BETA

Activities of Petar VITANOV related to 2023/0202(COD)

Shadow reports (1)

2024/02/20
Committee: LIBE
Dossiers: 2023/0202(COD)
Documents: PDF(521 KB) DOC(236 KB)
Authors: [{'name': 'Sergey LAGODINSKY', 'mepid': 197460}]

Amendments (87)

Proposal for a regulation
Recital 2 a (new)

(2 a) The procedural law of each Member State should apply to the supervisory authorities insofar as this Regulation does not harmonise a matter. Some procedural elements, such as the horizontal burden of proof of the controller in Article 5(2) of Regulation (EU) 2016/679, are already governed by Union law. In line with the primacy of Union law, supervisory authorities should not apply national procedural law where it is in conflict with this Regulation and Regulation (EU) 2016/679. Cooperation among supervisory authorities should not be limited because of differences in national procedural law.

2023/12/14
Committee: LIBE

Proposal for a regulation
Recital 4

(4) In order to be admissible a complaint should contain certain specified information about current, ongoing or past alleged violations. Therefore, in order to assist complainants in submitting the necessary facts to the supervisory authorities, a complaint form should be provided. The information specified in the form should be required only in cases of cross-border processing in the sense of Regulation (EU) 2016/679, though the form may be used by supervisory authorities for cases that do not concern cross-border processing. The form may be submitted electronically or by post. The submission of the information listed in that form should be a condition for a complaint relating to cross-border processing to be treated as a complaint as referred to in Article 77 of Regulation (EU) 2016/679. No additional information should be required for a complaint to be deemed admissible. It should be possible for supervisory authorities to facilitate the submission of complaints in a user-friendly electronic format and bearing in mind the needs of persons with disabilities, as long as the information required from the complainant corresponds to the information required by the form and no additional information is required in order to find the complaint admissible.

2023/12/14
Committee: LIBE

Proposal for a regulation
Recital 6

(6) Each complaint handled by a supervisory authority pursuant to Article 57(1), point (f), of Regulation (EU) 2016/679 is to be investigated with all due diligence to the extent appropriate bearing in mind that every use of powers by the supervisory authority must be ~~appropriate, necessary and proportionat~~effective, proportionate and dissuasive in view of ensuring compliance with Regulation (EU) 2016/679. It falls within the discretion of each competent authority to decide the extent to which a complaint should be investigated. While assessing the extent appropriate of an investigation, supervisory authorities should aim to deliver a satisfactory resolution to the complainant, which may not necessarily require exhaustively investigating all possible legal and factual elements arising from the complaint, but which provides an effective and quick remedy to the complainant. The assessment of the extent of the investigative measures required could be informed by the gravity of the alleged infringement, its systemic or repetitive nature, or the fact, as the case may be, that the complainant also took advantage of her or his rights under Article 79 of Regulation (EU) 2016/679.

2023/12/14
Committee: LIBE

Proposal for a regulation
Recital 31

(31) When granting access to the ~~administrativ~~joint case file, supervisory authorities should ensure the protection of business secrets and other confidential information. The category of other confidential information includes information other than business secrets, which may be considered as confidential, insofar as its disclosure would significantly harm a controller, a processor or a natural personlegally protected confidential information and the protection of information in the public interest in accordance with the applicable national law. The supervisory authorities should be able to request that parties ~~under investigation~~ that submit or have submitted documents or statements identify confidential information and provide a non-confidential version.

2023/12/14
Committee: LIBE

Proposal for a regulation
Recital 31 a (new)

(31 a) Given that data subjects may bring claims under Article 79 of Regulation (EU) 679/2016 and controllers or processors may have violated the rights of multiple data subjects, evidence from procedures before a supervisory authority regularly need to be used in other procedures to facilitate an efficient procedure and consistent decision making. Considering the need for a mere objective assessment of the amount of non-material damages based on the average data subject, especially civil courts may regularly benefit from relying on established facts or evidence to determine a claim under Article 82 of Regulation (EU) 679/2016.

2023/12/14
Committee: LIBE

Proposal for a regulation
Recital 31 b (new)

(31 b) As the complaints procedure under Article 77 is free and Article 78 of Regulation (EU) 679/2016 allows for a full review of a decision by a supervisory authority, the judicial review shall not be subject to prohibitive legal costs, delays or other limitations. Parties must have a right to an effective remedy in line with Article 47 of the Charter, including a fair and public hearing within a reasonable time, the possibility to be advised, defended and represented, as well as legal aid for those who lack sufficient resources. As a positive decision may be overturned and may result in an adverse effect on the successful party, all parties that are concerned by a decision must be equal parties to procedures under Article 79 of Regulation (EU) 679/2016, unless an appeal is limited to matters that solely concern one party, such as an appeal by a party under investigation against a fine.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 1 – title

Subject matter and scope

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 1 – paragraph 1

This Regulation lays down procedural rules for the handling of complaints and the conduct of investigations in complaint- based and ex officio cases by supervisory authorities inrelated to the cross-border ~~enforcement of Regulation (EU) 2016/679~~processing in the meaning of Article 4(23) of Regulation (EU) 2016/679, as well as related judicial remedies.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 1 – paragraph 1 a (new)

Article 26c of this Regulation also applies to cases before a supervisory authority of a single Member State pursuant to the second paragraph of Article 56 of Regulation (EU) 2016/679.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 1 – paragraph 1 b (new)

This Regulation does not preclude Member States from specifying procedural matters not regulated by this Regulation or Regulation (EU) 2016/679.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 2 – paragraph 2 – point 1 a (new)

(1 a) ‘joint case file’ means a dedicated electronic file for any case falling under this regulation, managed by the lead supervisory authority, in which all relevant information, in particular documents, submissions, memos and other information regarding a case, are stored and made remotely accessible to concerned supervisory authorities and parties to the case;

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 2 – paragraph 2 – point 1 b (new)

(1 b) ‘complaint-receiving authority’ means the supervisory authority with which the complaint has been lodged pursuant to Article 4(22)(c) of Regulation (EU) 2016/679;

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 2 – paragraph 2 – point 2

(2) ‘summary of key issues’ means the summary to be provided by the lead supervisory authority ~~to supervisory authorities concerned~~or the complaint- receiving authority, identifying the main relevant facts and the lead supervisory authority’s legal views on the case;

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 2 a (new)

Article2a Applicable Procedural Law (1) In addition to, and where not conflicting with this Regulation and subject to the principles of equivalence and effectiveness, the applicable procedural law of a supervisory authority shall govern all direct interactions between that supervisory authority and the parties before it. When applying national procedural law, supervisory authorities shall strive to facilitate the participation of all parties, including parties established or residing in other Member States. (2) Regulation (EU) 2016/679 and this Regulation govern the interaction between supervisory authorities of different Member States within the scope of this Regulation. (3) Any complainant has the right to communicate solely with the supervisory authority with which the complaint has been lodged pursuant to Article 77 of Regulation (EU) 2016/679. (4) The procedure according to Chapter VII of Regulation (EU) 2016/679 and the procedure according to this Regulation shall not be restricted, delayed or denied based on differences by national procedural laws.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 2 b (new)

Article 2b Procedural Minimum Standards (1) Without prejudice to additional rights under relevant national procedural law, each party shall have at least the right to: (a) have their case handled impartially and fairly, and to be treated equally, even if they are before different supervisory authorities in different jurisdictions (“fair procedure and equality of arms”); (b) be heard before any measure is taken that would adversely affect the party, including before the decision to fully or partially dismiss or reject a complaint is adopted (“right to be heard”); (c) have access to the joint case file, except to any internal deliberations (“procedural transparency”); (2) The lead supervisory authority shall hear the parties when novel issues arise and lead to novel conclusions. (3) On the request of a party or in the public interest, a supervisory authority may limit the rights referred to in paragraph 1 and 2 to protect legally recognised rights of others or to protect the public interest. Any limitation must be proportionate in light of the respective recognised rights of others or the public interest pursued. The party claiming confidentiality shall provide a non- confidential version of any information, applying only strictly proportionate measures, such as redacting specific parts of documents. Supervisory authorities involved in a case, as well as other relevant authorities under Article 7(1a), shall always have access to the confidential version of all information, and may object to redactions that are not strictly proportionate. The lead supervisory authority shall keep records of each access to the joint case file and a list of authorised staff from each supervisory authority. (4) In the interest of efficient procedures, supervisory authorities shall limit the length of submissions and set reasonable deadlines not longer than four weeks, unless exceptional circumstances require a reasonable extension.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 2 c (new)

Article 2c Cooperation between supervisory authorities 1. The lead supervisory authority shall structure, coordinate and manage the case in an efficient and expedient way, in accordance with Regulation (EU) 2016/679, this Regulation and any applicable national procedural law, ensuring that Regulation (EU) 2016/679 is fully enforced. 2. The lead supervisory authority shall manage each case in full cooperation with the supervisory authorities concerned, and shall comply with any request of a supervisory authority under this Regulation and Articles 60 to 62 of Regulation (EU) 2016/679. Concerned supervisory authorities within the meaning of Article 4 (22) Regulation (EU) 2016/679 shall have the right to actively contribute to the course of the investigations. The lead supervisory authority shall maintain a list of supervisory authorities concerned for each case in the joint case file. 3. Any supervisory authority which receives relevant information for a case shall provide it to the lead supervisory authority without delay, but no later than one week from the day that it received such information. 4. The lead supervisory authority shall include all documents, submissions, memos and other information regarding the case in a joint case file without delay, but no later than one week from the day in which the lead supervisory authority received such information. Any other concerned supervisory authority and the Board as far as it is involved in the procedure shall have instant remote access to the joint case file. 5. When diverging views arise or are to be expected, for example when a case is considered as contentious under Article 9, the lead supervisory authority shall instantly initiate an exchange with all concerned supervisory authorities with an aim to reach an early consensus or narrow areas of disagreement. The lead supervisory authority shall investigate facts relevant for diverging views. 6. Supervisory authorities shall use their competences under this Regulation and under Chapter VII of Regulation (EU) 2016/679 if diverging views cannot be resolved or in the case of inactivity of another supervisory authority. 7. All written documents by the supervisory authorities shall be provided by electronic means and in a concise, transparent, intelligible and easily accessible form, using clear and plain language.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 1

1. A complaint ~~on the basis of Regulation (EU) 2016/679 that relates to cross-border processing shall provide the information required in the Form, as set out in the Annex~~subject to this regulation shall comply with the requirements of national procedural law applicable to the supervisory authority with which the complaint has been lodged and shall provide the following minimum information: (a) the name, address and any other available contact details of the complainant, (b) if known, the name, address and any other contact details of the party under investigation, (c) the facts of the case and any evidence available to the complainant, including any available communication relating to the case. No additional information shall be required in order for the complaint to be admissible. In particular, complainants shall not be required to use a national electronic ID or e-government system to submit the complaint.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 1 a (new)

1 a. The complainant shall not be required to contact the party under investigation before submitting a complaint for the complaint to be admissible.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 1 b (new)

1 b. The supervisory authority with which a complaint has been lodged shall, within two weeks, acknowledge receipt of the complaint, and where a complaint does not meet the requirements pursuant to paragraph 1 or other legal requirements, declare the complaint inadmissible and inform the complainant about the missing information.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 1 c (new)

1 c. The supervisory authority shall attribute a case number to the complaint and communicate this information to the complainant.This shall be without prejudice to the assessment of admissibility of the complaint pursuant to paragraph 2(c)(i).

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 2

2. The supervisory authority with which the complaint whas been lodged shall ~~establish whether the complaint relates to cross-border processing.~~ , within three weeks after receipt of the complaint: (a) determine the admissibility of the complaint, (b) establish, by way of a preliminary conclusion, whether the complaint relates to cross-border processing, (c) establish which supervisory authority is the assumed lead supervisory authority under Article 56(1) of Regulation (EU) 2016/679, and whether the case is local in nature pursuant to Article 56(2) of Regulation (EU) 2016/679, (d) draft a summary of key issues, and (e) either (i) transmit the complaint to the assumed lead supervisory authority under Article 56(1) of Regulation (EU) 2016/679 and inform the complainant thereof. The assessment of the admissibility of the complaint by the supervisory authority with which the complaint has been lodged shall be binding on the lead supervisory authority; (ii) handle the complaint under Article 56(2) of Regulation (EU) 2016/679; or (iii) inform the complainant that he or she can resubmit the complaint, naming any missing information.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 2 a (new)

2 a. The lead supervisory authority shall immediately provide the complaint to the party under investigation and demand a reply without undue delay, but no later than three weeks from the day it was informed by the supervisory authority concerned.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 2 b (new)

2 b. The parties or the assumed lead supervisory authority shall raise any objection in relation to the competence of the assumed lead supervisory authority or to the handling of a complaint under Article 56(2) of Regulation (EU) 2016/679 within three weeks from being informed about the transmission of the complaint to the assumed lead supervisory authority or the lack of such a transmission.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 2 c (new)

2 c. Where an objection under paragraph 2b was raised, the supervisory authority with which the complaint has been lodged shall either assume its own competence under Article 55 or 56 of Regulation (EU) 2016/679, transfer it to an assumed lead supervisory authority or request a determination by the Board under Article 26a within two weeks.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 3

~~3. The supervisory authority with which the complaint was lodged shall determine the completeness of the information required by the Form within one month.~~deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 4

4. Upon assessment of the completeness of the information required by the Form, the supervisory authority with which the complaint was lodged shall transmit the complaint to the lead supervisory authority.deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 5

~~5. Where the complainant claims confidentiality when submitting a complaint, the complainant shall also submit a non-confidential version of the complaint.~~deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 3 – paragraph 6

6. The supervisory authority with which a complaint was lodged shall acknowledge receipt of the complaint within one week. This acknowledgement shall be without prejudice to the assessment of admissibility of the complaint pursuant to paragraph 3.deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 5 – paragraph 1

A complaint may be resolved by amicable settlement ~~between the complainant and the parties under investigation. Where the supervisory authority considers that~~only where it concerns the data subjects’ rights in the meaning of Chapter III of Regulation (EU) 2016/679 and where with the resolution of the dispute by an amicable settlement, to the complaint has been found, it shall communicate the proposed settlement to the complainant. If the complainant does not object to the amicable settlement proposed by the supervisory authority within one month, the complaint shall be deemed withdrawnhe processing which the complaint related to has been terminated or has been adapted in the interest of the complainant. Amicable settlements may not be reached on the basis of payments to the complainant. An amicable settlement in the course of the complaint procedure is without prejudice of the complainant claiming compensation pursuant to Article 82 of Regulation (EU) 2016/679.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 5 – paragraph 1 a (new)

An amicable settlement between the complainant and the party under investigation shall be considered to be found where there is explicit agreement. The supervisory authority with which the complaint has been lodged may facilitate such an amicable settlement in the preparatory phase; the lead supervisory authority may facilitate it once a complaint has been transmitted to it. Where an amicable settlement to the complaint has been found, the parties shall communicate the settlement to the lead supervisory authority and the supervisory authority where the complaint has been lodged.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 5 – paragraph 1 b (new)

An amicable settlement does not prevent the lead supervisory authority from conducting an ex officio investigation in the same matter.It shall, in particular, open an ex officio investigation instead, where (a) the party under investigation is a repeat offender, (b) the party under investigation has been the subject of a large number of other amicable settlements, (c) the broad subject matter of the complaint concerns a large number of data subjects other than the complainant;or (d) the exercise of powers is otherwise required to ensure effective, proportionate and dissuasive enforcement of Regulation (EU) 2016/679.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 5 – paragraph 1 c (new)

The lead supervisory authority shall, within one month after the communication of the amicable settlement under paragraph 1a, submit a draft decision pursuant to Article 60(4) of Regulation (EU) 2016/679 indicating whether (a) the conditions of an amicable settlement under paragraph 1a are fulfilled; (b) to open an ex officio investigation under paragraph 1b.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 5 – paragraph 1 d (new)

Where none of the other supervisory authorities concerned has objected to the draft decision under paragraph 1a) or the Board confirms the amicable settlement in the procedure under Article 65(1)(a) of Regulation (EU) 2016/679, the complaint shall be deemed withdrawn.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 5 a (new)

Article 5a Ex officio procedure 1. The lead supervisory authority may join and separate cases, or open ex officio investigations, in accordance with national procedural law, insofar as this does not undermine the rights of the parties or the procedural rules for complaint-based procedures in cases of the same subject matter. 2. Any concerned supervisory authority may request an ex officio procedure by submitting a written request to the lead supervisory authority. Such a request shall contain at least: (a) a declaration to be a concerned supervisory authority (b) a summary of key issues pursuant to Article 9 3. Within three weeks, the assumed lead supervisory authority shall: (a) inform the concerned supervisory authority that it has opened an ex officio procedure.; or (b) inform the concerned supervisory authority that Article 56(2) of Regulation (EU) 2016/679 applies to the case and that in accordance with Article 56(3) of Regulation (EU) 2016/679 the lead supervisory authority does not intend to handle the case itself; or (c) reject the request, if it takes the view that it is not the lead supervisory authority or there is prima facie violation of Regulation (EU) 2016/679. In the case referred to in point (a) of this paragraph, the concerned supervisory authority may submit to the lead supervisory authority a draft decision. In the case referred to in point (c) of this paragraph, the concerned supervisory authority may resubmit an amended request for an ex officio procedure, or request a determination on the opening of the procedure by the Board under Article 26a(1).

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 7 – title

Cooperation between supervisory authorities and other relevant authorities

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 8 – paragraph 1

1. The lead supervisory authority shall ~~regularly updat~~provide the other supervisory authorities concerned ~~about~~ withe in~~vestigation and provide the other supervisory authorities concerned, at the earliest convenience, with all relevant information once available~~stant, unrestricted and continuous remote access to the full joint case file, and shall include into the joint case file any documents, submissions, communication, protocols, evidence or other relevant information related to the case within one week of producing or receiving it.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 8 – paragraph 2 – introductory part

2. ~~Relevant information within the meaning of Article 60(1) and (3) of Regulation (EU) 2016/679 shall~~The lead supervisory authority shall actively provide and notify the other supervisory authorities concerned with relevant information within the meaning of Article 60(1) and (3) of Regulation (EU) 2016/679, within one week from receiving or producing it. This information shall cover information on major steps in the procedure, includeing, where applicable:

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 9 – paragraph 1

1. ~~Once~~As soon as the lead supervisory authority , or where a case is transferred from another supervisory authority, that authority, has formed a preliminary view on the main issues in an investigation, it shall draft a summary of key issues that presumably need to be determined to decide the case, for the purpose of cooperation under Article 60(1) of Regulation (EU) 2016/679.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 9 – paragraph 2 – point b

(b) a preliminary identification of the scope of the investigation, in particular the provisions of Regulation (EU) 2016/679 ~~concern~~affected by the alleged infringement ~~which will be investigated~~;

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 9 – paragraph 2 – point c

(c) ~~identification of complex~~preliminary legal and technological assessments ~~which are relevant for preliminary orientation of their assessment~~;

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 9 – paragraph 2 a (new)

2 a. The summary of key issues shall be updated by the lead supervisory authority without undue delay to reflect any factual or legal changes that emerge during the course of the procedure.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 9 – paragraph 3

3. The supervisory authorities concerned may provide factual or legal comments on the summary of key issues. Such comments must be provided within four weeks of receipt of the summary of key issues or any update.

2023/12/14
Committee: LIBE

4. Comments provided pursuant to paragraph 3 shall meet the following requirements: (a) language used is sufficiently clear and contains precise terms to enable the lead supervisory authority, and, as the case may be, supervisory authorities concerned, to prepare their positions; (b) legal arguments are set out succinctly and grouped by reference to the part of the summary of key issues to which they relate; (c) the comments of the supervisory authority concerned may be supported by documents, which may supplement the comments on specific points.deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 9 – paragraph 5

~~5. The Board may specify in its rules of procedure restrictions on the maximum length of comments submitted by supervisory authorities concerned on the summary of key issues.~~deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 9 – paragraph 6

6. Cases where none of the supervisory authorities concerned provided comments under paragraph 3 of this Article shall be considered non-contentious cases. In such cases, the preliminary findings referred to in Article 14 shall be communicated to the parties ~~under investigation~~ within 93 months of the expiry of the deadline provided for in paragraph 3 of this Article.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 10 – paragraph 1

1. A supervisory authority concerned shall make a request to the lead supervisory authority under Article 61 of Regulation (EU) 2016/679, Article 62 of Regulation (EU) 2016/679, or both, where, following the comments of supervisory authorities concerned pursuant to Article 9(3), a supervisory authority concerned disagrees with the assessment of the lead supervisory authority on: (a) the scope of the investigation in complaint-based cases, including the provisions of Regulation (EU) 2016/679 concerned by the alleged infringement which will be investigated; (b) preliminary orientation in relation to complex legal assessments identified by the lead supervisory authority pursuant to Article 9(2), point (c); (c) preliminary orientation in relation to complex technological assessments identified by the lead supervisory authority pursuant to Article 9(2), point (c).deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 10 – paragraph 2

~~2. The request under paragraph 1 shall be made within two months of the expiry of the period referred to in Article 9(3).~~deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 10 – paragraph 3

3. TIn cases not falling under Article 9(6) of this Regulation, the lead supervisory authority shall engage with the supervisory authorities concerned on the basis of their comments on the summary of key issues, and, where applicable, in response to requests under Article 61 and 62 of Regulation (EU) 2016/679, in an endeavour to reach a consensus. The consensus shall be used as a basis for the lead supervisory authority to continue the investigation and draft the preliminary findings ~~or, where applicable, provide the supervisory authority with which the complaint was lodged with its reasoning for the purposes of Article 11(2)~~.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 10 – paragraph 4

4. Where, ~~in a complaint-based~~ within four weeks after the expiry of the deadlinves~~tigation~~ for comments, there is no consensus between the lead supervisory authority and one or more concerned supervisory authorities on the matters referred to in Article 9(2), point (b), of this Regulation, the lead supervisory authority shall request an urgent binding decision of the Board under Article 66(3) of Regulation (EU) 2016/679. In that case, the conditions for requesting an urgent binding decision under Article 66(3) of Regulation (EU) 2016/679 shall be presumed to be metthe lead supervisory authority or a concerned supervisory authority may request a procedural determination pursuant to Article 26a(1).

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 10 – paragraph 5 – introductory part

5. When requesting a~~n urgent binding decision of the Board pursuant to paragraph 4 of this Article, the lead~~ procedural determination pursuant to Article 26a(1) of the Board, the requesting supervisory authority shall provide all of the following:

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 10 – paragraph 5 – point a

(a) the ~~documents~~relevant information referred to in Article 9(2)~~, points (a) and (b)~~;

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 10 – paragraph 5 – point b

(b) the comments of the supervisory authority concerned that disagrees with the lead supervisory authority’s ~~preliminary identification of the scope of the investigation~~factual or legal aspect of the summary of key issues.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 10 – paragraph 6

6. The Board shall adopt a~~n urgent binding decision on the scope of the investigation on the basis of the comments~~ procedural determination pursuant to Article 26a(1) on the summary of key issues on the basis of the relevant communication ofn the su~~pervisory authorities concerned and the position of the lead supervisory authority on those com~~mmary of key issues, including the comments and replies and other relevant documents.

2023/12/14
Committee: LIBE

Proposal for a regulation
Chapter III – Section 2

~~[...]~~deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 11

Hearing of complainant prior to full or 1. Following the procedure provided for in Article 9 and 10, the lead supervisory authority shall provide the supervisory authority with which the complaint was lodged with the reasons for its preliminary view that the complaint should be fully or partially rejected. 2. The supervisory authority with which the complaint was lodged shall inform the complainant of the reasons for the intended full or partial rejection of the complaint and set a time-limit within which the complainant may make known her or his views in writing. The time-limit shall be no less than three weeks. The supervisory authority with which the complaint was lodged shall inform the complainant of the consequences of the failure to make her or his views known. 3. If the complainant fails to make known her or his views within the time-limit set by the supervisory authority with which the complaint was lodged, the complaint shall be deemed to have been withdrawn. 4. The complainant may request access to the non-confidential version of the documents on which the proposed rejection of the complaint is based. 5. If the complainant makes known her or his views within the time-limit set by the supervisory authority with which the complaint was lodged and the views do not lead to a change in the preliminary view that the complaint should be fully or partially rejected, the supervisory authority with which the complaint was lodged shall prepare the draft decision under Article 60(3) of Regulation (EU) 2016/679 which shall be submitted to the other supervisory authorities concerned by the lead supervisory authority pursuant to Article 60(3) of Regulation (EU) 2016/679.Article 11 deleted partial rejection of a complaint

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 12

Revised draft decision fully or partially 1. Where the lead supervisory authority considers that the revised draft decision within the meaning of Article 60(5) of Regulation (EU) 2016/679 raises elements on which the complainant should have the opportunity to make her or his views known, the supervisory authority with which the complaint was lodged shall, prior to the submission of the revised draft decision under Article 60(5) of Regulation (EU) 2016/679, provide the complainant with the possibility to make her or his views known on such new elements. 2. The supervisory authority with which the complaint was lodged shall set a time- limit within which the complainant may make known her or his views.Article 12 deleted rejecting a complaint

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 13

Decision fully or partially rejecting a When adopting a decision fully or partially rejecting a complaint in accordance with Article 60(8) of Regulation (EU) 2016/679, the supervisory authority with which the complaint was lodged shall inform the complainant of the judicial remedy available to him or her in accordance with Article 78 of Regulation (EU) 2016/679.Article 13 deleted complaint

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – title

Preliminary ~~finding~~charges and reply

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – paragraph 1

1. WOnly when the ~~lead supervisory authority intends to submit a draft decision within the meaning of~~issuing of a fine or penalty under Article ~~60(3)~~83 or 84 of Regulation (EU) 2016/679 ~~to the other~~is intended by a supervisory authorit~~ies concerned finding an infringement of Regulation (EU) 2016/679,~~ y in line with Article 9(2), point (d), the lead supervisory authority shall draft preliminary ~~finding~~charges.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – paragraph 2 – subparagraph 1

The preliminary ~~finding~~charges shall present allegations raised in an exhaustive and sufficiently clear way to enable the parties ~~under investigation~~ to take cognisance of the conduct investigated by the lead supervisory authority. In particular, they must set out clearly all the facts, list all the evidence it relies upon and the entire legal assessment raised against the parties under investigation, so that they can express their views on the facts and the legal conclusions the lead supervisory authority ~~intends to draw in the draft decision within the meaning of Article 60(3) of Regulation (EU) 2016/679, and list all the evidence it relies upon~~drew.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – paragraph 2 – subparagraph 2

The preliminary findings shall indicate the corrective measures that are considered by the lead supervisory authority ~~intends to use~~.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – paragraph 2 – subparagraph 3

~~Where the lead supervisory authority intends to impose a fine, it shall list in the preliminary findings~~The preliminary charges shall list the relevant elements on which the lead supervisory authority relies while calculating the fine. In particular, the lead supervisory authority shall list the essential facts and matters of law which may result in the imposition of the fine and the elements listed in Article 83(2) of Regulation (EU) 2016/679, including any aggravating or mitigating factors it will take into account.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – paragraph 3

3. The lead supervisory authority shall notify preliminary ~~finding~~charges to each ~~of the parties under investigation~~party that may be subject to the exercise of a corrective power. These shall not be made available to other parties of the procedure. The lead supervisory authority shall inform the concerned supervisory authorities.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – paragraph 4

4. The lead supervisory authority shall, when notifying the preliminary findings to the parties under investigation, set a time-limit within which these parties may provide their views in writing. The lead supervisory authority shall not be obliged to take into account written views received after the expiry of that time-limit.deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – paragraph 5

5. When notifying the preliminary findings to the parties under investigation, the lead supervisory authority shall provide those parties with access to the administrative file in accordance with Article 20.deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – paragraph 6

6. The parties ~~under investigation~~ may, in their written reply to preliminary findings, set out all facts and legal arguments known to them which are relevant to their defence against the allegations of the lead supervisory authority. They shall attach any relevant documents as proof of the facts set out. The lead supervisory authority shall, in its draft decision, deal only with allegations, including the facts and the legal assessment based on those facts, in respect of which the parties ~~under investigation~~ have been given the opportunity to comment. The parties under investigation may reply to preliminary charges within a reasonable time, but not exceeding four weeks.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 – paragraph 6 a (new)

6 a. The term under Article 4(1b) is prolonged by eight weeks if the lead supervisory authority issues preliminary charges in the course of a procedure.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 14 a (new)

Article 14a Minimum Requirement for Decisions 1. Without prejudice to additional requirements under national law, any draft decision or final decision under Article 60(3), (5) or (7) to (9) of Regulation (EU) 2016/679 shall be issued in writing, using a short, concise, transparent, intelligible form and clear and plain language. It shall be drafted in an impartial way, taking into account diverging evidence and views of the parties and at least contain the following elements: (a) the name of the supervisory authority that issued the decision; (b) the date of the decision; (c) an impartial summary of the relevant facts of the case and their source; (d) the legal grounds for the decision; (e) the exercised corrective powers, penalties or other measures; and (f) information on the right of an effective remedy under Article 78 of Regulation (EU) 2016/679 and any applicable national procedural law. 2. In a case where the legally binding decision must be issued by the supervisory authority with which the complaint has been lodged in accordance with Article 60(8) or (9) of Regulation (EU) 2016/679, the lead supervisory authority shall ensure that the decision contains all elements necessary under the applicable national law of the supervisory authority with which the complaint has been lodged. The supervisory authority with which the complaint has been lodged shall assist the lead supervisory authority in drafting the decision. 3. The information provided to the parties under Article 60(7) to (9) of Regulation (EU) 2016/679 shall include a copy of the legally binding decision. 4. Supervisory authorities must publish all legally binding decisions they issue without undue delay, but no later than three months after their adoption, unless the new decisions are not materially departing from previously published decisions. In accordance with applicable national law, supervisory authorities and the Board may redact party names, any other information that may allow the identification of parties and other information that is protected under applicable law.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 15

Transmission of preliminary findings to 1. Where the lead supervisory authority issues preliminary findings relating to a matter in respect of which it has received a complaint, the supervisory authority with which the complaint was lodged shall provide the complainant with a non- confidential version of the preliminary findings and set a time-limit within which the complainant may make known its views in writing. 2. Paragraph 1 shall apply also when a supervisory authority, where appropriate, treats several complaints jointly, splits the complaints in several parts or in any other way exercises its discretion concerning the scope of the investigation as set out in preliminary findings. 3. Where the lead supervisory authority considers that it is necessary for the complainant to be provided with documents included in the administrative file in order for the complainant to effectively make known her or his views on the preliminary findings, the supervisory authority with which the complaint was lodged shall provide the complainant with the non-confidential version of such documents when providing the preliminary findings pursuant to paragraph 1. 4. The complainant shall be provided with the non-confidential version of the preliminary findings only for the purpose of the concrete investigation in which the preliminary findings were issued. 5. Before receiving the non-confidential version of preliminary findings and any documents provided pursuant to paragraph 3, the complainant shall send to the lead supervisory authority a confidentiality declaration, where the complainant commits himself or herself not to disclose any information or assessment made in the non-confidential version of preliminary findings or to use those findings for purposes other than the concrete investigation in which those findings were issued.Article 15 deleted complainants

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 16 – title

ASubmission of draft decisions, revised draft decisions and adoption of final decision

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 19

Content of the administrative file 1. The administrative file in an investigation concerning an alleged infringement of Regulation (EU) 2016/679 consists of all documents which have been obtained, produced and/or assembled by the lead supervisory authority during the investigation. 2. In the course of investigation of an alleged infringement of Regulation (EU) 2016/679, the lead supervisory authority may return to the party from which they have been obtained documents which following a more detailed examination prove to be unrelated to the subject matter of the investigation. Upon return, these documents shall no longer constitute part of the administrative file. 3. The right of access to the administrative file shall not extend to correspondence and exchange of views between the lead supervisory authority and supervisory authorities concerned. The information exchanged between the supervisory authorities for the purpose of the investigation of an individual case are internal documents and shall not be accessible to the parties under investigation or the complainant. 4. Access to relevant and reasoned objections pursuant to Article 60(4) of Regulation (EU) 2016/679 shall be provided in accordance with Article 24.Article 19 deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 20

Access to the administrative file and use 1. The lead supervisory authority shall grant access to the administrative file to the parties under investigation, enabling them to exercise their right to be heard. Access to the administrative file shall be granted after the lead supervisory authority notifies the preliminary findings to the parties under investigation. 2. The administrative file shall include all documents, inculpatory and exculpatory, including facts and documents which are known to the parties under investigation. 3. The conclusions of the lead supervisory authority in the draft decision under Article 60(3) of Regulation (EU) 2016/679 and the final decision under Article 60(7) of Regulation (EU) 2016/679 may only rely on documents cited in the preliminary findings or on which the parties under investigation had the opportunity to make their views known. 4. Documents obtained through access to the administrative file pursuant to this Article shall be used only for the purposes of judicial or administrative proceedings for the application of Regulation (EU) 2016/679 in the specific case for which such documents were provided.rticle 20 deleted of documents

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 21

~~[...]~~deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 22 – paragraph 3

3. The Board shall ~~within four weeks of receiving the documents listed in paragraph 2 identify retained relevant and reasoned objections.~~ register the submission of a subject-matter to the dispute resolution mechanism within four weeks of gaining access to the joint case file. It shall demand a resubmission of any missing information within another week. When registering the submission, the Board shall list and structure the disputes between supervisory authorities which form the scope of the procedure before the Board, and instantly provide them to the supervisory authorities.

2023/12/14
Committee: LIBE

The Chair of the Board shall register the referral of a subject-matter to dispute resolution under Article 65(1), point (a), of Regulation (EU) 2016/679 no later than one week after having received all of the following documents: (a) the draft decision or revised draft decision subject to the relevant and reasoned objections; (b) a summary of the relevant facts; (c) view made in writing by the parties under investigation, as the case may be, pursuant to Articles 14 and 17; (d) views made in writing by complainants, as the case may be, pursuant to Articles 11, 12 and 15; (e) the retained relevant and reasoned objections; (f) the reasons on the basis of which the lead supervisory authority did not follow the retained relevant and reasoned objections.Article 23 deleted Registration in relation to a decision under Article 65(1), point (a), of Regulation (EU) 2016/679

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 24

Statement of reasons prior to adoption of decision under Article 65(1), point (a), of Regulation (EU) 2016/679 1. Prior to adopting the binding decision pursuant to Article 65(1), point (a), of Regulation (EU) 2016/679, the Chair of the Board shall, through the lead supervisory authority, provide the parties under investigation and/or, in the case of full or partial rejection of a complaint, the complainant, with a statement of reasons explaining the reasoning the Board intends to adopt in its decision. Where the Board intends to adopt a binding decision requiring the lead supervisory authority to amend its draft decision or revised draft decision, the Board shall decide whether such statement of reasons should be accompanied by the retained relevant and reasoned objections on the basis of which the Board intends to adopt its decision. 2. The parties under investigation and/or, in the case of full or partial rejection of a complaint, the complainant, shall have one week from receipt of the statement of reasons referred to in paragraph 1 to make their views known. 3. The deadline in paragraph 2 shall be extended by one week where the Board extends the period for adoption of the binding decision in accordance with Article 65(2) of Regulation (EU) 2016/679. 4. The period for adoption of the binding decision of the Board provided for in Article 65(2) of Regulation (EU) 2016/679 shall not run during the periods provided for in paragraphs 2 and 3.Article 24 deleted

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 25

Procedure in relation to decision under Article 65(1), point (b), of Regulation 1. When referring a subject-matter to the Board under Article 65(1), point (b), of Regulation 2016/679, the supervisory authority referring the subject-matter regarding the competence for the main establishment shall provide the Board with all of the following documents: (a) a summary of the relevant facts; (b) the assessment of these facts as far as the conditions of Article 56(1) of Regulation (EU) 2016/679 are concerned; (c) views made by the controller or processor whose main establishment is the subject of the referral; (d) the views of other supervisory authorities concerned by the referral; (e) any other document or information the referring supervisory authority considers relevant and necessary in order to find a resolution on the subject-matter. 2. The Chair of the Board shall register the referral no later than one week after having received the documents referred to in paragraph 1.Article 25 deleted (EU) 2016/679

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 26

Procedure in relation to decision under Article 65(1), point (c), of Regulation 1. When referring a subject-matter to the Board under Article 65(1), point (c), of Regulation 2016/679, the supervisory authority referring the subject-matter or the Commission shall provide the Board with all of the following documents: (a) a summary of the relevant facts; (b) the opinion, as the case may be, issued by the Board pursuant to Article 64 of Regulation (EU) 2016/679; (c) the views of the supervisory authority referring the subject-matter or the Commission as to whether, as the case may be, a supervisory authority was required to communicate the draft decision to the Board pursuant to Article 64(1) of Regulation (EU) 2016/679, or a supervisory authority did not follow an opinion of the Board issued pursuant to Article 64 of Regulation (EU) 2016/679. 2. The Chair of the Board shall request the following documents: (a) the views of the supervisory authority alleged to have breached the requirement to communicate a draft decision to the Board or to have failed to follow an opinion of the Board; (b) any other document or information the supervisory authority considers relevant and necessary in order to find a resolution on the subject-matter. If any supervisory authority declares a need to submit its views on the referred subject-matter, it shall submit those views within two weeks of the referral referred to in paragraph 1. 3. The Chair of the Board shall register the referral no later than one week after having received the documents referred to in paragraphs 1 and 2.Article 26 deleted (EU) 2016/679

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 26 a (new)

Article 26a Procedural determinations by the Board 1. Without prejudice to Articles 65 and 66 of Regulation (EU) 2016/679, supervisory authorities may request from the Board to make a procedural determination on any dispute arising during a cooperation procedure. 2. Where the lead supervisory authority is of the view that it cannot possibly comply with the deadline from Article 4(1b), especially because of the need for exceptionally complex factual investigations, it shall request from the Board a prolongation of up to twelve months. The supervisory authority shall submit a detailed plan of the investigation that demonstrates that despite its compliance with Article 2c(1) the prolongation sought is strictly necessary. 3. Within two weeks, the Board shall determine the matter based on the information before it or it shall reject the application if the requirements under paragraphs 1 and 2 are not fulfilled. Determinations are binding on the supervisory authorities. 4. The Commission shall ensure that the Board secretariat is provided with the necessary human, technical and financial resources, premises and infrastructure for the effective performance of its tasks and exercise of its powers.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 28 – paragraph 1 – point d

(d) a justification of the urgent need for final measures to be adopted ~~on the territory of the requesting supervisory authority~~, bearing in mind the exceptional nature of circumstances requiring the adoption of the final measure, or proof that a supervisory authority failed to respond to a request ~~under~~pursuant to Article 61(38) or 62(2) of Regulation (EU) 2016/679;

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 28 – paragraph 1 – point f

(f) where applicable, the views of the ~~local establishment of the parties under investigation against which provisional measures were taken pursuant to Article 66(1) of Regulation (EU) 2016/679~~parties. In case the requesting authority is not the lead supervisory authority, the requesting authority shall grant the right to be heard to the parties under investigation.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 28 – paragraph 2

2. The urgent binding decision referred to in paragraph 1 shall be addressed to the lead supervisory authority ~~that submitted the request and shall enable the requesting authority to maintain or amend its provisional measure~~and the supervisory authorities that would need to adopt final measures, if applicable, in light of the urgent opinion or decision of the Board pursuant to Article 66(2) of Regulation (EU) 2016/679.

2023/12/14
Committee: LIBE

4. The supervisory authority that ~~submitted the request referred to in paragraph 1~~is responsible to adopt final measures shall notify its decision on the final measures to the ~~establishment of the controller or processor on the territory of its Member State~~relevant parties under investigation and inform the Board. Where the lead supervisory authority is not the requesting authority, the requesting authority shall inform the parties under investigation against which the provisional measures were adopted, about the Board’s decision and the final measures adopted by the lead supervisory authority. The complaint- receiving supervisory authority shall inform the complainant about the Board’s decision and the final measures adopted by the lead supervisory authority ~~of the final measure~~.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 28 a (new)

Article 28a Remedies against procedural determinations Remedies against procedural determinations by a supervisory authority under national law may only be brought together with the remedy against the final material decision. Deadlines for remedies against procedural determinations under applicable national law are prolonged for the duration of the procedure before the supervisory authority.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 28 b (new)

Article 28b Mutual assistance 1. Without prejudice to any other legal basis for mutual assistance, a supervisory authority may request another supervisory authority to exercise its corrective powers under Article 58(2) or enforce a fine under Article 83 of Regulation (EU) 2016/679 to give full effect to an enforceable decision. 2. The requesting supervisory authority shall certify that the decision is enforceable according to its national law, that the respondent was heard in accordance with this Regulation and that the requesting authority cannot reasonably and effectively enforce the decision within its own Member State. 3. The requested supervisory authority shall take enforcement action under applicable national law as if the enforceable decision was issued by the requested supervisory authority itself. 4. The requested supervisory authority shall hear the party against whom the decision was issued and refuse to recognise and execute the decision only if: (a) the party against whom the decision was issued was not heard by the requesting supervisory authority in line with this Regulation or national procedural law of the requesting supervisory authority; (b) a decision against the party in respect of the same acts has been delivered in the executing State or in any State other than the issuing State, and, in the latter case, that decision has been executed; (c) the decision relates to a conduct which is lawful under the law of the executing State; (d) the decision has been imposed on a person or entity who under the law of the executing State is exempt from liability or (e) the decision violates the ordre public of the executing State;

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 28 c (new)

Article 28c Enforcement Statistics 1. Supervisory authorities shall report the following numbers in their activity report under Article 59 of Regulation (EU) 2016/679: a) the number of ex officio investigations initiated by the supervisory authority; b) the number of ex officio investigations initiated by other supervisory authorities; c) the number of complaints received, including the number that were rejected, dismissed, withdrawn, partly upheld, fully upheld or otherwise decided; d) the number of other interactions with data subjects, controllers or processors; e) the number of legally binding decisions currently on appeal; f) the number and average duration of open and decided procedures under (a) to (d) to date; g) the number of each type of measure taken in accordance with Article 58(2) of Regulation (EU) 2016/679 or applicable national law; h) the number and the overall amount of fines issued and collected under Article 83 and 84 of Regulation (EU) 2016/679 or relevant national law; and i) the annual budget and the number of staff, itemized by training, tasks and organizational units. 2. Supervisory authorities must publish the activity report for the past year without undue delay, but no later than 30 June. 3. The Board shall make the information of all supervisory authorities in paragraph 1 available to the public no later than 31 July of each year.

2023/12/14
Committee: LIBE

Proposal for a regulation
Article 30 – paragraph 2 a (new)

By derogation from paragraphs 1 and 2, Articles 2b(1), point(c), 2c(5), 2d(3) and (6), 8(1) and 18(a) shall apply … [six months from the date of the entry into force of this Regulation]. During that period, the lead supervisory authority shall provide all documents in its own file to other supervisory authorities on request by other electronic means.

2023/12/14
Committee: LIBE