Activities of Axel VOSS related to 2023/0202(COD)
Shadow reports (1)
REPORT on the proposal for a regulation of the European Parliament and of the Council laying down additional procedural rules relating to the enforcement of Regulation (EU) 2016/679
Shadow opinions (1)
OPINION on the proposal for a regulation of the European Parliament and of the Council laying down additional procedural rules relating to the enforcement of Regulation (EU) 2016/679
Legal basis opinions (0)
Amendments (51)
Amendment 84 #
Proposal for a regulation
Recital 1 a (new)
Recital 1 a (new)
(1a) This Regulation should be seen as the first step of a targeted GDPR revision, to be announced in the upcoming report on the application of the GDPR in May 2024, and as an urgent effort of modernizing EU data protection rules and streamlining them with the European data strategy (i.e. Data Act, DGA, EHDS).
Amendment 106 #
Proposal for a regulation
Recital 22
Recital 22
(22) The rules regarding the administrative procedure applied by supervisory authorities when enforcing Regulation (EU) 2016/679 should ensure that the parties under investigation effectively have the opportunity to make known their views on the truth and relevance of the facts, objections and circumstances put forward by the supervisory authority throughout the procedure, thereby enabling them to exercise their rights of defence. The preliminary findings set out the preliminary position on the alleged infringement of Regulation (EU) 2016/679 following investigation. They thus constitute an essential procedural safeguard which ensures that the right to be heard is observed. The parties under investigation should be provided with the documents required to defend themselves effectively and to comment on the allegations made against them, by receiving access to the administrative file. Where, at any stage in an investigation, a submission is made to a lead supervisory authority, which materially changes the lead supervisory authority’s view of a case, parties under investigation should be given an opportunity to respond to this submission before the lead supervisory authority takes its final decision.
Amendment 109 #
Proposal for a regulation
Recital 27
Recital 27
(27) When setting deadlines for parties under investigation and complainants to provide their views on preliminary findings, supervisory authorities should have regard to the complexity of the issues raised in preliminary findings, as well as the capacity of the parties under investigation and complainants to respond, in order to ensure that the parties under investigation and complainants have sufficient opportunity to meaningfully provide their views on the issues raised.
Amendment 121 #
Proposal for a regulation
Article 3 – paragraph 5
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 that the supervisory authority should only disclose if such disclosure is necessary for the parties under investigation to exercise their rights of defence efficiently.
Amendment 124 #
Proposal for a regulation
Article 4 – paragraph 1 – point c a (new)
Article 4 – paragraph 1 – point c a (new)
(ca) the complainant’s use of internal complaint mechanism (CM) provided by the parties under investigation.
Amendment 126 #
Proposal for a regulation
Article 5 – paragraph 1
Article 5 – paragraph 1
A complaint may be resolved by amicable settlement between the complainant and the parties under investigation at any stage of the investigation. The supervisory authority may encourage and facilitate amicable settlements where relevant.. Where the supervisory authority considers that 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 withdrawnaccepted.
Amendment 143 #
Proposal for a regulation
Article 9 – paragraph 2 – point d a (new)
Article 9 – paragraph 2 – point d a (new)
(da) an overview of both, the replies of all parties under investigation as well as the views of the complainant on to the preliminary findings.
Amendment 146 #
Proposal for a regulation
Article 9 – paragraph 6
Article 9 – paragraph 6
6. Cases where none of the supervisory authorities concerned provided comments under paragraph 3 of this Article shall be consideredIn non- contentious cases. In such cases, the preliminary findings referred to in Article 14 shall be communicated to the parties under investigation within 9 months of the expiry of the deadline provided for in paragraph 3 of this Article.
Amendment 147 #
Proposal for a regulation
Article 10 – paragraph 1 – introductory part
Article 10 – paragraph 1 – introductory part
1. A sSupervisory authorityies 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), at least two supervisory authorityies concerned disagrees with the assessment of the lead supervisory authority on:
Amendment 149 #
Proposal for a regulation
Article 10 – paragraph 3
Article 10 – paragraph 3
3. The lead supervisory authority shall engage with a serious determined effort 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).
Amendment 150 #
Proposal for a regulation
Article 10 – paragraph 5 – point a
Article 10 – paragraph 5 – point a
(a) the documents referred to in Article 9(2), points (a) and (b);
Amendment 151 #
Proposal for a regulation
Article 10 – paragraph 5 – point b
Article 10 – paragraph 5 – point b
(b) the comments of the supervisory authorityies concerned that disagrees with the lead supervisory authority’s preliminary identification of the scope of the investigation.
Amendment 152 #
Proposal for a regulation
Article 10 – paragraph 6
Article 10 – paragraph 6
6. The Board shall adopt an urgent binding decision on, strictly limited to the scope of the investigation, on the basis of the comments of the supervisory authorities concerned and the position of the lead supervisory authority on those comments.
Amendment 162 #
Proposal for a regulation
Article 14 – paragraph 4
Article 14 – paragraph 4
4. The lead supervisory authority shall, when notifying the preliminary findings to the parties under investigation, set a proportionate 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 receivedmay receive additional written views from the parties under investigation after the expiry of thatis time- limit but it shall not be obliged to take it into account.
Amendment 166 #
Proposal for a regulation
Article 15 – paragraph 1
Article 15 – paragraph 1
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. This time limit shall be proportionate to afford the complainants adequate time to provide their response.
Amendment 168 #
Proposal for a regulation
Article 15 – paragraph 5
Article 15 – paragraph 5
5. Before receivproviding the non- confidential version of preliminary findings and any documents provided pursuant to paragraph 3, the complainant shall send to the lead supervisory authoritysupervisory authority with which the complaint was lodged shall request the complainant to sign 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 making submission on the concrete investigation in which those findings were issued. Member States shall specify the legal consequences of refusing to sign or to comply with the confidentiality declaration.
Amendment 171 #
Proposal for a regulation
Article 17 – paragraph 1
Article 17 – paragraph 1
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 parties under investigation should have the opportunity to make their views known, the lead supervisory authority shall, prior to the submission of the revised draft decision under Article 60(5) of Regulation (EU) 2016/679, provide the parties under investigation with the possibility to exercise their right to be heard and to make their views known on such new elements.
Amendment 173 #
Proposal for a regulation
Article 17 – paragraph 2
Article 17 – paragraph 2
2. The lead supervisory authority shall set a proportionate time-limit within which the parties under investigation may make known their views.
Amendment 174 #
Proposal for a regulation
Article 19 – paragraph 2
Article 19 – paragraph 2
2. In the course of investigation of an alleged infringement of Regulation (EU) 2016/679, the lead supervisory authority mayshall 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.
Amendment 175 #
Proposal for a regulation
Article 21 – paragraph 2
Article 21 – paragraph 2
2. Any information collected or obtained by a supervisory authority in cross-border cases under Regulation (EU) 2016/679, including any document containing such information, is excluded from access requests under laws on public access to official documents as long as the proceedings are ongoing. The same exclusion applies to business secrets or other confidential information even after the investigations are concluded.
Amendment 177 #
Proposal for a regulation
Article 21 – paragraph 6 – introductory part
Article 21 – paragraph 6 – introductory part
6. The lead supervisory authority may set a proportionate time-limit for parties under investigation and any other party raising a confidentiality claim to:
Amendment 189 #
Proposal for a regulation
Article 26 – paragraph 1 – point a a (new)
Article 26 – paragraph 1 – point a a (new)
(aa) views made in writing by the parties under investigation as well as by complainants;
Amendment 191 #
Proposal for a regulation
Article 28 – paragraph 1 – point f
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.
Amendment 192 #
Proposal for a regulation
Article 28 – paragraph 3 a (new)
Article 28 – paragraph 3 a (new)
3a. Where the Board adopts an urgent binding decision indicating that final measures should be adopted, the Board shall request a joint assessment carried out by at least five experts from the 'Support Pool of Experts' of the EDPB. This joint assessment shall be published together with the urgent binding decision.
Amendment 198 #
Proposal for a regulation
Annex I – title
Annex I – title
Part A - 3. Entity whose processing of your personal data infringes Regulation (EU) 2016/679. Provide all information in your possession to facilitate the identification of the entity which is the subject of your complaint, including whether you have contacted the entity prior to your complaint and outline the result of any such actions. If possible, please attach any relevant correspondence between you and the entity. In return, delete the second paragraph of Section B.
Amendment 219 #
Proposal for a regulation
Recital 1 a (new)
Recital 1 a (new)
(1 a) This Regulation should be seen as the first step of a more comprehensive but at the same time targeted GDPR revision, which is hopefully also suggested by the upcoming report on the application of the GDPR in May 2024, as there is an urgent effort of modernizing EU data protection rules as well as streamlining it with the European data strategy (i.e. Data Act, DGA, EHDS).
Amendment 243 #
Proposal for a regulation
Recital 22
Recital 22
(22) The rules regarding the administrative procedure applied by supervisory authorities when enforcing Regulation (EU) 2016/679 should ensure that the parties under investigation effectively have the opportunity to make known their views on the truth and relevance of the facts, objections and circumstances put forward by the supervisory authority throughout the procedure, thereby enabling them to exercise their rights of defence. The preliminary findings set out the preliminary position on the alleged infringement of Regulation (EU) 2016/679 following investigation. They thus constitute an essential procedural safeguard which ensures that the right to be heard is observed. The parties under investigation should be provided with the documents required to defend themselves effectively and to comment on the allegations made against them, by receiving access to the administrative file. Where, at any stage in an investigation, a submission is made to a lead supervisory authority, which materially changes the lead supervisory authority’s view of a case, parties under investigation should be given an opportunity to respond to this submission before the lead supervisory authority takes its final decision.
Amendment 247 #
Proposal for a regulation
Recital 27
Recital 27
(27) When setting deadlines for parties under investigation and complainants to provide their views on preliminary findings, supervisory authorities should have regard to the complexity of the issues raised in preliminary findings as well as the capacity of the parties under investigation and complainants to respond, in order to ensure that the parties under investigation and complainants have sufficient opportunity to meaningfully provide their views on the issues raised.
Amendment 286 #
Proposal for a regulation
Article 3 – paragraph 5
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 that the supervisory authority should only disclose if such disclosure is necessary for the parties under investigation to exercise their rights of defence efficiently.
Amendment 293 #
Proposal for a regulation
Article 4 – paragraph 1 – point c a (new)
Article 4 – paragraph 1 – point c a (new)
(c a) the complainant’s use of internal complaint mechanism (CM) provided by the parties under investigation.
Amendment 296 #
Proposal for a regulation
Article 5 – paragraph 1
Article 5 – paragraph 1
A complaint may be resolved by amicable settlement between the complainant and the parties under investigation at any stage of the investigation. The supervisory authority may encourage and facilitate amicable settlements where relevant. Where the supervisory authority considers that 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 complaisettlement shall be deemed withdrawnaccepted.
Amendment 323 #
Proposal for a regulation
Article 9 – paragraph 2 – point d a (new)
Article 9 – paragraph 2 – point d a (new)
(d a) an overview of both the replies of all parties under investigation as well as the views of the complainant on to the preliminary findings.
Amendment 331 #
Proposal for a regulation
Article 9 – paragraph 6
Article 9 – paragraph 6
6. Cases where none of the supervisory authorities concerned provided comments under paragraph 3 of this Article shall be consideredIn non- contentious cases. In such cases, the preliminary findings referred to in Article 14 shall be communicated to the parties under investigation within 9 months of the expiry of the deadline provided for in paragraph 3 of this Article.
Amendment 336 #
Proposal for a regulation
Article 10 – paragraph 1 – introductory part
Article 10 – paragraph 1 – introductory part
1. A sSupervisory authorityies 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), at least two supervisory authorityies concerned disagrees with the assessment of the lead supervisory authority on:
Amendment 342 #
Proposal for a regulation
Article 10 – paragraph 3
Article 10 – paragraph 3
3. The lead supervisory authority shall engage with a serious determined effort 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).
Amendment 347 #
Proposal for a regulation
Article 10 – paragraph 4
Article 10 – paragraph 4
4. Where, in a complaint-based investigation, there is no consensus between the lead supervisory authority and one or moreat least two concerned supervisory authorities on the matter 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 met.
Amendment 352 #
Proposal for a regulation
Article 10 – paragraph 5 – point a
Article 10 – paragraph 5 – point a
(a) the documents referred to in Article 9(2), points (a) and (b);
Amendment 354 #
Proposal for a regulation
Article 10 – paragraph 5 – point b
Article 10 – paragraph 5 – point b
(b) the comments of the supervisory authorityies concerned that disagrees with the lead supervisory authority’s preliminary identification of the scope of the investigation.
Amendment 360 #
Proposal for a regulation
Article 10 – paragraph 6
Article 10 – paragraph 6
6. The Board shall adopt an urgent binding decision on, strictly limited to the scope of the investigation, on the basis of the comments of the supervisory authorities concerned and the position of the lead supervisory authority on those comments.
Amendment 378 #
Proposal for a regulation
Article 14 – paragraph 4
Article 14 – paragraph 4
4. The lead supervisory authority shall, when notifying the preliminary findings to the parties under investigation, set a proportionate 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 receivedmay receive additional written views from the parties under investigation after the expiry of thatis time- limit. but it shall not be obliged to take it into account.
Amendment 385 #
Proposal for a regulation
Article 15 – paragraph 1
Article 15 – paragraph 1
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. This time limit shall be proportionate to afford the complainants adequate time to provide their response.
Amendment 388 #
Proposal for a regulation
Article 15 – paragraph 5
Article 15 – paragraph 5
5. Before receivproviding the non- confidential version of preliminary findings and any documents provided pursuant to paragraph 3, the complainant shall send to the lead supervisory authoritysupervisory authority with which the complaint was lodged shall request the complainant to sign 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 making submission on the concrete investigation in which those findings were issued. Member States shall specify the legal consequences of refusing to sign or to comply with the confidentiality declaration.
Amendment 394 #
Proposal for a regulation
Article 17 – paragraph 1
Article 17 – paragraph 1
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 parties under investigation should have the opportunity to make their views known, the lead supervisory authority shall, prior to the submission of the revised draft decision under Article 60(5) of Regulation (EU) 2016/679, provide the parties under investigation with the possibility to exercise their right to be heard and to make their views known on such new elements.
Amendment 395 #
Proposal for a regulation
Article 17 – paragraph 2
Article 17 – paragraph 2
2. The lead supervisory authority shall set a proportionate time-limit within which the parties under investigation may make known their views.
Amendment 399 #
Proposal for a regulation
Article 19 – paragraph 2
Article 19 – paragraph 2
2. In the course of investigation of an alleged infringement of Regulation (EU) 2016/679, the lead supervisory authority mayshall 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.
Amendment 405 #
Proposal for a regulation
Article 21 – paragraph 2
Article 21 – paragraph 2
2. Any information collected or obtained by a supervisory authority in cross-border cases under Regulation (EU) 2016/679, including any document containing such information, is excluded from access requests under laws on public access to official documents as long as the proceedings are ongoing. The same exclusion applies to business secrets or other confidential information even after the investigations are concluded.
Amendment 406 #
Proposal for a regulation
Article 21 – paragraph 6 – introductory part
Article 21 – paragraph 6 – introductory part
6. The lead supervisory authority may set a proportionate time-limit for parties under investigation and any other party raising a confidentiality claim to:
Amendment 420 #
Proposal for a regulation
Article 26 – paragraph 1 – point a a (new)
Article 26 – paragraph 1 – point a a (new)
(a a) views made in writing by the parties under investigation as well as by complainants;
Amendment 438 #
Proposal for a regulation
Article 28 – paragraph 1 – point f
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.
Amendment 443 #
Proposal for a regulation
Article 28 – paragraph 3 a (new)
Article 28 – paragraph 3 a (new)
3 a. Where the Board adopts an urgent binding decision indicating that final measures should be adopted, the Board shall request a joint assessment carried out by at least 5 experts from the 'Support Pool of Experts' of the EDPB. This joint assessment shall be published together with the urgent binding decision.
Amendment 454 #
Part A - 3. Entity whose processing of your personal data infringes Regulation (EU) 2016/679. Provide all information in your possession to facilitate the identification of the entity which is the subject of your complaint, including whether you have contacted the entity prior to your complaint and outline the result of any such actions. If possible, please attach any relevant correspondence between you and the entity. In return, delete the second paragraph of Part B.