or a teacher at, any school in England and Wales specified in paragraph 3,

(b)relates to any person who is or has been a pupil at the school, and

(c)originated from or was supplied by or on behalf of any of the persons specified in paragraph 4,

other than information which is processed by a teacher solely for the teacher’s own use.

3The schools referred to in paragraph 2(a) are—

(a)a school maintained by a local education authority, and

(b)a special school, as defined by section 6(2) of the [1996 c. 56.] Education Act 1996, which is not so maintained.

4The persons referred to in paragraph 2(c) are—

(a)an employee of the local education authority which maintains the school,

(b)in the case of—

(i)a voluntary aided, foundation or foundation special school (within the meaning of the School Standards and Framework Act 1998), or

(ii)a special school which is not maintained by a local eduction authority,

a teacher or other employee at the school (including an educational psychologist engaged by the governing body under a contract for services),

(c)the pupil to whom the record relates, and

(d)a parent, as defined by section 576(1) of the Education Act 1996, of that pupil.

Scotland

5This paragraph applies to any record of information which is processed—

(a)by an education authority in Scotland, and

(b)for the purpose of the relevant function of the authority,

other than information which is processed by a teacher solely for the teacher’s own use.

6For the purposes of paragraph 5—

(a)“education authority” means an education authority within the meaning of the [1980 c. 44.] Education (Scotland) Act 1980 (“the 1980 Act”) or, in relation to a self-governing school, the board of management within the meaning of the [1989 c. 39.] Self-Governing Schools etc. (Scotland) Act 1989 (“the 1989 Act”),

(b)“the relevant function” means, in relation to each of those authorities, their function under section 1 of the 1980 Act and section 7(1) of the 1989 Act, and

(c)information processed by an education authority is processed for the purpose of the relevant function of the authority if the processing relates to the discharge of that function in respect of a person—

(i)who is or has been a pupil in a school provided by the authority, or

(ii)who receives, or has received, further education (within the meaning of the 1980 Act) so provided.

Northern Ireland

7(1)This paragraph applies to any record of information which—

(a)is processed by or on behalf of the Board of Governors of, or a teacher at, any grant-aided school in Northern Ireland,

(b)relates to any person who is or has been a pupil at the school, and

(c)originated from or was supplied by or on behalf of any of the persons specified in paragraph 8,

other than information which is processed by a teacher solely for the teacher’s own use.

(2)In sub-paragraph (1) “grant-aided school” has the same meaning as in the [S.I. 1986/594 (N.I.3).] Education and Libraries (Northern Ireland) Order 1986.

8The persons referred to in paragraph 7(1) are—

(a)a teacher at the school,

(b)an employee of an education and library board, other than such a teacher,

(c)the pupil to whom the record relates, and

(d)a parent (as defined by Article 2(2) of the Education and Libraries (Northern Ireland) Order 1986) of that pupil.

England and Wales: transitory provisions

9(1)Until the appointed day within the meaning of section 20 of the School Standards and Framework Act 1998, this Schedule shall have effect subject to the following modifications.

(2)Paragraph 3 shall have effect as if for paragraph (b) and the “and” immediately preceding it there were substituted—

(aa)a grant-maintained school, as defined by section 183(1) of the Education Act 1996,

(ab)a grant-maintained special school, as defined by section 337(4) of that Act, and

(b)a special school, as defined by section 6(2) of that Act, which is neither a maintained special school, as defined by section 337(3) of that Act, nor a grant-maintained special school.

(3)Paragraph 4(b)(i) shall have effect as if for the words from “foundation”, in the first place where it occurs, to “1998)” there were substituted “or grant-maintained school”.

Section 68(1)(c).

SCHEDULE 12Accessible public records

Meaning of “accessible public record”

1For the purposes of section 68 “accessible public record” means any record which is kept by an authority specified—

(a)as respects England and Wales, in the Table in paragraph 2,

(b)as respects Scotland, in the Table in paragraph 4, or

(c)as respects Northern Ireland, in the Table in paragraph 6,

and is a record of information of a description specified in that Table in relation to that authority.

Housing and social services records: England and Wales

2The following is the Table referred to in paragraph 1(a).

TABLE OF AUTHORITIES AND INFORMATION

The authoritiesThe accessible information
Housing Act local authority.Information held for the purpose of any of the authority’s tenancies.
Local social services authority.Information held for any purpose of the authority’s social services functions.

3(1)The following provisions apply for the interpretation of the Table in paragraph 2.

(2)Any authority which, by virtue of section 4(e) of the [1985 c. 68.] Housing Act 1985, is a local authority for the purpose of any provision of that Act is a “Housing Act local authority” for the purposes of this Schedule, and so is any housing action trust established under Part III of the [1988 c. 50.] Housing Act 1988.

(3)Information contained in records kept by a Housing Act local authority is “held for the purpose of any of the authority’s tenancies” if it is held for any purpose of the relationship of landlord and tenant of a dwelling which subsists, has subsisted or may subsist between the authority and any individual who is, has been or, as the case may be, has applied to be, a tenant of the authority.

(4)Any authority which, by virtue of section 1 or 12 of the [1970 c. 42.] Local Authority Social Services Act 1970, is or is treated as a local authority for the purposes of that Act is a “local social services authority” for the purposes of this Schedule; and information contained in records kept by such an authority is “held for any purpose of the authority’s social services functions” if it is held for the purpose of any past, current or proposed exercise of such a function in any case.

(5)Any expression used in paragraph 2 or this paragraph and in Part II of the Housing Act 1985 or the Local Authority Social Services Act 1970 has the same meaning as in that Act.

Housing and social services records: Scotland

4The following is the Table referred to in paragraph 1(b).

TABLE OF AUTHORITIES AND INFORMATION

The authoritiesThe accessible information
Local authority. Scottish Homes.Information held for the purpose of any of the body’s tenancies.
Social work authority.Information held for any purpose of the authority’s functions under the Social Work (Scotland) Act 1968 and the enactments referred to in section 5(1B) of that Act.

5(1)The following provisions apply for the interpretation of the Table in paragraph 4.

(2)“Local authority” means—

(a)a council constituted under section 2 of the [1994 c. 39.] Local Government etc. (Scotland) Act 1994,

(b)a joint board or joint committee of two or more of those councils, or

(c)any trust under the control of such a council.

(3)Information contained in records kept by a local authority or Scottish Homes is held for the purpose of any of their tenancies if it is held for any purpose of the relationship of landlord and tenant of a dwelling-house which subsists, has subsisted or may subsist between the authority or, as the case may be, Scottish Homes and any individual who is, has been or, as the case may be, has applied to be a tenant of theirs.

(4)“Social work authority” means a local authority for the purposes of the [1968 c. 49.] Social Work (Scotland) Act 1968; and information contained in records kept by such an authority is held for any purpose of their functions if it is held for the purpose of any past, current or proposed exercise of such a function in any case.

Housing and social services records: Northern Ireland

6The following is the Table referred to in paragraph 1(c).

TABLE OF AUTHORITIES AND INFORMATION

The authoritiesThe accessible information
The Northern Ireland Housing Executive.Information held for the purpose of any of the Executive’s tenancies.
A Health and Social Services Board.

Information held for the purpose of any past, current or proposed exercise by the Board of any function exercisable, by virtue of directions under Article 17(1) of the Health and Personal Social Services (Northern Ireland) Order 1972, by the Board on behalf of the Department of Health and Social Services with respect to the administration of personal social services under—

(a)

the Children and Young Persons Act (Northern Ireland) 1968;

(b)

the Health and Personal Social Services (Northern Ireland) Order 1972;

(c)

Article 47 of the Matrimonial Causes (Northern Ireland) Order 1978;

(d)

Article 11 of the Domestic Proceedings (Northern Ireland) Order 1980;

(e)

the Adoption (Northern Ireland) Order 1987; or

(f)

the Children (Northern Ireland) Order 1995.

An HSS trustInformation held for the purpose of any past, current or proposed exercise by the trust of any function exercisable, by virtue of an authorisation under Article 3(1) of the Health and Personal Social Services (Northern Ireland) Order 1994, by the trust on behalf of a Health and Social Services Board with respect to the administration of personal social services under any statutory provision mentioned in the last preceding entry.

7(1)This paragraph applies for the interpretation of the Table in paragraph 6.

(2)Information contained in records kept by the Northern Ireland Housing Executive is “held for the purpose of any of the Executive’s tenancies” if it is held for any purpose of the relationship of landlord and tenant of a dwelling which subsists, has subsisted or may subsist between the Executive and any individual who is, has been or, as the case may be, has applied to be, a tenant of the Executive.

Section 72.

SCHEDULE 13Modifications of Act having effect before 24th October 2007

1After section 12 there is inserted—

12ARights of data subjects in relation to exempt manual data

(1)A data subject is entitled at any time by notice in writing—

(a)to require the data controller to rectify, block, erase or destroy exempt manual data which are inaccurate or incomplete, or

(b)to require the data controller to cease holding exempt manual data in a way incompatible with the legitimate purposes pursued by the data controller.

(2)A notice under subsection (1)(a) or (b) must state the data subject’s reasons for believing that the data are inaccurate or incomplete or, as the case may be, his reasons for believing that they are held in a way incompatible with the legitimate purposes pursued by the data controller.

(3)If the court is satisfied, on the application of any person who has given a notice under subsection (1) which appears to the court to be justified (or to be justified to any extent) that the data controller in question has failed to comply with the notice, the court may order him to take such steps for complying with the notice (or for complying with it to that extent) as the court thinks fit.

(4)In this section “exempt manual data” means—

(a)in relation to the first transitional period, as defined by paragraph 1(2) of Schedule 8, data to which paragraph 3 or 4 of that Schedule applies, and

(b)in relation to the second transitional period, as so defined, data to which paragraph 14 of that Schedule applies.

(5)For the purposes of this section personal data are incomplete if, and only if, the data, although not inaccurate, are such that their incompleteness would constitute a contravention of the third or fourth data protection principles, if those principles applied to the data.

2In section 32—

(a)in subsection (2) after “section 12” there is inserted—

(dd)section 12A,, and

(b)in subsection (4) after “12(8)” there is inserted “, 12A(3)”.

3In section 34 for “section 14(1) to (3)” there is substituted “sections 12A and 14(1) to (3).”

4In section 53(1) after “12(8)” there is inserted “, 12A(3)”.

5In paragraph 8 of Part II of Schedule 1, the word “or” at the end of paragraph (c) is omitted and after paragraph (d) there is inserted or

(e)he contravenes section 12A by failing to comply with a notice given under subsection (1) of that section to the extent that the notice is justified.

Section 73.

SCHEDULE 14Transitional provisions and savings

Interpretation

1In this Schedule—

Effect of registration under Part II of 1984 Act

2(1)Subject to sub-paragraphs (4) and (5) any person who, immediately before the commencement of Part III of this Act—

(a)is registered as a data user under Part II of the 1984 Act, or

(b)is treated by virtue of section 7(6) of the 1984 Act as so registered,

is exempt from section 17(1) of this Act until the end of the registration period or, if earlier, 24th October 2001.

(2)In sub-paragraph (1) “the registration period”, in relation to a person, means—

(a)where there is a single entry in respect of that person as a data user, the period at the end of which, if section 8 of the 1984 Act had remained in force, that entry would have fallen to be removed unless renewed, and

(b)where there are two or more entries in respect of that person as a data user, the period at the end of which, if that section had remained in force, the last of those entries to expire would have fallen to be removed unless renewed.

(3)Any application for registration as a data user under Part II of the 1984 Act which is received by the Commissioner before the commencement of Part III of this Act (including any appeal against a refusal of registration) shall be determined in accordance with the old principles and the provisions of the 1984 Act.

(4)If a person falling within paragraph (b) of sub-paragraph (1) receives a notification under section 7(1) of the 1984 Act of the refusal of his application, sub-paragraph (1) shall cease to apply to him—

(a)if no appeal is brought, at the end of the period within which an appeal can be brought against the refusal, or

(b)on the withdrawal or dismissal of the appeal.

(5)If a data controller gives a notification under section 18(1) at a time when he is exempt from section 17(1) by virtue of sub-paragraph (1), he shall cease to be so exempt.

(6)The Commissioner shall include in the register maintained under section 19 an entry in respect of each person who is exempt from section 17(1) by virtue of sub-paragraph (1); and each entry shall consist of the particulars which, immediately before the commencement of Part III of this Act, were included (or treated as included) in respect of that person in the register maintained under section 4 of the 1984 Act.

(7)Notification regulations under Part III of this Act may make provision modifying the duty referred to in section 20(1) in its application to any person in respect of whom an entry in the register maintained under section 19 has been made under sub-paragraph (6).

(8)Notification regulations under Part III of this Act may make further transitional provision in connection with the substitution of Part III of this Act for Part II of the 1984 Act (registration), including provision modifying the application of provisions of Part III in transitional cases.

Rights of data subjects

3(1)The repeal of section 21 of the 1984 Act (right of access to personal data) does not affect the application of that section in any case in which the request (together with the information referred to in paragraph (a) of subsection (4) of that section and, in a case where it is required, the consent referred to in paragraph (b) of that subsection) was received before the day on which the repeal comes into force.

(2)Sub-paragraph (1) does not apply where the request is made by reference to this Act.

(3)Any fee paid for the purposes of section 21 of the 1984 Act before the commencement of section 7 in a case not falling within sub-paragraph (1) shall be taken to have been paid for the purposes of section 7.

4The repeal of section 22 of the 1984 Act (compensation for inaccuracy) and the repeal of section 23 of that Act (compensation for loss or unauthorised disclosure) do not affect the application of those sections in relation to damage or distress suffered at any time by reason of anything done or omitted to be done before the commencement of the repeals.

5The repeal of section 24 of the 1984 Act (rectification and erasure) does not affect any case in which the application to the court was made before the day on which the repeal comes into force.

6Subsection (3)(b) of section 14 does not apply where the rectification, blocking, erasure or destruction occurred before the commencement of that section.

Enforcement and transfer prohibition notices served under Part V of 1984 Act

7(1)If, immediately before the commencement of section 40—

(a)an enforcement notice under section 10 of the 1984 Act has effect, and

(b)either the time for appealing against the notice has expired or any appeal has been determined,

then, after that commencement, to the extent mentioned in sub-paragraph (3), the notice shall have effect for the purposes of sections 41 and 47 as if it were an enforcement notice under section 40.

(2)Where an enforcement notice has been served under section 10 of the 1984 Act before the commencement of section 40 and immediately before that commencement either—

(a)the time for appealing against the notice has not expired, or

(b)an appeal has not been determined,

the appeal shall be determined in accordance with the provisions of the 1984 Act and the old principles and, unless the notice is quashed on appeal, to the extent mentioned in sub-paragraph (3) the notice shall have effect for the purposes of sections 41 and 47 as if it were an enforcement notice under section 40.

(3)An enforcement notice under section 10 of the 1984 Act has the effect described in sub-paragraph (1) or (2) only to the extent that the steps specified in the notice for complying with the old principle or principles in question are steps which the data controller could be required by an enforcement notice under section 40 to take for complying with the new principles or any of them.

8(1)If, immediately before the commencement of section 40—

(a)a transfer prohibition notice under section 12 of the 1984 Act has effect, and

(b)either the time for appealing against the notice has expired or any appeal has been determined,

then, on and after that commencement, to the extent specified in sub-paragraph (3), the notice shall have effect for the purposes of sections 41 and 47 as if it were an enforcement notice under section 40.

(2)Where a transfer prohibition notice has been served under section 12 of the 1984 Act and immediately before the commencement of section 40 either—

(a)the time for appealing against the notice has not expired, or

(b)an appeal has not been determined,

the appeal shall be determined in accordance with the provisions of the 1984 Act and the old principles and, unless the notice is quashed on appeal, to the extent mentioned in sub-paragraph (3) the notice shall have effect for the purposes of sections 41 and 47 as if it were an enforcement notice under section 40.

(3)A transfer prohibition notice under section 12 of the 1984 Act has the effect described in sub-paragraph (1) or (2) only to the extent that the prohibition imposed by the notice is one which could be imposed by an enforcement notice under section 40 for complying with the new principles or any of them.

Notices under new law relating to matters in relation to which 1984 Act had effect

9The Commissioner may serve an enforcement notice under section 40 on or after the day on which that section comes into force if he is satisfied that, before that day, the data controller contravened the old principles by reason of any act or omission which would also have constituted a contravention of the new principles if they had applied before that day.

10Subsection (5)(b) of section 40 does not apply where the rectification, blocking, erasure or destruction occurred before the commencement of that section.

11The Commissioner may serve an information notice under section 43 on or after the day on which that section comes into force if he has reasonable grounds for suspecting that, before that day, the data controller contravened the old principles by reason of any act or omission which would also have constituted a contravention of the new principles if they had applied before that day.

12Where by virtue of paragraph 11 an information notice is served on the basis of anything done or omitted to be done before the day on which section 43 comes into force, subsection (2)(b) of that section shall have effect as if the reference to the data controller having complied, or complying, with the new principles were a reference to the data controller having contravened the old principles by reason of any such act or omission as is mentioned in paragraph 11.

Self-incrimination, etc.

13(1)In section 43(8), section 44(9) and paragraph 11 of Schedule 7, any reference to an offence under this Act includes a reference to an offence under the 1984 Act.

(2)In section 34(9) of the 1984 Act, any reference to an offence under that Act includes a reference to an offence under this Act.

Warrants issued under 1984 Act

14The repeal of Schedule 4 to the 1984 Act does not affect the application of that Schedule in any case where a warrant was issued under that Schedule before the commencement of the repeal.

Complaints under section 36(2) of 1984 Act and requests for assessment under section 42

15The repeal of section 36(2) of the 1984 Act does not affect the application of that provision in any case where the complaint was received by the Commissioner before the commencement of the repeal.

16In dealing with a complaint under section 36(2) of the 1984 Act or a request for an assessment under section 42 of this Act, the Commissioner shall have regard to the provisions from time to time applicable to the processing, and accordingly—

(a)in section 36(2) of the 1984 Act, the reference to the old principles and the provisions of that Act includes, in relation to any time when the new principles and the provisions of this Act have effect, those principles and provisions, and

(b)in section 42 of this Act, the reference to the provisions of this Act includes, in relation to any time when the old principles and the provisions of the 1984 Act had effect, those principles and provisions.

Applications under Access to Health Records Act 1990 or corresponding Northern Ireland legislation

17(1)The repeal of any provision of the [1990 c. 23.] Access to Health Records Act 1990 does not affect—

(a)the application of section 3 or 6 of that Act in any case in which the application under that section was received before the day on which the repeal comes into force, or

(b)the application of section 8 of that Act in any case in which the application to the court was made before the day on which the repeal comes into force.

(2)Sub-paragraph (1)(a) does not apply in relation to an application for access to information which was made by reference to this Act.

18(1)The revocation of any provision of the [S.I. 1993/1250 (N.I.4).] Access to Health Records (Northern Ireland) Order 1993 does not affect—

(a)the application of Article 5 or 8 of that Order in any case in which the application under that Article was received before the day on which the repeal comes into force, or

(b)the application of Article 10 of that Order in any case in which the application to the court was made before the day on which the repeal comes into force.

(2)Sub-paragraph (1)(a) does not apply in relation to an application for access to information which was made by reference to this Act.

Applications under regulations under Access to Personal Files Act 1987 or corresponding Northern Ireland legislation

19(1)The repeal of the personal files enactments does not affect the application of regulations under those enactments in relation to—

(a)any request for information,

(b)any application for rectification or erasure, or

(c)any application for review of a decision,

which was made before the day on which the repeal comes into force.

(2)Sub-paragraph (1)(a) does not apply in relation to a request for information which was made by reference to this Act.

(3)In sub-paragraph (1) “the personal files enactments” means—

(a)in relation to Great Britain, the [1987 c. 37.] Access to Personal Files Act 1987, and

(b)in relation to Northern Ireland, Part II of the [S.I. 1991/1707 (N.I.14).] Access to Personal Files and Medical Reports (Northern Ireland) Order 1991.

Applications under section 158 of Consumer Credit Act 1974

20Section 62 does not affect the application of section 158 of the [1974 c. 39.] Consumer Credit Act 1974 in any case where the request was received before the commencement of section 62, unless the request is made by reference to this Act.

Section 74(1).

SCHEDULE 15Minor and consequential amendments

Public Records Act 1958 (c. 51)

1(1)In Part II of the Table in paragraph 3 of Schedule 1 to the Public Records Act 1958 (definition of public records) for “the Data Protection Registrar” there is substituted “the Data Protection Commissioner”.

(2)That Schedule shall continue to have effect with the following amendment (originally made by paragraph 14 of Schedule 2 to the [1984 c. 35.] Data Protection Act 1984).

(3)After paragraph 4(1)(n) there is inserted—

(nn)records of the Data Protection Tribunal.

Parliamentary Commissioner Act 1967 (c. 13)

2In Schedule 2 to the Parliamentary Commissioner Act 1967 (departments etc. subject to investigation) for “Data Protection Registrar” there is substituted “Data Protection Commissioner”.

3In Schedule 4 to that Act (tribunals exercising administrative functions), in the entry relating to the Data Protection Tribunal, for “section 3 of the Data Protection Act 1984” there is substituted “section 6 of the Data Protection Act 1998”.

Superannuation Act 1972 (c. 11)

4In Schedule 1 to the Superannuation Act 1972, for “Data Protection Registrar” there is substituted “Data Protection Commissioner”.

House of Commons Disqualification Act 1975 (c. 24)

5(1)Part II of Schedule 1 to the House of Commons Disqualification Act 1975 (bodies whose members are disqualified) shall continue to include the entry “The Data Protection Tribunal” (originally inserted by paragraph 12(1) of Schedule 2 to the Data Protection Act 1984).

(2)In Part III of that Schedule (disqualifying offices) for “The Data Protection Registrar” there is substituted “The Data Protection Commissioner”.

Northern Ireland Assembly Disqualification Act 1975 (c. 25)

6(1)Part II of Schedule 1 to the Northern Ireland Assembly Disqualification Act 1975 (bodies whose members are disqualified) shall continue to include the entry “The Data Protection Tribunal” (originally inserted by paragraph 12(3) of Schedule 2 to the Data Protection Act 1984).

(2)In Part III of that Schedule (disqualifying offices) for “The Data Protection Registrar” there is substituted “The Data Protection Commissioner”.

Representation of the People Act 1983 (c. 2)

7In Schedule 2 of the Representation of the People Act 1983 (provisions which may be included in regulations as to registration etc), in paragraph 11A(2)—

(a)for “data user” there is substituted “data controller”, and

(b)for “the Data Protection Act 1984” there is substituted “the Data Protection Act 1998”.

Access to Medical Reports Act 1988 (c. 28)

8In section 2(1) of the Access to Medical Reports Act 1988 (interpretation), in the definition of “health professional”, for “the Data Protection (Subject Access Modification) Order 1987” there is substituted “the Data Protection Act 1998”.

Football Spectators Act 1989 (c. 37)

9(1)Section 5 of the Football Spectators Act 1989 (national membership scheme: contents and penalties) is amended as follows.

(2)In subsection (5), for “paragraph 1(2) of Part II of Schedule 1 to the Data Protection Act 1984” there is substituted “paragraph 1(2) of Part II of Schedule 1 to the Data Protection Act 1998”.

(3)In subsection (6), for “section 28(1) and (2) of the Data Protection Act 1984” there is substituted “section 29(1) and (2) of the Data Protection Act 1998”.

Education (Student Loans) Act 1990 (c. 6)

10Schedule 2 to the Education (Student Loans) Act 1990 (loans for students) so far as that Schedule continues in force shall have effect as if the reference in paragraph 4(2) to the Data Protection Act 1984 were a reference to this Act.

Access to Health Records Act 1990 (c. 23)

11For section 2 of the Access to Health Records Act 1990 there is substituted—

2Health professionals

In this Act “health professional” has the same meaning as in the Data Protection Act 1998.

12In section 3(4) of that Act (cases where fee may be required) in paragraph (a), for “the maximum prescribed under section 21 of the Data Protection Act 1984” there is substituted “such maximum as may be prescribed for the purposes of this section by regulations under section 7 of the Data Protection Act 1998”.

13In section 5(3) of that Act (cases where right of access may be partially excluded) for the words from the beginning to “record” in the first place where it occurs there is substituted “Access shall not be given under section 3(2) to any part of a health record”.

Access to Personal Files and Medical Reports (Northern Ireland) Order 1991 (1991/1707 (N.I. 14))

14In Article 4 of the Access to Personal Files and Medical Reports (Northern Ireland) Order 1991 (obligation to give access), in paragraph (2) (exclusion of information to which individual entitled under section 21 of the Data Protection Act 1984) for “section 21 of the Data Protection Act 1984” there is substituted “section 7 of the Data Protection Act 1998”.

15In Article 6(1) of that Order (interpretation), in the definition of “health professional”, for “the Data Protection (Subject Access Modification) (Health) Order 1987” there is substituted “the Data Protection Act 1998”.

Tribunals and Inquiries Act 1992 (c. 53)

16In Part 1 of Schedule 1 to the Tribunals and Inquiries Act 1992 (tribunals under direct supervision of Council on Tribunals), for paragraph 14 there is substituted—

Data protection

14.

(a)

The Data Protection Commissioner appointed under section 6 of the Data Protection Act 1998;

(b)

the Data Protection Tribunal constituted under that section, in respect of its jurisdiction under section 48 of that Act.

Access to Health Records (Northern Ireland) Order 1993 (1993/1250 (N.I. 4))

17For paragraphs (1) and (2) of Article 4 of the Access to Health Records (Northern Ireland) Order 1993 there is substituted—

(1)In this Order “health professional” has the same meaning as in the Data Protection Act 1998.

18In Article 5(4) of that Order (cases where fee may be required) in sub-paragraph (a), for “the maximum prescribed under section 21 of the Data Protection Act 1984” there is substituted “such maximum as may be prescribed for the purposes of this Article by regulations under section 7 of the Data Protection Act 1998”.

19In Article 7 of that Order (cases where right of access may be partially excluded) for the words from the beginning to “record” in the first place where it occurs there is substituted “Access shall not be given under Article 5(2) to any part of a health record”.

Section 74(2).

SCHEDULE 16Repeals and revocations

Part IRepeals

ChapterShort titleExtent of repeal
1984 c. 35.The Data Protection Act 1984.The whole Act.
1986 c. 60.The Financial Services Act 1986.Section 190.
1987 c. 37.The Access to Personal Files Act 1987.The whole Act.
1988 c. 40.The Education Reform Act 1988.Section 223.
1988 c. 50.The Housing Act 1988.In Schedule 17, paragraph 80.
1990 c. 23.The Access to Health Records Act 1990.In section 1(1), the words from “but does not” to the end.
In section 3, subsection (1)(a) to (e) and, in subsection (6)(a), the words “in the case of an application made otherwise than by the patient”.
Section 4(1) and (2).
In section 5(1)(a)(i), the words “of the patient or” and the word “other”.
In section 10, in subsection (2) the words “or orders” and in subsection (3) the words “or an order under section 2(3) above”.
In section 11, the definitions of “child” and “parental responsibility”.
1990 c. 37.The Human Fertilisation and Embryology Act 1990.Section 33(8).
1990 c. 41.The Courts and Legal Services Act 1990.In Schedule 10, paragraph 58.
1992 c. 13.The Further and Higher Education Act 1992.Section 86.
1992 c. 37.The Further and Higher Education (Scotland) Act 1992.Section 59.
1993 c. 8.The Judicial Pensions and Retirement Act 1993.In Schedule 6, paragraph 50.
1993 c. 10.The Charities Act 1993.Section 12.
1993 c. 21.The Osteopaths Act 1993.Section 38.
1994 c. 17.The Chiropractors Act 1994.Section 38.
1994 c. 19.The Local Government (Wales) Act 1994.In Schedule 13, paragraph 30.
1994 c. 33.The Criminal Justice and Public Order Act 1994.Section 161.
1994 c. 39.The Local Government etc. (Scotland) Act 1994.In Schedule 13, paragraph 154.

Part IIRevocations

NumberTitleExtent of revocation
S.I. 1991/1142.The Data Protection Registration Fee Order 1991.The whole Order.
S.I. 1991/1707 (N.I. 14).The Access to Personal Files and Medical Reports (Northern Ireland) Order 1991.Part II.
The Schedule.
S.I. 1992/3218.The Banking Co-ordination (Second Council Directive) Regulations 1992.In Schedule 10, paragraphs 15 and 40.
S.I. 1993/1250 (N.I. 4).The Access to Health Records (Northern Ireland) Order 1993.In Article 2(2), the definitions of “child” and “parental responsibility”.
In Article 3(1), the words from “but does not include” to the end.
In Article 5, paragraph (1)(a) to (d) and, in paragraph (6)(a), the words “in the case of an application made otherwise than by the patient”.
Article 6(1) and (2).
In Article 7(1)(a)(i), the words “of the patient or” and the word “other”.
S.I. 1994/429 (N.I. 2).The Health and Personal Social Services (Northern Ireland) Order 1994.In Schedule 1, the entries relating to the Access to Personal Files and Medical Reports (Northern Ireland) Order 1991.
S.I. 1994/1696.The Insurance Companies (Third Insurance Directives) Regulations 1994.In Schedule 8, paragraph 8.
S.I. 1995/755 (N.I. 2).The Children (Northern Ireland) Order 1995.In Schedule 9, paragraphs 177 and 191.
S.I. 1995/3275.The Investment Services Regulations 1995.In Schedule 10, paragraphs 3 and 15.
S.I. 1996/2827.The Open-Ended Investment Companies (Investment Companies with Variable Capital) Regulations 1996.In Schedule 8, paragraphs 3 and 26.