AEPD - PS/00324/2020
|AEPD - PS/00324/2020|
|Relevant Law:||Article 5(1)(f) GDPR|
Article 58(2) GDPR
Article 83(2) GDPR
Article 83(5)(a) GDPR
|National Case Number/Name:||PS/00324/2020|
|European Case Law Identifier:||n/a|
|Original Source:||AEPD (in ES)|
|Initial Contributor:||Paola L.|
The Spanish DPA (AEPD) imposed a fine of €10,000 on a company for sending an email containing personal data to a third party without the authorisation of the data subject.
English Summary[edit | edit source]
Facts[edit | edit source]
The claimant submitted a complaint to the AEPD stating that the defendant had sent an email containing an accusation of attempted fraud, letter of dismissal, and severance pay of the claimant, to a third party without the claimant’s authorisation. This information, as well as the response from the third party to the email received, became known to the claimant when appearing before the Court of First Instance of Solares (Cantabria) following a report the defendant made to the Local Police of Santander for theft of tools. The response from the third party stated the following: “… We believe that the accompanying documentation, particularly the letter of dismissal and the corresponding severance pay, should not have sent to us as it contains personal data ...”
The AEPD sent a request for information to the defendant but they did not respond. The AEPD admitted the claimant’s complaint in accordance with Article 65 LOPDGDD and decided to initiate a sanctioning procedure in accordance with Article 83(5)(a) GDPR against the defendant for alleged infringement of Article 5(1)(f) GDPR.
Dispute[edit | edit source]
Does the action of the defendant constitute a violation of Article 5(1)(f) GDPR?
Holding[edit | edit source]
Considering the evidence available, the AEPD held that the action of the defendant violated the principle of confidentiality established in Article 5 (1)(f) GDPR by sending an email containing the claimant’s personal data without the claimant’s authorisation for doing so, and decided to impose a fine of €10,000 on the defendant.
The fine imposed falls within the criteria stated in Article 83(5)(a) GDPR. In imposing the fine the AEPD factored in accordance with Article 83(2) GDPR and Article 76 LOPDGDD the following points:
- The local scope of processing concerned by the defendant
- The volume of data subject affected. In this instance, one person was affected, the claimant.
- There is no evidence of actions taken by the defendant to mitigate the damage suffered by the affected data subject and to prevent recurrence as the defendant did not respond to the request of information made by the AEPD, this also reveals the absence of cooperation of the defendant with the supervisory authority, in order to remedy the infringement and mitigate its possible adverse effects.
- There is no evidence that the defendant acted intentionally, however, it is evident that the actions constitute a high degree of negligence.
- The defendant is a small-sized company.
Comment[edit | edit source]
It would have been interesting to know if the defendant provided the claimant with a copy of its Privacy Notice and whether the categories of the data disclosed, the name of the third party, and the legal basis for sending personal data to the third party were included in it.
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English Machine Translation of the Decision[edit | edit source]
The decision below is a machine translation of the Spanish original. Please refer to the Spanish original for more details.
1/8 Procedure Nº: PS / 00324/2020 RESOLUTION OF SANCTIONING PROCEDURE Of the procedure instructed by the Spanish Agency for Data Protection and based on to the following BACKGROUND FIRST: D. A.A.A. (hereinafter, the claimant) on 04/16/2020 filed claim before the Spanish Agency for Data Protection. The claim is directs against *** COMPANY. 1. with NIF *** NIF.1 (hereinafter, the claimed one). The reasons on which the claim is based are: that the company in which you were working sent an email on 10/16/2019, to the Condal transport company Express, attaching the documents of your dismissal and severance pay and accusing you of attempted fraud, thus communicating your personal data to a third party does not authorized. Along with the claim, provide the police report and email sent by the claimed entity to the freight transport company. SECOND: Upon receipt of the claim, the Subdirectorate General of Data Inspection proceeded to carry out the following actions: On 06/05/2020, the claim submitted for his analysis. Likewise, he was required to submit to the Agency certain information: - Copy of the communications, of the adopted decision that has been sent to the claimant regarding the transfer of this claim, and accreditation that the claimant has received the communication of that decision. - Report on the causes that have motivated the incidence that has originated the claim. - Report on the measures adopted to prevent the occurrence of similar incidents. - Any other that you consider relevant. The defendant has not given any response to the request of the AEPD. THIRD: On 09/16/2020, in accordance with article 65 of the LOPDGDD, the Director of the Spanish Data Protection Agency agreed to admit for processing the claim filed by the claimant against the defendant. FOURTH: On 10/26/2020, the Director of the Spanish Protection Agency of Data agreed to initiate a sanctioning procedure against the claimed party, for the alleged infringement of article 5.1.f) of the RGPD contemplated in article 83.5.a) of the aforementioned Regulation. C / Jorge Juan, 6 www.aepd.es 28001 - Madrid sedeagpd.gob.es 2/8 FIFTH: Notified the initiation agreement, the one claimed at the time of the present resolution has not submitted a brief of allegations, so it is applicable indicated in article 64 of Law 39/2015, of October 1, on the Procedure Common Administrative of Public Administrations, which in its section f) establishes that in case of not making allegations within the period provided for the content of the initiation agreement, it may be considered a proposal for resolution when it contains a precise pronouncement about the responsibility imputed, for which a Resolution is issued. SIXTH: Of the actions carried out in this proceeding, there have been accredited the following: PROVEN FACTS FIRST: On 04/16/2020 the claimant has a written entry in the AEPD manifesting that the defendant reported to the Local Police of Santander, attested *** NUMBER 1 dated 10/07/2020 for theft of tools; consequence of the complaint Preliminary Proceedings *** NUMBER 2 are open in the First Court Instance of Solares (Cantabria); on 03/06/2020 the claimant appeared at the Court of First Instance of Solares (Cantabria) within the Preliminary Proceedings *** NUMBER 2, when he learned all the documentation and comments that the claimed had made the company CONDAL EXPRESS; the claimed sent email on 10/16/2019 to CONDAL EXPRESS, to the address email@example.com, attaching the documents of your dismissal and the settlement as well as an accusation for attempted fraud, revealing your personal data to a unauthorized third party; CONDAL EXPRESS responded to the email on the same date noting: We acknowledge receipt of your writing. … We believe that the accompanying documentation, particularly the letter of dismissal and the corresponding severance pay, you should not have sent it to us while how much it contains personal data ... SECOND: An email has been provided to the address firstname.lastname@example.org, containing the documentation indicated in the previous point as well as the response of Condal Express of the same date. THIRD: A copy of the complaint made by the defendant before the Santander Local Police, attested *** NUMBER 1 dated 10/07/2020, XIII zone of the Civil Guard of Cantabria. FOURTH: The statement of the claimant before the Court of First is provided Instance and Instruction nº2 Valdecilla-Solares in Preliminary Proceedings procedure *** NUMBER 2. FOUNDATIONS OF LAW I By virtue of the powers that article 58.2 of the RGPD recognizes to each control authority, and as established in articles 47 and 48 of the LOPDGDD, C / Jorge Juan, 6 www.aepd.es 28001 - Madrid sedeagpd.gob.es 3/8 the Director of the Spanish Data Protection Agency is competent to initiate and to solve this procedure. II Law 39/2015, of October 1, on the Common Administrative Procedure of the Public Administrations, in its article 64 “Agreement of initiation in the procedures of a sanctioning nature ”, provides: "1. The initiation agreement will be communicated to the instructor of the procedure, with transfer of how many actions exist in this regard, and the interested parties will be notified, understanding in any case as such the accused. Likewise, the initiation will be communicated to the complainant when the regulations regulating the procedure so provide. 2. The initiation agreement must contain at least: a) Identification of the person or persons allegedly responsible. b) The facts that motivate the initiation of the procedure, it's possible qualification and penalties that may correspond, without prejudice to what result of the instruction. c) Identification of the instructor and, where appropriate, Secretary of the procedure, with express indication of the regime of the challenge of the same. d) Competent body for the resolution of the procedure and regulation that attributes such competence, indicating the possibility that the alleged responsible can voluntarily acknowledge their responsibility, with the effects provided for in article 85. e) Provisional measures that have been agreed by the body competent to initiate the sanctioning procedure, without prejudice to those can be adopted during the same in accordance with article 56. f) Indication of the right to present allegations and to the hearing in the procedure and deadlines for its exercise, as well as an indication that, in case of not making allegations within the term provided on the content of the initiation agreement, this may be considered a resolution proposal when it contains a precise statement about liability charged. 3. Exceptionally, when at the time of issuing the initiation agreement there are insufficient elements for the initial qualification of the facts that motivate the initiation of the procedure, the aforementioned qualification may be carried out in a phase later by preparing a Statement of Charges, which must be notified to the interested". In application of the previous precept and taking into account that they have not formulated allegations to the initiation agreement, it is necessary to resolve the procedure initiated. III The denounced facts materialize in the sending by the claimed of a email to the company Condal Express, attaching the dismissal and termination of the claimant and in which he is accused of attempted fraud, revealing his data of personal character. C / Jorge Juan, 6 www.aepd.es 28001 - Madrid sedeagpd.gob.es 4/8 Article 58 of the RGPD, Powers, points out in point 2 that: "2. Each supervisory authority shall have all the following powers corrective measures listed below: (…) i) impose an administrative fine in accordance with article 83, in addition or in instead of the measures mentioned in this section, according to the circumstances of each particular case; (…) " In the first place, the treatment of the claimed person could constitute a violation of article 5, Principles relating to treatment, of the RGPD that establishes what: "1. The personal data will be: (…) f) treated in such a way as to guarantee adequate security for the personal data, including protection against unauthorized processing or illicit and against its loss, destruction or accidental damage, through the application appropriate technical or organizational measures ('integrity and confidentiality »)”. (…) Article 5, Duty of confidentiality, of the new Organic Law 3/2018, of 5 December, Protection of Personal Data and guarantee of digital rights (hereinafter LOPDGDD), states that: "1. Those responsible and in charge of data processing as well as all people who intervene in any phase of this will be subject to the duty of confidentiality referred to in article 5.1.f) of Regulation (EU) 2016/679. 2. The general obligation indicated in the previous section will be complementary of the duties of professional secrecy in accordance with its applicable regulations. 3. The obligations established in the previous sections will be maintained even when the relationship between the obligated party and the person in charge or manager has ended treatment ”. IV The documentation in the file shows that the defendant violated article 5 of the RGPD, principles relating to treatment, in relation to the Article 5 of the LOPGDD, duty of confidentiality, when sending an email to a third party, containing the dismissal and termination document, revealing your personal character and being accessible to third parties without their authorization. C / Jorge Juan, 6 www.aepd.es 28001 - Madrid sedeagpd.gob.es 5/8 This duty of confidentiality, previously the duty of secrecy, must It is understood that its purpose is to prevent leaks of data not consented by the holders thereof. Therefore, this duty of confidentiality is an obligation incumbent upon not only to the person in charge and in charge of the treatment but to everyone who intervenes in any phase of the treatment and complementary to the duty of professional secrecy. V Article 83.5 a) of the RGPD, considers that the infringement of “the principles basic for the treatment, including the conditions for consent in accordance with of articles 5, 6, 7 and 9 ”is punishable, in accordance with section 5 of the mentioned article 83 of the aforementioned RGPD, “with administrative fines of € 20,000,000 at most or, in the case of a company, an amount equivalent to 4% as maximum total annual global business volume of the previous financial year, opting for the highest amount ”. On the other hand, the LOPDGDD, for prescription purposes, in its article 72 indicates: “Violations considered very serious: 1. In accordance with the provisions of article 83.5 of the Regulation (EU) 2016/679 are considered very serious and will prescribe after three years the infractions that suppose a substantial violation of the articles mentioned in that and, in in particular, the following: a) The processing of personal data violating the principles and guarantees established in article 5 of Regulation (EU) 2016/679. (…) " SAW In order to establish the administrative fine to be imposed, they must observe the provisions contained in articles 83.1 and 83.2 of the RGPD, which point out: "1. Each supervisory authority shall ensure that the imposition of fines administrative under this article for the infractions of this Regulations indicated in paragraphs 4, 5 and 6 are in each individual case effective, proportionate and dissuasive. 2. Administrative fines will be imposed, depending on the circumstances of each individual case, as an additional or substitute for the measures contemplated in article 58, paragraph 2, letters a) to h) and j). When deciding to impose a fine administrative and its amount in each individual case will be duly taken into account: a) the nature, severity and duration of the offense, taking into account the nature, scope or purpose of the processing operation in question as well as the number of affected stakeholders and the level of damage and damages they have suffered; b) intentionality or negligence in the infringement; C / Jorge Juan, 6 www.aepd.es 28001 - Madrid sedeagpd.gob.es 6/8 c) any measure taken by the controller or processor to mitigate the damages suffered by the interested parties; d) the degree of responsibility of the person in charge of the treatment, taking into account the technical or organizational measures that have applied by virtue of articles 25 and 32; e) any previous infringement committed by the person in charge or the person in charge of the treatment; f) the degree of cooperation with the supervisory authority in order to remedy the violation and mitigate the possible adverse effects of the violation; g) the categories of personal data affected by the infringement; h) the way in which the supervisory authority learned of the infringement, in particular if the person in charge or the person in charge notified the infringement and, in such case, what extent; i) when the measures indicated in Article 58 (2) have been previously ordered against the person in charge or the person in charge in relation to the same matter, compliance with said measures; j) adherence to codes of conduct under Article 40 or to mechanisms certification approved in accordance with Article 42, and k) any other aggravating or mitigating factor applicable to the circumstances of the case, such as financial benefits obtained or losses avoided, direct or indirectly, through infringement. In relation to letter k) of article 83.2 of the RGPD, the LOPDGDD, in its Article 76, “Sanctions and corrective measures”, establishes that: "2. In accordance with the provisions of article 83.2.k) of Regulation (EU) 2016/679 may also be taken into account: a) The continuing nature of the offense. b) The linking of the offender's activity with the performance of treatments of personal data. c) The benefits obtained as a result of the commission of the offense. d) The possibility that the affected person's conduct could have led to the commission of the offense. e) The existence of a merger process by absorption after the commission of the infringement, which cannot be attributed to the absorbing entity. f) Affecting the rights of minors. g) To have, when not mandatory, a delegate for the protection of data. h) The submission by the person in charge or in charge, with character voluntary, to alternative dispute resolution mechanisms, in those cases in which there are controversies between those and any interested." In accordance with the transcribed precepts, in order to set the amount of the sanction of a fine to be imposed in the present case for the offense typified in the Article 83.5.a) of the RGPD for which the claimed person is responsible, in an assessment initial, the following factors are considered concurrent: C / Jorge Juan, 6 www.aepd.es 28001 - Madrid sedeagpd.gob.es 7/8 The scope in a local environment of the treatment carried out by the entity claimed. The number of affected is limited to a single person, the claimant. The measures taken by the defendant to avoid being produce similar incidents, since before the information request the Agency has not responded to it, which in turn affects the absence of cooperation with the supervisory authority in order to remedy the infringement and mitigate the possible adverse effects of the same. There is no evidence that the entity acted maliciously, although the performance reveals a serious lack of diligence. The claimed entity is a small business. Therefore, in accordance with the applicable legislation and the criteria of graduation of sanctions whose existence has been proven, The Director of the Spanish Agency for Data Protection RESOLVES: FIRST: IMPOSE *** COMPANY.1., With NIF *** NIF.1, for a violation of the article 5.1.f) of the RGPD, typified in article 83.5. a) of the RGPD, a fine of € 10,000 (ten thousand euros). SECOND: NOTIFY this resolution to *** COMPANY. 1. THIRD: Warn the sanctioned person that the sanction imposed by a Once this resolution is enforceable, in accordance with the provisions of the art. 98.1.b) of Law 39/2015, of October 1, on Administrative Procedure Common of Public Administrations (hereinafter LPACAP), within the payment period voluntary established in art. 68 of the General Collection Regulations, approved by Royal Decree 939/2005, of July 29, in relation to art. 62 of Law 58/2003, of December 17, by means of their entry, indicating the NIF of the sanctioned person and the number of procedure that appears in the heading of this document, in the account restricted number ES00 0000 0000 0000 0000 0000, opened in the name of the Agency Spanish Data Protection in the bank CAIXABANK, S.A .. In case Otherwise, it will be collected in the executive period. Once the notification has been received and once it is executed, if the date of execution is finds between the 1st and 15th of each month, both inclusive, the deadline to carry out the voluntary payment will be until the 20th of the following or immediately subsequent business month, and if is between the 16th and last days of each month, both inclusive, the term of the Payment will be up to the 5th of the second following or immediate business month. In accordance with the provisions of article 50 of the LOPDGDD, the This Resolution will be made public once it has been notified to the interested parties. C / Jorge Juan, 6 www.aepd.es 28001 - Madrid sedeagpd.gob.es 8/8 Against this resolution, which puts an end to the administrative procedure in accordance with art. 48.6 of the LOPDGDD, and in accordance with the provisions of article 123 of the LPACAP, the interested parties may optionally file an appeal for reversal before the Director of the Spanish Agency for Data Protection within a period of month from the day after notification of this resolution or directly contentious-administrative appeal before the Contentious-Administrative Chamber of the National High Court, in accordance with the provisions of article 25 and section 5 of the fourth additional provision of Law 29/1998, of July 13, regulating the Contentious-administrative jurisdiction, within a period of two months from the day following notification of this act, as provided in article 46.1 of the referred Law. Finally, it is pointed out that in accordance with the provisions of art. 90.3 a) of the LPACAP, the final resolution may be suspended in an administrative way If the interested party expresses his intention to file a contentious appeal- administrative. If this is the case, the interested party must formally communicate this made by writing to the Spanish Agency for Data Protection, Presenting it through the Electronic Registry of the Agency [https://sedeagpd.gob.es/sede-electronica-web/], or through any of the rest records provided for in art. 16.4 of the aforementioned Law 39/2015, of October 1. Too must forward to the Agency the documentation that proves the effective filing of the contentious-administrative appeal. If the Agency is not aware of the filing of the contentious-administrative appeal within a period of two months from the day after the notification of this resolution, would terminate the precautionary suspension. Mar Spain Martí Director of the Spanish Agency for Data Protection C / Jorge Juan, 6 www.aepd.es 28001 - Madrid sedeagpd.gob.es