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Data Protection Act 2018

2018 CHAPTER 12

An Act to make provision for the regulation of the processing of information relating to individuals; to make provision in connection with the Information Commissioner's functions under certain regulations relating to information; to make provision for a direct marketing code of practice; and for connected purposes.

[23rd May 2018]

Be it enacted by the Queen's most Excellent Majesty, by and with the advice and consent of the Lords Spiritual and Temporal, and Commons, in this present Parliament assembled, and by the authority of the same, as follows:—

Modifications etc. (not altering text)

C5Act applied (31.12.2020) by Regulation (EU) No. 625/2017, Art. 143 (as substituted by The Official Controls (Animals, Feed and Food, Plant Health etc.) (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1481), regs. 1, 27(3) (with reg. 46))

PART 1 U.K.Preliminary

1OverviewU.K.

(1)This Act makes provision about the processing of personal data.

(2)Most processing of personal data is subject to the [F1UK GDPR].

(3)Part 2 supplements the [F2UK GDPR].

(4)Part 3 makes provision about the processing of personal data by competent authorities for law enforcement purposes F3....

(5)Part 4 makes provision about the processing of personal data by the intelligence services.

(6)Part 5 makes provision about the Information Commissioner.

(7)Part 6 makes provision about the enforcement of the data protection legislation.

(8)Part 7 makes supplementary provision, including provision about the application of this Act to the Crown and to Parliament.

Textual Amendments

2Protection of personal dataU.K.

(1)The [F4UK GDPR] and this Act protect individuals with regard to the processing of personal data, in particular by—

(a)requiring personal data to be processed lawfully and fairly, on the basis of the data subject's consent or another specified basis,

(b)conferring rights on the data subject to obtain information about the processing of personal data and to require inaccurate personal data to be rectified, and

(c)conferring functions on the Commissioner, giving the holder of that office responsibility for monitoring and enforcing their provisions.

(2)When carrying out functions under the [F5UK GDPR] and this Act, the Commissioner must have regard to the importance of securing an appropriate level of protection for personal data, taking account of the interests of data subjects, controllers and others and matters of general public interest.

Textual Amendments

3Terms relating to the processing of personal dataU.K.

(1)This section defines some terms used in this Act.

(2)“Personal data” means any information relating to an identified or identifiable living individual (subject to subsection (14)(c)).

(3)“Identifiable living individual” means a living individual who can be identified, directly or indirectly, in particular by reference to—

(a)an identifier such as a name, an identification number, location data or an online identifier, or

(b)one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of the individual.

(4)“Processing”, in relation to information, means an operation or set of operations which is performed on information, or on sets of information, such as—

(a)collection, recording, organisation, structuring or storage,

(b)adaptation or alteration,

(c)retrieval, consultation or use,

(d)disclosure by transmission, dissemination or otherwise making available,

(e)alignment or combination, or

(f)restriction, erasure or destruction,

(subject to subsection (14)(c) and sections 5(7), 29(2) and 82(3), which make provision about references to processing in the different Parts of this Act).

(5)“Data subject” means the identified or identifiable living individual to whom personal data relates.

(6)“Controller” and “processor”, in relation to the processing of personal data to which F6... Part 2, Part 3 or Part 4 applies, have the same meaning as in that F6... Part (see sections 5, 6, 32 and 83 and see also subsection (14)(d)).

(7)“Filing system” means any structured set of personal data which is accessible according to specific criteria, whether held by automated means or manually and whether centralised, decentralised or dispersed on a functional or geographical basis.

(8)“The Commissioner” means the Information Commissioner (see section 114).

(9)“The data protection legislation” means—

[F7(a)the UK GDPR,]

F8(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)this Act,

(d)regulations made under this Act, and

(e)regulations made under section 2(2) of the European Communities Act 1972 which relate to [F9the EU GDPR] or the Law Enforcement Directive.

(10)“[F10The UK GDPR]” means Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data [F11(United Kingdom General Data Protection Regulation), as it forms part of the law of England and Wales, Scotland and Northern Ireland by virtue of section 3 of the European Union (Withdrawal) Act 2018 (and see section 205(4))].

[F12(10A)“The EU GDPR” means Regulation (EU) 2016/679 of the European Parliament and of the Council of 27th April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data (General Data Protection Regulation) as it has effect in EU law.]

F13(11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(12)“The Law Enforcement Directive” means Directive (EU) 2016/680 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data by competent authorities for the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, and on the free movement of such data, and repealing Council Framework Decision 2008/977/JHA.

(13)“The Data Protection Convention” means the Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data which was opened for signature on 28 January 1981, as amended up to the day on which this Act is passed.

(14)In Parts 5 to 7, except where otherwise provided—

[F14(a)references to the UK GDPR are to the UK GDPR read with Part 2;]

F15(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)references to personal data, and the processing of personal data, are to personal data and processing to which F16... Part 2, Part 3 or Part 4 applies;

(d)references to a controller or processor are to a controller or processor in relation to the processing of personal data to which F17... Part 2, Part 3 or Part 4 applies.

(15)There is an index of defined expressions in section 206.

Textual Amendments

PART 2 U.K.General processing

CHAPTER 1U.K.Scope and definitions

4Processing to which this Part appliesU.K.

(1)This Part is relevant to most processing of personal data.

(2)[F18This Part]—

(a)applies to the types of processing of personal data to which the [F19UK GDPR] applies by virtue of Article 2 of the [F19UK GDPR], and

(b)supplements, and must be read with, the [F19UK GDPR].

F20(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

5DefinitionsU.K.

(1)Terms used in F21... this Part and in the [F22UK GDPR] have the same meaning in [F23this Part as] they have in the [F22UK GDPR].

(2)In subsection (1), the reference to a term's meaning in the [F24UK GDPR] is to its meaning in the [F24UK GDPR] read with any provision of [F25this Part] which modifies the term's meaning for the purposes of the [F24UK GDPR].

(3)Subsection (1) is subject to any provision in [F26this Part] which provides expressly for the term to have a different meaning and to section 204.

F27(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F27(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F27(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7)A reference in F28... this Part to the processing of personal data is to processing to which [F29this Part] applies.

(8)Sections 3 and 205 include definitions of other expressions used in this Part.

Textual Amendments

CHAPTER 2U.K.[F30 The UK GDPR]

Textual Amendments

Meaning of certain terms used in the [F31UK GDPR] U.K.

Textual Amendments

6Meaning of “controller”U.K.

(1)The definition of “controller” in Article 4(7) of the [F32UK GDPR] has effect subject to—

(a)subsection (2),

(b)section 209, and

(c)section 210.

(2)For the purposes of the [F33UK GDPR], where personal data is processed only—

(a)for purposes for which it is required by an enactment to be processed, and

(b)by means by which it is required by an enactment to be processed,

the person on whom the obligation to process the data is imposed by the enactment (or, if different, one of the enactments) is the controller.

Textual Amendments

7Meaning of “public authority” and “public body”U.K.

(1)For the purposes of the [F34UK GDPR], the following (and only the following) are “public authorities” and “public bodies” F35...—

(a)a public authority as defined by the Freedom of Information Act 2000,

(b)a Scottish public authority as defined by the Freedom of Information (Scotland) Act 2002 (asp 13),

[F36(ba)the Advanced Research and Invention Agency,] and

(c)an authority or body specified or described by the Secretary of State in regulations,

subject to subsections (2), (3) and (4).

(2)An authority or body that falls within subsection (1) is only a “public authority” or “public body” for the purposes of the [F37UK GDPR] when performing a task carried out in the public interest or in the exercise of official authority vested in it.

(3)The references in subsection (1)(a) and (b) to public authorities and Scottish public authorities as defined by the Freedom of Information Act 2000 and the Freedom of Information (Scotland) Act 2002 (asp 13) do not include any of the following that fall within those definitions—

(a)a parish council in England;

(b)a community council in Wales;

(c)a community council in Scotland;

(d)a parish meeting constituted under section 13 of the Local Government Act 1972;

(e)a community meeting constituted under section 27 of that Act;

(f)charter trustees constituted—

(i)under section 246 of that Act,

(ii)under Part 1 of the Local Government and Public Involvement in Health Act 2007, or

(iii)by the Charter Trustees Regulations 1996 (S.I. 1996/263).

(4)The Secretary of State may by regulations provide that a person specified or described in the regulations that is a public authority [F38described or mentioned in subsection (1)(a), (b) or (ba)] is not a “public authority” or “public body” for the purposes of the [F39UK GDPR].

(5)Regulations under this section are subject to the affirmative resolution procedure.

Textual Amendments

Commencement Information

I1S. 7 in force at Royal Assent for specified purposes, see s. 212(2)(f)

Lawfulness of processingU.K.

8Lawfulness of processing: public interest etcU.K.

In Article 6(1) of the [F40UK GDPR] (lawfulness of processing), the reference in point (e) to processing of personal data that is necessary for the performance of a task carried out in the public interest or in the exercise of the controller's official authority includes processing of personal data that is necessary for—

(a)the administration of justice,

(b)the exercise of a function of either House of Parliament,

(c)the exercise of a function conferred on a person by an enactment or rule of law,

(d)the exercise of a function of the Crown, a Minister of the Crown or a government department, or

(e)an activity that supports or promotes democratic engagement.

Textual Amendments

F419Child's consent in relation to information society servicesU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Special categories of personal dataU.K.

10Special categories of personal data and criminal convictions etc dataU.K.

(1)Subsections (2) and (3) make provision about the processing of personal data described in Article 9(1) of the [F42UK GDPR] (prohibition on processing of special categories of personal data) in reliance on an exception in one of the following points of Article 9(2)—

(a)point (b) (employment, social security and social protection);

(b)point (g) (substantial public interest);

(c)point (h) (health and social care);

(d)point (i) (public health);

(e)point (j) (archiving, research and statistics).

(2)The processing meets the requirement in point (b), (h), (i) or (j) of Article 9(2) of the [F43UK GDPR] for authorisation by, or a basis in, the law of the United Kingdom or a part of the United Kingdom only if it meets a condition in Part 1 of Schedule 1.

(3)The processing meets the requirement in point (g) of Article 9(2) of the [F44UK GDPR] for a basis in the law of the United Kingdom or a part of the United Kingdom only if it meets a condition in Part 2 of Schedule 1.

(4)Subsection (5) makes provision about the processing of personal data relating to criminal convictions and offences or related security measures that is not carried out under the control of official authority.

(5)The processing meets the requirement in Article [F4510(1) of the UK GDPR] for authorisation by the law of the United Kingdom or a part of the United Kingdom only if it meets a condition in Part 1, 2 or 3 of Schedule 1.

(6)The Secretary of State may by regulations—

(a)amend Schedule 1—

(i)by adding or varying conditions or safeguards, and

(ii)by omitting conditions or safeguards added by regulations under this section, and

(b)consequentially amend this section.

(7)Regulations under this section are subject to the affirmative resolution procedure.

Textual Amendments

Commencement Information

I2S. 10 in force at Royal Assent for specified purposes, see s. 212(2)(f)

11Special categories of personal data etc: supplementaryU.K.

(1)For the purposes of Article 9(2)(h) of the [F46UK GDPR] (processing for health or social care purposes etc), the circumstances in which the processing of personal data is carried out subject to the conditions and safeguards referred to in Article 9(3) of the [F46UK GDPR] (obligation of secrecy) include circumstances in which it is carried out—

(a)by or under the responsibility of a health professional or a social work professional, or

(b)by another person who in the circumstances owes a duty of confidentiality under an enactment or rule of law.

(2)In Article 10 of the [F47UK GDPR] and section 10, references to personal data relating to criminal convictions and offences or related security measures include personal data relating to—

(a)the alleged commission of offences by the data subject, or

(b)proceedings for an offence committed or alleged to have been committed by the data subject or the disposal of such proceedings, including sentencing.

Textual Amendments

Rights of the data subjectU.K.

12Limits on fees that may be charged by controllersU.K.

(1)The Secretary of State may by regulations specify limits on the fees that a controller may charge in reliance on—

(a)Article 12(5) of the [F48UK GDPR] (reasonable fees when responding to manifestly unfounded or excessive requests), or

(b)Article 15(3) of the [F49UK GDPR] (reasonable fees for provision of further copies).

(2)The Secretary of State may by regulations—

(a)require controllers of a description specified in the regulations to produce and publish guidance about the fees that they charge in reliance on those provisions, and

(b)specify what the guidance must include.

(3)Regulations under this section are subject to the negative resolution procedure.

Textual Amendments

Commencement Information

I3S. 12 in force at Royal Assent for specified purposes, see s. 212(2)(f)

13Obligations of credit reference agenciesU.K.

(1)This section applies where a controller is a credit reference agency (within the meaning of section 145(8) of the Consumer Credit Act 1974).

(2)The controller's obligations under Article 15(1) to (3) of the [F50UK GDPR] (confirmation of processing, access to data and safeguards for third country transfers) are taken to apply only to personal data relating to the data subject's financial standing, unless the data subject has indicated a contrary intention.

(3)Where the controller discloses personal data in pursuance of Article 15(1) to (3) of the [F51UK GDPR], the disclosure must be accompanied by a statement informing the data subject of the data subject's rights under section 159 of the Consumer Credit Act 1974 (correction of wrong information).

Textual Amendments

14Automated decision-making authorised by law: safeguardsU.K.

(1)This section makes provision for the purposes of Article 22(2)(b) of the [F52UK GDPR] (exception from Article 22(1) of the [F52UK GDPR] for significant decisions based solely on automated processing that are [F53required or authorised under the law of the United Kingdom or a part of the United Kingdom] and subject to safeguards for the data subject's rights, freedoms and legitimate interests).

(2)A decision is a “significant decision” for the purposes of this section if, in relation to a data subject, it—

(a)produces legal effects concerning the data subject, or

(b)similarly significantly affects the data subject.

(3)A decision is a “qualifying significant decision” for the purposes of this section if—

(a)it is a significant decision in relation to a data subject,

(b)it is required or authorised by law, and

(c)it does not fall within Article 22(2)(a) or (c) of the [F54UK GDPR] (decisions necessary to a contract or made with the data subject's consent).

(4)Where a controller takes a qualifying significant decision in relation to a data subject based solely on automated processing—

(a)the controller must, as soon as reasonably practicable, notify the data subject in writing that a decision has been taken based solely on automated processing, and

(b)the data subject may, before the end of the period of 1 month beginning with receipt of the notification, request the controller to—

(i)reconsider the decision, or

(ii)take a new decision that is not based solely on automated processing.

(5)If a request is made to a controller under subsection (4), the controller must, within the period described in Article 12(3) of the [F55UK GDPR]—

(a)consider the request, including any information provided by the data subject that is relevant to it,

(b)comply with the request, and

(c)by notice in writing inform the data subject of—

(i)the steps taken to comply with the request, and

(ii)the outcome of complying with the request.

(6)In connection with this section, a controller has the powers and obligations under Article 12 of the [F56UK GDPR] (transparency, procedure for extending time for acting on request, fees, manifestly unfounded or excessive requests etc) that apply in connection with Article 22 of the [F56UK GDPR].

(7)The Secretary of State may by regulations make such further provision as the Secretary of State considers appropriate to provide suitable measures to safeguard a data subject's rights, freedoms and legitimate interests in connection with the taking of qualifying significant decisions based solely on automated processing.

(8)Regulations under subsection (7)—

(a)may amend this section, and

(b)are subject to the affirmative resolution procedure.

Textual Amendments

Commencement Information

I4S. 14 in force at Royal Assent for specified purposes, see s. 212(2)(f)

[F57Exemptions etc] U.K.

Textual Amendments

15Exemptions etcU.K.

(1)Schedules 2, 3 and 4 make provision for exemptions from, and restrictions and adaptations of the application of, rules of the [F58UK GDPR].

(2)In Schedule 2—

(a)Part 1 makes provision adapting or restricting the application of rules contained in Articles 13 to 21 and 34 of the [F59UK GDPR] in specified circumstances [F60(of a kind described in] Article 6(3) and Article 23(1) of the [F61UK GDPR)];

(b)Part 2 makes provision restricting the application of rules contained in Articles 13 to 21 and 34 of the [F62UK GDPR] in specified circumstances [F63(of a kind described in] Article 23(1) of the [F64UK GDPR)];

(c)Part 3 makes provision restricting the application of Article 15 of the [F65UK GDPR] where this is necessary to protect the rights of others [F66(of a kind described in] Article 23(1) of the [F67UK GDPR)];

(d)Part 4 makes provision restricting the application of rules contained in Articles 13 to 15 of the [F68UK GDPR] in specified circumstances [F69(of a kind described in] Article 23(1) of the [F70UK GDPR)];

(e)Part 5 makes provision containing exemptions or derogations from Chapters II, III, IV [F71and V of the UK GDPR] for reasons relating to freedom of expression [F72(of a kind described in Article 85(2) of the UK GDPR)];

(f)Part 6 makes provision containing derogations from rights contained in Articles 15, 16, 18, 19, 20 and 21 of the [F73UK GDPR] for scientific or historical research purposes, statistical purposes and archiving purposes F74....

(3)Schedule 3 makes provision restricting the application of rules contained in Articles 13 to 21 of the [F75UK GDPR] to health, social work, education and child abuse data [F76(of a kind described in] Article 23(1) of the [F77UK GDPR)].

(4)Schedule 4 makes provision restricting the application of rules contained in Articles 13 to 21 of the [F78UK GDPR] to information the disclosure of which is prohibited or restricted by an enactment [F79(of a kind described in] Article 23(1) of the [F80UK GDPR)].

[F81(4A)In connection with the manual unstructured processing of personal data held by an FOI public authority, see Chapter 3 of this Part (sections 21, 24 and 25).]

(5)In connection with the safeguarding of national security and with defence, see Chapter 3 of this Part [F82(sections 26 to 28)].

Textual Amendments

16Power to make further exemptions etc by regulationsU.K.

(1)The following powers to make provision altering the application of the [F83UK GDPR] may be exercised by way of regulations made by the Secretary of State under this section—

(a)the power in Article 6(3) F84... to lay down a legal basis containing specific provisions to adapt the application of rules of the [F85UK GDPR] where processing is necessary for compliance with a legal obligation, for the performance of a task in the public interest or in the exercise of official authority;

(b)the power in Article 23(1) to make [F86provision] restricting the scope of the obligations and rights mentioned in that Article where necessary and proportionate to safeguard certain objectives of general public interest;

(c)the power in Article 85(2) to provide for exemptions or derogations from certain Chapters of the [F87UK GDPR] where necessary to reconcile the protection of personal data with the freedom of expression and information.

(2)Regulations under this section may—

(a)amend Schedules 2 to 4—

(i)by adding or varying provisions, and

(ii)by omitting provisions added by regulations under this section, F88...

(b)consequentially amend section 15 [F89, and

(c)consequentially amend the UK GDPR by adding, varying or omitting a reference to section 15, Schedule 2, 3 or 4, this section or regulations under this section.]

(3)Regulations under this section are subject to the affirmative resolution procedure.

Textual Amendments

Commencement Information

I5S. 16 in force at Royal Assent for specified purposes, see s. 212(2)(f)

[F90Certification]U.K.

Textual Amendments

17Accreditation of certification providersU.K.

(1)Accreditation of a person as a certification provider is only valid when carried out by—

(a)the Commissioner, or

(b)the [F91UK national accreditation body].

(2)The Commissioner may only accredit a person as a certification provider where the Commissioner—

(a)has published a statement that the Commissioner will carry out such accreditation, and

(b)has not published a notice withdrawing that statement.

(3)The [F92UK national accreditation body] may only accredit a person as a certification provider where the Commissioner—

(a)has published a statement that the body may carry out such accreditation, and

(b)has not published a notice withdrawing that statement.

(4)The publication of a notice under subsection (2)(b) or (3)(b) does not affect the validity of any accreditation carried out before its publication.

(5)Schedule 5 makes provision about reviews of, and appeals from, a decision relating to accreditation of a person as a certification provider.

(6)The [F93UK national accreditation body] may charge a reasonable fee in connection with, or incidental to, the carrying out of the body's functions under this section, Schedule 5 and Article 43 of the [F94UK GDPR].

(7)The [F95UK national accreditation body] must provide the Secretary of State with such information relating to its functions under this section, Schedule 5 and Article 43 of the [F96UK GDPR] as the Secretary of State may reasonably require.

(8)In this section—

Textual Amendments

Transfers of personal data to third countries etcU.K.

[F9917ATransfers based on adequacy regulationsU.K.

(1)The Secretary of State may by regulations specify any of the following which the Secretary of State considers ensures an adequate level of protection of personal data—

(a)a third country,

(b)a territory or one or more sectors within a third country,

(c)an international organisation, or

(d)a description of such a country, territory, sector or organisation.

(2)For the purposes of the UK GDPR and this Part of this Act, a transfer of personal data to a third country or an international organisation is based on adequacy regulations if, at the time of the transfer, regulations made under this section are in force which specify, or specify a description which includes—

(a)in the case of a third country, the country or a relevant territory or sector within the country, or

(b)in the case of an international organisation, the organisation.

(3)Regulations under this section may specify that the Secretary of State considers that an adequate level of protection of personal data is ensured only for a transfer specified or described in the regulations and, if they do so, only such a transfer may rely on those regulations for the purposes of subsection (2).

(4)Article 45(2) of the UK GDPR makes provision about the assessment of the adequacy of the level of protection for the purposes of this section and section 17B.

(5)Regulations under this section—

(a)where they relate to a third country, must specify their territorial and sectoral application;

(b)where applicable, must specify the independent supervisory authority or authorities referred to in Article 45(2)(b) of the UK GDPR.

(6)Regulations under this section may, among other things—

(a)provide that in relation to a country, territory, sector, organisation or transfer specified, or falling within a description specified, in the regulations, section 17B(1) has effect as if it required the reviews described there to be carried out at such shorter intervals as are specified in the regulations;

(b)identify a transfer of personal data by any means, including by reference to the controller or processor, the recipient, the personal data transferred or the means by which the transfer is made or by reference to relevant legislation, lists or other documents, as they have effect from time to time;

(c)confer a discretion on a person.

(7)Regulations under this section are subject to the negative resolution procedure.]

Textual Amendments

[F9917BTransfers based on adequacy regulations: review etcU.K.

(1)For so long as regulations under section 17A are in force which specify, or specify a description which includes, a third country, a territory or sector within a third country or an international organisation, the Secretary of State must carry out a review of whether the country, territory, sector or organisation ensures an adequate level of protection of personal data at intervals of not more than 4 years.

(2)Each review under subsection (1) must take into account all relevant developments in the third country or international organisation.

(3)The Secretary of State must, on an ongoing basis, monitor developments in third countries and international organisations that could affect decisions to make regulations under section 17A or to amend or revoke such regulations.

(4)Where the Secretary of State becomes aware that a country, territory, sector or organisation specified, or falling within a description specified, in regulations under section 17A no longer ensures an adequate level of protection of personal data, whether as a result of a review under this section or otherwise, the Secretary of State must, to the extent necessary, amend or revoke the regulations.

(5)Where regulations under section 17A are amended or revoked in accordance with subsection (4), the Secretary of State must enter into consultations with the third country or international organisation concerned with a view to remedying the lack of an adequate level of protection.

(6)The Secretary of State must publish—

(a)a list of the third countries, territories and specified sectors within a third country and international organisations, and the descriptions of such countries, territories, sectors and organisations, which are for the time being specified in regulations under section 17A, and

(b)a list of the third countries, territories and specified sectors within a third country and international organisations, and the descriptions of such countries, territories, sectors and organisations, which have been but are no longer specified in such regulations.

(7)In the case of regulations under section 17A which specify that an adequate level of protection of personal data is ensured only for a transfer specified or described in the regulations—

(a)the duty under subsection (1) is only to carry out a review of the level of protection ensured for such a transfer, and

(b)the lists published under subsection (6) must specify or describe the relevant transfers.]

Textual Amendments

[F9917CStandard data protection clausesU.K.

(1)The Secretary of State may by regulations specify standard data protection clauses which the Secretary of State considers provide appropriate safeguards for the purposes of transfers of personal data to a third country or an international organisation in reliance on Article 46 of the UK GDPR (and see also section 119A).

(2)The Secretary of State must keep under review the standard data protection clauses specified in regulations under this section that are for the time being in force.

(3)Regulations under this section are subject to the negative resolution procedure.]

Textual Amendments

18Transfers of personal data to third countries etc [F100: public interest]U.K.

(1)The Secretary of State may by regulations specify, for the purposes of Article 49(1)(d) of the [F101UK GDPR]—

(a)circumstances in which a transfer of personal data to a third country or international organisation is to be taken to be necessary for important reasons of public interest, and

(b)circumstances in which a transfer of personal data to a third country or international organisation which is not required by an enactment is not to be taken to be necessary for important reasons of public interest.

(2)The Secretary of State may by regulations restrict the transfer of a category of personal data to a third country or international organisation where—

[F102(a)the transfer cannot take place based on adequacy regulations (see section 17A),] and

(b)the Secretary of State considers the restriction to be necessary for important reasons of public interest.

(3)Regulations under this section—

(a)are subject to the made affirmative resolution procedure where the Secretary of State has made an urgency statement in respect of them;

(b)are otherwise subject to the affirmative resolution procedure.

(4)For the purposes of this section, an urgency statement is a reasoned statement that the Secretary of State considers it desirable for the regulations to come into force without delay.

Textual Amendments

Commencement Information

I6S. 18 in force at Royal Assent for specified purposes, see s. 212(2)(f)

Specific processing situationsU.K.

19Processing for archiving, research and statistical purposes: safeguardsU.K.

(1)This section makes provision about—

(a)processing of personal data that is necessary for archiving purposes in the public interest,

(b)processing of personal data that is necessary for scientific or historical research purposes, and

(c)processing of personal data that is necessary for statistical purposes.

(2)Such processing does not satisfy the requirement in Article 89(1) of the [F103UK GDPR] for the processing to be subject to appropriate safeguards for the rights and freedoms of the data subject if it is likely to cause substantial damage or substantial distress to a data subject.

(3)Such processing does not satisfy that requirement if the processing is carried out for the purposes of measures or decisions with respect to a particular data subject, unless the purposes for which the processing is necessary include the purposes of approved medical research.

(4)In this section—

(5)The Secretary of State may by regulations change the meaning of “approved medical research” for the purposes of this section, including by amending subsection (4).

(6)Regulations under subsection (5) are subject to the affirmative resolution procedure.

Textual Amendments

Commencement Information

I7S. 19 in force at Royal Assent for specified purposes, see s. 212(2)(f)

Minor definitionU.K.

20Meaning of “court”U.K.

Section 5(1) (terms used in [F104this Part] to have the same meaning as in the [F105UK GDPR]) does not apply to references in [F104this Part] to a court and, accordingly, such references do not include a tribunal.

Textual Amendments

CHAPTER 3U.K.[F106Exemptions for manual unstructured processing and for national security and defence purposes]

Textual Amendments

Modifications etc. (not altering text)

C8Pt. 2 Ch. 3 applied (31.12.2020) by Regulation (EU) No. 625/2017, Art. 143 (as substituted by The Official Controls (Animals, Feed and Food, Plant Health etc.) (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1481), regs. 1, 27(3) (with reg. 46))

[F107Definitions]U.K.

Textual Amendments

21[F108Definitions]U.K.

F109(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F109(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F109(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F109(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5)In this Chapter, “FOI public authority” means—

(a)a public authority as defined in the Freedom of Information Act 2000, F110...

(b)a Scottish public authority as defined in the Freedom of Information (Scotland) Act 2002 (asp 13) [F111, or

(c)the Advanced Research and Invention Agency].

(6)References in this Chapter to personal data “held” by an FOI public authority are to be interpreted—

(a)in relation to England and Wales and Northern Ireland, in accordance with section 3(2) of the Freedom of Information Act 2000, and

(b)in relation to Scotland, in accordance with section 3(2), (4) and (5) of the Freedom of Information (Scotland) Act 2002 (asp 13),

but such references do not include information held by an intelligence service (as defined in section 82) on behalf of an FOI public authority.

(7)But personal data is not to be treated as “held” by an FOI public authority for the purposes of this Chapter, where—

(a)section 7 of the Freedom of Information Act 2000 prevents Parts 1 to 5 of that Act from applying to the personal data, or

(b)section 7(1) of the Freedom of Information (Scotland) Act 2002 (asp 13) prevents that Act from applying to the personal data.

[F112(8)In relation to the Advanced Research and Invention Agency—

(a)for the purposes of subsection (6)(a)—

(i)section 3(2) of the Freedom of Information Act 2000 is to be read as if “public authority” included that Agency, and

(ii)section 3(2) of the Freedom of Information (Scotland) Act 2002 (asp 13) is to be read as if “authority” included that Agency, and

(b)subsection (7) does not apply.]

Textual Amendments

F113...U.K.

Textual Amendments

F11322Application of the GDPR to processing to which this Chapter appliesU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F11423Power to make provision in consequence of regulations related to the GDPRU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Exemptions etcU.K.

24Manual unstructured data held by FOI public authoritiesU.K.

(1)The provisions of [F115the UK GDPR] and this Act listed in subsection (2) do not apply to personal data to which [F116the UK GDPR] applies by virtue of [F117Article 2(1A)] (manual unstructured personal data held by FOI public authorities).

(2)Those provisions are—

(a)in Chapter II of [F118the UK GDPR] (principles)—

(i)Article 5(1)(a) to (c), (e) and (f) (principles relating to processing, other than the accuracy principle),

(ii)Article 6 (lawfulness),

(iii)Article 7 (conditions for consent),

(iv)Article 8(1) and (2) (child's consent),

(v)Article 9 (processing of special categories of personal data),

(vi)Article 10 (data relating to criminal convictions etc), and

(vii)Article 11(2) (processing not requiring identification);

(b)in Chapter III of [F119the UK GDPR] (rights of the data subject)—

(i)Article 13(1) to (3) (personal data collected from data subject: information to be provided),

(ii)Article 14(1) to (4) (personal data collected other than from data subject: information to be provided),

(iii)Article 20 (right to data portability), and

(iv)Article 21(1) (objections to processing);

(c)in Chapter V of [F120the UK GDPR], Articles 44 to 49 (transfers of personal data to third countries or international organisations);

[F121(ca)in Part 2 of this Act, sections 17A, 17B and 17C (transfers to third countries);

(cb)in Part 5 of this Act, section 119A (standard clauses for transfers to third countries);]

[F122(d)in Part 7 of this Act, sections 170 and 171 (offences relating to personal data).]

(see also paragraph 1(2) of Schedule 18).

(3)In addition, the provisions of [F123the UK GDPR] listed in subsection (4) do not apply to personal data to which [F124the UK GDPR] applies by virtue of [F125Article 2(1A)] where the personal data relates to appointments, removals, pay, discipline, superannuation or other personnel matters in relation to—

(a)service in any of the armed forces of the Crown;

(b)service in any office or employment under the Crown or under any public authority;

(c)service in any office or employment, or under any contract for services, in respect of which power to take action, or to determine or approve the action taken, in such matters is vested in—

(i)Her Majesty,

(ii)a Minister of the Crown,

(iii)the National Assembly for Wales,

(iv)the Welsh Ministers,

(v)a Northern Ireland Minister (within the meaning of the Freedom of Information Act 2000), or

(vi)an FOI public authority.

(4)Those provisions are—

(a)the remaining provisions of Chapters II and III (principles and rights of the data subject);

(b)Chapter IV (controller and processor);

(c)Chapter IX (specific processing situations).

(5)A controller is not obliged to comply with Article 15(1) to (3) of [F126the UK GDPR] (right of access by the data subject) in relation to personal data to which [F127the UK GDPR] applies by virtue of [F128Article 2(1A)] if—

(a)the request under [F129Article 15] does not contain a description of the personal data, or

(b)the controller estimates that the cost of complying with the request so far as relating to the personal data would exceed the appropriate maximum.

(6)Subsection (5)(b) does not remove the controller's obligation to confirm whether or not personal data concerning the data subject is being processed unless the estimated cost of complying with that obligation alone in relation to the personal data would exceed the appropriate maximum.

(7)An estimate for the purposes of this section must be made in accordance with regulations under section 12(5) of the Freedom of Information Act 2000.

(8)In subsections (5) and (6), “the appropriate maximum” means the maximum amount specified by the Secretary of State by regulations.

(9)Regulations under subsection (8) are subject to the negative resolution procedure.

Textual Amendments

Commencement Information

I8S. 24 in force at Royal Assent for specified purposes, see s. 212(2)(f)

25Manual unstructured data used in longstanding historical researchU.K.

(1)The provisions of [F130the UK GDPR] listed in subsection (2) do not apply to personal data to which [F131the UK GDPR] applies by virtue of [F132Article 2(1A)] (manual unstructured personal data held by FOI public authorities) at any time when—

(a)the personal data—

(i)is subject to processing which was already underway immediately before 24 October 1998, and

(ii)is processed only for the purposes of historical research, and

(b)the processing is not carried out—

(i)for the purposes of measures or decisions with respect to a particular data subject, or

(ii)in a way that causes, or is likely to cause, substantial damage or substantial distress to a data subject.

(2)Those provisions are—

(a)in Chapter II F133...(principles), Article 5(1)(d) (the accuracy principle), and

(b)in Chapter III F134... (rights of the data subject)—

(i)Article 16 (right to rectification), and

(ii)Article 17(1) and (2) (right to erasure).

(3)The exemptions in this section apply in addition to the exemptions in section 24.

Textual Amendments

26National security and defence exemptionU.K.

(1)A provision of [F135the UK GDPR] or this Act mentioned in subsection (2) does not apply to personal data to which [F136the UK GDPR] applies if exemption from the provision is required for—

(a)the purpose of safeguarding national security, or

(b)defence purposes.

(2)The provisions are—

(a)Chapter II of [F137the UK GDPR] (principles) except for—

(i)Article 5(1)(a) (lawful, fair and transparent processing), so far as it requires processing of personal data to be lawful;

(ii)Article 6 (lawfulness of processing);

(iii)Article 9 (processing of special categories of personal data);

(b)Chapter III of [F138the UK GDPR] (rights of data subjects);

(c)in Chapter IV of [F139the UK GDPR]—

(i)Article 33 (notification of personal data breach to the Commissioner);

(ii)Article 34 (communication of personal data breach to the data subject);

(d)Chapter V of [F140the UK GDPR] (transfers of personal data to third countries or international organisations);

(e)in Chapter VI of [F141the UK GDPR]—

(i)Article 57(1)(a) and (h) (Commissioner's duties to monitor and enforce [F141the UK GDPR] and to conduct investigations);

(ii)Article 58 (investigative, corrective, authorisation and advisory powers of Commissioner);

(f)Chapter VIII of [F142the UK GDPR] (remedies, liabilities and penalties) except for—

(i)Article 83 (general conditions for imposing administrative fines);

(ii)Article 84 (penalties);

[F143(fa)in Part 2 of this Act, sections 17A, 17B and 17C (transfers to third countries);]

(g)in Part 5 of this Act—

(i)in section 115 (general functions of the Commissioner), subsections (3) and (8);

(ii)in section 115, subsection (9), so far as it relates to Article 58(2)(i) of [F144the UK GDPR];

(iii)section 119 (inspection in accordance with international obligations);

[F145(iv)section 119A (standard clauses for transfers to third countries);]

(h)in Part 6 of this Act—

(i)sections 142 to 154 and Schedule 15 (Commissioner's notices and powers of entry and inspection);

(ii)sections 170 to 173 (offences relating to personal data);

(i)in Part 7 of this Act, section 187 (representation of data subjects).

Textual Amendments

27National security: certificateU.K.

(1)Subject to subsection (3), a certificate signed by a Minister of the Crown certifying that exemption from all or any of the provisions listed in section 26(2) is, or at any time was, required in relation to any personal data for the purpose of safeguarding national security is conclusive evidence of that fact.

(2)A certificate under subsection (1)—

(a)may identify the personal data to which it applies by means of a general description, and

(b)may be expressed to have prospective effect.

(3)Any person directly affected by a certificate under subsection (1) may appeal to the Tribunal against the certificate.

(4)If, on an appeal under subsection (3), the Tribunal finds that, applying the principles applied by a court on an application for judicial review, the Minister did not have reasonable grounds for issuing a certificate, the Tribunal may—

(a)allow the appeal, and

(b)quash the certificate.

(5)Where, in any proceedings under or by virtue of [F146the UK GDPR] or this Act, it is claimed by a controller that a certificate under subsection (1) which identifies the personal data to which it applies by means of a general description applies to any personal data, another party to the proceedings may appeal to the Tribunal on the ground that the certificate does not apply to the personal data in question.

(6)But, subject to any determination under subsection (7), the certificate is to be conclusively presumed so to apply.

(7)On an appeal under subsection (5), the Tribunal may determine that the certificate does not so apply.

(8)A document purporting to be a certificate under subsection (1) is to be—

(a)received in evidence, and

(b)deemed to be such a certificate unless the contrary is proved.

(9)A document which purports to be certified by or on behalf of a Minister of the Crown as a true copy of a certificate issued by that Minister under subsection (1) is—

(a)in any legal proceedings, evidence of that certificate;

(b)in any legal proceedings in Scotland, sufficient evidence of that certificate.

(10)The power conferred by subsection (1) on a Minister of the Crown is exercisable only by—

(a)a Minister who is a member of the Cabinet, or

(b)the Attorney General or the Advocate General for Scotland.

Textual Amendments

28National security and defence: modifications to Articles 9 and 32 of the [F147UK GDPR] U.K.

(1)Article 9(1) of [F148the UK GDPR] (prohibition on processing of special categories of personal data) does not prohibit the processing of personal data to which [F149the UK GDPR] applies to the extent that the processing is carried out—

(a)for the purpose of safeguarding national security or for defence purposes, and

(b)with appropriate safeguards for the rights and freedoms of data subjects.

(2)Article 32 of [F150the UK GDPR] (security of processing) does not apply to a controller or processor to the extent that the controller or the processor (as the case may be) is processing personal data to which [F151the UK GDPR] applies for—

(a)the purpose of safeguarding national security, or

(b)defence purposes.

(3)Where Article 32 of [F152the UK GDPR] does not apply, the controller or the processor must implement security measures appropriate to the risks arising from the processing of the personal data.

(4)For the purposes of subsection (3), where the processing of personal data is carried out wholly or partly by automated means, the controller or the processor must, following an evaluation of the risks, implement measures designed to—

(a)prevent unauthorised processing or unauthorised interference with the systems used in connection with the processing,

(b)ensure that it is possible to establish the precise details of any processing that takes place,

(c)ensure that any systems used in connection with the processing function properly and may, in the case of interruption, be restored, and

(d)ensure that stored personal data cannot be corrupted if a system used in connection with the processing malfunctions.

[F153(5)The functions conferred on the Commissioner in relation to the UK GDPR by Articles 57(1)(a), (d), (e), (h) and (u) and 58(1)(d) and (2)(a) to (d) of the UK GDPR (which are subject to safeguards set out in section 115) include functions in relation to subsection (3).]

Textual Amendments

PART 3 U.K.Law enforcement processing

CHAPTER 1U.K.Scope and definitions

ScopeU.K.

29Processing to which this Part appliesU.K.

(1)This Part applies to—

(a)the processing by a competent authority of personal data wholly or partly by automated means, and

(b)the processing by a competent authority otherwise than by automated means of personal data which forms part of a filing system or is intended to form part of a filing system.

(2)Any reference in this Part to the processing of personal data is to processing to which this Part applies.

(3)For the meaning of “competent authority”, see section 30.

DefinitionsU.K.

30Meaning of “competent authority”U.K.

(1)In this Part, “competent authority” means—

(a)a person specified or described in Schedule 7, and

(b)any other person if and to the extent that the person has statutory functions for any of the law enforcement purposes.

(2)But an intelligence service is not a competent authority within the meaning of this Part.

(3)The Secretary of State may by regulations amend Schedule 7—

(a)so as to add or remove a person or description of person;

(b)so as to reflect any change in the name of a person specified in the Schedule.

(4)Regulations under subsection (3) which make provision of the kind described in subsection (3)(a) may also make consequential amendments of section 73(4)(b).

(5)Regulations under subsection (3) which make provision of the kind described in subsection (3)(a), or which make provision of that kind and of the kind described in subsection (3)(b), are subject to the affirmative resolution procedure.

(6)Regulations under subsection (3) which make provision only of the kind described in subsection (3)(b) are subject to the negative resolution procedure.

(7)In this section—

Commencement Information

I9S. 30 in force at Royal Assent for specified purposes, see s. 212(2)(f)

31“The law enforcement purposes”U.K.

For the purposes of this Part, “the law enforcement purposes” are the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, including the safeguarding against and the prevention of threats to public security.

32Meaning of “controller” and “processor”U.K.

(1)In this Part, “controller” means the competent authority which, alone or jointly with others—

(a)determines the purposes and means of the processing of personal data, or

(b)is the controller by virtue of subsection (2).

(2)Where personal data is processed only—

(a)for purposes for which it is required by an enactment to be processed, and

(b)by means by which it is required by an enactment to be processed,

the competent authority on which the obligation to process the data is imposed by the enactment (or, if different, one of the enactments) is the controller.

(3)In this Part, “processor” means any person who processes personal data on behalf of the controller (other than a person who is an employee of the controller).

33Other definitionsU.K.

(1)This section defines certain other expressions used in this Part.

(2)“Employee”, in relation to any person, includes an individual who holds a position (whether paid or unpaid) under the direction and control of that person.

(3)“Personal data breach” means a breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed.

(4)“Profiling” means any form of automated processing of personal data consisting of the use of personal data to evaluate certain personal aspects relating to an individual, in particular to analyse or predict aspects concerning that individual's performance at work, economic situation, health, personal preferences, interests, reliability, behaviour, location or movements.

(5)“Recipient”, in relation to any personal data, means any person to whom the data is disclosed, whether a third party or not, but it does not include a public authority to whom disclosure is or may be made in the framework of a particular inquiry in accordance with the law.

(6)“Restriction of processing” means the marking of stored personal data with the aim of limiting its processing for the future.

(7)“Third country” means a country or territory [F154outside the United Kingdom].

(8)Sections 3 and 205 include definitions of other expressions used in this Part.

Textual Amendments

CHAPTER 2U.K.Principles

34Overview and general duty of controllerU.K.

(1)This Chapter sets out the six data protection principles as follows—

(a)section 35(1) sets out the first data protection principle (requirement that processing be lawful and fair);

(b)section 36(1) sets out the second data protection principle (requirement that purposes of processing be specified, explicit and legitimate);

(c)section 37 sets out the third data protection principle (requirement that personal data be adequate, relevant and not excessive);

(d)section 38(1) sets out the fourth data protection principle (requirement that personal data be accurate and kept up to date);

(e)section 39(1) sets out the fifth data protection principle (requirement that personal data be kept for no longer than is necessary);

(f)section 40 sets out the sixth data protection principle (requirement that personal data be processed in a secure manner).

(2)In addition—

(a)each of sections 35, 36, 38 and 39 makes provision to supplement the principle to which it relates, and

(b)sections 41 and 42 make provision about the safeguards that apply in relation to certain types of processing.

(3)The controller in relation to personal data is responsible for, and must be able to demonstrate, compliance with this Chapter.

35The first data protection principleU.K.

(1)The first data protection principle is that the processing of personal data for any of the law enforcement purposes must be lawful and fair.

(2)The processing of personal data for any of the law enforcement purposes is lawful only if and to the extent that it is based on law and either—

(a)the data subject has given consent to the processing for that purpose, or

(b)the processing is necessary for the performance of a task carried out for that purpose by a competent authority.

(3)In addition, where the processing for any of the law enforcement purposes is sensitive processing, the processing is permitted only in the two cases set out in subsections (4) and (5).

(4)The first case is where—

(a)the data subject has given consent to the processing for the law enforcement purpose as mentioned in subsection (2)(a), and

(b)at the time when the processing is carried out, the controller has an appropriate policy document in place (see section 42).

(5)The second case is where—

(a)the processing is strictly necessary for the law enforcement purpose,

(b)the processing meets at least one of the conditions in Schedule 8, and

(c)at the time when the processing is carried out, the controller has an appropriate policy document in place (see section 42).

(6)The Secretary of State may by regulations amend Schedule 8—

(a)by adding conditions;

(b)by omitting conditions added by regulations under paragraph (a).

(7)Regulations under subsection (6) are subject to the affirmative resolution procedure.

(8)In this section, “sensitive processing” means—

(a)the processing of personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs or trade union membership;

(b)the processing of genetic data, or of biometric data, for the purpose of uniquely identifying an individual;

(c)the processing of data concerning health;

(d)the processing of data concerning an individual's sex life or sexual orientation.

Commencement Information

I10S. 35 in force at Royal Assent for specified purposes, see s. 212(2)(f)

36The second data protection principleU.K.

(1)The second data protection principle is that—

(a)the law enforcement purpose for which personal data is collected on any occasion must be specified, explicit and legitimate, and

(b)personal data so collected must not be processed in a manner that is incompatible with the purpose for which it was collected.

(2)Paragraph (b) of the second data protection principle is subject to subsections (3) and (4).

(3)Personal data collected for a law enforcement purpose may be processed for any other law enforcement purpose (whether by the controller that collected the data or by another controller) provided that—

(a)the controller is authorised by law to process the data for the other purpose, and

(b)the processing is necessary and proportionate to that other purpose.

(4)Personal data collected for any of the law enforcement purposes may not be processed for a purpose that is not a law enforcement purpose unless the processing is authorised by law.

37The third data protection principleU.K.

The third data protection principle is that personal data processed for any of the law enforcement purposes must be adequate, relevant and not excessive in relation to the purpose for which it is processed.

38The fourth data protection principleU.K.

(1)The fourth data protection principle is that—

(a)personal data processed for any of the law enforcement purposes must be accurate and, where necessary, kept up to date, and

(b)every reasonable step must be taken to ensure that personal data that is inaccurate, having regard to the law enforcement purpose for which it is processed, is erased or rectified without delay.

(2)In processing personal data for any of the law enforcement purposes, personal data based on facts must, so far as possible, be distinguished from personal data based on personal assessments.

(3)In processing personal data for any of the law enforcement purposes, a clear distinction must, where relevant and as far as possible, be made between personal data relating to different categories of data subject, such as—

(a)persons suspected of having committed or being about to commit a criminal offence;

(b)persons convicted of a criminal offence;

(c)persons who are or may be victims of a criminal offence;

(d)witnesses or other persons with information about offences.

(4)All reasonable steps must be taken to ensure that personal data which is inaccurate, incomplete or no longer up to date is not transmitted or made available for any of the law enforcement purposes.

(5)For that purpose—

(a)the quality of personal data must be verified before it is transmitted or made available,

(b)in all transmissions of personal data, the necessary information enabling the recipient to assess the degree of accuracy, completeness and reliability of the data and the extent to which it is up to date must be included, and

(c)if, after personal data has been transmitted, it emerges that the data was incorrect or that the transmission was unlawful, the recipient must be notified without delay.

39The fifth data protection principleU.K.

(1)The fifth data protection principle is that personal data processed for any of the law enforcement purposes must be kept for no longer than is necessary for the purpose for which it is processed.

(2)Appropriate time limits must be established for the periodic review of the need for the continued storage of personal data for any of the law enforcement purposes.

40The sixth data protection principleU.K.

The sixth data protection principle is that personal data processed for any of the law enforcement purposes must be so processed in a manner that ensures appropriate security of the personal data, using appropriate technical or organisational measures (and, in this principle, “appropriate security” includes protection against unauthorised or unlawful processing and against accidental loss, destruction or damage).

41Safeguards: archivingU.K.

(1)This section applies in relation to the processing of personal data for a law enforcement purpose where the processing is necessary—

(a)for archiving purposes in the public interest,

(b)for scientific or historical research purposes, or

(c)for statistical purposes.

(2)The processing is not permitted if—

(a)it is carried out for the purposes of, or in connection with, measures or decisions with respect to a particular data subject, or

(b)it is likely to cause substantial damage or substantial distress to a data subject.

42Safeguards: sensitive processingU.K.

(1)This section applies for the purposes of section 35(4) and (5) (which require a controller to have an appropriate policy document in place when carrying out sensitive processing in reliance on the consent of the data subject or, as the case may be, in reliance on a condition specified in Schedule 8).

(2)The controller has an appropriate policy document in place in relation to the sensitive processing if the controller has produced a document which—

(a)explains the controller's procedures for securing compliance with the data protection principles (see section 34(1)) in connection with sensitive processing in reliance on the consent of the data subject or (as the case may be) in reliance on the condition in question, and

(b)explains the controller's policies as regards the retention and erasure of personal data processed in reliance on the consent of the data subject or (as the case may be) in reliance on the condition in question, giving an indication of how long such personal data is likely to be retained.

(3)Where personal data is processed on the basis that an appropriate policy document is in place, the controller must during the relevant period—

(a)retain the appropriate policy document,

(b)review and (if appropriate) update it from time to time, and

(c)make it available to the Commissioner, on request, without charge.

(4)The record maintained by the controller under section 61(1) and, where the sensitive processing is carried out by a processor on behalf of the controller, the record maintained by the processor under section 61(3) must include the following information—

(a)whether the sensitive processing is carried out in reliance on the consent of the data subject or, if not, which condition in Schedule 8 is relied on,

(b)how the processing satisfies section 35 (lawfulness of processing), and

(c)whether the personal data is retained and erased in accordance with the policies described in subsection (2)(b) and, if it is not, the reasons for not following those policies.

(5)In this section, “relevant period”, in relation to sensitive processing in reliance on the consent of the data subject or in reliance on a condition specified in Schedule 8, means a period which—

(a)begins when the controller starts to carry out the sensitive processing in reliance on the data subject's consent or (as the case may be) in reliance on that condition, and

(b)ends at the end of the period of 6 months beginning when the controller ceases to carry out the processing.

CHAPTER 3U.K.Rights of the data subject

Overview and scopeU.K.

43Overview and scopeU.K.

(1)This Chapter—

(a)imposes general duties on the controller to make information available (see section 44);

(b)confers a right of access by the data subject (see section 45);

(c)confers rights on the data subject with respect to the rectification of personal data and the erasure of personal data or the restriction of its processing (see sections 46 to 48);

(d)regulates automated decision-making (see sections 49 and 50);

(e)makes supplementary provision (see sections 51 to 54).

(2)This Chapter applies only in relation to the processing of personal data for a law enforcement purpose.

(3)But sections 44 to 48 do not apply in relation to the processing of relevant personal data in the course of a criminal investigation or criminal proceedings, including proceedings for the purpose of executing a criminal penalty.

(4)In subsection (3), “relevant personal data” means personal data contained in a judicial decision or in other documents relating to the investigation or proceedings which are created by or on behalf of a court or other judicial authority.

(5)In this Chapter, “the controller”, in relation to a data subject, means the controller in relation to personal data relating to the data subject.

Information: controller's general dutiesU.K.

44Information: controller's general dutiesU.K.

(1)The controller must make available to data subjects the following information (whether by making the information generally available to the public or in any other way)—

(a)the identity and the contact details of the controller;

(b)where applicable, the contact details of the data protection officer (see sections 69 to 71);

(c)the purposes for which the controller processes personal data;

(d)the existence of the rights of data subjects to request from the controller—

(i)access to personal data (see section 45),

(ii)rectification of personal data (see section 46), and

(iii)erasure of personal data or the restriction of its processing (see section 47);

(e)the existence of the right to lodge a complaint with the Commissioner and the contact details of the Commissioner.

(2)The controller must also, in specific cases for the purpose of enabling the exercise of a data subject's rights under this Part, give the data subject the following—

(a)information about the legal basis for the processing;

(b)information about the period for which the personal data will be stored or, where that is not possible, about the criteria used to determine that period;

(c)where applicable, information about the categories of recipients of the personal data (including recipients in third countries or international organisations);

(d)such further information as is necessary to enable the exercise of the data subject's rights under this Part.

(3)An example of where further information may be necessary as mentioned in subsection (2)(d) is where the personal data being processed was collected without the knowledge of the data subject.

(4)The controller may restrict, wholly or partly, the provision of information to the data subject under subsection (2) to the extent that and for so long as the restriction is, having regard to the fundamental rights and legitimate interests of the data subject, a necessary and proportionate measure to—

(a)avoid obstructing an official or legal inquiry, investigation or procedure;

(b)avoid prejudicing the prevention, detection, investigation or prosecution of criminal offences or the execution of criminal penalties;

(c)protect public security;

(d)protect national security;

(e)protect the rights and freedoms of others.

(5)Where the provision of information to a data subject under subsection (2) is restricted, wholly or partly, the controller must inform the data subject in writing without undue delay—

(a)that the provision of information has been restricted,

(b)of the reasons for the restriction,

(c)of the data subject's right to make a request to the Commissioner under section 51,

(d)of the data subject's right to lodge a complaint with the Commissioner, and

(e)of the data subject's right to apply to a court under section 167.

(6)Subsection (5)(a) and (b) do not apply to the extent that complying with them would undermine the purpose of the restriction.

(7)The controller must—

(a)record the reasons for a decision to restrict (whether wholly or partly) the provision of information to a data subject under subsection (2), and

(b)if requested to do so by the Commissioner, make the record available to the Commissioner.

Data subject's right of accessU.K.

45Right of access by the data subjectU.K.

(1)A data subject is entitled to obtain from the controller—

(a)confirmation as to whether or not personal data concerning him or her is being processed, and

(b)where that is the case, access to the personal data and the information set out in subsection (2).

(2)That information is—

(a)the purposes of and legal basis for the processing;

(b)the categories of personal data concerned;

(c)the recipients or categories of recipients to whom the personal data has been disclosed (including recipients or categories of recipients in third countries or international organisations);

(d)the period for which it is envisaged that the personal data will be stored or, where that is not possible, the criteria used to determine that period;

(e)the existence of the data subject's rights to request from the controller—

(i)rectification of personal data (see section 46), and

(ii)erasure of personal data or the restriction of its processing (see section 47);

(f)the existence of the data subject's right to lodge a complaint with the Commissioner and the contact details of the Commissioner;

(g)communication of the personal data undergoing processing and of any available information as to its origin.

(3)Where a data subject makes a request under subsection (1), the information to which the data subject is entitled must be provided in writing —

(a)without undue delay, and

(b)in any event, before the end of the applicable time period (as to which see section 54).

(4)The controller may restrict, wholly or partly, the rights conferred by subsection (1) to the extent that and for so long as the restriction is, having regard to the fundamental rights and legitimate interests of the data subject, a necessary and proportionate measure to—

(a)avoid obstructing an official or legal inquiry, investigation or procedure;

(b)avoid prejudicing the prevention, detection, investigation or prosecution of criminal offences or the execution of criminal penalties;

(c)protect public security;

(d)protect national security;

(e)protect the rights and freedoms of others.

(5)Where the rights of a data subject under subsection (1) are restricted, wholly or partly, the controller must inform the data subject in writing without undue delay—

(a)that the rights of the data subject have been restricted,

(b)of the reasons for the restriction,

(c)of the data subject's right to make a request to the Commissioner under section 51,

(d)of the data subject's right to lodge a complaint with the Commissioner, and

(e)of the data subject's right to apply to a court under section 167.

(6)Subsection (5)(a) and (b) do not apply to the extent that the provision of the information would undermine the purpose of the restriction.

(7)The controller must—

(a)record the reasons for a decision to restrict (whether wholly or partly) the rights of a data subject under subsection (1), and

(b)if requested to do so by the Commissioner, make the record available to the Commissioner.

Data subject's rights to rectification or erasure etcU.K.

46Right to rectificationU.K.

(1)The controller must, if so requested by a data subject, rectify without undue delay inaccurate personal data relating to the data subject.

(2)Where personal data is inaccurate because it is incomplete, the controller must, if so requested by a data subject, complete it.

(3)The duty under subsection (2) may, in appropriate cases, be fulfilled by the provision of a supplementary statement.

(4)Where the controller would be required to rectify personal data under this section but the personal data must be maintained for the purposes of evidence, the controller must (instead of rectifying the personal data) restrict its processing.

47Right to erasure or restriction of processingU.K.

(1)The controller must erase personal data without undue delay where—

(a)the processing of the personal data would infringe section 35, 36(1) to (3), 37, 38(1), 39(1), 40, 41 or 42, or

(b)the controller has a legal obligation to erase the data.

(2)Where the controller would be required to erase personal data under subsection (1) but the personal data must be maintained for the purposes of evidence, the controller must (instead of erasing the personal data) restrict its processing.

(3)Where a data subject contests the accuracy of personal data (whether in making a request under this section or section 46 or in any other way), but it is not possible to ascertain whether it is accurate or not, the controller must restrict its processing.

(4)A data subject may request the controller to erase personal data or to restrict its processing (but the duties of the controller under this section apply whether or not such a request is made).

48Rights under section 46 or 47: supplementaryU.K.

(1)Where a data subject requests the rectification or erasure of personal data or the restriction of its processing, the controller must inform the data subject in writing—

(a)whether the request has been granted, and

(b)if it has been refused—

(i)of the reasons for the refusal,

(ii)of the data subject's right to make a request to the Commissioner under section 51,

(iii)of the data subject's right to lodge a complaint with the Commissioner, and

(iv)of the data subject's right to apply to a court under section 167.

(2)The controller must comply with the duty under subsection (1)—

(a)without undue delay, and

(b)in any event, before the end of the applicable time period (see section 54).

(3)The controller may restrict, wholly or partly, the provision of information to the data subject under subsection (1)(b)(i) to the extent that and for so long as the restriction is, having regard to the fundamental rights and legitimate interests of the data subject, a necessary and proportionate measure to—

(a)avoid obstructing an official or legal inquiry, investigation or procedure;

(b)avoid prejudicing the prevention, detection, investigation or prosecution of criminal offences or the execution of criminal penalties;

(c)protect public security;

(d)protect national security;

(e)protect the rights and freedoms of others.

(4)Where the rights of a data subject under subsection (1) are restricted, wholly or partly, the controller must inform the data subject in writing without undue delay—

(a)that the rights of the data subject have been restricted,

(b)of the reasons for the restriction,

(c)of the data subject's right to lodge a complaint with the Commissioner, and

(d)of the data subject's right to apply to a court under section 167.

(5)Subsection (4)(a) and (b) do not apply to the extent that the provision of the information would undermine the purpose of the restriction.

(6)The controller must—

(a)record the reasons for a decision to restrict (whether wholly or partly) the provision of information to a data subject under subsection (1)(b)(i), and

(b)if requested to do so by the Commissioner, make the record available to the Commissioner.

(7)Where the controller rectifies personal data, it must notify the competent authority (if any) from which the inaccurate personal data originated.

F155(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(9)Where the controller rectifies, erases or restricts the processing of personal data which has been disclosed by the controller—

(a)the controller must notify the recipients, and

(b)the recipients must similarly rectify, erase or restrict the processing of the personal data (so far as they retain responsibility for it).

(10)Where processing is restricted in accordance with section 47(3), the controller must inform the data subject before lifting the restriction.

Textual Amendments

Automated individual decision-makingU.K.

49Right not to be subject to automated decision-makingU.K.

(1)A controller may not take a significant decision based solely on automated processing unless that decision is required or authorised by law.

(2)A decision is a “significant decision” for the purpose of this section if, in relation to a data subject, it—

(a)produces an adverse legal effect concerning the data subject, or

(b)significantly affects the data subject.

50Automated decision-making authorised by law: safeguardsU.K.

(1)A decision is a “qualifying significant decision” for the purposes of this section if—

(a)it is a significant decision in relation to a data subject, and

(b)it is required or authorised by law.

(2)Where a controller takes a qualifying significant decision in relation to a data subject based solely on automated processing—

(a)the controller must, as soon as reasonably practicable, notify the data subject in writing that a decision has been taken based solely on automated processing, and

(b)the data subject may, before the end of the period of 1 month beginning with receipt of the notification, request the controller to—

(i)reconsider the decision, or

(ii)take a new decision that is not based solely on automated processing.

(3)If a request is made to a controller under subsection (2), the controller must, before the end of the period of 1 month beginning with receipt of the request—

(a)consider the request, including any information provided by the data subject that is relevant to it,

(b)comply with the request, and

(c)by notice in writing inform the data subject of—

(i)the steps taken to comply with the request, and

(ii)the outcome of complying with the request.

(4)The Secretary of State may by regulations make such further provision as the Secretary of State considers appropriate to provide suitable measures to safeguard a data subject's rights, freedoms and legitimate interests in connection with the taking of qualifying significant decisions based solely on automated processing.

(5)Regulations under subsection (4)—

(a)may amend this section, and

(b)are subject to the affirmative resolution procedure.

(6)In this section “significant decision” has the meaning given by section 49(2).

Commencement Information

I11S. 50 in force at Royal Assent for specified purposes, see s. 212(2)(f)

SupplementaryU.K.

51Exercise of rights through the CommissionerU.K.

(1)This section applies where a controller—

(a)restricts under section 44(4) the information provided to the data subject under section 44(2) (duty of the controller to give the data subject additional information),

(b)restricts under section 45(4) the data subject's rights under section 45(1) (right of access), or

(c)refuses a request by the data subject for rectification under section 46 or for erasure or restriction of processing under section 47.

(2)The data subject may—

(a)where subsection (1)(a) or (b) applies, request the Commissioner to check that the restriction imposed by the controller was lawful;

(b)where subsection (1)(c) applies, request the Commissioner to check that the refusal of the data subject's request was lawful.

(3)The Commissioner must take such steps as appear to the Commissioner to be appropriate to respond to a request under subsection (2) (which may include the exercise of any of the powers conferred by sections 142 and 146).

(4)After taking those steps, the Commissioner must inform the data subject—

(a)where subsection (1)(a) or (b) applies, whether the Commissioner is satisfied that the restriction imposed by the controller was lawful;

(b)where subsection (1)(c) applies, whether the Commissioner is satisfied that the controller's refusal of the data subject's request was lawful.

(5)The Commissioner must also inform the data subject of the data subject's right to apply to a court under section 167.

(6)Where the Commissioner is not satisfied as mentioned in subsection (4)(a) or (b), the Commissioner may also inform the data subject of any further steps that the Commissioner is considering taking under Part 6 .

52Form of provision of information etcU.K.

(1)The controller must take reasonable steps to ensure that any information that is required by this Chapter to be provided to the data subject is provided in a concise, intelligible and easily accessible form, using clear and plain language.

(2)Subject to subsection (3), the information may be provided in any form, including electronic form.

(3)Where information is provided in response to a request by the data subject under section 45, 46, 47 or 50, the controller must provide the information in the same form as the request where it is practicable to do so.

(4)Where the controller has reasonable doubts about the identity of an individual making a request under section 45, 46 or 47, the controller may—

(a)request the provision of additional information to enable the controller to confirm the identity, and

(b)delay dealing with the request until the identity is confirmed.

(5)Subject to section 53, any information that is required by this Chapter to be provided to the data subject must be provided free of charge.

(6)The controller must facilitate the exercise of the rights of the data subject under sections 45 to 50.

53Manifestly unfounded or excessive requests by the data subjectU.K.

(1)Where a request from a data subject under section 45, 46, 47 or 50 is manifestly unfounded or excessive, the controller may—

(a)charge a reasonable fee for dealing with the request, or

(b)refuse to act on the request.

(2)An example of a request that may be excessive is one that merely repeats the substance of previous requests.

(3)In any proceedings where there is an issue as to whether a request under section 45, 46, 47 or 50 is manifestly unfounded or excessive, it is for the controller to show that it is.

(4)The Secretary of State may by regulations specify limits on the fees that a controller may charge in accordance with subsection (1)(a).

(5)Regulations under subsection (4) are subject to the negative resolution procedure.

Commencement Information

I12S. 53 in force at Royal Assent for specified purposes, see s. 212(2)(f)

54Meaning of “applicable time period”U.K.

(1)This section defines “the applicable time period” for the purposes of sections 45(3)(b) and 48(2)(b).

(2)“The applicable time period” means the period of 1 month, or such longer period as may be specified in regulations, beginning with the relevant time.

(3)“The relevant time” means the latest of the following—

(a)when the controller receives the request in question;

(b)when the controller receives the information (if any) requested in connection with a request under section 52(4);

(c)when the fee (if any) charged in connection with the request under section 53 is paid.

(4)The power to make regulations under subsection (2) is exercisable by the Secretary of State.

(5)Regulations under subsection (2) may not specify a period which is longer than 3 months.

(6)Regulations under subsection (2) are subject to the negative resolution procedure.

Commencement Information

I13S. 54 in force at Royal Assent for specified purposes, see s. 212(2)(f)

CHAPTER 4U.K.Controller and processor

Overview and scopeU.K.

55Overview and scopeU.K.

(1)This Chapter—

(a)sets out the general obligations of controllers and processors (see sections 56 to 65);

(b)sets out specific obligations of controllers and processors with respect to security (see section 66);

(c)sets out specific obligations of controllers and processors with respect to personal data breaches (see sections 67 and 68);

(d)makes provision for the designation, position and tasks of data protection officers (see sections 69 to 71).

(2)This Chapter applies only in relation to the processing of personal data for a law enforcement purpose.

(3)Where a controller is required by any provision of this Chapter to implement appropriate technical and organisational measures, the controller must (in deciding what measures are appropriate) take into account—

(a)the latest developments in technology,

(b)the cost of implementation,

(c)the nature, scope, context and purposes of processing, and

(d)the risks for the rights and freedoms of individuals arising from the processing.

General obligationsU.K.

56General obligations of the controllerU.K.

(1)Each controller must implement appropriate technical and organisational measures to ensure, and to be able to demonstrate, that the processing of personal data complies with the requirements of this Part.

(2)Where proportionate in relation to the processing, the measures implemented to comply with the duty under subsection (1) must include appropriate data protection policies.

(3)The technical and organisational measures implemented under subsection (1) must be reviewed and updated where necessary.

57Data protection by design and defaultU.K.

(1)Each controller must implement appropriate technical and organisational measures which are designed—

(a)to implement the data protection principles in an effective manner, and

(b)to integrate into the processing itself the safeguards necessary for that purpose.

(2)The duty under subsection (1) applies both at the time of the determination of the means of processing the data and at the time of the processing itself.

(3)Each controller must implement appropriate technical and organisational measures for ensuring that, by default, only personal data which is necessary for each specific purpose of the processing is processed.

(4)The duty under subsection (3) applies to—

(a)the amount of personal data collected,

(b)the extent of its processing,

(c)the period of its storage, and

(d)its accessibility.

(5)In particular, the measures implemented to comply with the duty under subsection (3) must ensure that, by default, personal data is not made accessible to an indefinite number of people without an individual's intervention.

58Joint controllersU.K.

(1)Where two or more competent authorities jointly determine the purposes and means of processing personal data, they are joint controllers for the purposes of this Part.

(2)Joint controllers must, in a transparent manner, determine their respective responsibilities for compliance with this Part by means of an arrangement between them, except to the extent that those responsibilities are determined under or by virtue of an enactment.

(3)The arrangement must designate the controller which is to be the contact point for data subjects.

59ProcessorsU.K.

(1)This section applies to the use by a controller of a processor to carry out processing of personal data on behalf of the controller.

(2)The controller may use only a processor who provides guarantees to implement appropriate technical and organisational measures that are sufficient to secure that the processing will—

(a)meet the requirements of this Part, and

(b)ensure the protection of the rights of the data subject.

(3)The processor used by the controller may not engage another processor (“a sub-processor”) without the prior written authorisation of the controller, which may be specific or general.

(4)Where the controller gives a general written authorisation to a processor, the processor must inform the controller if the processor proposes to add to the number of sub-processors engaged by it or to replace any of them (so that the controller has the opportunity to object to the proposal).

(5)The processing by the processor must be governed by a contract in writing between the controller and the processor setting out the following—

(a)the subject-matter and duration of the processing;

(b)the nature and purpose of the processing;

(c)the type of personal data and categories of data subjects involved;

(d)the obligations and rights of the controller and processor.

(6)The contract must, in particular, provide that the processor must—

(a)act only on instructions from the controller,

(b)ensure that the persons authorised to process personal data are subject to an appropriate duty of confidentiality,

(c)assist the controller by any appropriate means to ensure compliance with the rights of the data subject under this Part,

(d)at the end of the provision of services by the processor to the controller—

(i)either delete or return to the controller (at the choice of the controller) the personal data to which the services relate, and

(ii)delete copies of the personal data unless subject to a legal obligation to store the copies,

(e)make available to the controller all information necessary to demonstrate compliance with this section, and

(f)comply with the requirements of this section for engaging sub-processors.

(7)The terms included in the contract in accordance with subsection (6)(a) must provide that the processor may transfer personal data to a third country or international organisation only if instructed by the controller to make the particular transfer.

(8)If a processor determines, in breach of this Part, the purposes and means of processing, the processor is to be treated for the purposes of this Part as a controller in respect of that processing.

60Processing under the authority of the controller or processorU.K.

A processor, and any person acting under the authority of a controller or processor, who has access to personal data may not process the data except—

(a)on instructions from the controller, or

(b)to comply with a legal obligation.

61Records of processing activitiesU.K.

(1)Each controller must maintain a record of all categories of processing activities for which the controller is responsible.

(2)The controller's record must contain the following information—

(a)the name and contact details of the controller;

(b)where applicable, the name and contact details of the joint controller;

(c)where applicable, the name and contact details of the data protection officer;

(d)the purposes of the processing;

(e)the categories of recipients to whom personal data has been or will be disclosed (including recipients in third countries or international organisations);

(f)a description of the categories of—

(i)data subject, and

(ii)personal data;

(g)where applicable, details of the use of profiling;

(h)where applicable, the categories of transfers of personal data to a third country or an international organisation;

(i)an indication of the legal basis for the processing operations, including transfers, for which the personal data is intended;

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

(k)where possible, a general description of the technical and organisational security measures referred to in section 66.

(3)Each processor must maintain a record of all categories of processing activities carried out on behalf of a controller.

(4)The processor's record must contain the following information—

(a)the name and contact details of the processor and of any other processors engaged by the processor in accordance with section 59(3);

(b)the name and contact details of the controller on behalf of which the processor is acting;

(c)where applicable, the name and contact details of the data protection officer;

(d)the categories of processing carried out on behalf of the controller;

(e)where applicable, details of transfers of personal data to a third country or an international organisation where explicitly instructed to do so by the controller, including the identification of that third country or international organisation;

(f)where possible, a general description of the technical and organisational security measures referred to in section 66.

(5)The controller and the processor must make the records kept under this section available to the Commissioner on request.

62LoggingU.K.

(1)A controller (or, where personal data is processed on behalf of the controller by a processor, the processor) must keep logs for at least the following processing operations in automated processing systems—

(a)collection;

(b)alteration;

(c)consultation;

(d)disclosure (including transfers);

(e)combination;

(f)erasure.

(2)The logs of consultation must make it possible to establish—

(a)the justification for, and date and time of, the consultation, and

(b)so far as possible, the identity of the person who consulted the data.

(3)The logs of disclosure must make it possible to establish—

(a)the justification for, and date and time of, the disclosure, and

(b)so far as possible—

(i)the identity of the person who disclosed the data, and

(ii)the identity of the recipients of the data.

(4)The logs kept under subsection (1) may be used only for one or more of the following purposes—

(a)to verify the lawfulness of processing;

(b)to assist with self-monitoring by the controller or (as the case may be) the processor, including the conduct of internal disciplinary proceedings;

(c)to ensure the integrity and security of personal data;

(d)the purposes of criminal proceedings.

(5)The controller or (as the case may be) the processor must make the logs available to the Commissioner on request.

63Co-operation with the CommissionerU.K.

Each controller and each processor must co-operate, on request, with the Commissioner in the performance of the Commissioner's tasks.

64Data protection impact assessmentU.K.

(1)Where a type of processing is likely to result in a high risk to the rights and freedoms of individuals, the controller must, prior to the processing, carry out a data protection impact assessment.

(2)A data protection impact assessment is an assessment of the impact of the envisaged processing operations on the protection of personal data.

(3)A data protection impact assessment must include the following—

(a)a general description of the envisaged processing operations;

(b)an assessment of the risks to the rights and freedoms of data subjects;

(c)the measures envisaged to address those risks;

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

(4)In deciding whether a type of processing is likely to result in a high risk to the rights and freedoms of individuals, the controller must take into account the nature, scope, context and purposes of the processing.

65Prior consultation with the CommissionerU.K.

(1)This section applies where a controller intends to create a filing system and process personal data forming part of it.

(2)The controller must consult the Commissioner prior to the processing if a data protection impact assessment prepared under section 64 indicates that the processing of the data would result in a high risk to the rights and freedoms of individuals (in the absence of measures to mitigate the risk).

(3)Where the controller is required to consult the Commissioner under subsection (2), the controller must give the Commissioner—

(a)the data protection impact assessment prepared under section 64, and

(b)any other information requested by the Commissioner to enable the Commissioner to make an assessment of the compliance of the processing with the requirements of this Part.

(4)Where the Commissioner is of the opinion that the intended processing referred to in subsection (1) would infringe any provision of this Part, the Commissioner must provide written advice to the controller and, where the controller is using a processor, to the processor.

(5)The written advice must be provided before the end of the period of 6 weeks beginning with receipt of the request for consultation by the controller or the processor.

(6)The Commissioner may extend the period of 6 weeks by a further period of 1 month, taking into account the complexity of the intended processing.

(7)If the Commissioner extends the period of 6 weeks, the Commissioner must—

(a)inform the controller and, where applicable, the processor of any such extension before the end of the period of 1 month beginning with receipt of the request for consultation, and

(b)provide reasons for the delay.

Obligations relating to securityU.K.

66Security of processingU.K.

(1)Each controller and each processor must implement appropriate technical and organisational measures to ensure a level of security appropriate to the risks arising from the processing of personal data.

(2)In the case of automated processing, each controller and each processor must, following an evaluation of the risks, implement measures designed to—

(a)prevent unauthorised processing or unauthorised interference with the systems used in connection with it,

(b)ensure that it is possible to establish the precise details of any processing that takes place,

(c)ensure that any systems used in connection with the processing function properly and may, in the case of interruption, be restored, and

(d)ensure that stored personal data cannot be corrupted if a system used in connection with the processing malfunctions.

Obligations relating to personal data breachesU.K.

67Notification of a personal data breach to the CommissionerU.K.

(1)If a controller becomes aware of a personal data breach in relation to personal data for which the controller is responsible, the controller must notify the breach to the Commissioner—

(a)without undue delay, and

(b)where feasible, not later than 72 hours after becoming aware of it.

(2)Subsection (1) does not apply if the personal data breach is unlikely to result in a risk to the rights and freedoms of individuals.

(3)Where the notification to the Commissioner is not made within 72 hours, the notification must be accompanied by reasons for the delay.

(4)Subject to subsection (5), the notification must include—

(a)a description of the nature of the personal data breach including, where possible, the categories and approximate number of data subjects concerned and the categories and approximate number of personal data records concerned;

(b)the name and contact details of the data protection officer or other contact point from whom more information can be obtained;

(c)a description of the likely consequences of the personal data breach;

(d)a description of the measures taken or proposed to be taken by the controller to address the personal data breach, including, where appropriate, measures to mitigate its possible adverse effects.

(5)Where and to the extent that it is not possible to provide all the information mentioned in subsection (4) at the same time, the information may be provided in phases without undue further delay.

(6)The controller must record the following information in relation to a personal data breach—

(a)the facts relating to the breach,

(b)its effects, and

(c)the remedial action taken.

(7)The information mentioned in subsection (6) must be recorded in such a way as to enable the Commissioner to verify compliance with this section.

F156(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(9)If a processor becomes aware of a personal data breach (in relation to personal data processed by the processor), the processor must notify the controller without undue delay.

Textual Amendments

68Communication of a personal data breach to the data subjectU.K.

(1)Where a personal data breach is likely to result in a high risk to the rights and freedoms of individuals, the controller must inform the data subject of the breach without undue delay.

(2)The information given to the data subject must include the following—

(a)a description of the nature of the breach;

(b)the name and contact details of the data protection officer or other contact point from whom more information can be obtained;

(c)a description of the likely consequences of the personal data breach;

(d)a description of the measures taken or proposed to be taken by the controller to address the personal data breach, including, where appropriate, measures to mitigate its possible adverse effects.

(3)The duty under subsection (1) does not apply where—

(a)the controller has implemented appropriate technological and organisational protection measures which were applied to the personal data affected by the breach,

(b)the controller has taken subsequent measures which ensure that the high risk to the rights and freedoms of data subjects referred to in subsection (1) is no longer likely to materialise, or

(c)it would involve a disproportionate effort.

(4)An example of a case which may fall within subsection (3)(a) is where measures that render personal data unintelligible to any person not authorised to access the data have been applied, such as encryption.

(5)In a case falling within subsection (3)(c) (but not within subsection (3)(a) or (b)), the information mentioned in subsection (2) must be made available to the data subject in another equally effective way, for example, by means of a public communication.

(6)Where the controller has not informed the data subject of the breach the Commissioner, on being notified under section 67 and after considering the likelihood of the breach resulting in a high risk, may—

(a)require the controller to notify the data subject of the breach, or

(b)decide that the controller is not required to do so because any of paragraphs (a) to (c) of subsection (3) applies.

(7)The controller may restrict, wholly or partly, the provision of information to the data subject under subsection (1) to the extent that and for so long as the restriction is, having regard to the fundamental rights and legitimate interests of the data subject, a necessary and proportionate measure to—

(a)avoid obstructing an official or legal inquiry, investigation or procedure;

(b)avoid prejudicing the prevention, detection, investigation or prosecution of criminal offences or the execution of criminal penalties;

(c)protect public security;

(d)protect national security;

(e)protect the rights and freedoms of others.

(8)Subsection (6) does not apply where the controller's decision not to inform the data subject of the breach was made in reliance on subsection (7).

(9)The duties in section 52(1) and (2) apply in relation to information that the controller is required to provide to the data subject under this section as they apply in relation to information that the controller is required to provide to the data subject under Chapter 3 .

Data protection officersU.K.

69Designation of a data protection officerU.K.

(1)The controller must designate a data protection officer, unless the controller is a court, or other judicial authority, acting in its judicial capacity.

(2)When designating a data protection officer, the controller must have regard to the professional qualities of the proposed officer, in particular—

(a)the proposed officer's expert knowledge of data protection law and practice, and

(b)the ability of the proposed officer to perform the tasks mentioned in section 71.

(3)The same person may be designated as a data protection officer by several controllers, taking account of their organisational structure and size.

(4)The controller must publish the contact details of the data protection officer and communicate these to the Commissioner.

70Position of data protection officerU.K.

(1)The controller must ensure that the data protection officer is involved, properly and in a timely manner, in all issues which relate to the protection of personal data.

(2)The controller must provide the data protection officer with the necessary resources and access to personal data and processing operations to enable the data protection officer to—

(a)perform the tasks mentioned in section 71, and

(b)maintain his or her expert knowledge of data protection law and practice.

(3)The controller—

(a)must ensure that the data protection officer does not receive any instructions regarding the performance of the tasks mentioned in section 71;

(b)must ensure that the data protection officer does not perform a task or fulfil a duty other than those mentioned in this Part where such task or duty would result in a conflict of interests;

(c)must not dismiss or penalise the data protection officer for performing the tasks mentioned in section 71.

(4)A data subject may contact the data protection officer with regard to all issues relating to—

(a)the processing of that data subject's personal data, or

(b)the exercise of that data subject's rights under this Part.

(5)The data protection officer, in the performance of this role, must report to the highest management level of the controller.

71Tasks of data protection officerU.K.

(1)The controller must entrust the data protection officer with at least the following tasks—

(a)informing and advising the controller, any processor engaged by the controller, and any employee of the controller who carries out processing of personal data, of that person's obligations under this Part,

(b)providing advice on the carrying out of a data protection impact assessment under section 64 and monitoring compliance with that section,

(c)co-operating with the Commissioner,

(d)acting as the contact point for the Commissioner on issues relating to processing, including in relation to the consultation mentioned in section 65, and consulting with the Commissioner, where appropriate, in relation to any other matter,

(e)monitoring compliance with policies of the controller in relation to the protection of personal data, and

(f)monitoring compliance by the controller with this Part.

(2)In relation to the policies mentioned in subsection (1)(e), the data protection officer's tasks include—

(a)assigning responsibilities under those policies,

(b)raising awareness of those policies,

(c)training staff involved in processing operations, and

(d)conducting audits required under those policies.

(3)In performing the tasks set out in subsections (1) and (2), the data protection officer must have regard to the risks associated with processing operations, taking into account the nature, scope, context and purposes of processing.

CHAPTER 5U.K.Transfers of personal data to third countries etc

Overview and interpretationU.K.

72Overview and interpretationU.K.

(1)This Chapter deals with the transfer of personal data to third countries or international organisations, as follows—

(a)sections 73 to 76 set out the general conditions that apply;

(b)section 77 sets out the special conditions that apply where the intended recipient of personal data is not a relevant authority in a third country or an international organisation;

(c)section 78 makes special provision about subsequent transfers of personal data.

(2)In this Chapter, “relevant authority”, in relation to a third country, means any person based in a third country that has (in that country) functions comparable to those of a competent authority.

General principles for transfersU.K.

73General principles for transfers of personal dataU.K.

(1)A controller may not transfer personal data to a third country or to an international organisation unless—

(a)the three conditions set out in subsections (2) to (4) are met, and

(b)in a case where the personal data was originally transmitted or otherwise made available to the controller or another competent authority by a member State F157..., that member State, or any person based in that member State which is a competent authority for the purposes of the Law Enforcement Directive, has authorised the transfer in accordance with the law of the member State.

(2)Condition 1 is that the transfer is necessary for any of the law enforcement purposes.

(3)Condition 2 is that the transfer—

(a)is based on [F158adequacy regulations (see section 74A)],

(b)if not based on [F159adequacy regulations], is based on there being appropriate safeguards (see section 75), or

(c)if not based on [F160adequacy regulations] or on there being appropriate safeguards, is based on special circumstances (see section 76).

(4)Condition 3 is that—

(a)the intended recipient is a relevant authority in a third country or an international organisation that is a relevant international organisation, or

(b)in a case where the controller is a competent authority specified in any of paragraphs 5 to 17, 21, 24 to 28, 34 to 51, 54 and 56 of Schedule 7—

(i)the intended recipient is a person in a third country other than a relevant authority, and

(ii)the additional conditions in section 77 are met.

(5)Authorisation is not required as mentioned in subsection (1)(b) if—

(a)the transfer is necessary for the prevention of an immediate and serious threat either to the public security of F161... a third country or to the essential interests of a member State, and

(b)the authorisation cannot be obtained in good time.

(6)Where a transfer is made without the authorisation mentioned in subsection (1)(b), the authority in the member State which would have been responsible for deciding whether to authorise the transfer must be informed without delay.

(7)In this section, “relevant international organisation” means an international organisation that carries out functions for any of the law enforcement purposes.

Textual Amendments

F16274Transfers on the basis of an adequacy decisionU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F16374ATransfers based on adequacy regulationsU.K.

(1)The Secretary of State may by regulations specify any of the following which the Secretary of State considers ensures an adequate level of protection of personal data—

(a)a third country,

(b)a territory or one or more sectors within a third country,

(c)an international organisation, or

(d)a description of such a country, territory, sector or organisation.

(2)For the purposes of this Part of this Act, a transfer of personal data to a third country or an international organisation is based on adequacy regulations if, at the time of the transfer, regulations made under this section are in force which specify, or specify a description which includes—

(a)in the case of a third country, the country or a relevant territory or sector within the country, and

(b)in the case of an international organisation, the organisation,

and such a transfer does not require specific authorisation.

(3)Regulations under this section may specify that the Secretary of State considers that an adequate level of protection of personal data is ensured only for a transfer specified or described in the regulations and, if they do so, only such a transfer may rely on those regulations for the purposes of subsection (2).

(4)When assessing the adequacy of the level of protection for the purposes of this section or section 74B, the Secretary of State must, in particular, take account of—

(a)the rule of law, respect for human rights and fundamental freedoms, relevant legislation, both general and sectoral, including concerning public security, defence, national security and criminal law and the access of public authorities to personal data, as well as the implementation of such legislation, data protection rules, professional rules and security measures, including rules for the onward transfer of personal data to another third country or international organisation, which are complied with in that country or international organisation, case-law, as well as effective and enforceable data subject rights and effective administrative and judicial redress for the data subjects whose personal data is transferred,

(b)the existence and effective functioning of one or more independent supervisory authorities in the third country or to which an international organisation is subject, with responsibility for ensuring and enforcing compliance with data protection rules, including adequate enforcement powers, for assisting and advising data subjects in exercising their rights and for cooperation with the Commissioner, and

(c)the international commitments the third country or international organisation concerned has entered into, or other obligations arising from legally binding conventions or instruments as well as from its participation in multilateral or regional systems, in particular in relation to the protection of personal data.

(5)Regulations under this section—

(a)where they relate to a third country, must specify their territorial and sectoral application;

(b)where applicable, must specify the independent supervisory authority or authorities referred to in subsection (4)(b).

(6)Regulations under this section may, among other things—

(a)provide that, in relation to a country, territory, sector, organisation or territory specified, or falling within a description specified, in the regulations, section 74B(1) has effect as if it required the reviews described there to be carried out at such shorter intervals as are specified in the regulations;

(b)identify a transfer of personal data by any means, including by reference to the controller or processor, the recipient, the personal data transferred or the means by which the transfer is made or by reference to relevant legislation, lists or other documents, as they have effect from time to time;

(c)confer a discretion on a person.

(7)Regulations under this section are subject to the negative resolution procedure.]

Textual Amendments

[F16374BTransfers based on adequacy regulations: review etcU.K.

(1)For so long as regulations under section 74A are in force which specify, or specify a description which includes, a third country, a territory or sector within a third country or an international organisation, the Secretary of State must carry out a review of whether the country, territory, sector or organisation ensures an adequate level of protection of personal data at intervals of not more than 4 years.

(2)Each review under subsection (1) must take into account all relevant developments in the third country or international organisation.

(3)The Secretary of State must, on an ongoing basis, monitor developments in third countries and international organisations that could affect decisions to make regulations under section 74A or to amend or revoke such regulations.

(4)Where the Secretary of State becomes aware that a country, territory, sector or organisation specified, or falling within a description specified, in regulations under section 74A no longer ensures an adequate level of protection of personal data, whether as a result of a review under this section or otherwise, the Secretary of State must, to the extent necessary, amend or revoke the regulations.

(5)Where regulations under section 74A are amended or revoked in accordance with subsection (4), the Secretary of State must enter into consultations with the third country or international organisation concerned with a view to remedying the lack of an adequate level of protection.

(6)The Secretary of State must publish—

(a)a list of the third countries, territories and specified sectors within a third country and international organisations, and the descriptions of such countries, territories, sectors and organisations, which are for the time being specified in regulations under section 74A, and

(b)a list of the third countries, territories and specified sectors within a third country and international organisations, and the descriptions of such countries, territories, sectors and organisations, which have been but are no longer specified in such regulations.

(7)In the case of regulations under section 74A which specify that an adequate level of protection of personal data is ensured only for a transfer specified or described in the regulations—

(a)the duty under subsection (1) is only to carry out a review of the level of protection ensured for such a transfer, and

(b)the lists published under subsection (6) must specify or describe the relevant transfers.]

Textual Amendments

75Transfers on the basis of appropriate safeguardsU.K.

(1)A transfer of personal data to a third country or an international organisation is based on there being appropriate safeguards where—

(a)a legal instrument containing appropriate safeguards for the protection of personal data binds the intended recipient of the data, or

(b)the controller, having assessed all the circumstances surrounding transfers of that type of personal data to the third country or international organisation, concludes that appropriate safeguards exist to protect the data.

(2)The controller must inform the Commissioner about the categories of data transfers that take place in reliance on subsection (1)(b).

(3)Where a transfer of data takes place in reliance on subsection (1)—

(a)the transfer must be documented,

(b)the documentation must be provided to the Commissioner on request, and

(c)the documentation must include, in particular—

(i)the date and time of the transfer,

(ii)the name of and any other pertinent information about the recipient,

(iii)the justification for the transfer, and

(iv)a description of the personal data transferred.

76Transfers on the basis of special circumstancesU.K.

(1)A transfer of personal data to a third country or international organisation is based on special circumstances where the transfer is necessary—

(a)to protect the vital interests of the data subject or another person,

(b)to safeguard the legitimate interests of the data subject,

(c)for the prevention of an immediate and serious threat to the public security of F164... a third country,

(d)in individual cases for any of the law enforcement purposes, or

(e)in individual cases for a legal purpose.

(2)But subsection (1)(d) and (e) do not apply if the controller determines that fundamental rights and freedoms of the data subject override the public interest in the transfer.

(3)Where a transfer of data takes place in reliance on subsection (1)—

(a)the transfer must be documented,

(b)the documentation must be provided to the Commissioner on request, and

(c)the documentation must include, in particular—

(i)the date and time of the transfer,

(ii)the name of and any other pertinent information about the recipient,

(iii)the justification for the transfer, and

(iv)a description of the personal data transferred.

(4)For the purposes of this section, a transfer is necessary for a legal purpose if—

(a)it is necessary for the purpose of, or in connection with, any legal proceedings (including prospective legal proceedings) relating to any of the law enforcement purposes,

(b)it is necessary for the purpose of obtaining legal advice in relation to any of the law enforcement purposes, or

(c)it is otherwise necessary for the purposes of establishing, exercising or defending legal rights in relation to any of the law enforcement purposes.

Textual Amendments

Transfers to particular recipientsU.K.

77Transfers of personal data to persons other than relevant authoritiesU.K.

(1)The additional conditions referred to in section 73(4)(b)(ii) are the following four conditions.

(2)Condition 1 is that the transfer is strictly necessary in a specific case for the performance of a task of the transferring controller as provided by law for any of the law enforcement purposes.

(3)Condition 2 is that the transferring controller has determined that there are no fundamental rights and freedoms of the data subject concerned that override the public interest necessitating the transfer.

(4)Condition 3 is that the transferring controller considers that the transfer of the personal data to a relevant authority in the third country would be ineffective or inappropriate (for example, where the transfer could not be made in sufficient time to enable its purpose to be fulfilled).

(5)Condition 4 is that the transferring controller informs the intended recipient of the specific purpose or purposes for which the personal data may, so far as necessary, be processed.

(6)Where personal data is transferred to a person in a third country other than a relevant authority, the transferring controller must inform a relevant authority in that third country without undue delay of the transfer, unless this would be ineffective or inappropriate.

(7)The transferring controller must—

(a)document any transfer to a recipient in a third country other than a relevant authority, and

(b)inform the Commissioner about the transfer.

(8)This section does not affect the operation of any international agreement in force between [F165the United Kingdom] and third countries in the field of judicial co-operation in criminal matters and police co-operation.

Textual Amendments

Subsequent transfersU.K.

78Subsequent transfersU.K.

(1)Where personal data is transferred in accordance with section 73, the transferring controller must make it a condition of the transfer that the data is not to be further transferred to a third country or international organisation without the authorisation of the transferring controller or another competent authority.

(2)A competent authority may give an authorisation under subsection (1) only where the further transfer is necessary for a law enforcement purpose.

(3)In deciding whether to give the authorisation, the competent authority must take into account (among any other relevant factors)—

(a)the seriousness of the circumstances leading to the request for authorisation,

(b)the purpose for which the personal data was originally transferred, and

(c)the standards for the protection of personal data that apply in the third country or international organisation to which the personal data would be transferred.

(4)In a case where the personal data was originally transmitted or otherwise made available to the transferring controller or another competent authority by a member State F166..., an authorisation may not be given under subsection (1) unless that member State, or any person based in that member State which is a competent authority for the purposes of the Law Enforcement Directive, has authorised the transfer in accordance with the law of the member State.

(5)Authorisation is not required as mentioned in subsection (4) if—

(a)the transfer is necessary for the prevention of an immediate and serious threat either to the public security of F167... a third country or to the essential interests of a member State, and

(b)the authorisation cannot be obtained in good time.

(6)Where a transfer is made without the authorisation mentioned in subsection (4), the authority in the member State which would have been responsible for deciding whether to authorise the transfer must be informed without delay.

Textual Amendments

CHAPTER 6U.K.Supplementary

79National security: certificateU.K.

(1)A Minister of the Crown may issue a certificate certifying, for the purposes of section 44(4), 45(4), 48(3) or 68(7), that a restriction is a necessary and proportionate measure to protect national security.

(2)The certificate may—

(a)relate to a specific restriction (described in the certificate) which a controller has imposed or is proposing to impose under section 44(4), 45(4), 48(3) or 68(7), or

(b)identify any restriction to which it relates by means of a general description.

(3)Subject to subsection (6), a certificate issued under subsection (1) is conclusive evidence that the specific restriction or (as the case may be) any restriction falling within the general description is, or at any time was, a necessary and proportionate measure to protect national security.

(4)A certificate issued under subsection (1) may be expressed to have prospective effect.

(5)Any person directly affected by the issuing of a certificate under subsection (1) may appeal to the Tribunal against the certificate.

(6)If, on an appeal under subsection (5), the Tribunal finds that, applying the principles applied by a court on an application for judicial review, the Minister did not have reasonable grounds for issuing the certificate, the Tribunal may —

(a)allow the appeal, and

(b)quash the certificate.

(7)Where in any proceedings under or by virtue of this Act, it is claimed by a controller that a restriction falls within a general description in a certificate issued under subsection (1), any other party to the proceedings may appeal to the Tribunal on the ground that the restriction does not fall within that description.

(8)But, subject to any determination under subsection (9), the restriction is to be conclusively presumed to fall within the general description.

(9)On an appeal under subsection (7), the Tribunal may determine that the certificate does not so apply.

(10)A document purporting to be a certificate under subsection (1) is to be—

(a)received in evidence, and

(b)deemed to be such a certificate unless the contrary is proved.

(11)A document which purports to be certified by or on behalf of a Minister of the Crown as a true copy of a certificate issued by that Minister under subsection (1) is—

(a)in any legal proceedings, evidence of that certificate, and

(b)in any legal proceedings in Scotland, sufficient evidence of that certificate.

(12)The power conferred by subsection (1) on a Minister of the Crown is exercisable only by—

(a)a Minister who is a member of the Cabinet, or

(b)the Attorney General or the Advocate General for Scotland.

(13)No power conferred by any provision of Part 6 may be exercised in relation to the imposition of—

(a)a specific restriction in a certificate under subsection (1), or

(b)a restriction falling within a general description in such a certificate.

80Special processing restrictionsU.K.

(1)Subsections (3) and (4) apply where, for a law enforcement purpose, a controller transmits or otherwise makes available personal data to [F168a non-UK recipient].

(2)In this section—

(3)The controller must consider whether, if the personal data had instead been transmitted or otherwise made available within the United Kingdom to another competent authority, processing of the data by the other competent authority would have been subject to any restrictions by virtue of any enactment or rule of law.

(4)Where that would be the case, the controller must inform [F171the non-UK recipient] that the data is transmitted or otherwise made available subject to compliance by that person with the same restrictions (which must be set out in the information given to that person).

F172(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F172(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F172(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

81Reporting of infringementsU.K.

(1)Each controller must implement effective mechanisms to encourage the reporting of an infringement of this Part.

(2)The mechanisms implemented under subsection (1) must provide that an infringement may be reported to any of the following persons—

(a)the controller;

(b)the Commissioner.

(3)The mechanisms implemented under subsection (1) must include—

(a)raising awareness of the protections provided by Part 4A of the Employment Rights Act 1996 and Part 5A of the Employment Rights (Northern Ireland) Order 1996 (S.I. 1996/1919 (N.I. 16)), and

(b)such other protections for a person who reports an infringement of this Part as the controller considers appropriate.

(4)A person who reports an infringement of this Part does not breach—

(a)an obligation of confidence owed by the person, or

(b)any other restriction on the disclosure of information (however imposed).

(5)Subsection (4) does not apply if or to the extent that the report includes a disclosure which is prohibited by any of Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016.

(6)Until the repeal of Part 1 of the Regulation of Investigatory Powers Act 2000 by paragraphs 45 and 54 of Schedule 10 to the Investigatory Powers Act 2016 is fully in force, subsection (5) has effect as if it included a reference to that Part.

PART 4 U.K.Intelligence services processing

CHAPTER 1U.K.Scope and definitions

ScopeU.K.

82Processing to which this Part appliesU.K.

(1)This Part applies to—

(a)the processing by an intelligence service of personal data wholly or partly by automated means, and

(b)the processing by an intelligence service otherwise than by automated means of personal data which forms part of a filing system or is intended to form part of a filing system.

(2)In this Part, “intelligence service” means—

(a)the Security Service;

(b)the Secret Intelligence Service;

(c)the Government Communications Headquarters.

(3)A reference in this Part to the processing of personal data is to processing to which this Part applies.

DefinitionsU.K.

83Meaning of “controller” and “processor”U.K.

(1)In this Part, “controller” means the intelligence service which, alone or jointly with others—

(a)determines the purposes and means of the processing of personal data, or

(b)is the controller by virtue of subsection (2).

(2)Where personal data is processed only—

(a)for purposes for which it is required by an enactment to be processed, and

(b)by means by which it is required by an enactment to be processed,

the intelligence service on which the obligation to process the data is imposed by the enactment (or, if different, one of the enactments) is the controller.

(3)In this Part, “processor” means any person who processes personal data on behalf of the controller (other than a person who is an employee of the controller).

84Other definitionsU.K.

(1)This section defines other expressions used in this Part.

(2)“Consent”, in relation to the processing of personal data relating to an individual, means a freely given, specific, informed and unambiguous indication of the individual's wishes by which the individual, by a statement or by a clear affirmative action, signifies agreement to the processing of the personal data.

(3)“Employee”, in relation to any person, includes an individual who holds a position (whether paid or unpaid) under the direction and control of that person.

(4)“Personal data breach” means a breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed.

(5)“Recipient”, in relation to any personal data, means any person to whom the data is disclosed, whether a third party or not, but it does not include a person to whom disclosure is or may be made in the framework of a particular inquiry in accordance with the law.

(6)“Restriction of processing” means the marking of stored personal data with the aim of limiting its processing for the future.

(7)Sections 3 and 205 include definitions of other expressions used in this Part.

CHAPTER 2U.K.Principles

OverviewU.K.

85OverviewU.K.

(1)This Chapter sets out the six data protection principles as follows—

(a)section 86 sets out the first data protection principle (requirement that processing be lawful, fair and transparent);

(b)section 87 sets out the second data protection principle (requirement that the purposes of processing be specified, explicit and legitimate);

(c)section 88 sets out the third data protection principle (requirement that personal data be adequate, relevant and not excessive);

(d)section 89 sets out the fourth data protection principle (requirement that personal data be accurate and kept up to date);

(e)section 90 sets out the fifth data protection principle (requirement that personal data be kept for no longer than is necessary);

(f)section 91 sets out the sixth data protection principle (requirement that personal data be processed in a secure manner).

(2)Each of sections 86, 87 and 91 makes provision to supplement the principle to which it relates.

The data protection principlesU.K.

86The first data protection principleU.K.

(1)The first data protection principle is that the processing of personal data must be—

(a)lawful, and

(b)fair and transparent.

(2)The processing of personal data is lawful only if and to the extent that—

(a)at least one of the conditions in Schedule 9 is met, and

(b)in the case of sensitive processing, at least one of the conditions in Schedule 10 is also met.

(3)The Secretary of State may by regulations amend Schedule 10—

(a)by adding conditions;

(b)by omitting conditions added by regulations under paragraph (a).

(4)Regulations under subsection (3) are subject to the affirmative resolution procedure.

(5)In determining whether the processing of personal data is fair and transparent, regard is to be had to the method by which it is obtained.

(6)For the purposes of subsection (5), data is to be treated as obtained fairly and transparently if it consists of information obtained from a person who—

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

(b)is required to supply it by an enactment or by an international obligation of the United Kingdom.

(7)In this section, “sensitive processing” means—

(a)the processing of personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs or trade union membership;

(b)the processing of genetic data for the purpose of uniquely identifying an individual;

(c)the processing of biometric data for the purpose of uniquely identifying an individual;

(d)the processing of data concerning health;

(e)the processing of data concerning an individual's sex life or sexual orientation;

(f)the processing of personal data as to—

(i)the commission or alleged commission of an offence by an individual, or

(ii)proceedings for an offence committed or alleged to have been committed by an individual, the disposal of such proceedings or the sentence of a court in such proceedings.

Commencement Information

I14S. 86 in force at Royal Assent for specified purposes, see s. 212(2)(f)

87The second data protection principleU.K.

(1)The second data protection principle is that—

(a)the purpose for which personal data is collected on any occasion must be specified, explicit and legitimate, and

(b)personal data so collected must not be processed in a manner that is incompatible with the purpose for which it is collected.

(2)Paragraph (b) of the second data protection principle is subject to subsections (3) and (4).

(3)Personal data collected by a controller for one purpose may be processed for any other purpose of the controller that collected the data or any purpose of another controller provided that—

(a)the controller is authorised by law to process the data for that purpose, and

(b)the processing is necessary and proportionate to that other purpose.

(4)Processing of personal data is to be regarded as compatible with the purpose for which it is collected if the processing—

(a)consists of—

(i)processing for archiving purposes in the public interest,

(ii)processing for the purposes of scientific or historical research, or

(iii)processing for statistical purposes, and

(b)is subject to appropriate safeguards for the rights and freedoms of the data subject.

88The third data protection principleU.K.

The third data protection principle is that personal data must be adequate, relevant and not excessive in relation to the purpose for which it is processed.

89The fourth data protection principleU.K.

The fourth data protection principle is that personal data undergoing processing must be accurate and, where necessary, kept up to date.

90The fifth data protection principleU.K.

The fifth data protection principle is that personal data must be kept for no longer than is necessary for the purpose for which it is processed.

91The sixth data protection principleU.K.

(1)The sixth data protection principle is that personal data must be processed in a manner that includes taking appropriate security measures as regards risks that arise from processing personal data.

(2)The risks referred to in subsection (1) include (but are not limited to) accidental or unauthorised access to, or destruction, loss, use, modification or disclosure of, personal data.

CHAPTER 3U.K.Rights of the data subject

OverviewU.K.

92OverviewU.K.

(1)This Chapter sets out the rights of the data subject as follows—

(a)section 93 deals with the information to be made available to the data subject;

(b)sections 94 and 95 deal with the right of access by the data subject;

(c)sections 96 and 97 deal with rights in relation to automated processing;

(d)section 98 deals with the right to information about decision-making;

(e)section 99 deals with the right to object to processing;

(f)section 100 deals with rights to rectification and erasure of personal data.

(2)In this Chapter, “the controller”, in relation to a data subject, means the controller in relation to personal data relating to the data subject.

RightsU.K.

93Right to informationU.K.

(1)The controller must give a data subject the following information—

(a)the identity and the contact details of the controller;

(b)the legal basis on which, and the purposes for which, the controller processes personal data;

(c)the categories of personal data relating to the data subject that are being processed;

(d)the recipients or the categories of recipients of the personal data (if applicable);

(e)the right to lodge a complaint with the Commissioner and the contact details of the Commissioner;

(f)how to exercise rights under this Chapter;

(g)any other information needed to secure that the personal data is processed fairly and transparently.

(2)The controller may comply with subsection (1) by making information generally available, where the controller considers it appropriate to do so.

(3)The controller is not required under subsection (1) to give a data subject information that the data subject already has.

(4)Where personal data relating to a data subject is collected by or on behalf of the controller from a person other than the data subject, the requirement in subsection (1) has effect, in relation to the personal data so collected, with the following exceptions—

(a)the requirement does not apply in relation to processing that is authorised by an enactment;

(b)the requirement does not apply in relation to the data subject if giving the information to the data subject would be impossible or involve disproportionate effort.

Commencement Information

I15S. 93 in force at 16.9.2019 by S.I. 2019/1188, reg. 2(a)

94Right of accessU.K.

(1)An individual is entitled to obtain from a controller—

(a)confirmation as to whether or not personal data concerning the individual is being processed, and

(b)where that is the case—

(i)communication, in intelligible form, of the personal data of which that individual is the data subject, and

(ii)the information set out in subsection (2).

(2)That information is—

(a)the purposes of and legal basis for the processing;

(b)the categories of personal data concerned;

(c)the recipients or categories of recipients to whom the personal data has been disclosed;

(d)the period for which the personal data is to be preserved;

(e)the existence of a data subject's rights to rectification and erasure of personal data (see section 100);

(f)the right to lodge a complaint with the Commissioner and the contact details of the Commissioner;

(g)any information about the origin of the personal data concerned.

(3)A controller is not obliged to provide information under this section unless the controller has received such reasonable fee as the controller may require, subject to subsection (4).

(4)The Secretary of State may by regulations—

(a)specify cases in which a controller may not charge a fee;

(b)specify the maximum amount of a fee.

(5)Where a controller—

(a)reasonably requires further information—

(i)in order that the controller be satisfied as to the identity of the individual making a request under subsection (1), or

(ii)to locate the information which that individual seeks, and

(b)has informed that individual of that requirement,

the controller is not obliged to comply with the request unless the controller is supplied with that further information.

(6)Where a controller cannot comply with the request without disclosing information relating to another individual who can be identified from that information, the controller is not obliged to comply with the request unless—

(a)the other individual has consented to the disclosure of the information to the individual making the request, or

(b)it is reasonable in all the circumstances to comply with the request without the consent of the other individual.

(7)In subsection (6), the reference to information relating to another individual includes a reference to information identifying that individual as the source of the information sought by the request.

(8)Subsection (6) is not to be construed as excusing a controller from communicating so much of the information sought by the request as can be communicated without disclosing the identity of the other individual concerned, whether by the omission of names or other identifying particulars or otherwise.

(9)In determining for the purposes of subsection (6)(b) whether it is reasonable in all the circumstances to comply with the request without the consent of the other individual concerned, regard must be had, in particular, to—

(a)any duty of confidentiality owed to the other individual,

(b)any steps taken by the controller with a view to seeking the consent of the other individual,

(c)whether the other individual is capable of giving consent, and

(d)any express refusal of consent by the other individual.

(10)Subject to subsection (6), a controller must comply with a request under subsection (1)—

(a)promptly, and

(b)in any event before the end of the applicable time period.

(11)If a court is satisfied on the application of an individual who has made a request under subsection (1) that the controller in question has failed to comply with the request in contravention of this section, the court may order the controller to comply with the request.

(12)A court may make an order under subsection (11) in relation to a joint controller whose responsibilities are determined in an arrangement under section 104 only if the controller is responsible for compliance with the obligation to which the order relates.

(13)The jurisdiction conferred on a court by this section is exercisable by the High Court or, in Scotland, by the Court of Session.

(14)In this section—

(15)Regulations under this section are subject to the negative resolution procedure.

Commencement Information

I16S. 94 in force at Royal Assent for specified purposes, see s. 212(2)(f)

95Right of access: supplementaryU.K.

(1)The controller must comply with the obligation imposed by section 94(1)(b)(i) by supplying the data subject with a copy of the information in writing unless—

(a)the supply of such a copy is not possible or would involve disproportionate effort, or

(b)the data subject agrees otherwise;

and where any of the information referred to in section 94(1)(b)(i) is expressed in terms which are not intelligible without explanation the copy must be accompanied by an explanation of those terms.

(2)Where a controller has previously complied with a request made under section 94 by an individual, the controller is not obliged to comply with a subsequent identical or similar request under that section by that individual unless a reasonable interval has elapsed between compliance with the previous request and the making of the current request.

(3)In determining for the purposes of subsection (2) whether requests under section 94 are made at reasonable intervals, regard must be had to—

(a)the nature of the data,

(b)the purpose for which the data is processed, and

(c)the frequency with which the data is altered.

(4)The information to be supplied pursuant to a request under section 94 must be supplied by reference to the data in question at the time when the request is received, except that it may take account of any amendment or deletion made between that time and the time when the information is supplied, being an amendment or deletion that would have been made regardless of the receipt of the request.

(5)For the purposes of section 94(6) to (8), an individual can be identified from information to be disclosed to a data subject by a controller if the individual can be identified from—

(a)that information, or

(b)that and any other information that the controller reasonably believes the data subject making the request is likely to possess or obtain.

96Right not to be subject to automated decision-makingU.K.

(1)The controller may not take a decision significantly affecting a data subject that is based solely on automated processing of personal data relating to the data subject.

(2)Subsection (1) does not prevent such a decision being made on that basis if—

(a)the decision is required or authorised by law,

(b)the data subject has given consent to the decision being made on that basis, or

(c)the decision is a decision taken in the course of steps taken—

(i)for the purpose of considering whether to enter into a contract with the data subject,

(ii)with a view to entering into such a contract, or

(iii)in the course of performing such a contract.

(3)For the purposes of this section, a decision that has legal effects as regards an individual is to be regarded as significantly affecting the individual.

97Right to intervene in automated decision-makingU.K.

(1)This section applies where—

(a)the controller takes a decision significantly affecting a data subject that is based solely on automated processing of personal data relating to the data subject, and

(b)the decision is required or authorised by law.

(2)This section does not apply to such a decision if—

(a)the data subject has given consent to the decision being made on that basis, or

(b)the decision is a decision taken in the course of steps taken—

(i)for the purpose of considering whether to enter into a contract with the data subject,

(ii)with a view to entering into such a contract, or

(iii)in the course of performing such a contract.

(3)The controller must as soon as reasonably practicable notify the data subject that such a decision has been made.

(4)The data subject may, before the end of the period of 1 month beginning with receipt of the notification, request the controller—

(a)to reconsider the decision, or

(b)to take a new decision that is not based solely on automated processing.

(5)If a request is made to the controller under subsection (4), the controller must, before the end of the period of 1 month beginning with receipt of the request—

(a)consider the request, including any information provided by the data subject that is relevant to it, and

(b)by notice in writing inform the data subject of the outcome of that consideration.

(6)For the purposes of this section, a decision that has legal effects as regards an individual is to be regarded as significantly affecting the individual.

98Right to information about decision-makingU.K.

(1)Where—

(a)the controller processes personal data relating to a data subject, and

(b)results produced by the processing are applied to the data subject,

the data subject is entitled to obtain from the controller, on request, knowledge of the reasoning underlying the processing.

(2)Where the data subject makes a request under subsection (1), the controller must comply with the request without undue delay.

99Right to object to processingU.K.

(1)A data subject is entitled at any time, by notice given to the controller, to require the controller—

(a)not to process personal data relating to the data subject, or

(b)not to process such data for a specified purpose or in a specified manner,

on the ground that, for specified reasons relating to the situation of the data subject, the processing in question is an unwarranted interference with the interests or rights of the data subject.

(2)Where the controller—

(a)reasonably requires further information—

(i)in order that the controller be satisfied as to the identity of the individual giving notice under subsection (1), or

(ii)to locate the data to which the notice relates, and

(b)has informed that individual of that requirement,

the controller is not obliged to comply with the notice unless the controller is supplied with that further information.

(3)The controller must, before the end of 21 days beginning with the relevant time, give a notice to the data subject—

(a)stating that the controller has complied or intends to comply with the notice under subsection (1), or

(b)stating the controller's reasons for not complying with the notice to any extent and the extent (if any) to which the controller has complied or intends to comply with the notice under subsection (1).

(4)If the controller does not comply with a notice under subsection (1) to any extent, the data subject may apply to a court for an order that the controller take steps for complying with the notice.

(5)If the court is satisfied that the controller should comply with the notice (or should comply to any extent), the court may order the controller to take such steps for complying with the notice (or for complying with it to that extent) as the court thinks fit.

(6)A court may make an order under subsection (5) in relation to a joint controller whose responsibilities are determined in an arrangement under section 104 only if the controller is responsible for compliance with the obligation to which the order relates.

(7)The jurisdiction conferred on a court by this section is exercisable by the High Court or, in Scotland, by the Court of Session.

(8)In this section, “the relevant time”, in relation to a notice under subsection (1), means—

(a)when the controller receives the notice, or

(b)if later, when the controller receives the information (if any) required under subsection (2) in connection with the notice.

100Rights to rectification and erasureU.K.

(1)If a court is satisfied on the application of a data subject that personal data relating to the data subject is inaccurate, the court may order the controller to rectify that data without undue delay.

(2)If a court is satisfied on the application of a data subject that the processing of personal data relating to the data subject would infringe any of sections 86 to 91, the court may order the controller to erase that data without undue delay.

(3)If personal data relating to the data subject must be maintained for the purposes of evidence, the court may (instead of ordering the controller to rectify or erase the personal data) order the controller to restrict its processing without undue delay.

(4)If—

(a)the data subject contests the accuracy of personal data, and

(b)the court is satisfied that the controller is not able to ascertain whether the data is accurate or not,

the court may (instead of ordering the controller to rectify or erase the personal data) order the controller to restrict its processing without undue delay.

(5)A court may make an order under this section in relation to a joint controller whose responsibilities are determined in an arrangement under section 104 only if the controller is responsible for carrying out the rectification, erasure or restriction of processing that the court proposes to order.

(6)The jurisdiction conferred on a court by this section is exercisable by the High Court or, in Scotland, by the Court of Session.

CHAPTER 4U.K.Controller and processor

OverviewU.K.

101OverviewU.K.

This Chapter sets out—

(a)the general obligations of controllers and processors (see sections 102 to 106);

(b)specific obligations of controllers and processors with respect to security (see section 107);

(c)specific obligations of controllers and processors with respect to personal data breaches (see section 108).

General obligationsU.K.

102General obligations of the controllerU.K.

Each controller must implement appropriate measures—

(a)to ensure, and

(b)to be able to demonstrate, in particular to the Commissioner,

that the processing of personal data complies with the requirements of this Part.

Commencement Information

I17S. 102 in force at 16.9.2019 by S.I. 2019/1188, reg. 2(b)

103Data protection by designU.K.

(1)Where a controller proposes that a particular type of processing of personal data be carried out by or on behalf of the controller, the controller must, prior to the processing, consider the impact of the proposed processing on the rights and freedoms of data subjects.

(2)A controller must implement appropriate technical and organisational measures which are designed to ensure that—

(a)the data protection principles are implemented, and

(b)risks to the rights and freedoms of data subjects are minimised.

Commencement Information

I18S. 103 in force at 16.9.2019 by S.I. 2019/1188, reg. 2(c)

104Joint controllersU.K.

(1)Where two or more intelligence services jointly determine the purposes and means of processing personal data, they are joint controllers for the purposes of this Part.

(2)Joint controllers must, in a transparent manner, determine their respective responsibilities for compliance with this Part by means of an arrangement between them, except to the extent that those responsibilities are determined under or by virtue of an enactment.

(3)The arrangement must designate the controller which is to be the contact point for data subjects.

Commencement Information

I19S. 104 in force at 16.9.2019 by S.I. 2019/1188, reg. 2(d)

105ProcessorsU.K.

(1)This section applies to the use by a controller of a processor to carry out processing of personal data on behalf of the controller.

(2)The controller may use only a processor who undertakes—

(a)to implement appropriate measures that are sufficient to secure that the processing complies with this Part;

(b)to provide to the controller such information as is necessary for demonstrating that the processing complies with this Part.

(3)If a processor determines, in breach of this Part, the purposes and means of processing, the processor is to be treated for the purposes of this Part as a controller in respect of that processing.

Commencement Information

I20S. 105 in force at 16.9.2019 by S.I. 2019/1188, reg. 2(e)

106Processing under the authority of the controller or processorU.K.

A processor, and any person acting under the authority of a controller or processor, who has access to personal data may not process the data except—

(a)on instructions from the controller, or

(b)to comply with a legal obligation.

Obligations relating to securityU.K.

107Security of processingU.K.

(1)Each controller and each processor must implement security measures appropriate to the risks arising from the processing of personal data.

(2)In the case of automated processing, each controller and each processor must, following an evaluation of the risks, implement measures designed to—

(a)prevent unauthorised processing or unauthorised interference with the systems used in connection with it,

(b)ensure that it is possible to establish the precise details of any processing that takes place,

(c)ensure that any systems used in connection with the processing function properly and may, in the case of interruption, be restored, and

(d)ensure that stored personal data cannot be corrupted if a system used in connection with the processing malfunctions.

Obligations relating to personal data breachesU.K.

108Communication of a personal data breachU.K.

(1)If a controller becomes aware of a serious personal data breach in relation to personal data for which the controller is responsible, the controller must notify the Commissioner of the breach without undue delay.

(2)Where the notification to the Commissioner is not made within 72 hours, the notification must be accompanied by reasons for the delay.

(3)Subject to subsection (4), the notification must include—

(a)a description of the nature of the personal data breach including, where possible, the categories and approximate number of data subjects concerned and the categories and approximate number of personal data records concerned;

(b)the name and contact details of the contact point from whom more information can be obtained;

(c)a description of the likely consequences of the personal data breach;

(d)a description of the measures taken or proposed to be taken by the controller to address the personal data breach, including, where appropriate, measures to mitigate its possible adverse effects.

(4)Where and to the extent that it is not possible to provide all the information mentioned in subsection (3) at the same time, the information may be provided in phases without undue further delay.

(5)If a processor becomes aware of a personal data breach (in relation to data processed by the processor), the processor must notify the controller without undue delay.

(6)Subsection (1) does not apply in relation to a personal data breach if the breach also constitutes a relevant error within the meaning given by section 231(9) of the Investigatory Powers Act 2016.

(7)For the purposes of this section, a personal data breach is serious if the breach seriously interferes with the rights and freedoms of a data subject.

Commencement Information

I21S. 108 in force at 16.9.2019 by S.I. 2019/1188, reg. 2(f)

CHAPTER 5U.K.Transfers of personal data outside the United Kingdom

109Transfers of personal data outside the United KingdomU.K.

(1)A controller may not transfer personal data to—

(a)a country or territory outside the United Kingdom, or

(b)an international organisation,

unless the transfer falls within subsection (2).

(2)A transfer of personal data falls within this subsection if the transfer is a necessary and proportionate measure carried out—

(a)for the purposes of the controller's statutory functions, or

(b)for other purposes provided for, in relation to the controller, in section 2(2)(a) of the Security Service Act 1989 or section 2(2)(a) or 4(2)(a) of the Intelligence Services Act 1994.

CHAPTER 6U.K.Exemptions

110National securityU.K.

(1)A provision mentioned in subsection (2) does not apply to personal data to which this Part applies if exemption from the provision is required for the purpose of safeguarding national security.

(2)The provisions are—

(a)Chapter 2 (the data protection principles), except section 86(1)(a) and (2) and Schedules 9 and 10;

(b)Chapter 3 (rights of data subjects);

(c)in Chapter 4 , section 108 (communication of a personal data breach to the Commissioner);

(d)in Part 5—

(i)section 119 (inspection in accordance with international obligations);

(ii)in Schedule 13 (other general functions of the Commissioner), paragraphs 1(a) and (g) and 2;

(e)in Part 6—

(i)sections 142 to 154 and Schedule 15 (Commissioner's notices and powers of entry and inspection);

(ii)sections 170 to 173 (offences relating to personal data);

(iii)sections 174 to 176 (provision relating to the special purposes).

111National security: certificateU.K.

(1)Subject to subsection (3), a certificate signed by a Minister of the Crown certifying that exemption from all or any of the provisions mentioned in section 110(2) is, or at any time was, required for the purpose of safeguarding national security in respect of any personal data is conclusive evidence of that fact.

(2)A certificate under subsection (1)—

(a)may identify the personal data to which it applies by means of a general description, and

(b)may be expressed to have prospective effect.

(3)Any person directly affected by the issuing of a certificate under subsection (1) may appeal to the Tribunal against the certificate.

(4)If on an appeal under subsection (3), the Tribunal finds that, applying the principles applied by a court on an application for judicial review, the Minister did not have reasonable grounds for issuing the certificate, the Tribunal may—

(a)allow the appeal, and

(b)quash the certificate.

(5)Where, in any proceedings under or by virtue of this Act, it is claimed by a controller that a certificate under subsection (1) which identifies the personal data to which it applies by means of a general description applies to any personal data, another party to the proceedings may appeal to the Tribunal on the ground that the certificate does not apply to the personal data in question.

(6)But, subject to any determination under subsection (7), the certificate is to be conclusively presumed so to apply.

(7)On an appeal under subsection (5), the Tribunal may determine that the certificate does not so apply.

(8)A document purporting to be a certificate under subsection (1) is to be—

(a)received in evidence, and

(b)deemed to be such a certificate unless the contrary is proved.

(9)A document which purports to be certified by or on behalf of a Minister of the Crown as a true copy of a certificate issued by that Minister under subsection (1) is—

(a)in any legal proceedings, evidence of that certificate, and

(b)in any legal proceedings in Scotland, sufficient evidence of that certificate.

(10)The power conferred by subsection (1) on a Minister of the Crown is exercisable only by—

(a)a Minister who is a member of the Cabinet, or

(b)the Attorney General or the Advocate General for Scotland.

112Other exemptionsU.K.

Schedule 11 provides for further exemptions.

113Power to make further exemptionsU.K.

(1)The Secretary of State may by regulations amend Schedule 11—

(a)by adding exemptions from any provision of this Part;

(b)by omitting exemptions added by regulations under paragraph (a).

(2)Regulations under this section are subject to the affirmative resolution procedure.

Commencement Information

I22S. 113 in force at Royal Assent for specified purposes, see s. 212(2)(f)

PART 5U.K.The Information Commissioner

The CommissionerU.K.

114The Information CommissionerU.K.

(1)There is to continue to be an Information Commissioner.

(2)Schedule 12 makes provision about the Commissioner.

General functionsU.K.

115General functions under the [F173UK GDPR] and safeguardsU.K.

F174(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)General functions are conferred on the Commissioner by—

(a)Article 57 of the [F175UK GDPR] (tasks), and

(b)Article 58 of the [F176UK GDPR] (powers),

(and see also the Commissioner's duty under section 2 [F177and section 28(5)]).

(3)The Commissioner's functions in relation to the processing of personal data to which the [F178UK GDPR] applies include—

(a)a duty to advise Parliament, the government and other institutions and bodies on legislative and administrative measures relating to the protection of individuals' rights and freedoms with regard to the processing of personal data, and

(b)a power to issue, on the Commissioner's own initiative or on request, opinions to Parliament, the government or other institutions and bodies as well as to the public on any issue related to the protection of personal data.

(4)The Commissioner's functions under Article 58 of the [F179UK GDPR] are subject to the safeguards in subsections (5) to (9).

(5)The Commissioner's power under Article 58(1)(a) of the [F180UK GDPR] (power to require a controller or processor to provide information that the Commissioner requires for the performance of the Commissioner's tasks under the [F180UK GDPR]) is exercisable only by giving an information notice under section 142.

(6)The Commissioner's power under Article 58(1)(b) of the [F181UK GDPR] (power to carry out data protection audits) is exercisable only in accordance with section 146.

(7)The Commissioner's powers under Article 58(1)(e) and (f) of the [F182UK GDPR] (power to obtain information from controllers and processors and access to their premises) are exercisable only—

(a)in accordance with Schedule 15 (see section 154), or

(b)to the extent that they are exercised in conjunction with the power under Article 58(1)(b) of the [F182UK GDPR], in accordance with section 146.

(8)The following powers are exercisable only by giving an enforcement notice under section 149—

(a)the Commissioner's powers under Article 58(2)(c) to (g) and (j) of the [F183UK GDPR] (certain corrective powers);

(b)the Commissioner's powers under Article 58(2)(h) to order a certification body to withdraw, or not to issue, a certification under Articles 42 and 43 of the [F184UK GDPR].

(9)The Commissioner's powers under Articles 58(2)(i) and 83 of the [F185UK GDPR] (administrative fines) are exercisable only by giving a penalty notice under section 155.

(10)This section is without prejudice to other functions conferred on the Commissioner, whether by the [F186UK GDPR], this Act or otherwise.

Textual Amendments

116Other general functionsU.K.

[F187(A1)The Commissioner is responsible for monitoring the application of Part 3 of this Act, in order to protect the fundamental rights and freedoms of individuals in relation to processing by a competent authority for any of the law enforcement purposes (as defined in Part 3) and to facilitate the free flow of personal data.]

(1)The Commissioner—

F188(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)is to continue to be the designated authority in the United Kingdom for the purposes of Article 13 of the Data Protection Convention.

(2)Schedule 13 confers general functions on the Commissioner in connection with processing to which the [F189UK GDPR] does not apply (and see also the Commissioner's duty under section 2).

(3)This section and Schedule 13 are without prejudice to other functions conferred on the Commissioner, whether by this Act or otherwise.

Textual Amendments

117Competence in relation to courts etcU.K.

Nothing in this Act [F190or the UK GDPR] permits or requires the Commissioner to exercise functions in relation to the processing of personal data by—

(a)an individual acting in a judicial capacity, or

(b)a court or tribunal acting in its judicial capacity F191...

F191....

Textual Amendments

International roleU.K.

118[F192Co-operation between parties to the Data Protection Convention]U.K.

F193(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F193(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F193(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F193(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5)Part 2 of Schedule 14 makes provision as to the functions to be carried out by the Commissioner for the purposes of Article 13 of the Data Protection Convention (co-operation between parties).

Textual Amendments

119Inspection of personal data in accordance with international obligationsU.K.

(1)The Commissioner may inspect personal data where the inspection is necessary in order to discharge an international obligation of the United Kingdom, subject to the restriction in subsection (2).

(2)The power under subsection (1) is exercisable only if the personal data—

(a)is processed wholly or partly by automated means, or

(b)is processed otherwise than by automated means and forms part of a filing system or is intended to form part of a filing system.

(3)The power under subsection (1) includes power to inspect, operate and test equipment which is used for the processing of personal data.

(4)Before exercising the power under subsection (1), the Commissioner must by written notice inform the controller and any processor that the Commissioner intends to do so.

(5)Subsection (4) does not apply if the Commissioner considers that the case is urgent.

(6)It is an offence—

(a)intentionally to obstruct a person exercising the power under subsection (1), or

(b)to fail without reasonable excuse to give a person exercising that power any assistance the person may reasonably require.

(7)Paragraphs (c) and (d) of section 3(14) do not apply to references in this section to personal data, the processing of personal data, a controller or a processor.

[F194119AStandard clauses for transfers to third countries etcU.K.

(1)The Commissioner may issue a document specifying standard data protection clauses which the Commissioner considers provide appropriate safeguards for the purposes of transfers of personal data to a third country or an international organisation in reliance on Article 46 of the UK GDPR (and see also section 17C).

(2)The Commissioner may issue a document that amends or withdraws a document issued under subsection (1).

(3)A document issued under this section—

(a)must specify when it comes into force,

(b)may make different provision for different purposes, and

(c)may include transitional provision or savings.

(4)Before issuing a document under this section, the Commissioner must consult the Secretary of State and such of the following as the Commissioner considers appropriate—

(a)trade associations;

(b)data subjects;

(c)persons who appear to the Commissioner to represent the interests of data subjects.

(5)After a document is issued under this section—

(a)the Commissioner must send a copy to the Secretary of State, and

(b)the Secretary of State must lay it before Parliament.

(6)If, within the 40-day period, either House of Parliament resolves not to approve the document then, with effect from the end of the day on which the resolution is passed, the document is to be treated as not having been issued under this section (so that the document, and any amendment or withdrawal made by the document, is to be disregarded for the purposes of Article 46(2)(d) of the UK GDPR).

(7)Nothing in subsection (6)—

(a)affects any transfer of personal data previously made in reliance on the document, or

(b)prevents a further document being laid before Parliament.

(8)The Commissioner must publish—

(a)a document issued under this section, and

(b)a notice identifying any document which, under subsection (6), is treated as not having been issued under this section.

(9)The Commissioner must keep under review the clauses specified in a document issued under this section for the time being in force.

(10)In this section, “the 40-day period” means—

(a)if the document is laid before both Houses of Parliament on the same day, the period of 40 days beginning with that day, or

(b)if the document is laid before the Houses of Parliament on different days, the period of 40 days beginning with the later of those days.

(11)In calculating the 40-day period, no account is to be taken of any period during which Parliament is dissolved or prorogued or during which both Houses of Parliament are adjourned for more than 4 days.

(12)In this section, “trade association” includes a body representing controllers or processors.]

Textual Amendments

120Further international roleU.K.

(1)The Commissioner must, in relation to third countries and international organisations, take appropriate steps to—

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

(b)provide international mutual assistance in the enforcement of legislation for the protection of personal data, subject to appropriate safeguards for the protection of personal data and F195... fundamental rights and freedoms;

(c)engage relevant stakeholders in discussion and activities aimed at furthering international co-operation in the enforcement of legislation for the protection of personal data;

(d)promote the exchange and documentation of legislation and practice for the protection of personal data, including legislation and practice relating to jurisdictional conflicts with third countries.

(2)Subsection (1) applies only in connection with the processing of personal data to which the [F196UK GDPR] does not apply; for the equivalent duty in connection with the processing of personal data to which the [F196UK GDPR] applies, see Article 50 of the [F196UK GDPR] (international co-operation for the protection of personal data).

[F197(2A)The Commissioner may contribute to the activities of international organisations with data protection functions.]

(3)The Commissioner must carry out data protection functions which the Secretary of State directs the Commissioner to carry out for the purpose of enabling Her Majesty's Government in the United Kingdom to give effect to an international obligation of the United Kingdom.

(4)The Commissioner may provide an authority carrying out data protection functions under the law of a British overseas territory with assistance in carrying out those functions.

(5)The Secretary of State may direct that assistance under subsection (4) is to be provided on terms, including terms as to payment, specified or approved by the Secretary of State.

(6)In this section—

(7)Section 3(14)(c) does not apply to references to personal data and the processing of personal data in this section.

Textual Amendments

Codes of practiceU.K.

121Data-sharing codeU.K.

(1)The Commissioner must prepare a code of practice which contains—

(a)practical guidance in relation to the sharing of personal data in accordance with the requirements of the data protection legislation, and

(b)such other guidance as the Commissioner considers appropriate to promote good practice in the sharing of personal data.

(2)Where a code under this section is in force, the Commissioner may prepare amendments of the code or a replacement code.

(3)Before preparing a code or amendments under this section, the Commissioner must consult the Secretary of State and such of the following as the Commissioner considers appropriate—

(a)trade associations;

(b)data subjects;

(c)persons who appear to the Commissioner to represent the interests of data subjects.

(4)A code under this section may include transitional provision or savings.

(5)In this section—

122Direct marketing codeU.K.

(1)The Commissioner must prepare a code of practice which contains—

(a)practical guidance in relation to the carrying out of direct marketing in accordance with the requirements of the data protection legislation and the Privacy and Electronic Communications (EC Directive) Regulations 2003 (S.I. 2003/2426), and

(b)such other guidance as the Commissioner considers appropriate to promote good practice in direct marketing.

(2)Where a code under this section is in force, the Commissioner may prepare amendments of the code or a replacement code.

(3)Before preparing a code or amendments under this section, the Commissioner must consult the Secretary of State and such of the following as the Commissioner considers appropriate—

(a)trade associations;

(b)data subjects;

(c)persons who appear to the Commissioner to represent the interests of data subjects.

(4)A code under this section may include transitional provision or savings.

(5)In this section—

123Age-appropriate design codeU.K.

(1)The Commissioner must prepare a code of practice which contains such guidance as the Commissioner considers appropriate on standards of age-appropriate design of relevant information society services which are likely to be accessed by children.

(2)Where a code under this section is in force, the Commissioner may prepare amendments of the code or a replacement code.

(3)Before preparing a code or amendments under this section, the Commissioner must consult the Secretary of State and such other persons as the Commissioner considers appropriate, including—

(a)children,

(b)parents,

(c)persons who appear to the Commissioner to represent the interests of children,

(d)child development experts, and

(e)trade associations.

(4)In preparing a code or amendments under this section, the Commissioner must have regard—

(a)to the fact that children have different needs at different ages, and

(b)to the United Kingdom's obligations under the United Nations Convention on the Rights of the Child.

(5)A code under this section may include transitional provision or savings.

(6)Any transitional provision included in the first code under this section must cease to have effect before the end of the period of 12 months beginning when the code comes into force.

(7)In this section—

Textual Amendments

Commencement Information

I23S. 123 in force at 23.7.2018 by S.I. 2018/625, reg. 3(a)

124Data protection and journalism codeU.K.

(1)The Commissioner must prepare a code of practice which contains—

(a)practical guidance in relation to the processing of personal data for the purposes of journalism in accordance with the requirements of the data protection legislation, and

(b)such other guidance as the Commissioner considers appropriate to promote good practice in the processing of personal data for the purposes of journalism.

(2)Where a code under this section is in force, the Commissioner may prepare amendments of the code or a replacement code.

(3)Before preparing a code or amendments under this section, the Commissioner must consult such of the following as the Commissioner considers appropriate—

(a)trade associations;

(b)data subjects;

(c)persons who appear to the Commissioner to represent the interests of data subjects.

(4)A code under this section may include transitional provision or savings.

(5)In this section—

125Approval of codes prepared under sections 121 to 124U.K.

(1)When a code is prepared under section 121, 122, 123 or 124—

(a)the Commissioner must submit the final version to the Secretary of State, and

(b)the Secretary of State must lay the code before Parliament.

(2)In relation to the first code under section 123—

(a)the Commissioner must prepare the code as soon as reasonably practicable and must submit it to the Secretary of State before the end of the period of 18 months beginning when this Act is passed, and

(b)the Secretary of State must lay it before Parliament as soon as reasonably practicable.

(3)If, within the 40-day period, either House of Parliament resolves not to approve a code prepared under section 121, 122, 123 or 124, the Commissioner must not issue the code.

(4)If no such resolution is made within that period—

(a)the Commissioner must issue the code, and

(b)the code comes into force at the end of the period of 21 days beginning with the day on which it is issued.

(5)If, as a result of subsection (3), there is no code in force under section 121, 122, 123 or 124, the Commissioner must prepare another version of the code.

(6)Nothing in subsection (3) prevents another version of the code being laid before Parliament.

(7)In this section, “the 40-day period” means—

(a)if the code is laid before both Houses of Parliament on the same day, the period of 40 days beginning with that day, or

(b)if the code is laid before the Houses of Parliament on different days, the period of 40 days beginning with the later of those days.

(8)In calculating the 40-day period, no account is to be taken of any period during which Parliament is dissolved or prorogued or during which both Houses of Parliament are adjourned for more than 4 days.

(9)This section, other than subsections (2) and (5), applies in relation to amendments prepared under section 121, 122, 123 or 124 as it applies in relation to codes prepared under those sections.

Commencement Information

I24S. 125 not in force at Royal Assent; s. 125 in force at 23.7.2018 for specified purposes, see s. 212(3)(b)

I25S. 125 in force at 23.7.2018 for specified purposes by S.I. 2018/625, reg. 3(b)

126Publication and review of codes issued under section 125(4)U.K.

(1)The Commissioner must publish a code issued under section 125(4).

(2)Where an amendment of a code is issued under section 125(4), the Commissioner must publish—

(a)the amendment, or

(b)the code as amended by it.

(3)The Commissioner must keep under review each code issued under section 125(4) for the time being in force.

(4)Where the Commissioner becomes aware that the terms of such a code could result in a breach of an international obligation of the United Kingdom, the Commissioner must exercise the power under section 121(2), 122(2), 123(2) or 124(2) with a view to remedying the situation.

Commencement Information

I26S. 126 not in force at Royal Assent; s. 126 in force at 23.7.2018 for specified purposes, see s. 212(3)(b)

I27S. 126 in force at 23.7.2018 for specified purposes by S.I. 2018/625, reg. 3(c)

127Effect of codes issued under section 125(4)U.K.

(1)A failure by a person to act in accordance with a provision of a code issued under section 125(4) does not of itself make that person liable to legal proceedings in a court or tribunal.

(2)A code issued under section 125(4), including an amendment or replacement code, is admissible in evidence in legal proceedings.

(3)In any proceedings before a court or tribunal, the court or tribunal must take into account a provision of a code issued under section 125(4) in determining a question arising in the proceedings if—

(a)the question relates to a time when the provision was in force, and

(b)the provision appears to the court or tribunal to be relevant to the question.

(4)Where the Commissioner is carrying out a function described in subsection (5), the Commissioner must take into account a provision of a code issued under section 125(4) in determining a question arising in connection with the carrying out of the function if—

(a)the question relates to a time when the provision was in force, and

(b)the provision appears to the Commissioner to be relevant to the question.

(5)Those functions are functions under—

(a)the data protection legislation, or

(b)the Privacy and Electronic Communications (EC Directive) Regulations 2003 (S.I. 2003/2426).

Commencement Information

I28S. 127 not in force at Royal Assent; s. 127 in force at 23.7.2018 for specified purposes, see s. 212(3)(b)

I29S. 127 in force at 23.7.2018 for specified purposes by S.I. 2018/625, reg. 3(d)

128Other codes of practiceU.K.

(1)The Secretary of State may by regulations require the Commissioner—

(a)to prepare appropriate codes of practice giving guidance as to good practice in the processing of personal data, and

(b)to make them available to such persons as the Commissioner considers appropriate.

(2)Before preparing such codes, the Commissioner must consult such of the following as the Commissioner considers appropriate—

(a)trade associations;

(b)data subjects;

(c)persons who appear to the Commissioner to represent the interests of data subjects.

(3)Regulations under this section—

(a)must describe the personal data or processing to which the code of practice is to relate, and

(b)may describe the persons or classes of person to whom it is to relate.

(4)Regulations under this section are subject to the negative resolution procedure.

(5)In this section—

Commencement Information

I30S. 128 in force at Royal Assent for specified purposes, see s. 212(2)(f)

Consensual auditsU.K.

129Consensual auditsU.K.

(1)The Commissioner's functions under Article 58(1) of the [F200UK GDPR] and paragraph 1 of Schedule 13 include power, with the consent of a controller or processor, to carry out an assessment of whether the controller or processor is complying with good practice in the processing of personal data.

(2)The Commissioner must inform the controller or processor of the results of such an assessment.

(3)In this section, “good practice in the processing of personal data” has the same meaning as in section 128.

Textual Amendments

Records of national security certificatesU.K.

130Records of national security certificatesU.K.

(1)A Minister of the Crown who issues a certificate under section 27, 79 or 111 must send a copy of the certificate to the Commissioner.

(2)If the Commissioner receives a copy of a certificate under subsection (1), the Commissioner must publish a record of the certificate.

(3)The record must contain—

(a)the name of the Minister who issued the certificate,

(b)the date on which the certificate was issued, and

(c)subject to subsection (4), the text of the certificate.

(4)The Commissioner must not publish the text, or a part of the text, of the certificate if—

(a)the Minister determines that publishing the text or that part of the text—

(i)would be against the interests of national security,

(ii)would be contrary to the public interest, or

(iii)might jeopardise the safety of any person, and

(b)the Minister has notified the Commissioner of that determination.

(5)The Commissioner must keep the record of the certificate available to the public while the certificate is in force.

(6)If a Minister of the Crown revokes a certificate issued under section 27, 79 or 111, the Minister must notify the Commissioner.

Information provided to the CommissionerU.K.

131Disclosure of information to the CommissionerU.K.

(1)No enactment or rule of law prohibiting or restricting the disclosure of information precludes a person from providing the Commissioner with information necessary for the discharge of the Commissioner's functions.

(2)But this section does not authorise the making of a disclosure which is prohibited by any of Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016.

(3)Until the repeal of Part 1 of the Regulation of Investigatory Powers Act 2000 by paragraphs 45 and 54 of Schedule 10 to the Investigatory Powers Act 2016 is fully in force, subsection (2) has effect as if it included a reference to that Part.

132Confidentiality of informationU.K.

(1)A person who is or has been the Commissioner, or a member of the Commissioner's staff or an agent of the Commissioner, must not disclose information which—

(a)has been obtained by, or provided to, the Commissioner in the course of, or for the purposes of, the discharging of the Commissioner's functions,

(b)relates to an identified or identifiable individual or business, and

(c)is not available to the public from other sources at the time of the disclosure and has not previously been available to the public from other sources,

unless the disclosure is made with lawful authority.

(2)For the purposes of subsection (1), a disclosure is made with lawful authority only if and to the extent that—

(a)the disclosure was made with the consent of the individual or of the person for the time being carrying on the business,

(b)the information was obtained or provided as described in subsection (1)(a) for the purpose of its being made available to the public (in whatever manner),

(c)the disclosure was made for the purposes of, and is necessary for, the discharge of one or more of the Commissioner's functions,

F201(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e)the disclosure was made for the purposes of criminal or civil proceedings, however arising, or

(f)having regard to the rights, freedoms and legitimate interests of any person, the disclosure was necessary in the public interest.

(3)It is an offence for a person knowingly or recklessly to disclose information in contravention of subsection (1).

Textual Amendments

133Guidance about privileged communicationsU.K.

(1)The Commissioner must produce and publish guidance about—

(a)how the Commissioner proposes to secure that privileged communications which the Commissioner obtains or has access to in the course of carrying out the Commissioner's functions are used or disclosed only so far as necessary for carrying out those functions, and

(b)how the Commissioner proposes to comply with restrictions and prohibitions on obtaining or having access to privileged communications which are imposed by an enactment.

(2)The Commissioner—

(a)may alter or replace the guidance, and

(b)must publish any altered or replacement guidance.

(3)The Commissioner must consult the Secretary of State before publishing guidance under this section (including altered or replacement guidance).

(4)The Commissioner must arrange for guidance under this section (including altered or replacement guidance) to be laid before Parliament.

(5)In this section, “privileged communications” means—

(a)communications made—

(i)between a professional legal adviser and the adviser's client, and

(ii)in connection with the giving of legal advice to the client with respect to legal obligations, liabilities or rights, and

(b)communications made—

(i)between a professional legal adviser and the adviser's client or between such an adviser or client and another person,

(ii)in connection with or in contemplation of legal proceedings, and

(iii)for the purposes of such proceedings.

(6)In subsection (5)—

(a)references to the client of a professional legal adviser include references to a person acting on behalf of the client, and

(b)references to a communication include—

(i)a copy or other record of the communication, and

(ii)anything enclosed with or referred to in the communication if made as described in subsection (5)(a)(ii) or in subsection (5)(b)(ii) and (iii).

FeesU.K.

134Fees for servicesU.K.

The Commissioner may require a person other than a data subject or a data protection officer to pay a reasonable fee for a service provided to the person, or at the person's request, which the Commissioner is required or authorised to provide under the data protection legislation.

135Manifestly unfounded or excessive requests by data subjects etcU.K.

(1)Where a request to the Commissioner from a data subject or a data protection officer is manifestly unfounded or excessive, the Commissioner may—

(a)charge a reasonable fee for dealing with the request, or

(b)refuse to act on the request.

(2)An example of a request that may be excessive is one that merely repeats the substance of previous requests.

(3)In any proceedings where there is an issue as to whether a request described in subsection (1) is manifestly unfounded or excessive, it is for the Commissioner to show that it is.

(4)Subsections (1) and (3) apply only in cases in which the Commissioner does not already have such powers and obligations under Article 57(4) of the [F202UK GDPR].

Textual Amendments

136Guidance about feesU.K.

(1)The Commissioner must produce and publish guidance about the fees the Commissioner proposes to charge in accordance with—

(a)section 134 or 135, or

(b)Article 57(4) of the [F203UK GDPR].

(2)Before publishing the guidance, the Commissioner must consult the Secretary of State.

Textual Amendments

ChargesU.K.

137Charges payable to the Commissioner by controllersU.K.

(1)The Secretary of State may by regulations require controllers to pay charges of an amount specified in the regulations to the Commissioner.

(2)Regulations under subsection (1) may require a controller to pay a charge regardless of whether the Commissioner has provided, or proposes to provide, a service to the controller.

(3)Regulations under subsection (1) may—

(a)make provision about the time or times at which, or period or periods within which, a charge must be paid;

(b)make provision for cases in which a discounted charge is payable;

(c)make provision for cases in which no charge is payable;

(d)make provision for cases in which a charge which has been paid is to be refunded.

(4)In making regulations under subsection (1), the Secretary of State must have regard to the desirability of securing that the charges payable to the Commissioner under such regulations are sufficient to offset—

(a)expenses incurred by the Commissioner in discharging the Commissioner's functions—

(i)under the data protection legislation,

(ii)under the Data Protection Act 1998,

(iii)under or by virtue of sections 108 and 109 of the Digital Economy Act 2017, and

(iv)under or by virtue of the Privacy and Electronic Communications (EC Directive) Regulations 2003 (S.I. 2003/2426),

(b)any expenses of the Secretary of State in respect of the Commissioner so far as attributable to those functions,

(c)to the extent that the Secretary of State considers appropriate, any deficit previously incurred (whether before or after the passing of this Act) in respect of the expenses mentioned in paragraph (a), and

(d)to the extent that the Secretary of State considers appropriate, expenses incurred by the Secretary of State in respect of the inclusion of any officers or staff of the Commissioner in any scheme under section 1 of the Superannuation Act 1972 or section 1 of the Public Service Pensions Act 2013.

(5)The Secretary of State may from time to time require the Commissioner to provide information about the expenses referred to in subsection (4)(a).

(6)The Secretary of State may by regulations make provision—

(a)requiring a controller to provide information to the Commissioner, or

(b)enabling the Commissioner to require a controller to provide information to the Commissioner,

for either or both of the purposes mentioned in subsection (7).

(7)Those purposes are—

(a)determining whether a charge is payable by the controller under regulations under subsection (1);

(b)determining the amount of a charge payable by the controller.

(8)The provision that may be made under subsection (6)(a) includes provision requiring a controller to notify the Commissioner of a change in the controller's circumstances of a kind specified in the regulations.

Commencement Information

I31S. 137 in force at Royal Assent for specified purposes, see s. 212(2)(f)

138Regulations under section 137: supplementaryU.K.

(1)Before making regulations under section 137(1) or (6), the Secretary of State must consult such representatives of persons likely to be affected by the regulations as the Secretary of State thinks appropriate (and see also section 182).

(2)The Commissioner—

(a)must keep under review the working of regulations under section 137(1) or (6), and

(b)may from time to time submit proposals to the Secretary of State for amendments to be made to the regulations.

(3)The Secretary of State must review the working of regulations under section 137(1) or (6)—

(a)at the end of the period of 5 years beginning with the making of the first set of regulations under section 108 of the Digital Economy Act 2017, and

(b)at the end of each subsequent 5 year period.

(4)Regulations under section 137(1) are subject to the negative resolution procedure if—

(a)they only make provision increasing a charge for which provision is made by previous regulations under section 137(1) or section 108(1) of the Digital Economy Act 2017, and

(b)they do so to take account of an increase in the retail prices index since the previous regulations were made.

(5)Subject to subsection (4), regulations under section 137(1) or (6) are subject to the affirmative resolution procedure.

(6)In subsection (4), “the retail prices index” means—

(a)the general index of retail prices (for all items) published by the Statistics Board, or

(b)where that index is not published for a month, any substitute index or figures published by the Board.

(7)Regulations under section 137(1) or (6) may not apply to—

(a)Her Majesty in her private capacity,

(b)Her Majesty in right of the Duchy of Lancaster, or

(c)the Duke of Cornwall.

Commencement Information

I32S. 138 in force at Royal Assent for specified purposes, see s. 212(2)(f)

Reports etcU.K.

139Reporting to ParliamentU.K.

(1)The Commissioner must—

(a)produce a general report on the carrying out of the Commissioner's functions annually,

(b)arrange for it to be laid before Parliament, and

(c)publish it.

(2)The report must include the annual report required under Article 59 of the [F204UK GDPR].

(3)The Commissioner may produce other reports relating to the carrying out of the Commissioner's functions and arrange for them to be laid before Parliament.

Textual Amendments

140Publication by the CommissionerU.K.

A duty under this Act for the Commissioner to publish a document is a duty for the Commissioner to publish it, or to arrange for it to be published, in such form and manner as the Commissioner considers appropriate.

141Notices from the CommissionerU.K.

(1)This section applies in relation to a notice authorised or required by this Act to be given to a person by the Commissioner.

(2)The notice may be given to an individual—

(a)by delivering it to the individual,

(b)by sending it to the individual by post addressed to the individual at his or her usual or last-known place of residence or business, or

(c)by leaving it for the individual at that place.

(3)The notice may be given to a body corporate or unincorporate—

(a)by sending it by post to the proper officer of the body at its principal office, or

(b)by addressing it to the proper officer of the body and leaving it at that office.

(4)The notice may be given to a partnership in Scotland—

(a)by sending it by post to the principal office of the partnership, or

(b)by addressing it to that partnership and leaving it at that office.

(5)The notice may be given to the person by other means, including by electronic means, with the person's consent.

(6)In this section—

(7)This section is without prejudice to any other lawful method of giving a notice.

PART 6U.K.Enforcement

Information noticesU.K.

142Information noticesU.K.

(1)The Commissioner may, by written notice (an “information notice”)—

(a)require a controller or processor to provide the Commissioner with information that the Commissioner reasonably requires for the purposes of carrying out the Commissioner's functions under the data protection legislation, or

(b)require any person to provide the Commissioner with information that the Commissioner reasonably requires for the purposes of—

(i)investigating a suspected failure of a type described in section 149(2) or a suspected offence under this Act, or

(ii)determining whether the processing of personal data is carried out by an individual in the course of a purely personal or household activity.

(2)An information notice must state—

(a)whether it is given under subsection (1)(a), (b)(i) or (b)(ii), and

(b)why the Commissioner requires the information.

(3)An information notice—

(a)may specify or describe particular information or a category of information;

(b)may specify the form in which the information must be provided;

(c)may specify the time at which, or the period within which, the information must be provided;

(d)may specify the place where the information must be provided;

(but see the restrictions in subsections (5) to (7)).

(4)An information notice must provide information about—

(a)the consequences of failure to comply with it, and

(b)the rights under sections 162 and 164 (appeals etc).

(5)An information notice may not require a person to provide information before the end of the period within which an appeal can be brought against the notice.

(6)If an appeal is brought against an information notice, the information need not be provided pending the determination or withdrawal of the appeal.

(7)If an information notice—

(a)states that, in the Commissioner's opinion, the information is required urgently, and

(b)gives the Commissioner's reasons for reaching that opinion,

subsections (5) and (6) do not apply but the notice must not require the information to be provided before the end of the period of 24 hours beginning when the notice is given.

(8)The Commissioner may cancel an information notice by written notice to the person to whom it was given.

(9)In subsection (1), in relation to a person who is a controller or processor for the purposes of the [F205UK GDPR], the reference to a controller or processor includes a representative of a controller or processor designated under Article 27 of the [F205UK GDPR] (representatives of controllers or processors not established in [F206the United Kingdom]).

(10)Section 3(14)(c) does not apply to the reference to the processing of personal data in subsection (1)(b).

Textual Amendments

143Information notices: restrictionsU.K.

(1)The Commissioner may not give an information notice with respect to the processing of personal data for the special purposes unless—

(a)a determination under section 174 with respect to the data or the processing has taken effect, or

(b)the Commissioner—

(i)has reasonable grounds for suspecting that such a determination could be made, and

(ii)the information is required for the purposes of making such a determination.

(2)An information notice does not require a person to give the Commissioner information to the extent that requiring the person to do so would involve an infringement of the privileges of either House of Parliament.

(3)An information notice does not require a person to give the Commissioner information in respect of a communication which is made—

(a)between a professional legal adviser and the adviser's client, and

(b)in connection with the giving of legal advice to the client with respect to obligations, liabilities or rights under the data protection legislation.

(4)An information notice does not require a person to give the Commissioner information in respect of a communication which is made—

(a)between a professional legal adviser and the adviser's client or between such an adviser or client and another person,

(b)in connection with or in contemplation of proceedings under or arising out of the data protection legislation, and

(c)for the purposes of such proceedings.

(5)In subsections (3) and (4), references to the client of a professional legal adviser include references to a person acting on behalf of the client.

(6)An information notice does not require a person to provide the Commissioner with information if doing so would, by revealing evidence of the commission of an offence expose the person to proceedings for that offence.

(7)The reference to an offence in subsection (6) does not include an offence under—

(a)this Act;

(b)section 5 of the Perjury Act 1911 (false statements made otherwise than on oath);

(c)section 44(2) of the Criminal Law (Consolidation) (Scotland) Act 1995 (false statements made otherwise than on oath);

(d)Article 10 of the Perjury (Northern Ireland) Order 1979 (S.I. 1979/1714 (N.I. 19)) (false statutory declarations and other false unsworn statements).

(8)An oral or written statement provided by a person in response to an information notice may not be used in evidence against that person on a prosecution for an offence under this Act (other than an offence under section 144) unless in the proceedings—

(a)in giving evidence the person provides information inconsistent with the statement, and

(b)evidence relating to the statement is adduced, or a question relating to it is asked, by that person or on that person's behalf.

(9)In subsection (6), in relation to an information notice given to a representative of a controller or processor designated under Article 27 of the [F207UK GDPR], the reference to the person providing the information being exposed to proceedings for an offence includes a reference to the controller or processor being exposed to such proceedings.

Textual Amendments

144False statements made in response to information noticesU.K.

It is an offence for a person, in response to an information notice—

(a)to make a statement which the person knows to be false in a material respect, or

(b)recklessly to make a statement which is false in a material respect.

145Information ordersU.K.

(1)This section applies if, on an application by the Commissioner, a court is satisfied that a person has failed to comply with a requirement of an information notice.

(2)The court may make an order requiring the person to provide to the Commissioner some or all of the following—

(a)information referred to in the information notice;

(b)other information which the court is satisfied the Commissioner requires, having regard to the statement included in the notice in accordance with section 142(2)(b).

(3)The order—

(a)may specify the form in which the information must be provided,

(b)must specify the time at which, or the period within which, the information must be provided, and

(c)may specify the place where the information must be provided.

Assessment noticesU.K.

146Assessment noticesU.K.

(1)The Commissioner may by written notice (an “assessment notice”) require a controller or processor to permit the Commissioner to carry out an assessment of whether the controller or processor has complied or is complying with the data protection legislation.

(2)An assessment notice may require the controller or processor to do any of the following—

(a)permit the Commissioner to enter specified premises;

(b)direct the Commissioner to documents on the premises that are of a specified description;

(c)assist the Commissioner to view information of a specified description that is capable of being viewed using equipment on the premises;

(d)comply with a request from the Commissioner for a copy (in such form as may be requested) of—

(i)the documents to which the Commissioner is directed;

(ii)the information which the Commissioner is assisted to view;

(e)direct the Commissioner to equipment or other material on the premises which is of a specified description;

(f)permit the Commissioner to inspect or examine the documents, information, equipment or material to which the Commissioner is directed or which the Commissioner is assisted to view;

(g)provide the Commissioner with an explanation of such documents, information, equipment or material;

(h)permit the Commissioner to observe the processing of personal data that takes place on the premises;

(i)make available for interview by the Commissioner a specified number of people of a specified description who process personal data on behalf of the controller, not exceeding the number who are willing to be interviewed.

(3)In subsection (2), references to the Commissioner include references to the Commissioner's officers and staff.

(4)An assessment notice must, in relation to each requirement imposed by the notice, specify the time or times at which, or period or periods within which, the requirement must be complied with (but see the restrictions in subsections (6) to (9)).

(5)An assessment notice must provide information about—

(a)the consequences of failure to comply with it, and

(b)the rights under sections 162 and 164 (appeals etc).

(6)An assessment notice may not require a person to do anything before the end of the period within which an appeal can be brought against the notice.

(7)If an appeal is brought against an assessment notice, the controller or processor need not comply with a requirement in the notice pending the determination or withdrawal of the appeal.

(8)If an assessment notice—

(a)states that, in the Commissioner's opinion, it is necessary for the controller or processor to comply with a requirement in the notice urgently,

(b)gives the Commissioner's reasons for reaching that opinion, and

(c)does not meet the conditions in subsection (9)(a) to (d),

subsections (6) and (7) do not apply but the notice must not require the controller or processor to comply with the requirement before the end of the period of 7 days beginning when the notice is given.

(9)If an assessment notice—

(a)states that, in the Commissioner's opinion, there are reasonable grounds for suspecting that a controller or processor has failed or is failing as described in section 149(2) or that an offence under this Act has been or is being committed,

(b)indicates the nature of the suspected failure or offence,

(c)does not specify domestic premises,

(d)states that, in the Commissioner's opinion, it is necessary for the controller or processor to comply with a requirement in the notice in less than 7 days, and

(e)gives the Commissioner's reasons for reaching that opinion,

subsections (6) and (7) do not apply.

(10)The Commissioner may cancel an assessment notice by written notice to the controller or processor to whom it was given.

(11)Where the Commissioner gives an assessment notice to a processor, the Commissioner must, so far as reasonably practicable, give a copy of the notice to each controller for whom the processor processes personal data.

(12)In this section—

147Assessment notices: restrictionsU.K.

(1)An assessment notice does not require a person to do something to the extent that requiring the person to do it would involve an infringement of the privileges of either House of Parliament.

(2)An assessment notice does not have effect so far as compliance would result in the disclosure of a communication which is made—

(a)between a professional legal adviser and the adviser's client, and

(b)in connection with the giving of legal advice to the client with respect to obligations, liabilities or rights under the data protection legislation.

(3)An assessment notice does not have effect so far as compliance would result in the disclosure of a communication which is made—

(a)between a professional legal adviser and the adviser's client or between such an adviser or client and another person,

(b)in connection with or in contemplation of proceedings under or arising out of the data protection legislation, and

(c)for the purposes of such proceedings.

(4)In subsections (2) and (3)—

(a)references to the client of a professional legal adviser include references to a person acting on behalf of such a client, and

(b)references to a communication include—

(i)a copy or other record of the communication, and

(ii)anything enclosed with or referred to in the communication if made as described in subsection (2)(b) or in subsection (3)(b) and (c).

(5)The Commissioner may not give a controller or processor an assessment notice with respect to the processing of personal data for the special purposes.

(6)The Commissioner may not give an assessment notice to—

(a)a body specified in section 23(3) of the Freedom of Information Act 2000 (bodies dealing with security matters), or

(b)the Office for Standards in Education, Children's Services and Skills in so far as it is a controller or processor in respect of information processed for the purposes of functions exercisable by Her Majesty's Chief Inspector of Education, Children's Services and Skills by virtue of section 5(1)(a) of the Care Standards Act 2000.

Information notices and assessment notices: destruction of documents etcU.K.

148Destroying or falsifying information and documents etcU.K.

(1)This section applies where a person—

(a)has been given an information notice requiring the person to provide the Commissioner with information, or

(b)has been given an assessment notice requiring the person to direct the Commissioner to a document, equipment or other material or to assist the Commissioner to view information.

(2)It is an offence for the person—

(a)to destroy or otherwise dispose of, conceal, block or (where relevant) falsify all or part of the information, document, equipment or material, or

(b)to cause or permit the destruction, disposal, concealment, blocking or (where relevant) falsification of all or part of the information, document, equipment or material,

with the intention of preventing the Commissioner from viewing, or being provided with or directed to, all or part of the information, document, equipment or material.

(3)It is a defence for a person charged with an offence under subsection (2) to prove that the destruction, disposal, concealment, blocking or falsification would have occurred in the absence of the person being given the notice.

Enforcement noticesU.K.

149Enforcement noticesU.K.

(1)Where the Commissioner is satisfied that a person has failed, or is failing, as described in subsection (2), (3), (4) or (5), the Commissioner may give the person a written notice (an “enforcement notice”) which requires the person—

(a)to take steps specified in the notice, or

(b)to refrain from taking steps specified in the notice,

or both (and see also sections 150 and 151).

(2)The first type of failure is where a controller or processor has failed, or is failing, to comply with any of the following—

(a)a provision of Chapter II of the [F208UK GDPR] or Chapter 2 of Part 3 or Chapter 2 of Part 4 of this Act (principles of processing);

(b)a provision of Articles 12 to 22 of the [F209UK GDPR] or Part 3 or 4 of this Act conferring rights on a data subject;

(c)a provision of Articles 25 to 39 of the [F210UK GDPR] or section 64 or 65 of this Act (obligations of controllers and processors);

(d)a requirement to communicate a personal data breach to the Commissioner or a data subject under section 67, 68 or 108 of this Act;

(e)the principles for transfers of personal data to third countries, non-Convention countries and international organisations in Articles 44 to 49 of the [F211UK GDPR] or in sections 73 to 78 or 109 of this Act.

(3)The second type of failure is where a monitoring body has failed, or is failing, to comply with an obligation under Article 41 of the [F212UK GDPR] (monitoring of approved codes of conduct).

(4)The third type of failure is where a person who is a certification provider—

(a)does not meet the requirements for accreditation,

(b)has failed, or is failing, to comply with an obligation under Article 42 or 43 of the [F213UK GDPR] (certification of controllers and processors), or

(c)