DOCUMENT RESUME

ED 367 351 IR 054 899

AUTHOR Borod, Elizabeth A.TITLE An Annotated Reference Guide on International

Telecommunications and Transborder Data Flow forLibrary and Information Science Professionals.

PUB DATE Nov 90NOTE 81p.; M.L.S. Research Paper, Kent State

University.PUB TYPE Dissertations/Theses Masters Theses (042)

Reference Materials Bibliographies (131)

EDRS PRICE MF01/PC04 Plus Postage.DESCRIPTORS Annotated Bibliographies; Communications; Computers;

Information Dissemination; Information Management;Informatio:A Networks; Information Science;Information Sources; Information Technology;*Information Transfer; *International Communication;Laws; Legislation; Library Research; Library Science;Standards; *Telecommunications

IDENTIFIERS *Transborder Information Flow

ABSTRACTThe purpose of this guide is to provide library and

information professionals with a brief history of telecommunicationsand transborder data flow (TDF) as well as an annotated listing ofavailable resources and organizations concerned with these topics.The bibliography is organized into 14 themes: (1)

communication--international; (2) computer--international cooperationand standards; (3) computers--political aspects; (4) informationnetworks--standards; (5) information services--international; (6)information technology; (7) library science--technologicalinnovations; (8) research organizations; (9)

telecommunications--bibliography; (10) telecommunications--law andlegislation; (11) telecommunications--library and informationscience; (12) telecommunications policy; (13) telecommunicationstandards; and (14) transborder data flow. The guide emphasizes theimportance of remaining aware of newly created standards, treaties,laws and conventions as well as restrictions on use and availabilityof information. Two additional resources are appended: "Guidelines onthe Protection of Privacy and Transborder Flows of Personal Data" and"Convention for the Protection of Individuals with Regard toAutomatic Processing of Personal Data." (TMK)

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Reproductions supplied by EDRS are the best that can be madefrom the original document.

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U.S. DEPARTMENT Of EDUCATIONOffice ot Educate:m*1 Research and imrechoernent

EDUCATIONAL RESOURCES INFORMATIONCENTER (ERIC)

0 INS doCument haS been reprOduCed asreceived Iron' the person Or OrganizationOriCahatmdd

C Minor changes na,,e been made to iorprovereprOduCtiOn quality

Points Ot view Or Opinions Stated in this dOCu

ment do not necessaray represent olfic,aIOERI pOSItiOn or pOliCy

AN ANNOTATED REFERENCE GUIDE ONINTERNATIONAL TELECOMMUNICATIONS

ANDTRANSBORDER DATA FLOW

FOR LIBRARY AND INFORMATION SCIENCEPROFESSIONALS

A Master's Research Paper submitted to theKent State University School of Library Science

in partial fulfillment of the requirementsfor the degree Master of Library Science

by

Elizabeth A. Borod

November, 1990

BEST COPY Ai tiiikALLE 2

"PERMISSION TO REPRODUCE THISMATERIAL HAS BEEN GRANTED BY

Rosemary Du Mont

TO THE EDUCATIONAL RESOURCESINFORMATION CENTER IERICI."

so

ABSTRACT

The increased globalization of information services,telecommunications and transborder data flow (TDF) of informationhas many consequences for library and information professionals.Much of the present literature addresses primarily business andlegal aspects of telecommunications and TDF, although there is anincreasing focus on the implications for libraries. The purpose ofthis guide is to provide library and information professionals witha brief history of telecommunications ane TDF as well as anannotated listing of available resources and organizationsconcerned with these topics. With constantly changing technologyand resources, information professionals must remain aware of newlycreated standards, treaties, laws and conventions as well asrestrictions on use and availability of information.

3

Adviser

Master's Research Paper by

Elizabeth A. Borod

B.A., Cleveland State University, 1988

M.L.S., Kent State University, 1990

Approved by

Date itzi oho

TABLE OF CONTENTS

List of Acronyms

Introduction 1

Communication--International 13

Computer--International Cooperation and Standards 15

Computers--Political Aspects 15

Information Networks--Standards 15

Information Services--International 16

Information Technology 16

Library Science--Technological Innovations 17

Research Organizations 18

Telecommunications--Bibliography 21

Telecommunications--Law and Legislation 21

Telecommunications--Library and Information Science 23

Telecommunications Policy 24

Telecommunication Standards 27

Transborder Data Flow 28

Appendixes

One Guidelines on the Protection of Privacy andTransborder Flows of Personal Data 34

Two - Convention for the Protection of Individuals withRegard to Automatic Processing of Personal Data

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LIST OF ACRONYMS

CoE Council of Europe

ECMA European Computer Manufacturer's Association

EEC European Economic Community

IT Information Technology

ISDNs Integrated Services Digital Networks

IIC International Institute of Communications

ISO International Standards Organization

INTELSTAT International Telecommunications SatelliteOrganization

LSP Linked Systems Project

NISO National Information Standards Organization

OSI Open Systems Interconnection

OECD Organization for Economic Cooperation andDevelopment

TDF Transborder Data Flow

UPU Universal Postal Union

WIPO World Intellectual Property Organization

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INTRODUCTION

Transborder data flow (TDF), originally addressed in 1974, may

be defined as the exchange of information across national borders

via telecommunications. The implications of TDF affect many areas

of information collection, arrangement and dissemination, and

thereby have increasing significance for the library and

information service professions. iihen looking at any aspect of

TDF, one must also be aware of the role that international

telecommunications plays in this transfer of information. The two

are inextricably connected.

The issue of TDF was originally addressed by international

organizations including the Organization for Economic Cooperation

and Development (OECD) and the United Nations Educational,

Scientific and Cultural Organization (UNESCO). Their involvement

resulted in various guidelines and subsequent national laws and

conventions governing the protection of privacy and

transborderflow of data. Yet a lack of solid transborder

controls exists, especially with the spread of open networks,

perpetuating a variety of problems.

Most published materials addressing TDF focus on issues of

personal privacy, national sovereignty and economic concerns. Much

of this literature appears in business and legal periodicals. There

is an increasing tendency to address this issue in library and

information science literature, especially in regards to access

rights, liability, the use to which the data is put, and the

implementation of standardized information technology and equitable

international policies which will facilitate and regulate the

international flow of information. The most important of the

technology issues is the adoption and implementation of the Open

Systems Interconnection (OSI) Seven-Layer Model.

Several issues, besides those already listed, affect the

librarian and information professional, especially in situations

regarding access decisions. Critical and professional judgement is

required in order to avoid jeopardizing the national economy in

which these professionals work, and the policies of their

organizations. Current awareness of guidelines, including those of

the National Commission on Libraries and Information Science

(NCLIS), and the International Federation of Library Associations

(IFLA), is essential in today's information field.

This reference guide is aimed at providing information

professionals with an annotated listing of available sources such

as monographs, periodicals, articles, conference proceedings and

international government documents, and the research and government

organizations and "think tanks" which address TDF and international

telecommunications policy, in order to best represent the needs of

their clients, while avoiding conflict with their employers and

their country's information policies.

A vital aspect of researching TDF and international

telecommunications is defining the appropriate subject headings to

search. The literature search should encompass more than academic-

and library-related indexes. Searches should also be conducted in

legal and business sources in order to obtain the most

comprehensive listing possible. Additional searching may be

conducted online, for currency. The following sources were

searched in preparing this guide:

Books in Print Subject GuideBusiness Periodicals IndexCAMLS - Cleveland Public Library's OPACCATALYST Kent State University's OPACERICForthcoming Books in PrintInfotrac - Academic and General Periodicals IndexLibrary LiteratureLibrary and Information Science AbstractsReader's Guide to Periodical LiteratureSCHOLAR Cleveland State University's OPAC

Very little material is represented simply under the heading,

TDF. This topic necessitates a variety of searches in order to

address all related areas. The following is a suggested listing of

alternative subject headings:

Data transmissionInformationInformation disseminationInformation exchangeInformation networksInformation servicesInformation services and stateInformation services--Communication systemsInformation technologyInforulation technology--Economic aspectsInformation transferInternational agencies--Data basesInternational agencies--Information servicesInternational communicationInternational cooperation--Bibliography

--MethodologyInternational librarianshipLibraries--Communication systemsLibrary information networksLibrary science--Technological innovationsNew World Information and Communication OrderTechnology transferTelecommunication policyTelecommunicationsTelecommunications systemsTransborder data flowsTransnational data flow

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TDF was first introduced, as a concept, in 1974 at a seminar

sponsored by the OECD, where the focus was on personal privacy. In

1977, at a symposium also sponsored by the OECD, the discussion

focused on the fact that non-personal and business data were no

longer safe. This lead to the consideration and implementation of

legislative restrictions to safeguard information. Further

concerns revolve around the impact of TDF on trade, productivity,

competitiveness, employment and national sovereignty.

In 1978, an OECD expert group on Transborder Data Barriers and

the Protection of Privacy, was established. Their goal, to develop

guidelines for basic rules governing the flow of personal data and

the protection of privacy, and to investigate the legal and

economic problems related to the flow of non-personal data, led to

the establishment of the 1980 "Guidelines on the Protection of

Privacy and Transborder Flows of Personal Data." (These guidelines

are included in this guide, as Appendix One, in order to provide

the researcher with a valuable historical document). The intent

here was to ensure data protection in both private and government

sectors.

Another organization involved in early TDF issues is the

Council of Europe (CoE). A long-time proponent of data protection

activities, the CoE's true orientation is represented in the 1981

treaty, "Convention for the Protection of Individuals with Regard

to Automatic Processing of Personal Data." (This document is

included, as Appendix Two, for comparison as well as for its

historical value). The activities of the .'DE have been aimed at

e creating a consistent approach to TDF within and outside Europe.

The literature on TDF is, indeed, varied and far reaching.

Certainly, many issues and concerns overlap. At present, with

international boundaries breaking down, there is a move away from

the theoretical issues of regulation, sovereignty, and information

integrity/security, towards the technical aspects of information

transfer and to accept the inevitability and dependency on it.

Also, there are concerns about information imperialism where

information superpowers such as the United States, Canada and

Western Europe, control and manipulate the actual information as

well as the means to access and acquiring such data. Many lesser-

developed nations are becoming involved in this arena which more

frequently is being discussed in TDF and international

telecommunications literature. The issues of loss of control of

information, dependency on technology and/or information, and

cultural impact constitute a major portion of the current

controversy on TDF.1

As for libraries' involvement with TDF, the IFLA International

Program for Universal Dataflow and Telecommunications (UDT), hosted

by the National Library of Canada, publishes a newsletter as well

as sponsors research and activities related to TDF.

The IFLA Transborder Data Flow Survey of 1986 provided

significant new information in relation to barriers to TDF

involving libraries. The three principal bar7iers were found to be

1 Bender, David R., "Transborder Data Flow: an HistoricalReview and Considerations for the Future," Special Libraries 79(Summer 1988): 233.

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of information technology nor have developed sufficient tools for

evaluating the technologies to make crucial decisions.

There exists a very strong need to interconnect library

systems, which is where the Open System Interconnection (OSI)

Seven-Layer Reference Model is often cited as the most appropriate

example. An example of a library network based on the OSI model

is the Linked Systems Project (LSP) which allows the Library of

Congress, the Research Library Group, the Western Library Network,

and OCLC to share and exchange data among their various kinds of

computer systems.

The convergence of telecommunications and technology is

resulting in greater decentralization of information processing

capacity. The possibility now exists of integrating voice, video,

and data communications networks. Telecommunications networks are

providing higher speeds and increased bandwidth capacity through

the conversion of analog to digital transmission.4 The above

described advances in combination with TDFs will lead to greater

resource-sharing in a world whose borders are quickly disappearing.

Much of the available information on protocols, linked

systems, and the OSI reference model is purely descriptive. It is7

often a chore to obtain a document which provides a clear overview

and perspective on the overall relation of protocols or standards

activities to computer networking. It is, therefore, advisable to

review a variety of materials in order to obtain a comprehensive

4 Bigelow, Linda and Alice Calabrese, "Librnries andTelecommunications Technologies," College and Research Library News50 (March 1988): 198.

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costs, training and awareness.2 It was interesting that

respondents to the survey placed little emphasis on the policy and

legal factors which have figured prominently in the general TDF

literature. The flows in question would be on-line or off-line and

included electronic messaging. As analyzed by library application,

the following are the most important aspects of TDF: citation

retrieval, cataloging, inter-library loan, and acquisitions.

The most prominent barriers to TDF involving libraries are as

follows.

Cost was cited as a barrier much more frequently than anyother by national libraries and national library associations.Database service providers...related cost as the second mostimportant barrier: for them; training, education and awarenesswas the most significant barrier. In descending order offrequency, cost barriers mentioned in responses were: costs ofestablishing, maintaining and using databases;telecommunications costs; staff and staff training costs;software costs. Technical barriers in the same order were:incompatibilities in services, systems, hardware and software;physical/technical limitations; computer/communicationsstandards; reliability of communications.3

A review of this survey is vital to any information professional

and is available, free-of-charge, from the IFLA International UDT

Core Program office.

Integration of telecommunications into library services is a

hot topic of the 1990s. Identification of telecommunications

technologies and adaptability to the needs of libraries is

frequently cited in the literature. The problem is that librarians

have often been unable to keep up with the rapidly changing field

2 Duchesne, Roddy, "IFLA Transborder Data Flow Survey," UDTNewsletter 2 (August 1987): 1.

7 Ibid, 3.

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view of the topic. One aspect to acquaint oneself with is with

protocols which are a set of rules by which two computers or other

electronic devices can exchange data for some purpose. This covers

agreements on dialog and format of the data being exchanged through

services, often constructed through the use of a layered set of

protocols.

Another aspect of resource sharing is to develop a standard,

an agreement reached by a group of people or organizations

to do something in a common way. This is a vital aspect of TDF in

that strict universal adherence to standards will ensure the smooth

flow of information. One organization, the International Standards

Organization (ISO), an international standards body made up of

national standards groups from many countries, is especially

important due to its popularization of the term "reference model,"

and especially for it hand in developing the Seven-Layer Reference

Model for OSI.

In any study of protocols and standards development, one

should pay close attention to the various national networking

environments. Furthermore, there exists the problem of

incompatible major standards being used alongside one another.

Problems of performance, complexity and the cost of conversion, and

variables of organizational taste, functionality and the presence

or absence of vendor support continue to plague many networking

environments.5

5 Lynch, Clifford, "Protocols in Perspective," ASIS Bulletin11 (August/September 1985): 11.

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It is important for the library and information professional

involved in international telecommunications and TDF to approach

the literature in its broadest sense.

Much of the current library and information systems literaturefocuses on the application of networking; yet it is equallyimportant for the practicing professional to have a currentworking knowledge of the telecommunications infrastructureupon which these applications are built. This is particularlytrue since the telecommunications infrastructure is extremelydynamic, and the effectiveness of many network applicationswill be determined by the form this infrastructure takes inthe future. To be optimum, future applications must betargeted toward the environment in which they will exist andoperate. At a minimum, they must be able to compensate forchange in the environment, especially because of the magnitudeof investment required by their endeavors.6

This brief introduction is intended to provide researchers

with a general background of the issues related to international

telecommunications and TDF. Because of so many related subject

areas, one often has to broaden their search before they can narrow

their search topic in order to obtain the most relevant materials.

It is very advisable to acquaint oneself with the organizations

involved in researching specific areas. Their journals, bulletins

and newsletters are very useful and are often available free-of-

charge.

It would be impossible to list here all the journals and

periodicals that cover these issues and, due to rapid change in the

technology, it would be futile because of the constant generation

of new material. One should acquaint themselves with a variety of

sources and then decide which are most applicable to their

6 Learn, Larry L., "Networks: the TelecommunicationsInfrastructure and Impacts of Change," Library Hi-Tech 6 (1988):13-14.

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e

situation.

We may expect a continuation of the increase in volume and

import of point-to-point transfers of digital electronic data

across national boundaries. While TDF will increase, that of

information services and libraries will probably remain a small

percentage of total world TDF. This is especially due to the

volume of expansion in the TDF of other sectors In fact, there is

a move away from the concept of TDF, by the OECD Working Group on

Transborder Data Flows, towards the idea of international data

services, the point here being that TDF issues should be considered

within the context of international data services.

As for the internationalization of telecommunications, there

is likely to be an increasing level of international activity and

debate working in the direction of harmonizing national laws,

regulations and approaches where it becomes apparent that this is

in the common interest. Ideally, this activity will result in the

creation of an effective, international regulatory framework.7

TDF and international communications are an exciting aspect of

today's global information society. As international boundaries

break down, especially in the European Community, Pacific Rim,

United States, Mexico and Canada, the need to technically and

politically facilitate the exchange of data is especially vital.

By surveying the historical, theoretical and analytical literature,

one will obtain the most comprehensive view of these issues.

7 Kent, Allen, ed. Encyclopedia of Library and InformationScience Vol. 45, Supp. 10, (New York: Marcel Dekker, Inc., 1990),s.v. "Transborder Data Flow," by Roddy Duchesne and Anna Levin.

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REFERENCES

Bender, David R. "Transborder Data Flow: An Historical Review andConsiderations for the Future." Special Libraries 79 (Summer1988): 231-235.

Bigelow, Linda and Alice Calabrese. "Libraries andTelecommunications Technologies." College and Research LibraryNews 50 (March 1989) : 195-199.

Duchesne, Roddy. "IFLA Transborder Data Flow Survey." UDTNewsletter 2 (August 1987): 1-12.

Kent, Allen, ed. Encyclopedia of Library and Information ScienceVol. 45, Supp. 10. New York: Marcel Dekker, Inc., 1990. S.v."Transborder Data Flow," by Roddy Duchesne and Anna Levin.

Learn, Larry L. "Networks: the Telecommunications Infrastructureand Impacts of Change." Library Hi-Tech 6 (1988): 13-27.

Lynch, Clifford A. "Protocols in Perspective." ASIS Bulletin 11(August/September 1985): 9-11.

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COMMUNICATIONINTERNATIONAL

Cooper, James Arlin. Computer and Communications Security:Strategies for the 1990's. New York: McGraw-Hill Book Company,1989.

The objectives of this book are three-fold. The first isto provide an information resource on the status of computersecurity techniques that will be available in the 1990s. Thesecond is to provide an analytical basis for makingquantitative assessments, especially valuable for itscurrency. The third is to survey the threats of whichsecurity practitioners should be aware. This book, useful forgraduate-level courses, provides an overview of the study ofcomputer and communications security, and a review of sixparticular aspects of the study: physical protection,personnel considerations, legal and regulatory aspects,hardware security, software security and network security.The final chapter addresses a global approach to security anddiscusses future issues. It includes an extensive glossary.

In the regulatory security environment section, relatingto TDF, there is an international topics section whichoutlines international forums and the regulatory environmentsof the following countries: Great Britain, Canada, France andSweden.

Dougan, Diana Lady. Communications Satellites: Challenges of theFuture. Washington, D.C.: U.S. Department of State, Bureau ofPublic Affairs, Office of Public Communication, EditorialDivision, 1988.

This is an address by Ambassador Diana Lady Dougan, U.S.Coordinator and Director, Bureau of InternationalCommunications and Information Policy, before the GreatInternational Celebration of Satellites in Space sponsored bythe Society of Satellite Professionals, Washington, D.C.,October 16, 1987. Dougan focuses on the intrinsic merits ofsatellite and cable technology, and the potential ability ofmarketplace forces to lead an efficient distribution oftraffic over both satellitP and cable. She stresses the needfor less government proection of one technology versusanother. Further discussion focuses on striking a balance inthe domestic and international regulatory framework that willlet technology flourish, based on real markets and realrequirements. The author encourages satellite professionalsto commit themselves to the three concepts of innovation,adaptability and motivation in their research and practicalapplications of satellite technology. Good source for a brief30-year history of the satellite industry.

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e Gonzalez-Manet, Enrique. The Hidden War of Information.Translated by Laurien Alexander. Norwood, New Jersey: AblexPublishing Corp., 1988.

The author focuses on the varied socioeconomic changesbrought about with new information technologies including howvast telecommunications systems have necessitated majorreorganization of management controls/standards, andproduction and services. By focusing also on the politicalaspects, especially in regards to less-developed countries,the author explores several issues about internationalcommunication, with interesting coverage of the monopoly ofinformation by the more technologically privileged. In adiscussion of international information systems, the authorfocuses on how multinational corporations have contributed tothe global expansion of information including the benefits anddisadvantages of such message flows. It includes a vastbibliography with several Latin-American sources.

Mowlana, Hamid. Global Information and World Communication: NewFrontiers in International Relations. New York: Longman,1986.

This book provides an interesting overview of the globalflow of information and world communications systems byexamining both the human and technological dimensions. Theauthor addresses the phenomenon of the international flow ofinformation in the political, economic, cultural,technological, legal and professional contexts. Includes anextensive bibliography and index.

TDF is examined in chapter five, "The Political Economyof Information." A brief history of TDF is given as well asa description of actors and participants in TDF, the types ofTDF, major issues and impact of TDF, and the direction ofresearch. Includes notes. Like many other TDF specialists,the author points out how there are many changes in globalcommunications yet to be expected as technologies continue tochange traditional economic and political perceptions ofinformation exchange.

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COMPUTERS--INTERNATIONAL COOPERATION AND STANDARDS

Transnational Data and Communications Report. Washington, D.C.:Transnational Data Reporting Service, Inc. Monthly.

This monthly publication addresses internationalcooperation between computers, and computer access control,data protection and electronic data processing. Each issuecontains approximately six special interest articles incombination with the regular departmental features:Newsletter, International Outlook, Special Report, Freedom ofInformation, Data Protection, Documentation, BookReview/Source Data, and a calendar listing conventions andother gatherings of interest. Although focusing mainly on thebusiness aspects of information exchange, this publication isvery useful for all information professionals, and is one ofthe only periodicals, focusing specifically on TDF, that ispublished in the United States.

COMPUTERS--POLITICAL ASPECTS

Murphy, Brian M. The International Politics of New InformationTechnology. New York: St. Martin's Press, Inc., 1986.

This book focuses on the development and implications ofthe world information technology (IT) industry. The ninechapters discuss pertinent issues, including the concept ofinformation colonialism, the foremost nations and agenciesinvolved in IT, the actual transfer of information and thefuture of this industry.

TDF and international standards are covered in onechapter, including coverage of the following: the datadependence of multinational corporations and industry;national sovereignty; control of information flow; personalprivacy; the CoE convention; OECD; the information technologyof France, Canada, Brazil; INTELSTAT; WIPO; technicalstandards; OSI; ECMA; ISO; ISDNs, and the EEC. It includes abibliography and index.

INFORMATION NETWORKS--STANDARDS

National Information Standards Organization (U.S.). AmericanNational Standard for Information Retrieval Service Definitionand Protocol Specification for Library Applications. ANSI/NISOZ39.50 - 1988. New Brunswick, NJ: Transaction Publishers,1989.

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The specific OSI application layer service defined hereallows an application on one computer to query the database ofanother. This information is essential in terms ofunderstanding the procedures and structures of one searchrequest, the request for the transmission of database recordslocated by a search, responses to the requests, and access andresource control. Though not necessarily international inscope, the generality of this protocol will allow it toaccommodate the addition of new services as required. Itincludes a list of the voting members of NISO.

INFORMATION SERVICES--INTERNATIONAL

Chartrand, Robert Lee. International Information Exchange:Relevant Activities of the White House Conference on Libraryand Information Services. Prepared for the Subcommittee onEducation, Arts, and Humanities of the Committee on Labor andHuman Resources, United States Senate. Washington, D.C.: U.S.Government Printing Office, 1980.

This study examines the role of library and informationservices in increasing international understanding andcooperation, as reflected in the White House Conference onLibrary and Information Services deliberations, resolutions,and documentation. This overview includes an executivesummary and introductory section which outlines thesignificance of this area. The activities of the conferenceare then described, including: commentary by feature speakers,open hearing presentations, delegate discussion group action,and the final plenary resolutions and recommendations. Afinal section discusses possible ways of implementing thesolutions via the public and private sectors. The documentconcludes with a series of appendices which contain backgroundmaterial.

This document is especially useful to the librarian andinformation specialist who seeks a historical perspective ofinternational cooperation in information services.

INFORMATION TECHNOLOGY

Whitaker, Marian and Ian Miles. Bibliography of InformationTechnology: An Annotated Critical Bibliography of EnglishLanguage Sources Since 1980. Hants, England: Edward ElgarPublishing Limited, 1989.

This bibliography includes over 500 annotated referenceson information technology including: the technology, socialtrends, the international economy, the employment debate, thequality of working life and work organization, industrial

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structures, organizational issues, household and community,community and politics, and bibliographies and indexes. Eachchapter includes an introduction to inclusive sub-chaptersroughly indicating contents of each and reasons for thematerials' inclusion.

LIBRARY SCIENCE--TECHNOLOGICAL INNOVATIONS

Adams, Roy. Communication and Delivery Systems for Librarians.Hants, England: Gower Publishing Company Limited, 1990.

Unlike other publications, this book begins with aglossary of telecommunications and computing terms indicatingthe relative import of jargon in this field. The remainder ofthe book deals with various communications and deliverysystems including the development of communicationstechnology, wide-area networks, local-area network technology,local- and wide- area networks in libraries, large-scalestorage devices including library applications, artificialintelligence, recent communications technologies and socialimplications, including transborder data flow, possiblescenarios, and libraries and the communications environment.Rather than solely a theoretical or technical perspective, thehuman perspective of information transfer is addressed innearly every chapter indicating the inevitable association ofpeople and technology. Each chapter includes an extensivelist of references.

Crawford, Walt. Current Technologies in the Library: an InformalOverview. Boston: G.K. Hall & Co., 1988.

This valuable handbook discusses, in two parts, allpublishing media circulated by libraries and all aspects ofautomation, including computers and communications systems.Through a discussion of each of these technologies, the authorclearly defines the history, purpose and advantages of each.

Telecommunications are discussed as related to theirenhancement of current library services and other possibleapplications. The telecommunications chapter discusses thefundamentals: information, transmitters and receivers,communications links, protocols and agreements; high-capacitycommunications links: coaxial cables, microwavecommunications, satellites, and fiber optics; equipment andlong-distance telecommunications: modems, packet switching;telecommunications and libraries, a summary and a briefselected reading list. This source is especially helpful dueto its easy-to-read-and-understand discourse and would serveas a good introductory text to anyone considering automationand publishing media.

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Dewey, Patrick R. Fax for Libraries. Westport, CT: Meckler Corp.,1990.

In a discussion which intimates that fax technology iseasier to operate than a personal computer set-up for faxtransmissions, the following aspects of fax are discussed:technology, libraries, selection of a standalone machine andmanagement issues, alternatives, and resources. Especiallyhelpful is a directory of popular fax makes and models, andvendor addresses for PC fax boards and modems, and faxmachines. By focusing on the issues of compatibility,transmission t m e , resolution, papers,standalone/PC/online/fax and cost, library use of fax isdetailed with useful, timely examples.

RESEARCH ORGANIZATIONS

Atwater Institute. The World Information Economy Centre. 1625 deMaisonneuve West, Suite PH-211, Montreal, Quebec, Canada, H3H2N4.

The Atwater Institute is an independent public policyforum, begun in 1985, which focuses on international issuesraised by new computer and communication technologies.Recognizing that developments in computers and communicationshave merged, the Institute is concerned about the subsequenteffects on individuals, industry and governments in relationto services, manufacturing and the virtual elimination oflocation as a factor in the competitiveness of nations. TheInstitute intends to promote informed policy-making at theinternational level. It conducts research, organizesinternational meetings and specializes in bringing togetherpeople with divergent interests and backgrounds for theconstructive exchange of views. The Institute publishes anewsletter and also sponsors a variety of other publications.

Council of Europe (CoE). Palais de l'Europe, 67006 StrasbourgCEDEX, France.

The Council of Europe (CoE), consisting of twenty-onemember countries, has a mandate to implement and enforce theEuropean Convention on Human Rights of 1950. A long-timeproponent of data protection activities, the CoE's trueorientation is represented in the data protection treaty,"Convention for the Protection of Individuals with Regard toAutomatic Processing of Personal Data." The Conventionprovides rules of data protection, provisions concerning TDF,a system of assistance between signatory states and theestablishment of a consultative committee to review its

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operations. This convention is an attempt to control andregulate the handling and transfer of data within and outsideEurope.

International Bureau for Informatics (IBI). Viale Civilta delLavoro, 33, P.O. Box 10253, 00144 Rome, Italy.

The scope of the IBI is to assist people, especially indeveloping countries, in the field of informatics, to helpthem live in the context created by this discipline, to betterunderstand its impact on society and to derive the maximumbenefits from its possibilities. It undertakes to promote thedevelopment and diffusion of informatics by advising,promoting and recommending the adoption of national andinternational policies for informatics, improvedadministration of informatics, and education in and aboutinformatics. Part of the Bureau's work includes working onthe uniform protection of TDF of the following countries:France, Iraq, Iran, Israel, Italy, Jordan, Lebanon and Spain.Through a series of conferences, publications and studies, theIBI has contributed to the increased awareness of the need toplan and guide developments in informatics and itsapplications.

International Institute of Communications (IIC). Tavistock HouseEast, Tavistock Square, London, England, WC1H 9LG.

The IIC is an independent, international, non-governmental, non-profit organization concerned withinternational communications. In operation since the 1960s,with individual, institutional and corporate membership, theInstitute provides an interdisciplinary forum for people inthe field of communications including broadcasting,telecommunications, journalism, law, academia, industry andgovernment. Dedicated to the analysis of all aspects ofcommunications, the IIC obtains funding, and acceptscommissions for independent inquiries and studies. The IICworks through seminars and meetings, aiming to bring togethermany disciplines, especially via its annual conference. TheInstitute also operates an extensive, specialized library ofvarious communications media.

OECD. Handbook of Information Computer and CommunicationsActivities of Major International Organizations. Paris: OECD,1980.

This useful handbook was created by the Working Party onInformation, Computer and Communications Policy (ICCP), at theOECD, which was formed in 1977, in recognition of the

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4

increasing merger of information, computer andtelecommunications technologies. It includes a listing of 48organizations, governmental and non-governmental, includingfor each: organization name and abbreviation, addresses, mainaims and objectives, origin of the organization and presentnumber of member countries, organizational structures,activities in the field of information, computers andcommunications including conferences, seminars, publications,etc.

Organization for Economic Cooperation and Development (OECD). 2,

rue Andre Pascal, 75775 Paris CEDEX 16, France.

The OECD was set up under a Convention signed in Paris onDecember 14, 1960. The OECD aims to promote high economicgrowth, employment and standards of living in membercountries, to encourage economic development in both memberand non-member countries and to contribute to unbiased worldtrade on a multilateral level in accordance with internationalstandards. The 24 members include: Australia, Austria,Belgium, Canada, Denmark, Finland, France, Germany, Greece,Iceland, Ireland, Italy, Japan, Luxembourg, the Netherlands,New Zealand, Norway, Portugal, Spain, Sweden, Switzerland,Turkey, the United Kingdom and the United States. The OECDproduces a variety of publications related to all aspects ofinternational information transfer. These documents areespecially useful for their currency and vast subjectcoverage.

Universal Dataflow and Telecommunications (UDT) Core Program of theInternational Federation of Library Associations andInstitutions (IFLA). National Library of Canada, 395Wellington Street, Ottawa, Ontario, Canada, K1A ON4.

The UDT Core Program's aim is to act as a support programto the activities of other core programs and IFLA Divisionsand Sections concerned with electronic transfer of data. Theprimary focus of the program is on the technical, economic andpolicy aspects of electronic transfer yet it also aims toreduce barriers and to promote electronic transfer of data forthe benefit of the library community and interrelated sectors.

The UDT Core Program is heavily involved in thetechnological issues involved in the development,implementation, use, maintenance and enhancement of standardsfor data interchange. By sponsoring seminars and publiL ingan irregular newsletter, UDT Newsletter (in English andFrench), the UDT Core Program is a valuable organizationworking directly with TDF-related issues.

20

5

TELECOMMUNICATIONS--BIBLIOGRAPHY

Snow, Marcellus S. and Meheroo Jussawalla. TelecommunicationEconomics and International Regulatory Policy: An AnnotatedBibliography. Westport, CT: Greenwood Press, 1986.

This bibliography is a compilation of both authors' workwith the main focus being on references dealing with bothtelecommunications and regulatory economics, especially thosewith an international focus. The book is divided into threeparts covering the conceptual and theoretical background oftelecommunication economics; the technological, institutionaland legal framework; and empirical, policy and future studies;and research agendas. It includes both an author and subjectindex. TDF and other aspects of information transfer arecovered in a variety of chapters.

TELECOMMUNICATIONS--LAW AND LEGISLATION

Branscomb, Anne W. Toward a Law of Global Communications Networks.The Science and Technology Section of the American BarAssociation. New York: Longman Communications Bocas, 1986.

The various chapters of this book deal with internationalinformation networks in private and public sectors,multinational corporations, government agencies, and nonprofitinstitutions. The book aims to familiarize members of ti..8 Barwith changes in the international communications environment;the legal implications of technology on commercialtransactions, diplomatic relations and transnational transportsystems; and to assist in the development oftelecommunications policy development.

The book focuses on three broad areas: the globalcommunications environment; global information users andinformation transfer systems; and the emerging legal andpolicy issues in global information flow. It is an excellentsource of easily understandable legal information useful toinformation professionals. It includes a bibliography andindex.

OECD. An Exploration of Legal Issues in Information andCommunication Technologies. Paris: Organization for EconomicCo-Operation and Development, 1983.

This book contains two reports prepared for the Cc.dmitteefor Information, Computer and Communications Policy. The mainfocus is on whether the development of computer and

21

communications technology is outpacing the existing legal andregulatory framework. The first article deals, in general,with the legal aspects of the application of informationtechnology. In doing so, it addresses privacy protection;freedom of information; vulnerability, unemployment and crime;conflicts, sovereignty, and protectionism; intellectualproperty, business law, liability, and insurance; evidence lawand legal profession; institutional responses and profits.The second article concentrates on the legal problems relatedto transborder data flows by defining basic terms andconcepts, the elements in existing international law andconcludes with assessments and implications.

Pipe, Russell. A Business Guide to Privacy and Data ProtectionLegislation. Paris: ICC Publishing S.A., 1981.

Though directed at the business community, this guide isuseful for those in need of the privacy legislation in sevencountries including Austria, Denmark, France, West Germany,Luxembourg, Norway and Sweden. Basically, the laws coverpersonal data held by public or private sector organizationsbut also address a variety of other data-related issues. Theguide also includes descriptions and full text ofinternational agreements on data protection of the OECD andCouncil of Europe. This is a useful tool regarding country-specific background information and TDF legislation.

Ploman, Edward W. International Law Governing Communications andInformation: a Collection of Basic Documents. Westport, CT:Greenwood Press, 1982.

Divided into ten parts, this book covers all aspects ofinternational communications and information. It addressesthe history, structure, standards and internationalorganizations concerned with general international law;information, telecommunications, postal informatics and spacelaw; intellectual property rights; trade and customsregulation; culture and education; and national security andlaw enforcement. It is an especially useful source for itprovides a comprehensive assembly of nearly all majorinternational legal instruments which affect communicationsand information, which are easily located in thealphabetically arranged list of instruments. It includes anindex.

22

TELECOMMUNICATIONS--LIBRARY AND INFORMATION SCIENCE

Boss, Richard W. Telecommunications for Library Management.White Plains, NY: Knowledge Industry Publications, Inc., 1985.

This discussion focuses on the changing needs oflibraries in relation to data communications with much of theproblems revolving around rising costs and emergingtechnologies. With a strong focus on cost-effectiveness, thefollowing aspects of telecommunications are discussed:communicating concepts; standards; short-, medium-, and long-distance telecommunications; transmission suppliers;equipment; software products and how to actually procureproducts. The concept of "telecommunications literacy" isstressed for anyone involved with this technology especiallyin terms of initial procurement decisions.

Jacob, M.E.L. Telecommunications Networks: Issues and Trends.White Plains, NY: Knowledge Industry Publications, Inc., 1986.

These articles were compiled by the American Society forInformation Science (ASIS). The collection addresses thecontext of telecommunications issues and technology, OSI andthe Linked Systems Project (LSP), and specific networkperspectives including UTLAS and OCLC. This collection isreplete with tables and figures which illustrate main Dointsespecially useful to the information professional in need ofa general Dverview.

Learn, Larry L. Telecommunications for Information Specialists.Dublin, Ohio: OCLC Online Computer Library Center, Inc., 1989.

All aspects of telecommunications, as related to thelibrary and information professional, are covered hereincluding the role of telecommunications, regulation, networktechnology, networks and networking, telecommunicationsinfrastructure, recent developments within the public network,and future networking strategies. Little previous knowledgeof the technology is necessary as the intent is toprovide the basic background necessary for enlightenedunderstanding, decision-making, and planning with thispopular technology. Nearly half of this publication isdevoted to a thorough glossary, bibliography and study guide.

Telecommunications for Information Management and Transfer:Proceedings of the First International Conference held atLeicester Polytechnic, April 11, 1987, edited by Mel Collier.Brookfield, VT: Gower Publishing Company, 1988.

23

The 1 n focus of this text is on telecommunications andits management as its services expand within the library. Thethirteen chapters cover information on LAN, WAN, satellitecommunications, interactive fiber-optic networks, cablesystems, e-mail, and the technological development of moderninformation technology systems. Each chapter delves into thebenefits and consequences of the various aspects oftelecommunications as a manner of information management anddelivery.

TELECOMMUNICATION POLICY

Dougan, Diana Lady. New Telecommunications Services: Let's NotStack the Deck Against Them. Washington, D.C.: U.S.Department of State, Bureau of Public Affairs, Office ofPublic Communication, Editorial Division, 1988.

This is an address by Ambassador Diana Lady Dougan, U.S.Coordinator and Director, Bureau of InternationalCommunications and Information Policy, before the World PlanMeeting sponsored by the International Telecommunication Union(ITU), Lisbon, Portugal, February 3, 1988. The author offerssome opinions on the global advance of communications byoffering examples of current international technologyinnovations, with a specific focus on less industrializedcountries. Noting the trend for more affordable andaccessible technology to individuals and small groupings aswell as large, she discusses computer networking, competitionand some of the advances of international telecommunicationsorganizations. By addressing the issues of how to effectivelyprovide telecommunications services in an explodingtechnological environment, how to project telecommunicationstraffic forecasts, and the financing of these new facilities,this overview is especially valuable for all informationprofessionals.

Emard, Jean-Paul. Information and Telecommunications: an Overviewof Issues, Technologies, and Applications. Report for theSubcommittee on Science, Research, and Technology of theCommittee on Science and Technology, U.S. House ofRepresentatives, 97th Congress, 1st Session. By the SciencePolicy Research Division, Congressional Research Service,Library of Congress. Washington. D.C.: G.P.O., 1981.

This report examines the role of information andtelecommunications technology in government and society byproviding an overview discussion of the key subject areas.The document is divided into three parts, with two appendixes.Part one introduces the information age with an overview of

24

national and global information and telecommunications issuesas well as an overview of the application areas. Part twoaddresses the technologies of information and communicationsincluding history, detailed technology of systems and sampletelecommunication systems. Part three focuses on futuretrends in information and telecommunications. The appendixesinclude a table of contents to selected readings, and an indexto selected readings, by the author. Overall, this seriesserves as a useful guide in the quickly-changing and emergingfield of information and communications.

"Telecommunications." Bulletin of the American Society forInformation Science 16 (June/July 1990).

The entire issue of this bimonthly publication is devotedto the impact of telecommunications as related to theinformation professional. There are eleven articles ofspecial interest which include some of the following topics:national library networks, computer networks,telecommunications for academic libraries, Terabit lightwavenetworks, software technology, Radio Free Europe,telecommunications education, and a review of the FirstMarconi International Fellowship and Symposium on "Innovationin Telecommunications: Is it working?" Overall, it is a goodintroduction to recent issues, policies and innovations intelecommunications.

United States Committee on Government Operations. Subcommittee onGovernment Information and Individual Rights. InternationalData Flow: Hearings before a subcommittee of the Committee onGovernment Operations, House of Representatives. 96thCongress, 2nd Session, March 10, 13, 27 and April 21, 1980.Washington, D.C.: U.S. G.P.O., 1980.

These hearings address the public and business sectors'experiences in regards to problems of international data flowand how they feel the executive branch could best beorganized to represent the interests of the United States.The topic is broadly defined at two levels: 1) the traditionalissue of trade, involving tariffs and ordinary, economicallymotivated, nontariff trade barriers, and how 2) barriers totrade are emerging from Government information laws intendedto serve very different purposes, such as the protection ofpersonal privacy.

This volume includes formal statements by authoritiesrepresenting a variety of public and business entities, a

collection of letters and statements submitted for the recordand appendixes which include a statement submitted for therecord by the Assistant Secretary for International EconomicPolicy, Department of Commerce, letters submitted for the

25

I)

record by government agencies and private sector enterprises,associations, etc., a report of "The 1979 World AdministrativeRadio Conference," and a selection of references oninternational data flow, which would be especially useful tothe information professional.

United States Committee on Government Operations. Subcommittee onGovernment Information and Individual Rights. InternationalTelecommunications and Information Policy: Hearings before asubcommittee of the Committee on Government Operations, Houseof Representatives. 97th Congress. 1st and 2nd Sessions,December 2, 1981 and April 29, 1982. Washington, D.C.: U.S.G.P.O., 1982.

These hearings note that trade in information technologyand services ranks second, behind agriculture, in its netpositive balance for the United States. Telecommunicationsand computer services are the backbone of international tradein services, the area of enterprise in which the United Statescurrently competes most effectively and which promises todominate trade in the future. The hearings address the factthat the unencumbered use of information technologies providesthe means to communicate political and cultural, as well aseconomic, information among nations and how barriers tointernational communications and information flow aredeveloping very rapidly. The resultant statements deal withsuccessful enactments of telecommunication policy such as theimplementation of the OECD privacy guidelines via the NationalTelecommunications and Information Administration. The secondhearing focuses more on the policies cf the FederalCommunications Commission and the executive branch regardingthe entry of foreign firms into the U.S. communications andinformation service markets.

This documnt is really a plea to the U.S. government totake a proactive role in monitoring the provision ofinformation goods and services as a wide range of barriers tothe international flow of information threaten not only theexport of these high technology products, but all sectors ofthe economy.

United States Committee on Foreign Relations. Subcommittee on ArmsControl, Oceans, International Operations, and Environment.International Communication and Information Policy: Hearingsbefore the Subcommittee on Arms Control, Oceans, InternationalOperations, and Environment of the Committee on ForeignRelations. United States Senate. 98th Congress. 1st Session,October 19 and 31, 1983. Washington, D.C.: U.S. G.P.O., 1983.

These hearings address the fact that political pressuresto prevent, control, and tax the flow of information and

26

31

e

communications technology are intensifying around the world.Because of this, Americans need a clearer understanding ofthese developments and to insist upon consistent high-levelattention by the U.S. Government. The hearings attempt toprovide a better understanding of international communicationspolicy by looking at the policies currently pursued by theU.S. Government and the interagency policies, the function andperformance of the principal international organizations andforums in this area, the attitudes in other countries andgovernments toward communication and information and the basicagenda and timetable for decisions in the future. Testimonyis included by various specialists in internationaltelecommunications policy including policy-makers, providersof services and users of services. The appendix includes aninteresting article which discusses and compares the issue ofprivacy and human rights in both the United States and Europe.

Yurow, Jane H. Issues in International Telecommunications Policy:a Sourcebook. Washington, D.C.: The George WashingtonUniversity Division of Continuing Education Center forTelecommunication Studies, 1983.

This sourcebook covers the InternationalTelecommunication Union regulatory environment, transborderdata flow, telecommunications and trade policy andintellectual property. Other topics are covered nominallyincluding national security, mass media, economic developmentand standards. Each chapter attempts to provide informationon the international organizations, U.S. laws and regulations,significant treaties and agreements, and court decisionsrelated to that subject as well as an annotated bibliography.The chapter on TDF includes an article by Robert F. Aldrichabout emerging issues in TDF including economic restrictions,vulnerability issues, restrictions on personal data, and massmedia restrictions. The remainder of the chapter providesU.S. laws and regulations, foreign laws and policies, treatiesand agreements, relevant activities of key internationalorganizations, key international transnational data networks,Executive branch interagency committees, public advisorycommittees to the United States government and a bibliography.

TELECOMMUNICATION STANDARDS

Henshall, John and Sandy Shaw. OSI Explained: End-to-End ComputerCommunication Standards. Chichester, England: Ellis HorwoodLimited, 1988.

This book provides a description of how OSI works.Despite its technical nature, the ISO standards are presentedin an easy-to-understand manner including the rules and

27

procedures computer systems must follow in order to supportthe OSI user applications. The framework of the ISO Seven-Layer Reference Model is included which is essential inunderstanding the harmonizing tactics of OSI.

Linked Systems: Papers Presented as a Program Session at the 112thMembership Meeting of the Association of Research Libraries onMay 6, 1988 in Oakland, California, by the Association ofResearch Libraries. Washington, D.C.: Association of ResearchLibraries, 1988.

Although these papers are aimed at research librarydirectors, the topic, how linked systems will affect libraryoperations, is both timely and relevant to all libraryprofessionals. The papers include an overview of OSI, theconnection between LSP and the library community, and theimplications for libraries, especially regarding futureoperations and technological innovations. It includes a brieflist of selected readings.

Open Systems Interconnection: the Communications Technology of the1990's: Papers from the Pre-conference Seminar held at London,August 12-14, 1987, ed. by Christine H. Smith. Munchen: NewYork, etc.: K.G. Saur, 1988.

These pre-conference seminar papers, organized by theIFLA Section on Information Technology, are an extremelyuseful resource regarding the function and importance ofinternational standards in an OSI application. Divided intofour sessions, the following topics are covered: datainterchange/state of the art of OSI, document creation forinterchange, implementations of library application layerprotocols, and future challenges. This up-to-date collectionof papers serves as an excellent introduction to libraryapplications of OSI, espedT'ally in its coverage of theconnection between OSI and IFLA programs.

TRANSBORDER DATA FLOW

Bender, David R. "Transborder Data Flow: An Historical Review andand Considerations." Special Libraries 79 (Summer 1988): 230-235.

A condensed history of TDF is presented noting theoriginal issues of personal privacy, national sovereignty, andeconomic concerns and indicating the need to resolve currentproblems of TDF including equitable international policies andstandardization of information technology. Greatest stress isplaced on the need for creation of an international agreement

28

o

4o

that will serve the needs of all nations and parties involvedin TDF.

CELIM Conference. Freedom of Data Flows and EEC Law: Proceedingsof 2nd CELIM Conference. Deventel, The Netherlands: Kluwer Lawand Taxation Publishers, 1988.

This is a collection of articles presented by the CELIMassociation (the European Committee 'Lex InformaticaMercatoriaque') consisting of lawyers from all areas oftraining, working on many issues including business law,information science law and international law in the Europeancontext. Divided into two parts, the legal status of data andthe status for data flows in EEC law, the articles covervaried aspects of information law, and, more specifically,freedom of data flows and: the nature of data, the vectors ofdata, and customs taxation. Though much of the material isaimed at the legal community, many of the articles areespecially insightful for those with interests in informationscience law.

Dougan, Diana Lady. The High Stakes Game of International StandardSetting. Washington, D.C.: Department of State, Bureau ofPublic Affairs, Office of Public Communication, EditorialDivision, 1987.

This is an address before a symposium on standardssponsored by the National Bureau of Standards. Dougan notesthat standards include many international dimensions,involving a variety of sectors other than telecommunications("the whole world of common carrier services, broadcast media,and computers"). Defining the various standards as 1) nostandard at all, 2) de facto standard, 3) voluntary standard,and 4) the treaty-based standard, this address focuses on thelatter two because they are the ones directly involvinggovernments. By identifying problems and possible solutions,this address serves as an excellent overview of the process ofstandard-setting.

Dougan, Diana Lady. Promoting the Free Flow of Information.Washington, D.C.: U.S. Department of State, Bureau of PublicAffairs, Office of Public Communication, Editorial Division,1983.

This is an address by Ambassador Diana Lady Dougan,Coordinator International Communication and InformationPolicy, before the Second Symposium on Transborder Data Flowsof the OECD, London, November 3, 1983. Dougan addresses how,in the field of telecommunications, change is so rapid and

29

that we must constantly adjust to its technological, legal,and economic implications. She stresses the United State'ssupport of the OECD which has a valued and unique role inidentifying and addressing the challenges of our future ininformation, computers and communications. Also mentioned isthe Committee on Information, Computer and CommunicationsPolicy (ICCP) and the role it should take in this area, how toestablish appropriate coordination mechanisms with otherinternational organizations, and to develop a series ofprojects that reflect identified priorities.

Duchesne, Roddy. "IFLA Transborder Data Flow Survey." UDTNewsletter 2 (August 1987): 1-12.

This article describes a survey taken in 1986 by theInternational office for UDT, in connection with the NationalLibrary of Canada. The results of 104 respondents, fromnational libraries, national library associations and 12 otherdatabase service providers, with a response rate of 30%, aretabulated and discussed providing some of the most practicalfeedback concerning TDF as related to libraries. The articlefocuses not only on current issues but provides interestingsuggestions, as stated by respondents, about the focus offuture TDF-related issues, research, and pilot projects.

Global Ties through Information: Papers presented at the State-of-the Art Institute, October 17-19, 1988, Washington, D.C.Special Libraries Association: Washington, D.C., 1989.

This collection includes 16 various viewpoints of globalinformation flow. The effects of TDF as it affects finance,economics, legislation, demographics, and world relations arediscussed. In particular, the following topics are addressed:international communications and tensions over informationnetworks, international satellite networks, datacommunications in the third world, Japanese online informationflow, international collaboration, emergency managementutilizing information technology, and definitions of majorinformation technologies.

Hamelink, Cees J. Transnational Data Flows in the Information Age.Lund, Sweden: Studentlitteratur, 1984.

The author presents an overview of all aspects ofinternational data transfer as of the mid-1980s. Focusing onthe information age, telematics, data networks and data flows,the role of the transnational corporation, TDF and the thirdworld, and data regulation, the author chooses to focus moreon the political, economic and cultural impact of this

30

35

0

o

phenomenon. He stresses the need for technologicaladvancement in order to broaden and standardize thetransnational flow of data. It includes a bibliography andindex.

Intergovernmental Bureau for Informatics (IBI). TransborderData Flow Policies: Papers Presented at the IBI Conference onTransborder Data Flow Policies, Rome (Italy), 23-27 June 1980.New York: UNIPUB, 1980.

This collection of 35 papers covers a variety of TDFissues in English, Spanish, and French. It is useful becauseof its international nature and, historically, because manyof the papers are the first documentation of TDF in certainregions of the world. The collection addresses not onlylegal, business and economic issues, but several areas oflibrary and information science. Especially useful is anextensive TDF bibliography available from IBI.

International Federation of Library Associations Transborder DataFlow Program. Introductory TDF Study: Final Report. Ottawa,Canada: Loecus Informatics, Inc., 1986.

This report is a result of the first year's work of theTDF Programme, including individual reports created at variousstages during that year. The main focus of the TDF office,after its establishment in 1986, was the development ofquestionnaires and analysis of the responses. Secondary wasto insure a second year program, to investigate electronicmail services and to establish a ten-year proposal. Includedhere is a status statement on these activities, along withappendixes more clearly detailing each of these activities.

This is an important document in that it is one the firstto alert the IFLA community as to the existence of theprogram, for the responses received by respondents indicatingpriorities and activities which would be of benefit tomembers, and for the identification of current restrictions toTDF, as well as the quantification of the amount of TDFincluding current and future characteristics.

Jussawalla, Meheroo and Chee-Wah Cheah. The Calculus ofInternational Communications: a Study in the Political Economyof Transborder Data Flows. Littleton, CO: LibrariesUnlimited, Inc., 1987.

This discussion addresses many current issues of TDF,especially in regards to technological implications and theirincreasing importance versus issues of national sovereignty,and the freedom of information. The first section discusses

31

the problem of TDF including the nature and implications ofTDF, the historical and institutional setting and the growthof the services section, in particular, the implications fortrade policy. Part two addresses the new directions foreconomic analysis including analysis of the legal and policyaspects of information privacy, the economies of politicalchoice and TDF regulation and elements of TDF economies. Theconclusion summarizes the issues and includes a proposal forTDF policy coordination. It includes reference notes and anindex.

Kent, Allen, ed. Encyclopedia of Library and Information ScienceVol. 45, Supp. 10. New York: Marcel Dekker, Inc., 1990. S.v."Transborder Data Flow," by Roddy Duchesne and Anna Levin.

This article covers most aspects of TDF as related tolibraries. Much of the findings are based on the results ofthe IFLA Survey taken in 1986 under the guise of the UDTProgram. The results are detailed under the categories oflibrary applications, modes of transmission, geographicaldistribution, barriers to TDF, and significance of TDF.Noting that involvement of libraries in TDF is limited, thefact that increased involvement is stressed as well as theneed for further attention to the content of communicationand the purpose which it serves. National governments'involvement with TDF is discussed regarding national,economic, cultural and technological sovereignty, security,and lesser developed countries. Further discussion focuses oncorporations, the information industry and privateindividuals, each struggling with particular TDF issues.

Kirsch, William. Transborder Data Flows: a Current Review. London:International Institute of Communications, 1983.

This review discusses TDF by breaking it into two broadcategories, those being TDF of personal data and TDF of non-personal data. The rationale for this division is that earlyactivity focused on issues of personal data flow with morerecent focus on non-personal data, especially with theincrease in international databases. This guide discussesprivacy, data protection and free flow of information andnational sovereignty, developed and developing countries,international organizations and the selected issues of: remotesensing, electronic funds transfer and employment.

Maruyama, Lenore S. Transborder Flow of Bibliographic Data. IFLAProfessional Reports: 7. The Hague: IFLA Headquarters, 1985.

Initiated by the IFLA Section on Information Technology

32

in 1983, this study aims to investigate any barriers to theflow of bibliographic information and to make proposals forsolutions and actions. Because the interconnection of databases between nations is so important, the library andinformation professions need to be aware of anything thatwould affect the free flow of information. A discussion ofthe flow of bibliographic data focuses on major participants,present and estimated future flow of data, a comparison ofinternational circulation of other types of data, and thebarriers to flow of bibliographic data. The paper closes witha list of proposals for actions as well as with an appendix oftrade barriers to telecommunications, data, and informationservices. Though much information of this sort is quicklyout-dated, this paper is a useful tool regarding the historyof TDF and its connection with the library and informationprofessions.

United Nations Centre on Transnational Corporations. TransborderData Flows: Transnational Corporations and Remote-SensinqData. 1984.

This document focuses specifically on remote-sensingwhich is a unique form of TDF in that it not only permits thetransmission of data between countries, but also makes itpossible to generate new data about particular countries anddisseminate this data elsewhere. Remote-sensing is related totransnational corporations due to the enhanced data-collectingtechniques and how it is used in operational terms. Includedhere is an introduction to remote-sensing and a review ofnational remote-sensing programs, as well as a discussion ofobstacles to the use of remote-sensing and a review of policyand regulations. Understanding of this technology is usefulfor thoGe involved in the use of satellite-acquired remotely-sensed data for negotiations between various parties.

Universal Dataflow and Telecommunications (UDT) Newsletter. Ottawa,Canada: IFLA International Program for UDT, No. 1, 1987-

This irregular newsletter (English and French) ispublished by the Universal Dataflow and TelecommunicationsCore Program of IFLA. Its chief aim is to inform members ofthe IFLA community about international activities anddevelopments which concern the program. Each issue containsvarious topics via the 'Update' and 'Focus on OSI' sections.Other relevant issues are often the topic of an entirenewsletter. This is one of the most authoritative sources oncurrent trends in TDF.

33

Source:

APPENDIX ONE

Guidelines on the Protectionof Privacy and Transbordel Flows

of Personal Data

Organization for Economic Cooperation and Development.Guidelines on the Protections of Privacy and TransborderFlows of Personal Data. (Paris: OECD, 1981), 9-36.

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void

cre

atin

g, in

the

nam

e of

pri

vacy

pro

tect

ion,

unj

ustif

ied

obst

acle

sto

tran

sbor

der

flow

s .-

-,of

per

sona

l dat

a;

41

3.T

hat M

embe

r co

untr

ies

co-o

pera

te in

the

impl

emen

tatio

n of

the

Gui

de-

lines

set

for

th in

the

Ann

ex;

4.T

hat M

embe

r co

untr

ies

agre

e as

soo

n as

pos

sibl

e on

spe

cifi

c pr

oced

ures

of c

onsu

ltatio

n an

d co

-ope

ratio

n fo

r th

e ap

plic

atio

n of

thes

e G

uide

lines

.

A 2

Ann

ex to

the

Rec

omm

enda

tion

of th

e C

ounc

il of

23r

dS

epte

mbe

r 19

80

GU

IDE

LIN

ES

GO

VE

RN

ING

TH

E P

RO

TE

CT

ION

OF

PRIV

AC

YA

ND

TR

AN

SBO

RD

ER

FL

OW

S O

F PE

RSO

NA

LD

AT

A

PAR

T O

NE

. GE

NE

RA

L

Def

initi

ons

1.Fo

r th

e pu

rpos

es o

f th

ese

Gui

delin

es:

a)"d

ata

cont

rolle

r" m

eans

a p

arty

who

, acc

ordi

ngto

dom

estic

law

,is

com

pete

nt to

dec

ide

abou

t the

cont

ents

and

usc

of

pers

onal

dat

are

gard

less

of

whe

ther

or

not s

uch

data

are

colle

cted

, sto

red,

Fro

-ce

ssed

or

diss

emin

ated

by

that

part

y or

by

an a

gent

on

its b

ehal

f;b)

"pe

rson

al d

ata"

mea

nsan

y in

form

atio

n re

latin

g to

an

iden

tifie

d or

iden

tifia

ble

indi

vidu

al (

data

sub

ject

);"t

rans

bord

er f

low

s of

per

sona

l dat

a"m

eans

mov

emen

ts o

f pe

rson

alda

ta a

cros

s na

tiona

l bor

ders

.

Scop

e of

Gui

delin

es

2.T

hese

Gui

delin

es a

pply

to p

erso

nal d

ata,

whe

ther

in th

e pu

blic

or

priv

ate

sect

ors,

whi

ch, b

ecau

se o

f th

em

anne

r in

whi

ch th

ey a

re p

roce

ssed

, or

beca

use

of th

eir

natu

re o

r th

eco

ntex

t in

whi

ch th

ey a

re u

sed,

pos

e a

dang

erto

pri

vacy

and

indi

vidu

al li

bert

ies.

3.T

hese

Gui

delin

es s

houl

d no

t be

inte

rpre

ted

as p

reve

ntin

g:a)

the

appl

icat

ion,

to d

iffe

rent

cat

agor

ies

ofpe

rson

al d

ata,

of

diff

eren

tpr

otec

tive

mea

sure

s de

pend

ing

upon

thei

r na

ture

and

the

cont

ext

in w

hich

they

arc

col

lect

ed, s

tore

d, p

roce

ssed

or d

isse

min

ated

;b)

the

excl

usio

n fr

om th

e ap

plic

atio

n of

the

Gui

delin

es o

f pe

rson

alda

ta w

hich

obv

ious

ly d

o no

t con

tain

any

risk

to p

riva

cy a

ndin

divi

dual

libe

rtie

s; o

rc)

the

appl

icat

ion

of th

e G

uide

lines

onl

yto

aut

omat

ic p

roce

ssin

gof

per

sona

l dat

a.

4 3

4.1

U1

4.E

xcep

tions

to th

e Pr

inci

ples

con

tain

ed in

Par

ts T

wo

and

Thr

ee o

f th

ese

Gui

delin

es, i

nclu

ding

thos

e re

latin

g to

nat

iona

l sov

erei

gnty

, nat

iona

l sec

urity

and

publ

ic p

olic

y ("

ordr

e pu

blic

"), s

houl

d be

:a)

as f

ew a

s po

ssib

le, a

ndb)

mad

e kn

own

to th

e pu

blic

.5.

In th

e pa

rtic

ular

cas

e of

Fed

eral

cou

ntri

es th

e ob

serv

ance

of

thes

eG

uide

lines

may

be

affe

cted

by

the

divi

sion

of

pow

ers

in th

e Fe

dera

tion.

6.T

hese

Gui

delin

es s

houl

d be

reg

arde

d as

min

imum

sta

ndar

ds w

hich

are

capa

ble

of b

eing

sup

plem

ente

d by

add

ition

al m

easu

res

for

the

prot

ectio

nof

pri

vacy

and

indi

vidu

al li

bert

ies. PA

RT

TW

OB

ASI

C P

RIN

CIP

LE

S O

F N

AT

ION

AL

APP

LIC

AT

ION

Col

lect

ion

Lim

itatio

n Pr

inci

ple

7.T

here

sho

uld

be li

mits

to th

e co

llect

ion

of p

erso

nal d

ata

and

any

such

dat

a sh

ould

be

obta

ined

by

law

ful a

nd f

air

mea

ns a

nd, w

here

app

ro-

pria

te, w

ith th

e kn

owle

dge

or c

onse

nt o

f th

e da

ta s

ubje

ct.

Dat

a Q

ualit

y Pr

inci

ple

8Pe

rson

al d

ata

shou

ld b

e re

leva

nt to

the

purp

oses

for

whi

ch th

ey a

reto

be

used

, and

, to

the

exte

nt n

eces

sary

for

thos

e pu

rpos

es, s

houl

d be

accu

rate

, com

plet

e an

d ke

pt u

p-to

-dat

e.

Purp

ose

Spec

ific

atio

n Pr

inci

ple

9.T

he p

urpo

ses

for

whi

ch p

erso

nal d

ata

are

colle

cted

sho

uld

be s

peci

fied

not l

ater

than

at t

he ti

me

of d

ata

colle

ctio

n an

d th

e su

bseq

uent

use

lim

ited

to th

e fu

lfilm

ent o

f th

ose

purp

oses

or

such

oth

ers

as a

re n

ot in

com

patib

lew

ith th

ose

purp

oses

and

as

are

spec

ifie

don

eac

h oc

casi

on o

f ch

ange

of

pu r

pose

.

Use

Lim

itatio

n Pr

inci

ple

10.

Pers

onal

dat

a sh

ould

not

be

disc

lose

d, m

ade

avai

labl

eor

oth

erw

ise

used

for

pur

pose

s ot

her

than

thos

e sp

ecif

ied

in a

ccor

danc

ew

ith P

arag

raph

9ex

cept

:a)

with

the

cons

ent o

f th

e da

ta s

ubje

ct;

orb)

by

the

auth

ority

of

law

.

Secu

rity

Saf

egua

rds

Prin

cipl

e

11Pe

rson

al d

ata

shou

ld b

e pr

otec

ted

by r

easo

nabl

e se

curi

tysa

fegu

ards

agai

nst s

uch

risk

s as

loss

or

unau

thor

ised

acce

ss, d

estr

uctio

n, u

se, m

odif

i-ca

tion

or d

iscl

osur

e of

dat

a.

44

Ope

nnes

s Pr

inci

ple

12. T

here

sho

uld

be a

gen

eral

pol

icy

ofop

enne

ss a

bout

dev

elop

men

ts,

prac

tices

and

pol

icie

s w

ithre

spec

t to

pers

onal

dat

a. M

eans

sho

uld

be r

eadi

lyav

aila

ble

of e

stab

lishi

ng th

e ex

iste

nce

and

natu

re o

f pe

rson

al d

ata,

and

the

mai

n pu

rpos

es o

f th

eir

use,

as

wel

l as

the

iden

tify

and

tfsu

al r

esid

ence

of

thc

data

con

trol

ler.

Indi

vidu

al P

artic

ipat

ion

Prin

cipl

e

13. A

n in

divi

dual

sho

uld

have

the

righ

t:a)

to o

btai

n fr

om a

dat

a co

ntro

ller,

or o

ther

wis

e, c

onfi

rmat

ion

ofw

heth

er o

r no

t the

dat

a co

ntro

ller

has

data

rel

atin

g to

him

;b)

to h

ave

com

mun

icat

ed to

him

, dat

a re

latin

gto

him

i) w

ithin

a r

easo

nabl

e tim

e;ii)

at a

cha

rge,

ifan

y, th

at is

not

exc

essi

ve;

iii)

in a

rea

sona

ble

man

ner;

and

iv)

in a

for

m th

at is

rea

dily

inte

lligi

ble

to h

im;

c)to

be

give

n re

ason

s if

a r

eque

st m

ade

unde

r su

bpar

agra

phs

(a)

and

(b)

is d

enie

d, a

ndto

be

able

to c

halle

nge

such

den

ial;

and

d)to

cha

lleng

e da

ta r

elat

ing

to h

im a

nd, i

fth

e ch

alle

nge

is s

ucce

ssfu

l,to

hav

e th

e da

ta e

rase

d, r

ectif

ied,

com

plet

edor

am

ende

d.

Acc

ount

abili

ty P

rinc

iple

14. A

dat

a co

ntro

ller

shou

ld b

eac

coun

tabl

e fo

r co

mpl

ying

with

mea

sure

sw

hich

giv

e ef

fect

to th

e pr

inci

ples

stat

ed a

bove

.

PAR

T T

HR

EE

BA

SIC

PR

INC

IPL

ES

OF

INT

ER

NA

TIO

NA

L A

PPL

ICA

TIO

N:

FRE

E F

LO

W A

ND

LE

GIT

IMA

TE

RE

STR

ICT

ION

S

15. M

embe

r co

untr

ies

shou

ldta

ke in

to c

onsi

dera

tion

the

impl

icat

ions

for

othe

r M

embe

r co

untr

ies

ofdo

mes

tic p

roce

ssin

g an

dre

-exp

ort o

f pe

rson

alda

ta.

16. M

embe

r co

untr

ies

shou

ldta

ke a

ll re

ason

able

and

appr

opri

ate

step

sto

ens

ure

that

tran

sbor

der

flow

s of

pers

onal

dat

a, in

clud

ing

tran

sit

thro

ugh

a M

embe

r co

untr

y, a

re u

nint

erru

pted

and

secu

re.

17. A

Mem

ber

coun

try

shou

ldre

frai

n fr

om r

estr

ictin

gtr

ansb

orde

r fl

ows

of p

erso

nal d

ata

betw

een

itsel

f an

d an

othe

r M

embe

rco

untr

y ex

cept

whe

reth

e la

tter

does

not

yet s

ubst

antia

lly o

bser

ve th

ese

Gui

delin

esor

whe

re th

ere

-exp

ort o

f su

ch d

ata

wou

ld c

ircu

mve

ntits

dom

estic

pri

vacy

legi

slat

ion.

A M

embe

r co

untr

ym

ay a

lso

impo

se r

estr

ictio

ns in

resp

ect o

f ce

rtai

n ca

t-eg

orie

s of

per

sona

l dat

a fo

rw

hich

its

dom

estic

pri

vacy

legi

slat

ion

incl

udes

45

spec

ific

reg

ulat

ions

in v

iew

of

the

natu

re o

f th

ose

data

and

for

whi

ch th

eot

her

Mem

ber

coun

try

prov

ides

no

equi

vale

nt p

rote

ctio

n.18

. Mem

ber

coun

trie

s sh

ould

avo

id d

evel

opin

g la

ws,

polic

ies

and

prac

tices

in th

e na

me

of th

e pr

otec

tion

ofpr

ivac

y an

d in

divi

.dua

l lib

ertie

s, w

hich

wou

ld c

reat

e ob

stac

les

to tr

ansb

orde

r fl

ows

ofpe

rson

al d

ata

that

wou

ldex

ceed

req

uire

men

ts f

or s

uch

prot

ectio

n.

PAR

T F

OU

RN

AT

ION

AL

IM

PLE

ME

NT

AT

ION

19.

In im

plem

entin

g do

mes

tical

ly th

epr

inci

ples

set

for

th in

Par

ts T

wo

and

Thr

ee, M

embe

r co

untr

ies

shou

ld e

stab

lish

lega

l, ad

min

istr

ativ

e or

oth

erpr

oced

ur.s

or

inst

irut

ions

for

the

prot

ectio

n of

priv

acy

and

indi

vidu

allib

ertie

s in

:csp

ecr

of p

erso

nal d

ata.

Mem

ber

coun

trie

s sh

ould

in p

artic

ular

ende

avou

r to

:

a)ad

opt a

ppro

pria

te d

omes

tic le

gisl

atio

n;b)

enc

oura

ge a

ndsu

ppor

t sel

f-re

gula

tion,

whe

ther

in th

e fo

rm o

fco

des

of c

ondu

ct o

r ot

herw

ise;

c)pr

ovid

e fo

r re

ason

able

mea

ns f

or in

divi

dual

s to

exe

rcis

e th

eir

righ

ts;

d) p

rovi

de f

or a

dequ

ate

sanc

tions

and

rem

edie

s in

case

of

failu

res

to c

ompl

y w

ith m

easu

res

whi

ch im

plem

ent t

hepr

inci

ples

set

fort

h in

Par

ts T

wo

and

Thr

ee; a

nde)

ensu

re th

at th

ere

is n

o un

fair

dis

crim

inat

ion

agai

nst d

ata

subj

ects

.

PAR

T F

IVE

INT

ER

NA

TIO

NA

L C

O-O

PER

AT

ION

20. M

embe

r co

untr

ies

shou

ld, w

here

requ

este

d, m

ake

know

n to

oth

erM

embe

r co

untr

ies

deta

ils o

f th

e ob

serv

ance

of

the

prin

cipl

es s

et f

orth

inth

ese

Gui

delin

es. M

embe

r co

untr

ies

shou

ldal

so e

nsur

e th

at p

roce

dure

s to

rtr

ansb

orde

r fl

ows

of p

erso

nal d

ata

and

for

the

prot

ectio

n of

pri

vacy

and

indi

vidu

al li

bert

ies

are

sim

ple

and

com

patib

le w

ith th

ose

of o

ther

Mem

ber

coun

trie

s w

hich

com

ply

with

thes

e G

uide

lines

.

21. M

embe

r co

untr

ies

shou

ld e

stab

lish

proc

edur

es to

fac

ilita

te:

i)in

form

atio

n ex

chan

ge r

elat

edto

thes

e G

uide

lines

, and

it')

mut

ual

assi

stan

cein

the

proc

edur

al a

nd in

vest

igat

ive

mat

ters

invo

lved

.

22. M

embe

r co

untr

ies

shou

ld w

ork

tow

ards

the

deve

lopm

ent o

f pr

inci

ples

,do

mes

tic a

nd in

tern

atio

nal,

togo

vern

the

appl

icab

le la

w in

the

case

of

tran

sbor

der

flow

s of

per

sona

l dat

a.

46

EX

PLA

NA

TO

RY

ME

MO

RA

ND

UM

47

43

INT

RO

DU

CT

ION

A f

eatu

re o

f O

EC

D M

embe

r co

untr

ies

over

the

past

dec

ade

has

been

the

deve

lopm

ent o

f la

ws

for

the

prot

ectio

n of

pri

vacy

. The

se la

ws

have

tend

edto

ass

ume

diff

eren

t for

ms

in d

iffe

rent

cou

ntri

es, a

nd in

man

y co

untr

ies

amst

illin

the

proc

ess

of b

eing

dev

elop

ed. T

he d

ispa

ritie

s in

legi

slat

ion

may

crea

te o

bsta

cles

to th

e fr

ee f

low

of

info

rmat

ion

betw

een

coun

trie

s. S

uch

flow

s ha

ve g

reat

ly in

crea

sed

in r

ecen

tye

ars

and

are

boun

d to

con

tinue

togr

ow a

s a

resu

lt of

the

intr

oduc

tion

of n

ew c

ompu

ter

and

com

mun

icat

ion

tech

nolo

gy.

The

OE

CD

, whi

ch h

ad b

een

activ

e in

this

fie

ld f

or s

ome

year

s pa

st,

deci

ded

to a

ddrc

ss th

e pr

oble

ms

of d

iver

ging

nat

iona

l leg

isla

tion

and

in19

78 in

stru

cted

a G

roup

of

Exp

erts

to d

evel

op G

uide

lines

on

basi

c ru

les

gove

rnin

g th

e tr

ansb

ordc

r fl

ow a

nd th

e pr

otec

tion

of p

erso

nal d

ata

and

priv

acy,

in o

rder

to f

acili

tate

the

harm

oniz

atio

n of

nat

iona

l leg

isla

tion.

The

Gro

up h

as n

ow c

ompl

eted

its

wor

k.

The

Gui

delin

es a

re b

road

in n

atur

e an

d re

flec

t the

deb

ate

and

legi

slat

ive

wor

k w

hich

has

bee

n go

ing

on f

or s

ever

alye

ars

in M

embe

r co

untr

ies.

The

Exp

ert G

roup

whi

ch p

repa

red

the

Gui

delin

es h

as c

onsi

dere

d it

esse

ntia

l to

issu

e an

acc

ompa

nyin

g E

xpla

nato

ry M

emor

andu

m. I

tspu

rpos

e is

to e

xpla

inan

d el

abor

ate

the

Gui

delin

es a

nd th

e ba

sic

prob

lem

s of

pro

tect

ion

ofpr

ivac

yan

d in

divi

dual

libe

rtie

s. I

t dra

ws

atte

ntio

n to

key

issu

es th

at h

ave

emer

ged

in th

e di

scus

sion

of

the

Gui

delin

es a

nd s

pells

out

the

reas

ons

for

the

choi

ceof

par

ticul

ar s

olut

ions

.

The

fir

st p

art o

f th

e M

emor

andu

m p

rovi

des

gene

ral b

ackg

roun

d in

for-

mat

ion

on th

e ar

ca o

f co

ncer

n as

per

ceiv

ed in

Mem

ber

coun

trie

s. I

t exp

lain

sth

e ne

ed f

or in

tern

atio

nal a

ctio

n an

d su

mm

aris

es th

e w

ork

carr

ied

out

so f

arby

the

OE

CD

and

cer

tain

oth

er in

tern

atio

nal o

rgan

isat

ions

. It c

oncl

udes

with

a lis

t of

the

mai

n pr

oble

ms

enco

unte

red

by th

e E

xper

t Gro

up in

its

wor

k.

Part

Tw

o ha

s tw

o su

bsec

tions

. The

fir

st c

onta

ins

com

men

ts o

n ce

rtai

nge

nera

lfe

atur

es o

f th

e G

uide

lines

, the

sec

ond

deta

iled

com

men

tson

Indi

vidu

al p

arag

raph

s.

Thi

s M

emor

andu

m is

an

info

rmat

ion

docu

men

t,pr

epar

ed to

exp

lain

and

desc

ribe

gen

eral

ly th

e w

ork

of th

eE

xper

t Gro

up. I

t is

subo

rdin

ate

toth

e G

uide

lines

them

selv

es. I

t can

not

vary

the

mea

ning

of

the

Gui

delin

esbu

t is

supp

lied

to h

elp

in th

eir

inte

rpre

tatio

n an

dap

plic

atio

n.co

49

1. G

EN

ER

AL

BA

CK

GR

OU

ND

The

Pro

blem

s

1.T

he 1

970s

may

be

desc

ribe

das

a p

erio

d of

inte

nsif

ied

inve

stig

ativ

ean

d le

gisl

ativ

e ac

tiviti

es c

once

rnin

g th

e pr

otec

tion

ofpr

ivac

y w

ith r

espe

ctto

the

colle

ctio

n an

d us

e of

per

sona

l dat

a. N

umer

ous

offi

cial

repo

rts

show

that

the

prob

lem

s ar

c ta

ken

seri

ousl

yat

the

polit

ical

leve

l and

at t

he s

ame

time

that

the

task

of

bala

ncin

g op

posi

ngin

tere

sts

is d

elic

ate

and

unlik

ely

to b

e ac

com

plis

hed

once

and

for

all.

Pub

lic in

tere

st h

as te

nded

to f

ocus

on

the

risk

s an

d im

plic

atio

ns a

ssoc

iate

d w

ith th

eco

mpu

teri

sed

proc

essi

ng o

fpe

rson

al d

ata

and

som

e co

untr

ies

have

cho

sen

to e

nact

sta

tute

s w

hich

deal

exc

lusi

vely

with

com

pute

rs a

nd c

ompu

ter-

supp

orte

dac

tiviti

es. O

ther

coun

trie

s ha

ve p

refe

rred

am

ore

gene

ral a

ppro

ach

to p

riva

cy p

rote

ctio

nis

sues

irre

spec

tive

of th

e pa

rtic

ular

dat

a pr

oces

sing

tech

nolo

gy in

volv

ed.

2.T

he r

emed

ies

unde

r di

scus

sion

are

prin

cipa

lly s

afeg

uard

s fo

r th

e in

-di

vidu

al w

hich

will

pre

vent

an in

vasi

on o

f pr

ivac

y in

the

clas

sica

l sen

se,

i.e. a

buse

or

disc

losu

re o

f in

timat

e pe

rson

al d

ata;

but o

ther

, mor

e or

less

clos

ely

rela

ted

need

s fo

r pr

otec

tion

have

bec

ome

appa

rent

. Obl

igat

ions

of r

ecor

d-ke

eper

s to

info

rm th

e ge

nera

l pub

licab

out a

ctiv

ities

con

cern

edw

ith th

e pr

oces

sing

of

data

, and

rig

hts

of d

ata

subj

ects

to h

ave

data

rel

atin

gto

them

sup

plem

ente

d or

am

ende

d, a

re tw

o ra

ndom

exa

mpl

es.

Gen

eral

lysp

eaki

ng, t

here

has

bee

n a

tend

ency

to b

road

en th

e tr

aditi

onal

con

cept

of p

riva

cy (

"the

rig

htto

be

left

alo

ne")

and

to id

entif

y a

mor

e co

mpl

exsy

nthe

sis

of in

tere

sts

whi

chca

n pe

rhap

s m

ore

corr

ectly

be

term

ed p

riva

cyan

d in

divi

dual

libe

rtie

s.

3.A

s fa

r as

the

lega

l pro

blem

s of

aut

omat

ic d

ata

proc

essi

ng(A

DP)

are

conc

erne

d, th

e pr

otec

tion

of p

riva

cy a

nd in

divi

dual

liber

ties

cons

titut

espe

rhap

s th

e m

ost w

idel

y de

bato

das

pect

. Am

ong

the

reas

ons

for

such

wid

e-sp

read

con

cern

are

the

ubiq

uito

usus

e of

com

pute

rs f

or th

e pr

oces

sing

of

pers

onal

dat

a, v

astly

exp

ande

d po

ssib

ilitie

s of

stor

ing,

com

pari

ng, l

inki

ng,

sele

ctin

g an

d ac

cess

ing

pers

onal

dat

a, a

ndth

e co

mbi

natio

n of

com

pute

rsan

d te

leco

mm

unic

atio

ns te

chno

logy

whi

chm

ay p

lace

per

sona

l dat

a si

mul

-ta

neou

sly

at th

e di

spos

al o

f th

ousa

nds

ofus

ers

at g

eogr

aphi

cally

dis

pers

edlo

catio

ns a

nd e

nabl

es th

e po

olin

g of

dat

aan

d th

e cr

eatio

n of

com

plex

natio

nal a

nd in

tern

atio

nal d

ata

netw

orks

.C

erta

in p

robl

ems

requ

ire

part

icu-

larl

y ur

gent

atte

ntio

n, c

.g. t

hose

rel

atin

gto

em

ergi

ng in

tern

atio

nal d

ata

netw

orks

, and

to th

e ne

ed o

f ba

lanc

ing

com

petin

g in

tere

sts

of p

riva

cyon

the

one

hand

and

fre

edom

of

info

rmat

ion

on th

e ot

her,

in o

rder

toal

low

a h

ilt e

xplo

itatio

n of

thc

pote

ntia

litie

sof

mod

ern

data

pro

cess

ing

tech

nolo

gies

in s

o fa

r as

this

is d

esir

able

.

50

Act

iviti

es a

t nat

iona

l lev

el

4.O

f th

e O

EC

D M

embe

r co

untr

ies

mor

e th

an o

ne-t

hird

hav

eso

fat

ed o

ne o

r se

veri

tl la

ws

whi

ch,

amon

g ot

her

thin

gs, a

re in

tend

ed to

Iin

divi

dual

s ag

ains

t abu

se o

f da

ta r

elat

ing

to th

em a

nd to

giv

e th

em tl

of a

cces

s to

dat

a w

ith a

vie

wto

che

ckin

g th

eir

accu

racy

and

app

ropr

iaIn

fed

eral

sta

tes,

law

s of

this

kin

dm

ay b

e fo

und

both

at t

he n

atio

nal

the

stat

e or

pro

vinc

ial l

evel

. Suc

h la

ws

are

refe

rred

to d

iffe

rent

ly in

di

coun

trie

s. T

hus,

it is

com

mon

pra

ctic

e in

con

tinen

tal

Eur

ope

to ta

lk"d

ata

law

s" o

r "d

ata

prot

ectio

n la

ws"

(lo

issu

r la

pro

tect

ion

des

dow

here

as in

Eng

lish

spea

king

cou

ntri

es th

eyar

e us

ually

kno

wn

as "

1pr

otec

tion

law

s". M

ost o

f th

est

atut

es w

ere

enac

ted

afte

r 19

73 a

pres

ent p

erio

d m

ay b

e de

scri

bed

as o

ne o

f co

ntin

ued

or e

ven

ixle

gisl

ativ

e ac

tivity

. Cou

ntri

es w

hich

alr

eady

have

sta

tute

s in

for

ce a

re 1

to n

ew a

reas

of

prot

ectio

n or

arc

eng

aged

in r

evis

ing

or c

ompl

enex

istin

g st

atut

es. S

ever

al o

ther

cou

ntri

esar

e en

teri

ng th

e ar

ea a

nd h

ape

ndin

g or

are

stu

dyin

g th

e pr

oble

ms

with

a vi

ew to

pre

pari

ng le

gi!

The

se n

atio

nal e

ffor

ts, a

ndno

t lea

st th

e ex

tens

ive

repo

rts

and

rlpa

pers

pre

pare

d by

pub

lic c

omm

ittee

s or

sim

ilar

bodi

es, h

elp

toth

e pr

oble

ms

and

the

adva

ntag

es a

ndim

plic

atio

ns o

f va

riou

s so

lutit

the

pres

ent s

tage

, the

y pr

ovid

ea

solid

bas

is f

or in

tern

atio

nal a

ctio

n.

5.T

he a

ppro

ache

s to

pro

tect

ion

of p

riva

cy a

ndin

divi

dual

libe

rtie

sed

by

the

vari

ous

coun

trie

s ha

vem

any

com

mon

fea

ture

s. T

hus,

it is

pto

iden

tify

cert

ain

basi

c in

tere

sts

or v

alue

s w

hich

are

com

mon

ly c

on:

to b

e el

emen

tary

com

pone

nts

of th

e ar

ea o

f pr

otec

tion.

Som

e co

re p

riof

this

type

are

: set

ting

limits

to th

e co

llect

ion

of p

erso

nal d

ata

in ;

ance

with

the

obje

ctiv

es o

f th

e da

ta c

olle

ctor

and

sim

ilar

crite

ria;

resi

the

usag

e of

dat

a to

con

form

with

ope

nly

spec

ifie

d pu

rpos

es; c

faci

litie

s fo

r in

divi

dual

sto

lear

n of

the

exis

tenc

e an

d co

nten

ts o

f th

have

dat

a co

rrec

ted;

and

the

iden

tific

atio

nof

par

ties

who

are

res

p,fo

r co

mpl

ianc

e w

ith th

e re

leva

nt p

riva

cypr

otec

tion

rule

s an

d de

(G

ener

ally

spe

akin

g, s

tatu

tes

topr

otec

t pri

vacy

and

indi

vidu

al li

bel

rela

tion

to p

erso

nal d

ata

atte

mpt

to c

over

the

succ

essi

ve s

tage

s of

tht

begi

nnin

g w

ith th

e in

itial

col

lect

ion

of d

ata

and

endi

ng w

ither

a !

sim

ilar

mea

sure

s, a

nd to

ensu

re to

the

grea

test

pos

sibl

e ex

tent

indi

awar

enes

s, p

artic

ipat

ion

and

cont

rol.

6.D

iffe

renc

es b

etw

een

natio

nal a

ppro

ache

sas

app

aren

t at p

re !

law

s, b

ills

or p

ropo

sals

for

legi

slat

ion

refe

r to

asp

ects

suc

h as

the

of le

gisl

atio

n, th

e em

phas

is p

lace

don

dif

fere

nt e

lem

ents

of

prot

ecti(

deta

iled

impl

emen

tatio

n of

the

broa

d pr

inci

ples

indi

cate

d ab

ove,

am

achi

nery

of

enfo

rcem

ent.

Thu

s, o

pini

ons

vary

with

res

pect

tore

quir

emen

ts a

nd c

ontr

ol m

echa

nism

s in

the

form

of

spec

ial s

upe

bodi

es (

"dat

a in

spec

tion

auth

oriti

es")

.C

ateg

orie

s of

sen

sitiv

e da

defi

ned

diff

eren

tly, t

hem

eans

of

ensu

ring

ope

nnes

s an

d in

divi

dual

patio

n va

ry, t

o gi

ve ju

sta

few

inst

ance

s. O

f co

urse

, exi

stin

g tr

addi

ffer

ence

s be

twee

n le

gal

syst

ems

arc

a ca

use

of d

ispa

rity

, bot

h w

ithto

legi

slat

ive

appr

oach

es a

nd th

e de

taile

d fo

rmul

atio

nof

the

regi

fram

ewor

k fo

r pe

rson

al d

ata

prot

ectio

n.

51

Inte

rnat

iona

l asp

ects

of

priv

acy

and

data

ban

ks

7.Fo

r a

num

ber

of r

easo

ns th

e pr

oble

ms

of d

evel

opin

g sa

fegu

ards

for

the

indi

vidu

al in

res

pect

of

the

hand

ling

of p

erso

nal d

ata

cann

ot b

e so

lved

excl

usiv

ely

at th

e na

tiona

l lev

el. T

he tr

emen

dous

incr

ease

in d

ata

flow

sac

ross

nat

iona

l bor

ders

and

the

crea

tion

of in

tern

atio

nal d

ata

bank

s (c

ol-

lect

ions

of

data

inte

nded

for

ret

riev

al a

nd o

ther

pur

pose

s) h

ave

high

light

edth

e ne

ed f

or c

once

rted

nat

iona

l act

ion

and

at th

e sa

me

time

supp

ort a

rgu-

men

ts in

fav

our

of f

ree

flow

s of

info

rmat

ion

whi

ch m

ust o

ften

be

bala

nced

agai

nst r

equi

rem

ents

for

dat

a pr

otec

tion

and

for

rest

rict

ions

on th

eir

col-

lect

ion,

pro

cess

ing

and

diss

emin

atio

n.8.

One

bas

ic c

once

rn a

t the

inte

rnat

iona

l lev

el is

for

cons

ensu

s on

the

fund

amen

tal p

rinc

iple

s on

whi

ch p

rote

ctio

n of

the

indi

vidu

alm

ust b

eba

sed.

Suc

h a

cons

ensu

s w

ould

obv

iate

or d

imin

ish

reas

ons

for

regu

latil

a;th

e ex

port

of

data

and

fac

ilita

te r

esol

ving

pro

blem

s of

conf

lict o

f la

ws.

Mor

eove

r, it

cou

ld c

onst

itute

a f

irst

ste

p to

war

ds th

e de

velo

pmen

tof

mor

ede

taile

d, b

indi

ng in

tern

atio

nal a

gree

men

ts.

9.T

here

arc

oth

er r

easo

ns w

hy th

e re

gula

tion

of th

epr

oces

sing

of

per-

sona

l dat

a sh

ould

be

cons

ider

ed in

an in

tern

atio

nal c

onte

xt: t

he p

rinc

iple

sin

volv

ed c

once

rn v

alue

s w

hich

man

y na

tions

are

anxi

ous

to u

phol

d an

d se

ege

nera

lly a

ccep

ted;

they

may

hel

p to

save

cos

ts in

inte

rnat

iona

l dat

a tr

affi

c;co

untr

ies

have

a c

omm

on in

tere

st in

pre

vent

ing

the

crea

tion

of lo

catio

nsw

here

nat

iona

l reg

ulat

ions

on

data

pro

cess

ing

can

easi

ly b

e ci

rcum

vent

ed;

inde

ed, i

n vi

ew o

f th

e in

tern

atio

nal m

obili

ty o

f pe

ople

, pod

san

d co

m-

mer

cial

and

sci

entif

ic a

ctiv

ities

, com

mon

ly a

ccep

ted

prac

tices

with

reg

ard

to th

e pr

oces

sing

of

data

may

be

adva

ntag

eous

eve

n w

here

no tr

ansb

orde

rda

ta tr

affi

c is

dir

ectly

invo

lved

.

Rel

evan

t int

erna

tiona

l act

iviti

es

10. T

here

are

sev

eral

inte

rnat

iona

l agr

eem

ents

on v

ario

us a

spec

ts o

f te

le-

com

mun

icat

ions

whi

ch, w

hile

fac

ilita

ting

rela

tions

and

co-

oper

atio

nbe

twee

nco

untr

ies,

rec

ogni

se th

e so

vere

ign

righ

t of

each

coun

try

to r

egul

ate

its o

wn

tele

com

mun

icat

ions

(T

he I

nter

natio

nal T

elec

omm

unic

atio

nsC

onve

ntio

n of

1973

). T

he p

rote

ctio

n of

com

pute

r da

ta a

ndpr

ogra

mm

es h

as b

een

inve

sti-

gate

d by

, am

ong

othe

rs, t

he W

orld

Int

elle

ctua

lPr

oper

ty O

rgan

isat

ion

whi

chha

s de

velo

ped

draf

t mod

el p

rovi

sion

s fo

rna

tiona

l law

s on

the

prot

ectio

nof

com

pute

r so

ftw

are.

Spe

cial

ised

agre

emen

ts a

imin

g at

info

rmat

iona

l..:

o-op

erat

ion

may

be

foun

d in

a n

umbe

r of

area

s, s

uch

as la

w e

nfor

cem

ent,

heal

th s

ervi

ces,

sta

tistic

s an

d ju

dici

al s

ervi

ces

(e.g

. with

rega

rd to

the

taki

ngof

evi

denc

e).

11. A

num

ber

of in

tern

atio

nal a

gree

men

ts d

eal i

na

mor

e ge

nera

l way

with

he is

sues

whi

ch a

re a

t pre

sent

und

er d

iscu

ssio

n, v

iz. t

hepr

otec

tion

ofpr

ivac

y an

d th

efr

ee d

isse

min

atio

nof

'in

form

atio

n. T

hey

incl

ude

the

Eur

opea

n C

onve

ntio

n of

Hum

an R

ight

s of

4th

Nov

embe

r, 1

950

and

the

Inte

rnat

iona

l Cov

enan

t on

Civ

il an

d Po

litic

al R

ight

s(U

nite

d N

atio

ns, 1

9th

Dec

embe

r, 1

966)

.12

.H

owev

er, i

n vi

ew o

f th

e in

adeq

uacy

of

exis

ting

inte

rnat

iona

l ins

tru-

men

ts r

elat

ing

to th

e pr

oces

sing

of

data

and

indi

vidu

al r

ight

s,a

num

ber

ofin

tern

atio

nal o

rgan

isat

ions

hav

e ca

rrie

dou

t det

aile

d st

udie

s of

the

prob

lem

sin

volv

ed in

ord

er to

fin

d m

ore

satis

fact

ory

solu

tions

.

52.

13.

In 1

973

and

1974

the

Com

mitt

ee o

f M

inis

ters

of

the

Cou

ncil

of E

urop

ead

opte

d tw

o re

solu

tions

con

cern

ing

the

prot

eCtio

n of

the

priv

acy

of in

divi

d-ua

ls v

is-a

-vis

ele

ctro

nic

data

ban

ks in

the

priv

ate

and

publ

ic s

ecto

rs r

espe

ct-

ivel

y. B

oth

reso

lutio

ns r

ecom

men

d th

at th

ego

vern

men

ts o

f th

e M

embe

rst

ates

of

the

Cou

ncil

of E

urop

e ta

ke s

teps

to g

ive

effe

ctto

a n

umbe

r of

bas

icpr

inci

ples

of

prot

ectio

n re

latin

g to

the

obta

inin

g of

data

, the

qua

lity

of d

ata,

and

the

righ

ts o

f in

divi

dual

sto

be

info

rmed

abo

ut d

ata

and

data

pro

cess

ing

activ

ities

.14

.Su

bseq

uent

ly th

e C

ounc

il of

Eur

ope,

on th

e in

stru

ctio

ns o

f its

Com

-m

ittee

of

Min

iste

rs, b

egan

topr

epar

e an

inte

rnat

iona

l Con

vent

ion

on p

riva

cypr

otec

tion

in r

elat

ion

to d

ata

proc

essi

ngab

road

and

tran

sfro

ntie

r da

tapr

oces

sing

. It a

lso

initi

ated

wor

kon

mod

el r

egul

atio

ns f

or m

edic

al d

ata

bank

s an

d ru

les

of c

ondu

ct f

or d

ata

proc

essi

ng p

rofe

ssio

nals

. The

Con

-ve

ntio

n w

as a

dopt

ed b

y th

e C

omm

ittee

of

Min

iste

rs o

n 17

th S

epte

mbe

r 19

80.

It s

eeks

to e

stab

lish

basi

c pr

inci

ples

of

data

prot

ectio

n to

be

enfo

rced

by

Mem

ber

coun

trie

s, to

red

uce

rest

rict

ions

on tr

ansb

orde

r da

ta f

low

s be

twee

nth

e C

ontr

actin

g Pa

rtie

son

the

basi

s of

rec

ipro

city

, to

brin

g ab

out

co-

oper

atio

n be

twee

n na

tiona

l dat

a pr

otec

tion

auth

oriti

es, a

nd to

set

up

aC

onsu

ltativ

e C

omm

ittee

for

the

appl

icat

ion

and

cont

inui

ng d

evel

opm

ent

of th

e co

nven

tion.

15. T

he E

urop

ean

Com

mun

ity h

asca

rrie

d ou

t stu

dies

con

cern

ing

the

prob

lem

s of

har

mon

izat

ion

of n

atio

nal

legi

slat

ions

with

in th

e C

omm

unity

in r

elat

ion

to tr

ansb

orde

r da

ta f

low

s an

d po

ssib

le d

isto

rtio

nsof

com

petit

ion,

the

prob

lem

s of

dat

a se

curi

ty a

ndco

nfid

entia

lity,

and

the

natu

re o

ftr

ans-

bord

er d

ata

flow

s. A

sub

-com

mitt

eeof

the

Eur

opea

n Pa

rlia

men

t hel

da

publ

ic h

eari

ng o

n da

ta p

roce

ssin

g an

dth

e ri

ghts

of

the

indi

vidu

al in

earl

y 19

78. I

ts w

ork

has

resu

lted

ina

repo

rt to

the

Eur

opea

n Pa

rlia

men

t in

spri

ng 1

979.

The

rep

ort,

whi

chw

as a

dopt

ed b

y th

e E

urop

ean

Parl

iam

ent

in M

ay 1

979,

con

tain

sa

reso

lutio

n on

the

prot

ectio

n of

the

righ

ts o

f th

ein

divi

dual

in th

e fa

ce o

f te

chni

cal d

evel

opm

ents

in d

ata

proc

essi

ng.

Act

iviti

es o

f th

e O

EC

D

16.

The

OE

CD

pro

gram

me

on tr

ansb

orde

r da

ta f

low

s de

rive

s fr

omco

m-

pute

r ut

ilisa

tion

stud

ies

in th

e pu

blic

sect

or w

hich

wer

e in

itiat

ed in

196

9.A

Gro

up o

f E

xper

ts, t

he D

ata

Ban

kPa

nel,

anal

ysed

and

stu

died

dif

fere

ntas

pect

s of

the

priv

acy

issu

e, e

.g. i

n re

latio

nto

dig

ital i

nfor

mat

ion,

pub

licad

min

istr

atio

n, tr

ansb

orde

r da

tafl

ows,

and

pol

icy

impl

icat

ions

inge

nera

l.In

ord

er to

obt

ain

evid

ence

on th

e na

ture

of

the

prob

lem

s, th

e D

ata

Ban

kPa

nel o

rgan

ised

a S

ympo

sium

inV

ienn

a in

197

7 w

hich

pro

vide

dop

inio

nsan

d ex

peri

ence

fro

ma

dive

rsity

of

inte

rest

s, in

clud

ing

gove

rnm

ent,

indu

stry

,us

ers

of in

tern

atio

nal d

ata

com

mun

icat

ion

netw

orks

, pro

cess

ing

serv

ices

,an

d in

tere

sted

inte

rgov

ernm

enta

l org

anis

atio

ns.

17.

A. n

umbe

r of

gui

ding

pri

ncip

les

wer

e el

abor

ated

in a

gen

eral

fra

me-

wor

k to

r po

ssib

le in

tern

atio

nal

actio

n. T

hese

pri

ncip

les

reco

gnis

ed(a

) th

ene

edfo

r ge

nera

lly c

ontin

uous

and

unin

terr

upte

d fl

ows

of in

form

atio

nbe

twee

n co

untr

ies,

(b)

the

legi

timat

ein

tere

sts

of c

ount

ries

in p

reve

ntin

gtr

ansf

ers

of d

ata

whi

char

e da

nger

ous

to th

eir

secu

rity

or

cont

rary

to th

eir

law

s on

pub

lic o

rder

and

dec

ency

or w

hich

vio

late

the

righ

ts o

f th

cir

citiz

ens,

(e)

the

econ

omic

val

ue o

f in

form

atio

nan

d th

e im

port

ance

of

prot

ectin

g"d

ata

trad

e" b

y ac

cept

ed r

ules

of

fair

com

petit

ion,

(d)

the

need

s fo

r se

curi

ty

53

CD

safe

guar

ds to

min

imis

e vi

olat

ions

of

prop

riet

ary

data

and

mis

use

of p

erso

nal

info

rmat

ion,

and

(e)

the

sign

ific

ance

of

a co

nar,

litm

ent o

f co

untr

ies

to a

set

of c

ore

prin

cipl

es f

or th

e pr

otec

tion

of p

erso

nal i

nfor

mat

ion.

18.

Ear

ly in

197

8 a

new

ad

hoc

Gro

up o

f E

xper

tson

Tra

nsbo

rder

Dat

aB

arri

ers

and

Priv

acy

Prot

ectio

n w

as s

etup

with

in th

e O

EC

D w

hich

was

inst

ruct

ed to

dev

elop

gui

delin

es o

n ba

sic

rule

s go

vern

ing

the

tran

sbor

der

flow

and

the

prot

ectio

n of

per

sona

l dat

a an

d pr

ivac

y, in

orde

r to

fac

ilita

tea

harm

oniz

atio

n of

nat

iona

l leg

isla

tions

, with

out t

his

prec

ludi

ngat

a la

ter

date

the

esta

blis

hmen

t of

an in

tern

atio

nal C

onve

ntio

n. T

his

wor

k w

as to

be

carr

ied

out i

n cl

ose

co-o

pera

tion

with

the

Cou

ncil

ofE

urop

e an

d th

eE

urop

ean

Com

mun

ity a

nd to

be

com

plet

ed b

y 1s

t Jul

y, 1

979.

19.

The

Exp

ert G

roup

, und

er th

e ch

airm

ansh

ip o

fth

e H

onou

rabl

e M

r.Ju

stic

e K

irby

, Aus

tral

ia, a

nd w

ith th

e as

sist

ance

of

Dr.

Pet

er S

eipe

l (C

on-

sulta

nt),

pro

duce

d se

vera

l dra

fts

and

disc

usse

d va

riou

sre

port

s co

ntai

ning

,fo

r in

stan

ce, c

ompa

rativ

e an

alys

es o

f di

ffer

ent a

ppro

ache

sto

legi

slat

ion

inth

is f

ield

.It

was

par

ticul

arly

con

cern

ed w

itha

num

ber

of k

ey is

sues

set

out b

elow

.

a) T

he s

peci

fic,

sen

sitiv

e fa

cts

issu

e

The

que

stio

n ar

ose

as to

whe

ther

the

Gui

delin

es s

houl

dbe

of

age

nera

l nat

ure

or w

heth

er th

ey s

houl

d be

str

uctu

red

to d

eal w

ithdi

ffer

ent t

ypes

of

data

or

activ

ities

(e.

g. c

redi

t rep

ortin

g).

Inde

ed,

it is

pro

babl

y no

t pos

sibl

e to

iden

tify

a se

t of

data

whi

ch a

re u

ni-

vers

ally

reg

arde

d as

bei

ng s

ensi

tive.

b) T

he A

DP

issu

e

The

arg

umen

t tha

t AD

P is

the

mai

nca

use

for

conc

ern

is d

oubt

ful

and

, ind

eed

, con

test

ed .

c)T

he le

gal p

erso

ns is

sue

Som

e, b

ut b

y no

mea

ns a

ll, n

atio

nal l

aws

prot

ect d

ata

rela

ting

tole

gal p

erso

ns in

a s

imila

r m

anne

r to

dat

a re

late

dto

phy

sica

l per

sons

.

.1)

The

rem

edie

s an

d sa

nctio

ns is

sue

The

app

roac

hes

to c

ontr

ol m

echa

nism

sva

ry c

onsi

dera

bly:

for

inst

ance

, sch

emes

invo

lvin

g su

perv

isio

n an

d lic

ensi

ngby

spe

cial

lyco

nstit

uted

aut

hori

ties

mig

ht b

e co

mpa

red

to s

chem

es in

volv

ing

volu

ntar

y co

mpl

ianc

e by

rec

ord-

keep

ers

and

relia

nce

on tr

aditi

onal

judi

cial

rem

edie

s in

the

Cou

rts.

e) T

he b

asic

mac

hine

ry o

r im

plem

enta

tion

issu

e

The

cho

ice

of c

ore

prin

cipl

es a

nd th

eir

appr

opri

ate

leve

l of

deta

ilpr

esen

ts d

iffi

culti

es. F

or in

stan

ce, t

he e

xten

t to

whi

ch d

ata

secu

rity

ques

tions

(pr

otec

tion

of d

ata

agai

nst u

naut

hori

sed

inte

rfer

ence

,tir

e, a

nd s

imila

r oc

curr

ence

s) s

houl

d be

reg

arde

das

par

t of

the

priv

acy

prot

ectio

n co

mpl

ex is

deb

atab

le; o

pini

ons

may

dif

fer

with

rega

rd to

tim

e lim

its f

or th

e re

tent

ion,

or r

equi

rem

ents

for

the

eras

ure,

of

data

and

the

sam

e ap

plie

s to

req

uire

men

ts th

at d

ata

be r

elev

ant t

o sp

ecif

icpu

rpos

es. I

n pa

rtic

ular

, it i

s di

ffic

ult t

o dr

awa

ekar

div

idin

g lin

e be

twee

n th

e le

vel o

f ba

sic

prin

cipl

es o

r

obje

ctiv

es a

nr' l

ower

leve

l "m

achi

nery

" qu

estio

ns w

hich

shou

ld b

ele

ft to

dom

es:::

impl

emen

tatio

n.

The

cho

ice

of la

w is

sue

The

pro

blem

s of

cho

ice

of ju

risd

ictio

n, c

hoic

e of

appl

icab

le la

w a

ndre

cogn

ition

of

fore

ign

judg

emen

ts h

ave

prov

edto

be

com

plex

in th

eco

ntex

t of

tran

sbor

der

data

flo

ws,

The

que

stio

nar

ose,

how

ever

,w

heth

er a

nd to

wha

t ext

ent i

t sho

uld

beat

tem

pted

at t

his

stag

e to

put f

orw

ard

solu

tions

in G

uide

lines

of

a no

n-bi

ndin

gna

ture

.

g) T

he e

xcep

tions

issu

eSi

mila

rly,

opi

nion

s m

ayva

ry o

n th

e qu

estio

n of

exc

eptio

ns. A

reth

ey r

equi

red

at a

ll? I

f so

, sho

uld

part

icul

arca

tego

ries

of

exce

ptio

nsbe

pro

vide

d fo

r or

sho

uld

gene

ral l

imits

to e

xcep

tions

be

form

ulat

-ed

?

b) T

he b

ias

issu

e

Fina

lly, t

here

is a

n in

here

nt c

onfl

ict

betw

een

the

prot

ectio

n an

d th

efr

ee tr

ansb

orde

r fl

ow o

f pe

rson

al d

ata.

Em

phas

is m

ay b

e pl

aced

onon

e or

the

othe

r, a

nd in

tere

sts

in p

riva

cy p

rote

ctio

nm

ay b

e di

f-fi

cult

to d

istin

guis

h fr

om o

ther

inte

rest

sre

latin

g to

trad

e, c

ultu

re,

natio

nal s

over

eign

ty, a

ndso

for

th.

20.

Dur

ing

its w

ork

the

Exp

ert G

roup

mai

ntai

ned

clos

e co

ntac

ts w

ithco

rres

pond

ing

orga

ns o

f th

e C

ounc

il of

Eur

ope.

Eve

ry e

ffor

t was

mad

eto

avo

id u

nnec

essa

ry d

iffe

renc

es b

etw

een

the

text

s pr

oduc

ed b

y th

e tw

oor

gani

satio

ns; t

hus,

the

set o

f ba

sic

prin

cipl

es o

f pr

otec

tion

are

in m

any

resp

ects

sim

ilar.

On

the

othe

r ha

nd,

a nu

mla

er o

f di

ffer

ence

s do

occ

ur. T

obe

gin

wit'

a. C

e O

EC

D G

uide

lines

are

not l

egal

ly b

indi

ng, w

here

as th

eC

ounc

il o:

has

prod

uced

a c

onve

ntio

n w

hich

will

be

lega

lly b

indi

ngam

ong

thos

e co

untr

ies

whi

ch r

atif

y it.

Thi

s in

turn

mea

ns th

at th

e qu

estio

nof

exc

eptio

ns h

as b

een

deal

t with

in g

reat

er d

etai

l by

the

Cou

ncil

of E

urop

e.A

s fo

r th

e ar

ea o

f ap

plic

atio

n, th

e C

ounc

il of

Eur

ope

Con

vent

ion

deal

spr

imar

ily w

ith th

e au

tom

atic

pro

cess

ing

ofpe

rson

al d

ata

whe

reas

the

OE

CD

Gui

delin

es a

pply

to p

erso

nal d

ata

whi

ch in

volv

eda

nger

s to

pri

vacy

and

indi

vidu

al li

bert

ies,

irre

spec

tive

of th

e m

etho

dsan

d m

achi

nery

use

d in

thei

rha

ndlin

g. A

t the

leve

l of

deta

ils, t

he b

asic

prin

cipl

es o

f pr

otec

tion

prop

osed

by th

e tw

o or

gani

satio

nsar

e no

t ide

ntic

al a

nd th

e te

rmin

olog

y em

ploy

eddi

ffer

s in

som

e re

spec

ts. T

he in

stitu

tiona

lfr

amew

ork

for

cont

inue

dco

-op

erat

ion

is tr

eate

d in

gre

ater

det

ail i

nth

e C

ounc

il of

Eur

ope

Con

vent

ion

than

in th

e O

EC

D G

uide

lines

.

21. T

he E

xper

t Gro

up a

lso

mai

ntai

ned

co-o

pera

tion

with

the

Com

mis

sion

of th

e E

urop

ean

Com

mun

ities

as r

equi

red

by it

s m

anda

te.

Gen

eral

11. T

HE

GU

IDE

LIN

ES

A. P

UR

POSE

AN

D S

CO

PE

22. T

he P

ream

ble

of th

e R

ecom

men

datio

n ex

pres

ses

the

basi

c co

ncer

nsca

lling

for

act

ion.

The

Rec

omm

enda

tion

affi

rms

the

com

mitm

ent o

f M

embe

rco

untr

ies

to p

rote

ct p

riva

cy a

nd in

divi

dual

libe

rtie

s an

d to

res

pect

the

tran

s-bo

rder

flo

ws

of p

erso

nal d

ata.

23. T

he G

uide

lines

set

out

in th

e A

nnex

to th

e R

ecom

men

datio

n co

nsis

tof

fiv

e pa

rts.

Par

t One

con

tain

s a

num

ber

of d

efin

ition

s an

d sp

ecif

ies

the

scop

e of

the

Gui

delin

es, i

ndic

atin

g th

at th

ey r

epre

sent

min

imum

sta

ndar

ds.

Part

Tw

o co

ntai

ns e

ight

bas

ic p

rinc

iple

s (P

arag

raph

s 7-

14)

rela

ting

to th

epr

otec

tion

of p

riva

cy a

nd in

divi

dual

libe

rtie

s at

the

natio

nal l

evel

. Par

t Thr

eede

als

with

pri

ncip

les

of in

tern

atio

nal a

pplic

atio

n, i.

e. p

rinc

iple

s w

hich

are

chie

fly

conc

erne

d w

ith r

elat

ions

hips

bet

wee

n M

embe

r co

untr

ies.

24.

Part

Fou

r de

als,

in g

ener

al te

rms,

with

mea

ns o

f im

plem

entin

g th

eba

sic

prin

cipl

es s

et o

ut in

the

prec

edin

g pa

rts

and

spec

ifie

s th

at th

ese

prin

-ci

ples

sho

uld

be a

pplie

d in

a n

on-d

iscr

imin

ator

y m

anne

r. P

art F

ive

conc

erns

mat

ters

of

mut

ual a

ssis

tanc

e be

twee

n M

embe

r co

untr

ies,

chi

efly

thro

ugh

thc

exch

ange

of

info

rmat

ion

and

by a

void

ing

inco

mpa

tible

nat

iona

l pro

-ce

dure

s fo

r th

e pr

otec

tion

of p

erso

nal d

ata.

It c

oncl

udes

with

a r

efer

ence

tois

sues

of

appl

icab

le la

w w

hich

may

ari

se w

hen

flow

s of

per

sona

l dat

a in

volv

ese

vera

l Mem

ber

coun

trie

s.

Obj

ectiv

es

25. T

he c

ore

of th

e G

uide

lines

con

sist

s of

the

prin

cipl

es s

et o

ut in

Par

tw

o of

the

Ann

ex. I

tis

rec

omm

ende

d to

Mem

ber

coun

trie

s th

at th

eyad

here

to th

ese

prin

cipl

es w

ith a

vie

w to

:a)

achi

evin

g ac

cept

ance

by

Mem

ber

coun

trie

s of

cer

tain

min

imum

stan

dard

s of

pro

tect

ion

of p

riva

cy a

nd in

divi

dual

libe

rtie

s w

ithre

gard

to p

erso

nal d

ata;

b) r

educ

ing

diff

eren

ces

betw

een

rele

vant

dom

estic

rul

es a

nd p

ract

ices

of M

embe

r co

untr

ies

to a

min

imum

;c)

ensu

ring

that

in p

rote

ctin

g pe

rson

al d

ata

the'

i tak

e in

to c

onsi

der-

atio

n th

e in

tere

sts

of o

ther

Mem

ber

coun

trie

s an

d th

e ne

ed to

avoi

d un

due

inte

rfer

ence

with

flo

ws

of p

erso

nal d

ata

betw

een

Mem

ber

coun

trie

s; a

ndd)

elim

inat

ing,

as

far

as p

ossi

ble,

rea

sons

whi

ch m

ight

indu

ce M

embe

rco

untr

ies

to r

estr

ict t

rans

bord

er f

low

s of

per

sona

l dat

a be

caus

e of

the

poss

ible

ris

ks a

ssoc

iate

d w

ith s

uch

flow

s.A

s st

ated

inth

e Pr

eam

ble,

two

esse

ntia

l bas

ic v

alue

s ar

e in

volv

ed: t

hepr

otec

tion

of p

riva

cy a

nd in

divi

dual

libe

rtie

s an

d th

e ad

vanc

emen

t of

free

flow

s of

per

sona

l dat

a. T

hc G

uide

lines

atte

mpt

to b

alan

ce th

e tw

o va

lues

agai

nst o

ne a

noth

er; w

hile

acc

eptin

g ce

rtai

n re

stri

ctio

ns to

fre

e tr

ansb

orde

rr

oL

., 0

4111

flow

s of

per

sona

l dat

a, th

ey s

eek

to r

educ

e th

e ne

ed f

or s

uch

rest

rict

ions

and

ther

eby

stre

ngth

en th

e no

tion

of f

ree

info

rmat

ion

flow

s be

twee

nco

untr

ies.

26.

Fina

lly, P

arts

Fou

r an

d Fi

ve o

f th

e G

uide

lines

con

tain

pri

ncip

les

seek

ing

to e

nsur

e:

a)ef

fect

ive

natio

nal m

easu

res

for

the

prot

ectio

n of

pri

vacy

and

indi

vidu

al li

bert

ies;

b) a

void

ance

of

prac

tices

invo

lvin

g un

fair

dis

crim

inat

ion

betw

een

indi

vidu

als;

and

c)ba

ses

for

cont

inue

d in

tern

atio

nal c

o-op

erat

ion

and

com

patib

lepr

oced

ures

in a

ny r

egul

atio

n of

tran

sbor

der

flow

s of

per

sona

lda

ta.

Lev

el o

f de

tail

27. T

he le

vel o

f de

tail

of th

e G

uide

lines

var

ies

depe

ndin

g up

on tw

o m

ain

fact

ors,

viz

. (a)

the

exte

nt o

f co

nsen

sus

reac

hed

conc

erni

ng th

e so

lutio

nspu

t for

war

d, a

nd (

b) a

vaila

ble

know

ledg

e an

d ex

peri

ence

poi

ntin

g to

sol

-ut

ions

to b

e ad

opte

d at

this

sta

ge. F

or in

stan

ce, t

he I

ndiv

idua

l Par

ticip

atio

nPr

inci

ple

(Par

agra

ph 1

3) d

eals

spe

cifi

cally

with

var

ious

asp

ects

of

prot

ectin

gan

indi

vidu

al's

inte

rest

, whe

reas

the

prov

isio

n on

pro

blem

s of

cho

ice

of la

wan

d re

late

d m

atte

rs (

Para

grap

h 22

) m

erel

y st

ates

a s

tart

ing-

poin

t for

agr

adua

l dev

elop

men

t of

deta

iled

com

mon

app

roac

hes

and

inte

rnat

iona

lag

reem

ents

. On

the

who

le, t

he G

uide

lines

con

stitu

te a

gen

eral

fra

mew

ork

for

conc

erte

d ac

tions

by

Mem

ber

coun

trie

s: o

bjec

tives

put

for

war

d by

the

Gui

delin

es m

ay b

e pu

rsue

d in

dif

fere

nt w

ays,

dep

endi

ng o

n th

e le

gal i

nstr

u-m

ents

and

str

ateg

ies

pref

erre

d by

Mem

ber

coun

trie

s fo

r th

eir

impl

emen

-ta

tion.

To

conc

lude

, the

re is

a n

eed

for

a co

ntin

uing

rev

iew

of

the

Gui

de-

lines

, bot

h by

Mem

ber

coun

trie

s an

d th

e O

EC

D. A

s an

d w

hen

expe

rien

ceis

gai

ned,

it m

ay p

rove

des

irab

le to

dev

elop

and

adj

ust t

he G

uide

lines

ac-

cord

ingl

y.

Non

-Mem

ber

coun

trie

s

28. T

he R

ecom

men

datio

n is

add

ress

ed to

Mem

ber

coun

trie

s an

d th

is is

refl

ecte

d in

sev

eral

pro

visi

ons

whi

ch a

re e

xpre

ssly

res

tric

ted

to r

elat

ion-

ship

s be

twee

n M

embe

r co

untr

ies

(see

Par

agra

phs

15, 1

7 an

d 20

of

the

Gui

delin

es).

Wid

espr

ead

reco

gniti

on o

f th

e G

uide

lines

is, h

owev

er, d

esir

able

and

noth

ing

in th

em s

houl

d lie

inte

rpre

ted

as p

reve

ntin

g th

e ap

plic

atio

n of

rele

vant

pro

visi

ons

by M

embe

r co

untr

ies

to n

on-M

embe

r co

untr

ies.

In

view

of th

e in

crea

se in

tran

sbor

der

data

flo

ws

and

the

need

to e

nsur

e co

ncer

ted

solu

tions

, eff

orts

will

be

mad

e to

bri

ng th

e G

uide

lines

to th

e at

tent

ion

ofno

n-M

embe

r co

untr

ies

and

appr

opri

ate

inte

rnat

iona

l org

anis

atio

ns.

The

bro

ader

reg

ulat

ory

pers

pect

ive

29.

It h

as b

een

poin

ted

out e

arlie

r th

at th

e pr

otec

tion

of p

riva

cy a

ndin

divi

dual

libe

rtie

s co

nstit

utes

one

of

man

y ov

erla

ppin

g le

gal

aspe

cts

invo

lv-

ed in

the

proc

essi

ng o

f da

ta. T

he G

uide

lines

con

stitu

te a

new

inst

rum

ent,

in a

dditi

on to

oth

er, r

elat

ed in

tern

atio

nal i

nstr

umen

ts g

over

ning

suc

h is

sues

57

IIas

hum

an r

igP ts

, tel

ecom

mun

icat

ions

, int

erna

tiona

l tra

de, c

opyr

ight

,an

dva

riou

s in

form

atio

n se

rvic

es. I

f th

e ne

ed a

rise

s,th

e pr

inci

ples

set

out

in th

eG

uide

lines

cou

ld b

e fu

rthe

r de

velo

ped

with

inth

e fr

amew

ork

of a

ctiv

ities

unde

rtak

en b

y th

e O

EC

D in

thc

area

of

info

rmat

ion,

com

pute

r an

d co

m-

mun

icat

ions

pol

icie

s.

30. S

ome

Mem

ber

coun

trie

s ha

ve c

mph

asiz

cdth

e ad

vant

ages

of

a bi

ndin

gin

tern

atio

nal C

onve

ntio

n w

itha

broa

d co

vera

ge. T

he M

anda

te o

f th

e E

xper

tG

roup

req

uire

d it

to d

evel

op g

uide

lines

on b

asic

rul

es g

over

ning

the

tran

s-bo

rder

flo

w a

nd th

e pr

otec

tion

of p

erso

nal

data

and

pri

vacy

, with

out t

his

prec

ludi

ng a

t a la

ter

stag

e th

e es

tabl

ishm

ent

of a

n in

tern

atio

nal C

onve

ntio

nof

a b

indi

ng n

atur

e. T

he G

uide

lines

coul

d se

rve

as a

sta

rtin

g-po

int f

or th

ede

velo

pmen

t of

an in

tern

atio

nal C

onve

ntio

nw

hen

the

need

ari

ses.

Leg

al p

erso

ns, g

roup

s an

d si

mila

r en

titie

s

31. S

ome

coun

trie

s co

nsid

er th

at th

epr

otec

tion

requ

ired

for

dat

a re

latin

gto

indi

vidu

als

may

be

sim

ilar

in n

atur

eto

the

prot

ectio

n re

quir

ed f

or d

ata

rela

ting

to b

usin

ess

ente

rpri

ses,

ass

ocia

tions

and

grou

ps w

hich

may

or m

ayno

t pos

sess

lega

l per

sona

lity.

The

exp

erie

nce

ofa

num

ber

of c

ount

ries

als

osh

ows

that

it is

dif

ficu

ltto

def

ine

clea

rly

the

divi

ding

line

bet

wee

npe

rson

alan

d no

n-pe

rson

al d

ata.

For

exa

mpl

e,da

ta r

elat

ing

to a

sm

all

com

pany

may

also

con

cern

its

owne

r or

owne

rs a

nd p

rovi

de p

erso

nal i

nfor

mat

ion

ofa

mor

eor

less

sen

sitiv

e na

ture

. In

such

inst

ance

s it

may

be

advi

sabl

e to

ext

end

toco

rpor

ate

entit

ies

the

prot

ectio

n of

fere

d by

rule

s re

latin

g pr

imar

ily to

pers

onal

dat

a.32

.Si

mila

rly,

it is

deb

atab

le to

wha

t ext

ent p

eopl

e be

long

ing

to a

par

ticul

argr

oup

(e.g

. men

tally

dis

able

d pe

rson

s, im

mig

rant

s,et

hnic

min

oriti

es)

need

addi

tiona

l pro

tect

ion

agai

nst t

hedi

ssem

inat

ion

of in

form

atio

n re

latin

gto

that

gro

up.

33. O

n th

e ot

her

hand

, the

Gui

delin

esre

flec

t the

vie

w th

at th

e no

tions

of

indi

vidu

al in

tegr

ity a

nd p

riva

cyar

e in

man

y re

spec

ts p

artic

ular

and

sho

uld

not b

e tr

eate

d in

the

sam

e w

ay a

s th

e in

tegr

ity o

fa

grou

p of

per

sons

, or

corp

orat

e se

curi

ty a

nd c

onfi

dent

ialit

y. T

he n

eeds

for

prot

ectio

n ar

e di

f-fe

rent

and

so

arc

the

polic

y fr

amew

orks

with

in w

hich

sol

utio

ns h

ave

to b

efo

rmul

ated

and

inte

rest

s ba

lanc

ed a

gain

ston

e an

othe

r. S

ome

mem

bers

of

the

Exp

ert G

roup

sug

gest

ed th

at th

epo

ssib

ility

of

exte

ndin

g th

e G

uide

lines

to le

gal p

erso

ns (

corp

orat

ions

, ass

ocia

tions

) sh

ould

be p

rovi

ded

for.

Thi

ssu

gges

tion

has

not s

ecur

eda

suff

icie

nt c

onse

nsus

. The

sco

pe o

f th

e G

uide

-lin

es is

ther

efor

e co

nfin

edto

dat

a re

latin

g to

indi

vidu

als

and

it is

left

toM

embe

r co

untr

ies

to d

raw

div

idin

g lin

esan

d de

cide

pol

icie

s w

ith r

egar

dto

corp

orat

ions

, gro

ups

and

sim

ilar

bodi

es(c

f. p

arag

raph

49

belo

w).

Aut

omat

ed a

nd n

on-a

utom

ated

dat

a

34.

In th

e pa

st, O

EC

D a

ctiv

ities

in p

riva

cypr

otec

tion

and

rela

ted

fiel

dsha

ve f

ocus

ed o

n au

tom

atic

dat

apr

oces

sing

and

com

pute

r ne

twor

ks.

The

E \p

ert G

roup

s ha

s de

vote

d sp

ecia

lat

tent

ion

to th

e is

sue

of w

heth

eror

not

thes

e G

uide

lines

sho

uld

be r

estr

icte

dto

the

auto

mat

ic a

nd c

ompu

ter-

assi

sted

proc

essi

ng o

f pe

rson

al d

ata.

Suc

han

app

roac

h m

ay b

e de

fend

ed o

na

num

ber

of g

roun

ds, s

uch

as th

e pa

rtic

ular

dang

ers

to in

divi

dual

pri

vacy

rai

sed

by

58

auto

mat

ion

and

com

pute

rise

d da

ta b

anks

, and

incr

easi

ng d

omin

ance

of

auto

mat

ic d

ata

proc

essi

ng m

etho

ds, e

spec

ialr

y in

tran

sbor

der

data

flo

ws,

and

the

part

icul

ar f

ram

ewor

k of

info

rmat

ion,

com

pute

r an

d co

mm

unic

atio

nspo

licie

s w

ithin

whi

ch th

e E

xper

t Gro

up h

as s

et o

ut to

ful

fil i

ts M

anda

te.

35. O

n th

e ot

her

hand

, it

is th

e co

nclu

sion

of

the

Exp

ert G

roup

that

limiti

ng th

e G

uide

lines

to th

e au

tom

atic

pro

cess

ing

of p

erso

nal d

ata

wou

ldha

ve c

onsi

dera

ble

draw

back

s. T

o be

gin

with

, it i

s di

ffic

ult,

at th

e le

vel o

fde

fini

tions

, to

mak

e a

clea

r di

stin

ctio

n be

twee

n th

e au

tom

atic

and

non-

auto

mat

ic h

andl

ing

of d

ata.

The

re a

re, f

or in

stan

ce, "

mix

ed"

data

pro

cess

ing

syst

ems,

and

ther

e ar

e st

ages

in th

e pr

oces

sing

of

data

whi

ch m

ay o

r m

ay n

otle

ad to

aut

omat

ic tr

eatm

ent.

The

se d

iffi

culti

es te

nd to

be

furt

her

com

plic

at-

ed b

y on

goin

g te

chno

logi

cal d

evel

opm

ents

, suc

h as

the

intr

oduc

tion

ofad

vanc

ed s

emi-

auto

mat

ed m

etho

ds b

ased

on

the

use

of m

icro

film

, or

mic

ro-

com

pute

rs w

hich

may

incr

easi

ngly

be

used

for

pri

vate

pur

pose

s th

at a

rebo

th h

arm

less

and

impo

ssib

le to

con

trol

. Mor

eove

r, b

y co

ncen

trat

ing

ex-

clus

ivel

y on

com

pute

rs th

e G

uide

lines

mig

ht le

adto

inco

nsis

tenc

y an

dla

cuna

e, a

nd o

ppor

tuni

ties

for

reco

rd-k

eepe

rs to

cir

cum

vent

rul

es w

hich

impl

emen

t the

Gui

delin

es b

y us

ing

non-

auto

mat

icm

eans

for

pur

pose

sw

hich

may

be

offe

nsiv

e.

36.

Bec

ause

of

the

diff

icul

ties

men

tione

d, th

e G

uide

lines

do

not p

utfo

rwar

d a

defi

nitio

n of

"au

tom

atic

dat

a pr

occs

sing

" al

thou

gh th

eco

ncep

tis

ref

erre

d to

in th

e pr

eam

ble

and

in p

arag

raph

3 o

f th

e A

nnex

. It

may

be

assu

med

that

gui

danc

e fo

r th

e in

terp

reta

tion

of th

eco

ncep

t can

be

obta

ined

from

sou

rces

suc

h as

sta

ndar

d te

chni

cal v

ocab

ular

ies.

37. A

bove

all,

the

prin

cipl

es f

or th

e pr

otec

tion

of p

riva

cy a

nd in

divi

dual

liber

ties

expr

esse

d in

the

Gui

delin

es a

re v

alid

for

the

proc

essi

ng o

f da

ta in

gene

ral,

irre

spec

tive

of th

e pa

rtic

ular

tech

nolo

gy e

mpl

oyed

. The

Gui

delin

esth

eref

ore

appl

y to

per

sona

l dat

a in

gen

eral

or, m

ore

prec

isel

y, to

per

sona

lda

ta w

hich

, bec

ause

of

the

man

ner

in w

hich

they

are

proc

esse

d, o

r be

caus

eof

thei

r na

ture

or

cont

ext,

pose

a d

ange

r to

pri

vacy

and

indi

vidu

al li

bert

ies.

38.

It s

houl

d be

not

ed, h

owev

er, t

hat t

he G

uide

lines

do

not c

onst

itute

ase

t of

gene

ral p

riva

cy p

rote

ctio

n pr

inci

ples

; inv

asio

ns o

f pr

ivac

y by

, for

inst

ance

, can

did

phot

ogra

phy,

phy

sica

l mal

trea

tmen

t, or

def

amat

ion

are

outs

ide

thei

r sc

ope

unle

ss s

uch

acts

are

inon

e w

ay o

r an

othe

r as

soci

ated

with

the

hand

ling

of p

erso

nal d

ata.

Thu

s, th

e G

uide

lines

dea

l with

the

build

ing-

up a

nd u

se o

f ag

greg

ates

of

data

whi

char

e or

gani

sed

for

retr

ieva

l,de

cisi

on-m

akin

g, r

esea

rch,

sur

veys

and

sim

ilar

purp

oses

. It s

houl

d be

em

-ph

asiz

ed th

at th

e G

uide

lines

are

neu

tral

with

reg

ard

to th

e pa

rtic

ular

tech

-no

logy

use

d; a

utom

atic

met

hods

are

onl

yon

e of

the

prob

lem

s ra

ised

in th

eG

uide

lines

alth

ough

, par

ticul

arly

in th

eco

ntex

t of

tran

sbor

der

data

flo

ws,

this

is c

lear

ly a

n im

port

ant o

ne.

B. D

ET

AI

LE

D C

OM

ME

NT

S

Gen

eral

39. T

he c

omm

ents

whi

ch f

ollo

w r

elat

e to

the

acru

al G

uide

lines

set o

ut in

the

Ann

ex to

the

Rec

omm

enda

tion.

The

y se

ekto

cla

rify

the

deba

te in

the

Exp

ert G

roup

.

59

Para

grap

h 1:

1 0 nid

ons

40. T

he li

st o

f de

fini

tions

has

bee

n ke

ptsh

ort.

The

term

"da

ta c

ontr

ol-

kr"

is o

f vi

tal i

mpo

rtan

ce. I

tat

tem

pts

to d

efin

e a

subj

ect w

ho, u

nder

dom

-es

tic la

w, s

houl

d ca

rry

ultim

ate

resp

onsi

bilit

y fo

r ac

tiviti

es c

once

rned

with

the

proc

essi

ng o

f pe

rson

al d

ata.

As

defi

ned,

the

data

con

trol

ler

isa

part

yw

ho is

lega

lly c

ompe

tent

to d

ecid

e ab

out t

he c

onte

nts

and

use

of d

ata,

rega

rdle

ss o

f w

heth

eror

not

suc

h da

ta a

re c

olle

cted

, sto

red,

pro

cess

edor

dis

sem

inat

ed b

y th

at p

arty

or

byan

age

nt o

n its

beh

alf.

The

dat

aco

n-tr

olle

r m

ay b

e a

lega

lor

nat

ural

per

son,

pub

lic a

utho

rity

,ag

ency

or

any

othe

r bo

dy. T

he d

efin

ition

exc

lude

sat

leas

t fou

r ca

tego

ries

whi

ch m

aybe

invo

lved

inth

e pr

oces

sing

of

data

, viz

. (a)

lice

nsin

gau

thor

ities

and

sim

ilar

bodi

es w

hich

exi

st in

som

e M

embe

r co

untr

ies

and

whi

ch a

utho

rise

the

proc

essi

ng o

f da

ta b

utar

e no

t ent

itled

to d

ecid

e (i

n th

epr

oper

sen

seot

the

wor

d) w

hat '

activ

ities

sho

uld

be c

arri

ed o

ut a

nd f

or w

hat

purp

oses

;(b

) da

ta p

roce

ssin

g se

rvic

e bu

reau

xw

hich

car

ry o

ut d

ata

proc

essi

ngon

beha

lf o

f ot

hers

; (c)

tele

com

mun

icat

ions

auth

oriti

es a

nd s

imila

r bo

dies

whi

ch a

ct a

s m

ere

cond

uits

; and

(d)

"dep

ende

nt u

sers

" w

hom

ay h

ave

acce

ss to

dat

a bu

t who

are

not

aut

hori

sed

to d

ecid

e w

hat d

ata

shou

ld b

est

ored

, who

sho

uld

be a

ble

to u

se th

em, e

tc. I

n im

plem

entin

g th

e G

uide

-lin

es, c

ount

ries

may

dev

elop

mor

e co

mpl

ex s

chem

es o

f le

vels

and

type

sof

res

pons

ibili

ties.

Par

agra

phs

14 a

nd 1

9 of

the

Gui

delin

es p

rovi

dea

basi

sfo

r ef

fort

s in

this

dir

ectio

n.

41. T

he te

rms

"per

sona

l dat

a"an

d "d

ata

subj

ect"

serv

e to

und

ersc

ore

that

the

Gui

delin

esar

e co

ncer

ned

with

phy

sica

l per

sons

. The

pre

cise

divi

d-in

g lin

e be

twee

n pe

rson

al d

ata

inth

e se

nse

of in

form

atio

n re

lyin

gto

iden

t-if

ied

or id

entif

iabl

e in

divi

dual

san

d an

onym

ous

data

may

be

diff

icul

t to

draw

and

mus

t be

left

to th

e re

gula

tion

of e

ach

Mem

ber

coun

try.

In

prin

cipl

e,pe

rson

al d

ata

conv

ey in

form

atio

nw

hich

by

dire

ct (

e.g.

a ci

vil r

egis

trat

ion

num

ber)

or

indi

rect

link

ages

(e.

g.an

add

ress

) m

ay b

e co

nnec

ted

toa

par-

ticul

ar p

hysi

cal p

erso

n.42

. The

term

"tr

ansb

orde

r fl

ows

of p

erso

nal d

ata"

res

tric

ts th

eap

pli-

catio

n of

cer

tain

pro

visi

ons

ofth

e G

uide

lines

to in

tern

atio

nal

data

flo

ws

and

cons

eque

ntly

om

its th

e da

tafl

ow p

robl

ems

part

icul

arto

fed

eral

sta

tes.

I lie

mov

emen

ts o

f da

ta w

ill o

ften

take

pla

ce th

roug

h el

ectr

onic

tran

smis

sion

but o

ther

mea

ns o

f da

taco

mm

unic

atio

n m

ay a

lso

be in

volv

ed. T

rans

bord

erfl

ows

as u

nder

stoo

d in

the

Gui

delin

es in

clud

es th

e tr

ansm

issi

onof

dat

a by

sate

llite

.

Para

grap

h 2:

Are

a of

app

licat

ion

43. T

he S

ectio

n of

the

Mem

oran

dum

deal

ing

with

the

scop

e an

d pu

rpos

eof

the

Gui

delin

es in

trod

uces

the

issu

e of

thei

r ap

plic

atio

nto

the

auto

mat

icas

aga

inst

non

-aut

omat

ic p

roce

ssin

gof

per

sona

l dat

a. P

arag

raph

2 o

fth

eG

uide

lines

, whi

ch d

eals

with

this

pro

blem

, is

base

don

two

limiti

ng c

rite

ria.

1 he

fir

stis

ass

ocia

ted

with

the

conc

ept o

f T

erso

nal d

ata:

the

Gui

delin

esap

ply

to d

ata

whi

chca

n be

rel

ated

to id

entif

ied

or id

entif

iabl

ein

divi

dual

s.C

olle

ctio

ns o

f da

ta w

hich

do n

ot o

ffer

suc

h po

ssib

ilitie

s(c

olle

ctio

ns o

fst

atis

tical

dat

a in

anon

ymou

s fo

rm)

arc

not i

nclu

ded.

The

sec

ond

crite

rion

is m

ore

com

plex

and

rel

ates

toa

spec

ific

ris

k el

emen

t of

a fa

ctua

l nat

ure,

viz

.th

at d

ata

pose

a d

ange

rto

pri

vacy

and

indi

vidu

al li

bert

ies.

Suc

hda

nger

s ca

n60

aris

e be

caus

e of

the

use

of a

utom

ated

dat

a pr

oces

sing

met

hods

(th

e m

anne

rin

whi

ch d

ata

are

proc

esse

d), b

uta

broa

d va

riet

y of

oth

er p

ossi

ble

risk

sour

ces

is im

plie

d. T

hus,

dat

a w

hich

arc

in th

emse

lves

sim

ple

and

fact

ual

may

be

used

in a

con

text

whe

re th

ey b

ecom

e of

fens

ive

to a

dat

a su

bjec

t.O

n th

c ot

her

hand

, the

ris

ks a

s ex

pres

sed

in P

arag

raph

2 of

the

Gui

delin

esar

e in

tend

ed to

exc

lude

dat

a co

llect

ions

of

an o

bvio

usly

inno

cent

natu

re(e

.g. p

erso

nal n

oteb

ooks

). T

he d

ange

rs r

efer

red

to in

Par

agra

ph 2

of

the

Gui

delin

es s

houl

d re

late

to p

riva

cy a

nd in

divi

dual

liber

ties.

llow

ever

, the

prot

ecte

d in

tere

sts

are

broa

d (c

f. p

arag

raph

2ab

ove)

and

may

be

view

eddi

ffer

ently

by

diff

eren

t Mem

ber

coun

trie

s an

d at

dif

fere

nt ti

mes

. A d

elim

i-ta

tion

as f

ar a

s th

e G

uide

lines

are

conc

erne

d an

d a

com

mon

bas

ic a

ppro

ach

are

prov

ided

by

the

prin

cipl

es s

et o

ut in

Par

agra

phs

7to

13.

44. A

s ex

plai

ned

in P

arag

raph

2 o

f th

eG

uide

lines

, the

y ar

e in

tend

ed to

cove

r bo

th th

e pr

ivat

e an

d th

e pu

blic

sec

tor.

The

se n

otio

nsm

ay b

e de

fine

ddi

ffer

ently

by

diff

eren

t Mem

ber

coun

trie

s.

Para

grap

h 3:

Dif

fere

nt d

egre

es o

f se

nsiti

vity

45. T

he G

uide

lines

sho

uld

not b

e ap

plie

d in

a m

echa

nist

ic w

ay ir

resp

ectiv

eof

the

kind

of

data

and

pro

cess

ing

activ

ities

invo

lved

. The

fra

mew

ork

pro-

vide

d by

the

basi

c pr

inci

ples

in P

art

Tw

o of

the

Gui

delin

es p

erm

its M

embe

rco

untr

ies

to e

xerc

ise

thei

r di

scre

tion

with

resp

ect t

o th

e de

gree

of

stri

ngen

cyw

ith w

hich

the

Gui

delin

esar

e to

be

impl

emen

ted,

and

with

res

pect

to th

esc

ope

of th

e m

easu

res

to b

e ta

ken.

In

part

icul

ar,

Para

grap

h 3(

b) p

rovi

des

for

man

y "t

rivi

al"

case

s of

col

lect

ion

and

use

of p

erso

nal d

ata

(cf.

abo

ve)

to b

e co

mpl

etel

y ex

clud

ed f

rom

the

appl

icat

ion

ofth

e G

uide

lines

. Obv

ious

lyth

is d

oes

not m

ean

that

Par

agra

ph3

shou

ld b

e re

gard

ed a

sa

vehi

cle

for

dem

olis

hing

the

stan

dard

s se

tup

by

the

Gui

delin

es. B

ut, g

ener

ally

spe

akin

g,th

c G

uide

lines

do

not

pres

uppo

se th

eir

unif

orm

irip

lem

enta

tion

by M

embe

rco

untr

ies

with

res

pect

to d

etai

ls. F

orin

sian

ce, d

iffe

rent

trad

ition

s an

d di

f-fe

rent

atti

tude

s by

the

gene

ral p

ublic

hav

eto

be

aken

into

acc

ount

. Thu

s, in

one

coun

try

univ

ersa

l per

sona

l ide

ntif

iers

may

be

cons

ider

ed b

oth

harm

less

and

usef

ul w

here

as in

ano

ther

coun

try

they

may

be

rega

rded

as

high

lyse

nsiti

ve a

nd th

eir

use

rest

rict

edor

eve

n fo

rbid

den.

In

one

coun

try,

pro

tec-

tion

may

be

affo

rded

to d

ata

rela

ting

to g

roup

s an

d si

mila

r en

titie

s w

here

assu

ch p

rote

ctio

n is

com

plet

ely

non-

exis

tent

in a

noth

er c

ount

ry, a

ndso

for

th.

To

conc

lude

, som

e M

embe

r co

untr

ies

may

fin

d it

appr

opri

ate

to r

estr

ict

the

appl

icat

ion

of th

e G

uide

lines

to th

e au

tom

atic

pro

cess

ing

of p

erso

nal

data

. Par

agra

ph 3

(c)

prov

ides

for

suc

ha

limita

tion.

Para

grap

h 4:

Exc

eptio

ns to

the

Gui

delin

es

46. T

o pr

ovid

e fo

rmal

ly f

or e

xcep

tions

in G

uide

lines

whi

char

e pa

rt o

f a

non-

bind

ing

Rec

omm

enda

tion

may

see

m s

uper

fluo

us. I

low

ever

, the

Exp

ert

Gro

up h

as f

ound

it a

ppro

pria

teto

incl

ude

a pr

ovis

ion

deal

ing

with

this

subj

ect a

nd s

tatin

g th

attw

o ge

nera

l cri

teri

a ou

ght t

o gu

ide

natio

nal p

olic

ies

in li

miti

ng th

e ap

plic

atio

n of

the

Gui

delin

es: e

xcep

tions

sho

uld

beas

few

as

poss

ible

, and

they

sho

uld

he m

ade

know

nto

the

publ

ic (

e.g.

thro

ugh

publ

i-ca

tion

in a

n of

fici

algo

vern

men

t gaz

ette

). G

ener

al k

now

ledg

e of

the

exis

t-en

ce o

f ce

rtai

n da

ta o

r fi

les

wou

ld b

e su

ffic

ient

to m

eet t

he s

econ

d cr

iteri

on,

alth

ough

det

ails

con

cern

ing

pani

cula

rda

ta e

tc. m

ay h

ave

to h

e ke

ptse

cret

.

61

The

for

mul

a pr

ovid

ed in

Par

agra

ph 4

is in

tend

edto

cov

er m

any

diff

eren

tki

nds

of c

once

rns

and

limiti

ng f

acto

rs,

as it

was

obv

ious

ly n

ot p

ossi

ble

topr

ovid

e an

exh

aust

ive

list o

f ex

cptio

nshe

nce

the

wor

ding

that

they

incl

ude

natio

nal s

over

eign

ty, n

atio

nal s

ecur

ityan

d pu

blic

pol

icy

("or

dre

publ

ic")

. Ano

ther

ove

rrid

ing

natio

nal

conc

erns

wou

ld b

e, f

or in

stan

ce,

the

fina

ncia

l int

eres

ts o

f th

e St

ate

("cr

edit

publ

ic")

. Mor

eove

r, P

arag

raph

4al

low

s fo

r di

ffer

ent w

ays

of im

plem

entin

g th

eG

uide

lines

: it s

houl

d be

bor

nein

min

d th

at M

embe

r co

untr

ies

are

at p

rese

nt a

t dif

fere

nt s

tage

s of

dev

elop

-m

ent w

ith r

espe

ct to

pri

vacy

pro

tect

ion

rule

s an

d in

stitu

tions

and

will

prob

ably

pro

ceed

at d

iffe

rent

pace

s, a

pply

ing

diff

eren

t str

ateg

ies,

c.g

. the

repl

atio

n of

cer

tain

type

s of

dat

aor

act

iviti

es a

s co

mpa

red

to r

egul

atio

n of

a ge

nera

l nat

ure

("om

nibu

s ap

proa

ch")

.

47. T

he E

xper

t Gro

up r

ecog

nise

d th

atM

embe

r co

untr

ies

mig

ht a

pply

the

Gui

delin

es d

iffe

rent

ially

to d

iffe

rent

kin

ds o

f pe

rson

al d

ata.

The

rem

ay b

edi

ffer

ence

s in

the

perm

issi

ble

freq

uenc

y of

insp

ectio

n, in

way

s of

bal

anci

ngco

mpe

ting

inte

rest

s su

chas

the

conf

iden

tialit

y of

med

ical

rec

ords

ver

sus

the

indi

vidu

al's

rig

ht to

insp

ect d

ata

rela

ting

to h

im, a

nd s

o fo

rth.

Som

eex

ampl

es o

f ar

eas

whi

chm

ay b

e tr

eate

d di

ffer

ently

are

cre

dit r

epor

ting,

crim

inal

inve

stig

atio

n an

d ba

nkin

g.M

embe

r co

untr

ies

may

als

o ch

oose

diff

eren

t sol

utio

ns w

ithre

spec

t to

exce

ptio

ns a

ssoc

iate

d w

ith, f

or e

xam

ple,

rese

arch

and

sta

tistic

s. A

n ex

haus

tive

enum

erat

ion

of a

ll su

ch s

ituat

ions

and

conc

erns

isne

ither

req

uire

d no

r po

ssib

le. S

ome

ofth

e su

bseq

uent

para

grap

hs o

f th

e G

uide

lines

and

the

com

men

ts r

efer

ring

to th

em p

rovi

defu

rthe

r cl

arif

icat

ion

of th

ear

ca o

f ap

plic

atio

n of

the

Gui

delin

es a

nd o

f th

ecl

osel

y re

late

d is

sues

of

bala

ncin

g op

posi

ng.

inte

rest

s (c

ompa

re w

ith P

ara-

grap

hs 7

, 8, 1

7 an

d 18

of

the

Gui

delin

es).

To

sum

mar

ise,

the

Exp

ert G

roup

has

assu

med

that

exc

eptio

ns w

ill b

elim

ited

to th

ose

whi

ch a

rene

cess

ary

in a

dem

ocra

tic s

ocie

ty.

Para

grap

h 5:

Fede

ral c

ount

ries

48.

In F

eder

al c

ount

ries

, the

app

licat

ion

ofth

e G

uide

lines

is s

ubje

ctto

vari

ous

cons

titut

iona

l lim

itatio

ns. P

arag

raph

5, a

ccor

ding

ly, s

erve

s to

und

er-

scor

e th

at n

o co

mm

itmen

ts e

xist

to a

pply

the

Gui

delin

esbe

yond

the

limits

of c

onst

itutio

nal c

ompe

tenc

e.

Para

grap

h 6:

Min

imum

sta

ndar

ds

49.

Firs

t, Pa

ragr

aph

6 de

scri

bes

the

Gui

delin

esas

min

imum

sta

ndar

ds f

orad

optio

n in

dom

estic

legi

slat

ion.

Sec

ondl

y,an

d in

con

sequ

ence

, it h

as b

een

agre

ed th

at th

e G

uide

lines

are

capa

ble

of b

eing

sup

plem

ente

d by

add

ition

alm

easu

res

for

the

prot

ectio

n of

pri

vacy

and

indi

vidu

allib

ertie

s at

the

natio

nal

as w

ell a

s th

e in

tern

atio

nal l

evel

.

Para

grap

h 7:

Col

lect

ion

Lim

itatio

n Pr

inci

ple

50.

As

an in

trod

ucto

ry c

omm

ent

on th

e pr

inci

ples

set

out

in P

arag

raph

s 7

to 1

4 of

the

Gui

delin

es it

sho

uld

be p

oint

edou

t tha

t the

se p

rinc

iple

s ar

ein

terr

elat

ed a

nd p

artly

ove

rlap

ping

.T

hus,

thc

dist

inct

ions

bet

wee

n di

ffer

ent

activ

ities

and

sta

ges

invo

lved

in th

e pr

oces

sing

of

data

whi

ch a

rc a

ssum

ed

6 2

in th

e pr

inci

ples

, are

som

ewha

t art

ific

ial a

nd it

is e

ssen

tial t

hat t

he p

rin-

cipl

es a

re tr

eate

d to

geth

er a

nd s

tudi

ed a

s a

who

le. P

arag

raph

7 d

eals

with

two

issu

es, v

iz. (

a) li

mits

to th

e co

llect

ion

of d

ata

whi

ch, b

ecau

se o

f th

em

anne

r in

whi

ch th

ey a

re to

be

proc

esse

d, th

eir

natu

re, t

he c

onte

xt in

whi

chth

ey a

re to

be

used

or

othe

r ci

rcum

stan

ces,

are

rega

rded

as

spec

ially

sen

si-

tive;

and

(b)

req

uire

men

ts c

once

rnin

g da

ta c

olle

ctio

n m

etho

ds.

Dif

fere

ntvi

ews

are

freq

uent

ly p

ut f

orw

ard

with

res

pect

to th

e fi

rst i

ssue

. It c

ould

be a

rgue

d th

at it

is b

oth

poss

ible

and

des

irab

leto

enu

mer

ate

type

s or

cate

gori

es o

f da

ta w

hich

are

per

se

sens

itive

and

the

colle

ctio

nof

whi

chsh

ould

be

rest

rict

ed o

r ev

en p

rohi

bite

d. T

here

are

prec

eden

ts in

Eur

opea

nle

gisl

atio

nto

this

effe

ct(r

ace,

relig

ious

belie

fs, c

rim

inal

rec

ords

, for

inst

ance

). O

n th

e ot

her

hand

, it m

ay b

e he

ld th

atno

dat

a ar

e in

trin

sica

lly"

priv

ate"

or

"sen

sitiv

e" b

ut m

ay b

ecom

eso

in v

iew

of

thei

r co

ntex

t and

use.

Thi

s vi

ew is

ref

lect

ed, f

or e

xam

ple,

in th

e pr

ivac

y le

gisl

atio

n of

the

Uni

ted

Stat

es.

51. T

he E

xper

t Gro

up d

iscu

ssed

a n

umbe

r of

sen

sitiv

itycr

iteri

a, s

uch

as th

e ri

sk o

f di

scri

min

atio

n, b

ut h

as n

ot f

ound

it p

ossi

ble

to d

efin

e an

yse

t of

data

whi

ch a

re u

nive

rsal

ly r

egar

ded

as s

ensi

tive.

Con

sequ

ently

,Pa

ra-

grap

h 7

mer

ely

cont

ains

a g

ener

alst

atem

ent t

hat t

here

sho

uld

be li

mits

toth

e co

llect

ion

of p

erso

nal d

ata.

For

one

thin

g, th

is r

epre

sent

s an

aff

irm

ativ

ere

com

men

datio

n to

law

mak

ers

to d

ecid

eon

lim

its w

hich

wou

ld p

ut a

n en

dto

the

indi

scri

min

ate

colle

ctio

n of

per

sona

l dat

a. T

hena

ture

of

the

limits

is n

ot s

pelt

out b

ut it

is u

nder

stoo

d th

at th

e lim

itsm

ay r

elat

e to

:da

ta q

ualit

y as

pect

s (i

.e. t

hat i

t sho

uld

be p

ossi

ble

to d

eriv

e in

for-

mat

ion

of s

uffi

cien

tly h

igh

qual

ity f

rom

the

data

colle

cted

, tha

tda

ta s

houl

d be

col

lect

ed in

a p

rope

r in

form

atio

nfr

amew

ork,

etc

.);

limits

ass

ocia

ted

with

the

purp

ose

of th

e pr

oces

sing

of d

ata

(i.e

.th

at o

nly

cert

ain

cate

gori

es o

f da

ta o

ught

to b

e co

llect

ed a

nd,

poss

ibly

, tha

t dat

a co

llect

ion

shou

ld b

e re

stri

cted

to th

e m

inim

umne

cess

ary

to f

ulfi

l the

spe

cifi

ed p

urpo

se);

"ear

mar

king

" of

spe

cial

ly s

ensi

tive

data

acc

ordi

ngto

and

attit

udes

in e

ach

Mem

ber

coun

try;

limits

to d

ata

colle

ctio

n ac

tiviti

es o

f ce

rtai

n da

taco

ntro

llers

;ci

vil r

ight

s co

ncer

ns.

trad

ition

s

52. T

he s

econ

d pa

rt o

f Pa

ragr

aph

7 (d

ata

colle

ctio

nm

etho

ds)

is d

irec

ted

agai

nst p

ract

ices

whi

ch in

volv

e, f

or in

stan

ce,

the

use

of h

idde

n da

ta r

egis

-tr

atio

n de

vice

s su

ch a

s ta

pe r

ecor

ders

,or

dec

eivi

ng d

ata

subj

ects

to m

ake

them

sup

ply

info

rmat

ion.

The

kno

wle

dge

or c

onse

nt o

f th

e da

ta s

ubje

ctis

as

a ru

le e

ssen

tial,

know

ledg

e be

ing

the

min

imum

req

uire

men

t. O

n th

eot

her

hand

, con

sent

can

not a

lway

s be

impo

sed,

for

prac

tical

rea

sons

. In

addi

tion,

Par

agra

ph 7

con

tain

sa

rem

inde

r ("

whe

re a

ppro

pria

te")

that

ther

ear

e st

tuat

ions

whe

re f

or p

ract

ical

or

polic

y re

ason

s th

e da

ta s

ubje

ct's

know

-le

dge

or c

onse

nt c

anno

t be

cons

ider

edne

cess

ary.

Cri

min

al in

vest

igat

ion

activ

ities

and

the

rout

ine

up-d

atin

g of

mai

ling

lists

may

be

men

tione

d as

exam

ples

. Fin

ally

, Par

agra

ph 7

doe

sno

t exc

lude

the

poss

ibili

ty o

f a

data

subj

ect b

eing

rep

rese

nted

by

anot

her

part

y, f

or in

stan

ce in

thc

case

ot

min

ors,

men

tally

dis

able

d pe

rson

, etc

.

6 3

L.,

,j1

SPa

ragr

aph

8:D

ata

Qua

lity

Prin

cipl

e

53.

Req

uire

men

ts th

at d

ata

be r

elev

ant c

an b

e vi

ewed

in d

iffe

rent

way

s. I

nfa

ct, s

ome

mem

bers

of

the

Exp

ert G

roup

hes

itate

das

to w

heth

er s

uch

requ

irem

ents

act

ually

fitt

ed in

to th

e fr

amew

ork

of p

riva

cy p

rote

ctio

n.'th

eco

nclu

sion

of

the

Gro

up w

as to

the

effe

ct, h

owev

er, t

hat d

ata

shou

ldbe

rela

ted

to th

e pu

rpos

e fo

r w

hich

they

are

to b

e us

ed. F

or in

stan

ce, d

ata

conc

erni

ng o

pini

ons

may

eas

ily b

e m

isle

adin

g if

they

are

used

for

pur

pose

sto

whi

ch th

ey b

ear

no r

elat

ion,

and

the

sam

e is

true

of

eval

uativ

e da

ta.

Para

grap

h 8

also

dea

ls w

ith a

ccur

acy,

com

plet

enes

s an

dup

-to-

date

ness

whi

ch a

re a

ll im

port

ant e

lem

ents

of

the

data

qua

lity

conc

ept.

'lhe

requ

ire-

men

ts in

this

res

pect

are

link

ed to

the

purp

oses

of

data

, i.e

. the

yar

e no

tin

tend

ed to

be

mor

e ta

r-re

achi

ng th

an is

nece

ssar

y fo

r th

e pu

rpos

es f

orw

hich

the

data

are

use

d. T

hus,

his

tori

cal d

ata

may

oft

en h

ave

to b

e co

l-le

cted

or

reta

ined

; cas

es in

poi

ntar

e so

cial

res

earc

h, in

volv

ing

so-c

alle

dlo

ngir

udin

al s

tudi

es o

f de

velo

pmen

ts in

soc

iety

, his

tori

cal

rese

arch

, and

the

activ

ities

of

arch

ives

. 'th

e "p

urpo

se te

st"

will

oft

enin

volv

e th

e pr

oble

mof

whe

ther

or

not h

arm

can

be

caus

edto

dat

a su

bjet

s be

caus

e ol

lack

of

accu

racy

, com

plet

enes

s an

d up

-dat

ing.

Para

grap

h 9:

Pur

pose

Spe

cifi

catio

n Pr

inci

ple

54.

the

Purp

ose

Spec

ific

atio

n Pr

inci

ple

is d

osel

y as

soci

ated

with

the

two

surr

ound

ing

prin

cipl

es, i

.e. t

he D

ata

Qua

lity

Prin

cipl

e an

dth

e U

se L

imita

tion

Prin

cipl

e. B

asic

ally

, Par

agra

ph 9

impl

ies

that

bef

ore,

and

in a

ny c

ase

not

late

r th

an a

t the

tim

e ot

dat

a co

llect

ion

it sh

ould

be p

ossi

ble

to id

entif

yth

e pu

rpos

es f

or w

hich

thes

e da

taar

e to

be

used

, and

that

late

r ch

ange

s of

purp

oses

sho

uld

likew

ise

he s

peci

fied

. Suc

h sp

ecif

icat

ion

olpu

rpos

es c

anbe

mad

e in

a n

umbe

r of

alte

rnat

ive

or c

ompl

emen

tary

way

s, e

.g. b

y pu

blic

decl

arat

ions

, inf

orm

atio

n to

dat

a su

bjec

ts, l

egis

latio

n,ad

min

istr

ativ

e de

cree

s,an

d lic

ence

s pr

ovid

ed b

y su

perv

isor

y bo

dies

.A

ccor

ding

to P

arag

raph

s 9

and

10, n

ew p

urpo

ses

shou

ldno

t be

intr

oduc

ed a

rbitr

arily

; fre

edom

tom

ake

chan

ges

shou

ld im

ply

com

patib

ility

with

the

orig

inal

pur

pose

s. F

inal

ly,

whe

n da

ta n

o lo

nger

ser

vea

purp

ose,

and

if it

is p

ract

icab

le, i

t may

be

nece

ssar

y to

hav

e th

em d

estr

oyed

(er

ased

)or

giv

en a

n an

onym

ous

form

.I

he r

easo

n is

that

con

trol

over

dat

a m

ay b

e lo

st w

hen

data

are

no

long

erof

inte

rest

; thi

s m

ay le

ad to

ris

ks o

f th

eft,

unau

thor

ised

cop

ying

or

the

like.

Para

grap

h 10

:U

se L

imita

tion

Prin

cipl

e

55I

his

para

grap

h de

als

with

use

s of

dif

fere

nt k

inds

,in

clud

ing

disc

losu

re,

hich

invo

lve

devi

atio

ns f

rom

spe

cifi

edpu

rpos

es. F

or in

stan

ce, d

ata

may

be tr

ansm

itted

trom

one

com

pute

r to

ano

ther

whe

re th

ey c

an b

e us

ed to

run

auth

oris

ed p

urpo

ses

with

out b

eing

insp

ecte

d an

dth

us d

iscl

osed

in th

epr

oper

sen

se o

f th

e w

ord.

As

a ru

le th

e in

itial

lyor

sub

sequ

ently

spe

cifi

edpu

rpos

es s

houl

d lie

dec

isiv

e fo

r th

e us

es to

whi

ch d

ata

can

be p

ut. P

ara-

grap

h 10

for

esee

s tw

o ge

nera

l exc

eptio

nsto

this

pri

ncip

le, t

he c

onse

nt o

f th

eda

ta s

ubje

ct (

or h

is r

epre

sent

ativ

ese

e Pa

ragr

aph

52 a

bove

) an

d th

e au

th-

ority

of

law

(in

clud

ing,

for

exa

mpl

e, li

cenc

es g

rant

ed b

ysu

perv

isor

y bo

dies

).I

in in

stan

ce, i

t may

be

prov

ided

that

tlat

a w

hich

hav

ebe

en c

olle

cted

:.or

purp

oses

ot

adin

inis

trat

ive

deci

sion

-mak

ing

may

be

mad

e ,iv

aila

ble

for

rese

arch

, sta

tistic

s an

d so

cial

pla

nnin

g.

CI

4

Para

grap

h 11

:Se

curi

ty S

afeg

uard

s Pr

inci

ple

56.

Secu

rity

and

pri

vacy

issu

es a

rc n

ot id

entic

al. l

low

ever

, lim

itatio

ns o

nda

ta u

se a

nd d

iscl

osur

e sh

ould

be

rein

forc

ed b

y se

curi

ty s

ateg

uard

s. S

uch

safe

guar

ds in

clud

e ph

ysic

al m

easu

res

(loc

ked

door

s an

d id

entif

icat

ion

card

s,fo

r in

stan

ce),

org

anis

atio

nal m

easu

res

(suc

h as

aut

hori

ty le

vels

with

reg

ard

toac

cess

toda

ta)

and,

par

ticul

arly

inco

mpu

ter

syst

ems,

info

rmat

iona

lm

easu

res

(suc

h as

enc

iphe

ring

and

thre

at m

onito

ring

of

unus

ual a

ctiv

ities

and

resp

onse

s to

them

). I

t sho

uld

be e

mph

asiz

ed th

at th

eca

tego

ry o

f or

gan-

isat

iona

l mea

sure

s in

clud

es o

blig

atio

ns f

or d

ata

proc

essi

ng p

erso

nnel

tom

aint

ain

conf

iden

tialit

y. P

arag

raph

11

has

a br

oad

cove

rage

. The

cas

esm

entio

ned

in th

e pr

ovis

ion

are

to s

ome

exte

nt o

verl

appi

ng (

e.g.

acce

ss/

disc

losu

re).

"L

oss"

ot d

ata

enco

mpa

sses

suc

hca

ses

as a

ccid

enta

l era

sure

of

data

, des

truc

tion

of d

ata

stor

age

med

ia (

and

thus

des

truc

tion

of d

ata)

and

thef

t of

data

sto

rage

med

ia. "

Mod

ifie

d" s

houl

d be

con

stru

edto

cov

erun

auth

oris

ed in

put o

f da

ta, a

nd "

use"

to c

over

una

utho

rise

d co

pyin

g.

Para

grap

h 12

: Ope

nnes

s Pr

inci

ple

57. T

he O

penn

ess

Prin

cipl

e m

ay b

e vi

ewed

as a

pre

requ

isite

for

the

Indi

vidu

al P

artic

ipat

ion

Prin

cipl

e (P

arag

raph

13)

; for

the

latte

r pr

inci

ple

to b

e ef

fect

ive,

it m

ust b

e po

ssib

le in

pra

ctic

e to

acq

uire

info

rmat

ion

abou

tth

e co

llect

ion,

sto

rage

or

use

of p

erso

nal d

ata.

Reg

ular

info

rmat

ion

from

data

con

trol

lers

on

a vo

lunt

ary

basi

s, p

ublic

atio

n in

off

icia

lre

gist

ers

ofde

scri

ptio

ns o

f ac

tiviti

es c

once

rned

with

the

proc

essi

ng o

fpe

rson

al d

ata,

and

regi

stra

tion

with

pub

lic b

odie

sar

e so

me,

thou

gh n

ot a

ll, o

f th

e w

ays

by w

hich

this

may

be

brou

ght a

bout

. The

ref

eren

ceto

mea

ns w

hich

are

"rea

dily

ava

ilabl

e" im

plie

s th

at in

divi

dual

s sh

ould

be

able

to o

btai

n in

for-

mat

ion

with

out u

nrea

sona

ble

effo

rtas

to ti

me,

adv

ance

kno

wle

dge,

trav

el-

ling,

and

so

fort

h, a

nd w

ithou

t unr

easo

nabl

eco

st.

Para

grap

h 13

:In

divi

dual

Par

ticip

atio

n Pr

inci

ple

58. T

he r

ight

of

indi

vidu

als

to a

cces

s an

d ch

alle

nge

pers

onal

data

is g

enet

-al

ly r

egar

ded

as p

erha

ps th

e m

ost i

mpo

rtan

t pri

vacy

prot

ectio

n sa

fepa

rd.

Thi

s vi

ew is

sha

red

by th

e E

xper

t Gro

up w

hich

,al

thou

gh a

war

e th

at th

eri

ght t

o ac

cess

and

cha

lleng

e ca

nnot

be

abso

lute

, has

chos

en to

exp

ress

itin

cle

ar a

nd f

airl

y sp

ecif

ic la

ngua

ge. W

ithre

spec

t to

the

indi

vidu

al s

ub-

para

grap

hs, t

he f

ollo

win

g ex

plan

atio

nsar

e ca

lled

tor:

59. T

he r

ight

to a

cces

s sh

ould

as

a ru

le b

e si

mpl

eto

exe

rcis

e. T

his

may

mea

n, a

mon

g ot

her

thin

gs, t

hat i

t sho

uld

be p

art o

f th

e da

y-to

-day

act

iviti

esof

the

data

con

trol

ler

or h

is r

epre

sent

ativ

e an

dsh

ould

not

invo

lve

any

lega

lpr

oces

s or

sim

ilar

mea

sure

s. I

n so

nic

case

s it

may

be

appr

opri

ate

to p

rovi

defo

r in

term

edia

te a

cces

s to

dat

a; f

or e

xam

ple,

in th

em

edic

al a

rea

a m

edic

alpr

actit

ione

r ca

n se

rve

as a

go-

betw

een.

In

som

e co

untr

ies

supe

rvis

ory

orga

ns,

such

as

data

insp

ectio

n au

thor

ities

,m

ay p

rovi

de s

imila

r se

rvic

es.1

he

requ

ire-

men

t tha

t dat

a be

com

mun

icat

ed w

ithtn

rea

sona

ble

time

may

be

satis

fied

in d

iffe

rent

way

s. F

or in

stan

ce,

a da

ta c

ontr

olle

r w

ho p

rovi

des

info

rmat

ion

to d

ata

subj

ects

at r

egul

ar in

terv

als

may

be

exem

pted

fro

m o

blig

atio

nsto

resp

ond

at o

nce

to in

divi

dual

req

uest

s. N

orm

ally

, the

tim

eis

to b

e co

unte

dfr

om th

e re

ceip

t of

a re

ques

t. It

s le

ngth

may

var

y to

som

e ex

tent

fro

m

6 5

1-,

CIN

one

situ

atio

n to

ano

ther

dep

endi

ng o

n ci

rcum

stan

ces

such

as

the

natu

reof

the

data

pro

cess

ing

activ

ity. C

omm

unic

atio

n ot

suc

h da

ta "

ina

reas

onab

lem

anne

r" m

eans

, am

ong

othe

r th

ings

, tha

t pro

blem

s of

geo

grap

hica

l dis

tanc

esh

ould

be

give

n du

e at

tent

ion.

Mor

eove

r, it

inte

rval

sar

e pr

escr

ibed

bet

wee

nth

e tim

es w

hen

requ

ests

for

acc

ess

mus

t be

met

, suc

h in

terv

als

shou

ld b

ere

ason

able

. The

ext

ent t

o w

hich

dat

a su

bjec

ts s

houl

d be

abl

eto

obt

ain

copi

es o

f da

ta r

elat

ing

to th

cm is

a m

atte

r of

impl

emen

tatio

n w

hich

mus

tbe

left

to th

e de

cisi

on o

f ea

ch M

embe

r co

untr

y..1

he

righ

t to

reas

ons

in P

arag

raph

13(

c) is

nar

row

in th

ese

nse

that

itis

lim

ited

to s

ituat

ions

whe

re r

eque

sts

for

info

rmat

ion

have

bee

n re

fuse

d.A

bro

aden

ing

of th

is r

ight

to in

clud

e re

ason

s fo

r ad

vers

e de

cisi

ons

in g

ener

al,

base

d on

the

use

ot p

erso

nal d

ata,

met

with

sym

path

y in

the

Exp

ert

Gro

up.

I lo

wev

er, o

n fi

nal c

onsi

dera

tion

a ri

ght o

f th

is k

ind

was

thou

ght t

o be

too

broa

d fo

r in

sert

ion

in th

e pr

ivac

y fr

amew

ork

cons

titut

ed b

y th

e G

uide

lines

.Ih

is is

not

to s

ay th

at a

rig

)rt t

o re

ason

s fo

r ad

vers

e de

cisi

ons

may

not

be

appr

opri

ate,

e.g

. in

orde

r to

info

rm a

nd a

lert

a s

ubje

ctto

his

rig

hts

so th

at h

eca

n ex

erci

se th

em e

ttect

ivel

y.61

I he

rig

ht to

cha

lleng

e in

I3(

c) a

nd (

d) is

bro

ad in

scop

e an

d in

clud

esfi

rst i

nsta

nce

chal

leng

es to

dat

a co

ntro

llers

as

wel

l as

subs

eque

nt c

halle

nges

in c

ourt

s, a

dmin

istr

ativ

e bo

dies

, pro

fess

iona

l org

ans

or o

ther

inst

itutio

nsac

cord

ing

to d

omes

tic r

ules

of

proc

edur

e (c

ompa

re w

ith P

arag

raph

19 o

fth

e (m

idel

ines

l. H

ie r

ight

to c

halle

nge

does

not i

mpl

y th

at th

c da

ta s

ubje

ctca

n de

cide

wha

t rem

edy

or r

elie

f is

ava

ilabl

e (r

ectit

icat

ion,

ann

otat

ion

that

,lata

are

in d

ispu

te, e

tc.)

: suc

h m

atte

rs w

ill b

e de

cide

d by

dom

estic

law

and

lega

l pro

cedu

res.

Gen

eral

ly s

peak

ing,

the

crite

ria

whi

ch d

ecid

eth

e ou

tcom

eot

a c

halle

nge

arc

thos

e w

hich

are

sta

ted

else

whe

re in

the

Gui

delin

es.

Para

grap

h 14

:A

ccou

ntab

ility

Pri

ncip

le

62.

I he

dat

a co

ntro

ller

deci

des

abou

t dat

a an

d da

ta p

roce

ssin

g ac

tiviti

es.

Itis

tor

his

bene

fit t

hat t

he p

roce

ssin

g of

dat

a is

car

ried

out

. Acc

ordi

ngly

,it

ises

sent

ial t

hat u

nder

dom

estic

law

acc

ount

abili

ty to

r co

mpl

ying

with

pris

acy

prot

ectio

n ru

les

and

deci

sion

s sh

ould

be

plac

edon

the

data

con

trol

-le

r w

ho s

houl

d no

t be

relie

ved

of th

is o

blig

atio

n m

erel

ybe

caus

e th

e pr

o-ce

ssin

g ot

dat

ais

car

ried

out

on

his

beha

lf b

y an

othe

rpa

rty,

suc

h as

ase

n ic

e bu

reau

. On

the

othe

r ha

nd, n

othi

nr, i

n th

e G

uide

lines

prev

ents

ser

-ic

e bu

reau

x pe

rson

nel,

"dep

ende

nt u

sers

'(s

ee p

arag

raph

40)

and

oth

ers

irom

als

o be

ing

held

acc

ount

able

. For

inst

ance

, san

ctio

ns a

gain

st b

reac

hes

ol c

onfi

dent

ialit

y ob

ligat

ions

may

be

dire

cted

aga

inst

all

part

ies

entr

uste

dw

ith th

e ha

ndlin

g of

per

sona

l inf

orm

atio

n (c

f. P

arag

raph

19 o

f th

e G

uide

-lin

es).

Acc

ount

abili

ty u

nder

Par

agra

ph14

ref

ers

to a

ccou

ntab

ility

sup

-po

rted

bv

lega

l san

ctio

ns, a

s w

ell

as to

acc

ount

abili

ty e

stab

lishe

d by

cod

eson

duct

, foi

inst

ance

.

Para

grap

hs I

5-1

8: B

asic

Pri

ncip

les

of I

nter

natio

nal

App

licat

ion

o 3

I lie

prin

cipl

es o

tin

tern

atio

nal a

pplic

atio

n ar

e cl

osel

y in

terr

elat

ed.

t,eoe

rallv

spe

akin

g. P

arag

raph

IS c

once

rns

resp

ect b

y M

embe

r co

untr

ies

lot

C.R

Ii

othe

r's in

tere

still

Pro

tect

ing

pers

onal

dat

amd

the

priv

acy

and

indi

sidu

al li

bert

ies

ol th

eir

natio

nals

and

res

iden

ts. P

arag

raph

lo d

eals

with

secu

rity

issu

es in

a b

road

sen

se a

nd m

ay b

e sa

id to

cor

resp

ond,

at t

hc in

ter-

natio

nal l

evel

, to

Para

grap

h 11

of

the

Gui

delin

es. P

arag

raph

s 17

and

18

deal

with

res

tric

tions

on

free

flo

ws

of p

erso

nal d

ata

betw

een

Mem

ber

coun

trie

s;ba

sica

lly, a

s fa

r as

pro

tect

ion

of p

riva

cy a

nd in

divi

dual

libe

rtie

s is

con

cern

ed,

such

flo

ws

shou

ld b

e ad

mitt

ed a

s so

on a

s re

quir

emen

ts o

f th

e G

uide

lines

f o

rth

e pr

otec

tion

of th

ese

inte

rest

s ha

ve b

een

subs

tant

ially

, i.e

. eff

ectiv

ely,

fulf

illed

. The

que

stio

n of

oth

er p

ossi

ble

base

s of

res

tric

ting

tran

shor

der

flow

s of

per

sona

l dat

a is

not

dea

lt w

ith in

the

Gui

delin

es.

64.

For

dom

estic

pro

cess

ing

Para

grap

h 15

has

two

impl

icat

ions

. Fir

st, i

tis

dir

ecte

d ag

ains

t lib

eral

pol

icie

s w

hich

are

con

trar

y to

the

spir

it of

die

Gui

delin

es a

nd w

hich

fac

ilita

te a

ttem

pts

to c

ircu

mve

nt o

r vi

olat

e pr

otec

tive

legi

slat

ion

of o

ther

Mem

ber

coun

trie

s. H

owev

er, s

uch

circ

umve

ntio

n or

viol

atio

n, a

lthou

gh c

onde

mne

d by

all

Mem

ber

coun

trie

s, is

not

spe

cifi

cally

men

tione

d in

this

Par

agra

ph a

s a

num

ber

of c

ount

ries

fel

t it t

o be

una

ccep

t-ab

le th

at. o

ne M

embe

r co

untr

y sh

ould

be

requ

ired

to d

irec

tly o

r in

dire

ctly

enfo

rce,

ext

rate

rrito

rial

ly, t

he la

ws

of o

ther

Mem

ber

coun

trie

s.It

sho

uld

be n

oted

that

the

prov

isio

n ex

plic

itly

men

tions

the

re-e

xpor

t of

pers

onal

data

. In

this

rcs

pect

, Mem

ber

coun

trie

s sh

ould

bea

r in

min

d th

e ne

ed to

supp

ort e

ach

othe

r's e

ffor

ts to

ens

ure

that

per

sona

l dat

a ar

e no

t dep

rive

dof

pro

tect

ion

as a

res

ult o

f th

eir

tran

sfer

to te

rrito

ries

and

fac

ilitie

s fo

r th

epr

oces

sing

of

data

whe

re c

ontr

ol is

sla

ck o

r no

n-ex

iste

nt.

65.

Seco

ndly

, Mem

ber

coun

trie

s ar

e im

plic

itly

enco

urag

ed to

con

side

rth

e ne

ed to

ada

pt r

ules

-an

d pr

actic

es f

or th

e pr

oces

sing

of

data

to th

epa

rtic

ular

cir

cum

stan

ces

whi

ch m

ay a

rise

whe

n fo

reig

n da

ta a

nd d

ata

onno

n-na

tiona

ls a

re in

volv

ed. B

y w

ay o

f ill

ustr

atio

n, a

situ

atio

n m

ay a

rise

whe

re d

ata

on f

orei

gn n

atio

nals

are

mad

e av

aila

ble

for

purp

oses

whi

ch s

erve

the

part

icul

ar in

tere

sts

of th

eir

coun

try

of n

atio

nalit

y (e

.g. a

cces

s to

the

addr

esse

s of

nat

iona

ls:n

g ab

road

)._6

6.A

s fa

r as

the

Gui

delin

es a

rc c

once

rned

, the

enc

oura

gem

ent o

f in

ter-

natio

nal f

low

s of

per

sona

l dat

a is

not

an

undi

sput

ed g

oal i

n its

elf.

lo th

eex

tent

that

suc

h fl

ows

take

pla

ce th

ey s

houl

d, h

owev

er, a

ccor

ding

to P

ara-

grap

h 16

, be

unin

terr

upte

d an

d se

cure

, i.e

. pro

tect

ed a

gain

st u

naut

hori

sed

acce

ss, l

oss

of d

ata

and

sim

ilar

even

ts. S

uch

prot

ectio

n sh

ould

als

o be

giv

ento

dat

a in

tran

sit,

i.e. d

ata

whi

ch p

ass

thro

ugh

a M

embe

r co

untr

y w

ithou

tbe

ing

used

or

stor

ed w

ith a

vie

w to

usa

ge in

that

coun

try.

The

gen

eral

com

mitm

ent u

nder

Par

agra

ph 1

6 sh

ould

, as

far

as c

ompu

ter

netw

orks

are

conc

erne

d, h

e vi

ewed

aga

inst

the

back

grou

nd o

f th

e In

tern

atio

nal T

ele

com

mun

icat

ions

Con

vent

ion

of M

alag

a-T

orre

mol

inos

(25

th O

ctob

er, 1

973)

.A

ccor

ding

to th

at c

onve

ntio

n, th

e m

embe

rs o

f th

e In

tern

atio

nal '

l'ele

com

-m

unic

atio

ns U

nion

, inc

ludi

ng th

e O

EC

D M

embe

r co

untr

ies,

hav

e av

eed,

inte

r al

ia, t

o en

sure

the

esta

blis

hmen

t, un

der

the

best

tech

nica

l con

ditio

ns,

ot th

e ch

anne

ls a

nd in

stal

latio

ns n

eces

sary

to c

arry

on

the

rapi

d an

d un

inte

iru

pted

exch

ange

ofin

tern

atio

nal

tele

com

mun

icat

ions

. Mor

eove

r,th

em

embe

rs o

f IT

U h

ave

agre

ed to

take

all

poss

ible

mea

sure

s co

mpa

tible

with

the

tele

com

mun

icat

ions

sys

tem

use

d to

ens

ure

the

secr

ecy

ol in

ter-

natio

nal c

orre

spon

denc

e. A

s re

gard

s ex

cept

ions

, the

rig

ht to

sus

pend

inte

r-na

tiona

l tel

ecom

mun

icat

ions

ser

vice

s ha

s be

en r

eser

ved

and

so h

as th

e ri

ght

to c

omm

unic

a te

inte

rnat

iona

l cor

resp

onde

nce

to th

e co

mpe

tent

aut

hori

ties

in o

rder

to e

nsur

e th

e ap

plic

atio

n ol

inte

rnal

law

s oi

the

exec

utio

n of

inte

r,na

tiona

l con

vent

ions

to w

hich

mem

bers

of

the

ITU

are

par

ties.

'the

se p

ro-,

'",

visi

ons

appl

y as

long

as

data

mov

e th

roug

h te

leco

mm

unic

atio

ns li

nes

6 7

thei

r co

ntex

t, th

e G

uide

lines

con

stitu

tea

com

plem

enta

ry s

afeg

uard

that

inte

rnat

iona

l flo

ws

of p

erso

nal d

ata

shou

ldbe

uni

nter

rupt

ed a

ndse

cure

.67

.Pa

ragr

aph

17 r

einf

orce

s Pa

ragr

aph

16as

far

as

rela

tions

hips

bet

wee

nM

embe

r co

untr

ies

are

conc

erne

d. I

tde

als

with

inte

rest

s w

hich

are

oppo

sed

tofr

ee tr

ansb

ortk

r fl

ows

of p

erso

nal

data

but

whi

ch m

ay n

ever

thel

ess

cons

titut

e le

gitim

ate

grou

nds

tor

rest

rict

ing

such

flo

ws

betw

een

Mem

ber

coun

trie

s. A

typi

cal e

xam

ple

wou

ldbe

atte

mpt

s to

cir

cum

vent

nat

iona

lle

gisl

atio

n by

pro

cess

ing

data

ina

Mem

ber

coun

try

whi

ch d

oes

not y

er s

ub-

stan

tially

obs

erve

the

Gui

delin

es.

Para

grap

h 17

est

ablis

hes

a st

anda

rd o

feq

uiva

lent

pro

tect

ion,

by

whi

ch is

mea

nt p

rote

ctio

n w

hich

is s

ubst

antia

llysi

mila

r in

eff

ect t

o th

at o

f th

eex

port

ing

coun

try,

but

whi

ch n

eed

not b

eid

entic

al in

for

m o

r in

all

resp

ects

. As

in P

arag

raph

IS,

the

re-e

xpor

t of

pers

onal

dat

a is

spe

cifi

cally

men

tione

din

this

cas

e w

ith a

vie

wto

prev

entin

g at

tem

pts

to c

ircu

mve

nt th

e do

mes

tic p

riva

cy le

gisl

atio

nof

mem

ber

coun

trie

s.T

he th

ird

cate

gory

of

grou

nds

for

legi

timat

e re

stri

c-tio

ns m

entio

ned

in P

arag

raph

17, c

once

rnin

g pe

rson

al d

ata

of a

spe

cial

natu

re, c

over

s si

tuat

ions

whe

re im

port

ant

inte

rest

s of

Mem

ber

coun

trie

sco

uld

be a

ffec

ted.

Gen

eral

lysp

eaki

ng, h

owev

er, P

arag

raph

17

is s

ubje

ctto

. Par

agra

ph 4

of

the

Gui

delk

es w

hich

impl

ies

that

res

tric

tions

on

flow

sof

per

sona

l dat

a sh

ould

be

kept

to a

min

imum

.68

.Pa

ragr

aph

18 a

ttem

pts

to e

nsur

e th

at p

riva

cy p

rote

ctio

n in

tere

sts

are

bala

nced

aga

inst

inte

rest

s of

fre

etr

ansb

orde

r fl

ows

of p

erso

nal d

ata.

Itis

dir

ecte

d in

the

firs

t pla

ceag

ains

t the

cre

atio

n of

bar

rier

sto

flo

ws

of p

erso

nal d

ata

whi

char

e ar

tific

ial f

ront

the

poin

t of

view

of

prot

ectio

nof

pri

vacy

and

indi

vidu

al li

bert

ies

and

fulf

il re

stri

ctiv

epu

rpos

es o

f ot

her

kind

s w

hich

are

thus

not o

penl

y an

noun

ced.

I lo

wev

er, P

arag

raph

18 is

not

inte

nded

to li

mit

the

righ

tsol

Mem

ber

coun

trie

s to

reg

ulat

etr

ansb

orde

rfl

ows

of p

erso

nal d

ata

inar

eas

rela

ting

to f

ree

trad

e, ta

riff

s, e

mpl

oym

ent,

and

rela

ted

econ

omic

con

ditio

ns f

orin

tern

atio

nal d

ata

trat

fie

.I

hese

are

mat

ters

whi

ch %

sere

not

ddr

esse

d by

the

Exp

ert G

roup

, bei

ng o

utsi

de it

sM

anda

te.

Para

grap

h 19

:N

atio

nal I

mpl

emen

tatio

n

69.

.1he

det

aile

d im

plem

enta

tion

ofPa

rts

Tw

o an

d Ih

ree

of th

e G

uide

lines

is le

ft in

the

firs

t pla

ceto

Mem

ber

coun

trie

s. I

t is

boun

dto

var

y ac

cord

ing

todi

t fer

ent

lega

lsy

steo

ts a

nd tr

aditi

ons,

and

Par

agra

ph19

ther

e! o

reat

tem

pts

mer

ely

to e

stab

lish

a ge

nera

l fra

mew

ork

indi

catin

g in

bro

ad te

rms

wha

t kin

d of

nat

ion-

1 m

achi

nery

is e

nvis

aged

for

put

ting

the

Gui

delin

esin

to e

ffec

t. T

he o

peni

ngse

nten

ce s

how

s th

e :d

iffe

rent

appr

oach

es w

hich

mig

ht h

e ta

ken

by c

ount

ries

,bo

th g

ener

ally

and

with

resp

ect t

o co

ntro

lm

echa

nism

s (e

g.

spec

ially

set u

p su

perv

isor

y bo

dies

, exi

stin

g co

ntro

lfa

cilit

ies

such

as

cour

ts, p

ublic

auth

oriti

es, e

tc.)

.70

In P

arag

raph

19(

a) c

ount

ries

are

invi

ted

to a

dopt

app

ropr

iate

dom

estic

legi

slat

ion,

the

wor

d "a

ppro

pria

te"

fore

shad

owin

g th

e ju

dgem

ent b

yin

di-

vidu

al c

ount

ries

of

the

appr

opri

aten

ess

or o

ther

wis

e of

legi

slat

ive

solu

tions

.Pa

ragr

aph

190i

) co

ncer

ning

sel

Ere

gula

tion

is a

ddre

ssed

pri

mar

ilyto

com

mon

lass

cou

ntri

es w

here

non

-leg

isla

tive

impl

emen

tatio

n of

the

Gui

delin

esw

ould

com

plem

ent l

egis

lativ

e ac

tion.

Para

grap

h 19

0 sh

ould

be

give

na

la o

adm

ierp

reta

tion,

ii in

clud

es s

uch

mea

nsas

adv

ice

from

dat

a co

ntro

ller.

and

the

prov

isio

n of

ass

ista

nce,

incl

udin

g le

gal a

id. P

arag

raph

19(

d) p

erm

itsdi

ffer

ent a

ppro

ache

s to

the

issu

e of

con

trol

mec

hani

sms:

bri

efly

, eith

er th

ese

tting

-up

of s

peci

al s

uper

viso

ry b

odie

s, o

r re

lianc

e on

alr

eady

exi

stin

gco

ntro

l fac

ilitie

s, w

heth

er in

the

form

of

cour

ts, e

xist

ing

publ

ic a

utho

ritie

sor

oth

erw

ise.

Par

agra

ph 1

9(e)

dea

ling

with

dis

crim

inat

ion

is d

irec

ted

agai

nst

unfa

ir p

ract

ices

but

leav

es o

pen

the

poss

ibili

ty o

f "b

enig

ndi

scri

min

atio

n"to

sup

port

dis

adva

ntag

ed g

roup

s, f

or in

stan

ce. T

he p

rovi

sion

is d

irec

ted

agai

nst u

nfai

r di

scri

min

atio

n on

suc

h ba

ses

as n

atio

nalit

y an

d do

mic

ile,

sex,

race

, cre

ed, o

r tr

ade

unio

n af

filia

tion.

Para

grap

h 20

:In

form

atio

n E

xcha

nge

and

Com

patib

le P

roce

dure

s

71. T

wo

maj

or p

robl

ems

are

deal

t with

her

e, v

iz. (

a) th

e ne

edto

ens

ure

that

info

rmat

ion

can

be o

btai

ned

abou

t rul

es, r

egul

atio

ns,

deci

sion

s, e

tc.

whi

ch im

plem

ent t

he G

uide

lines

, and

(h

) th

e ne

edto

avo

id tr

ansh

orde

rfl

ows

of p

erso

nal d

ata

bein

g ha

mpe

red

byan

unn

eces

sari

ly c

ompl

ex a

nddi

spar

ate

fram

ewor

k of

pro

cedu

res

and

com

plia

nce

requ

irem

ents

.T

he f

irst

prob

lem

ari

ses

beca

use

of th

e co

mpl

exity

of

priv

acy

prot

ectio

n re

gula

tion

and

data

pol

icie

s in

gen

eral

. The

rear

e of

ten

seve

ral l

evel

s of

reg

ulat

ion

(in

a br

oad

sens

e) a

nd m

any

impo

rtan

t rul

esca

nnot

be

laid

dow

n pe

rma-

nent

ly in

det

aile

d st

atut

ory

prov

isio

ns; t

hey

have

to b

e ke

pt f

airl

y op

en a

ndle

ft to

the

disc

retio

n of

low

er-l

evel

dec

isio

n-m

akin

gbo

dies

.72

. The

impo

rtan

ce o

f th

e se

cond

pro

blem

is,

gene

rally

spe

akin

g, p

ro-

port

iona

l to

the

num

ber

of d

omes

tic la

ws

whi

ch a

ffec

ttr

ansb

orde

r fl

ows

ofpe

rson

al d

ata.

Eve

n at

the

pres

ent

stag

e, th

ere

are

obvi

ous

need

s fo

r co

-or

dina

ting

spec

ial p

rovi

sion

s on

tran

sbor

der

data

flo

ws

indo

mes

tic la

ws,

incl

udin

g sp

ecia

l arr

ange

men

ts r

elat

ing

to c

ompl

ianc

e co

ntro

l and

, whe

rere

quir

ed, l

icen

ces

to o

pera

te d

ata

proc

essi

ngsy

stem

s.

Para

grap

h 21

: Mac

hine

ry f

or C

o-op

erat

ion

73. T

he p

rovi

sion

on

natio

nal p

roce

dure

sas

sum

es th

at th

e G

uide

lines

will

form

a b

asis

for

con

tinue

d co

-ope

ratio

n. D

ata

prot

ectio

nau

thor

ities

and

spec

ialis

ed b

odie

s de

alin

g w

ith p

olic

yis

sene

s in

info

rmat

ion

and

data

com

-m

unic

atio

ns a

re o

bvio

us p

artn

ers

in s

uch

a co

-ope

ratio

n. I

n pa

rtic

ular

, the

seco

nd p

urpo

se o

f su

ch m

easu

res,

con

tain

ed in

Par

agra

ph2I

(ii)

, i.e

. mut

ual

aid

in p

roce

dura

l .m

atte

rs a

ndre

ques

ts f

or in

form

atio

n, is

fut

ure-

orie

nted

:its

pra

ctic

al s

igni

fica

nce

is li

kely

to g

row

as

inte

rnat

iona

l dat

a ne

twor

ksan

d th

e co

mpl

icat

ions

ass

ocia

ted

with

them

bec

ome

mor

e nu

mer

ous.

Para

grap

h 22

: Con

flic

ts o

f L

aws

74. T

he E

xper

t Gro

up h

as d

evot

ed c

onsi

dera

ble

atte

ntio

n to

issu

es o

fco

nflic

ts o

f la

ws,

and

in th

e fi

rst p

lace

to th

e qu

estio

ns a

s to

whi

ch c

ourt

ssh

ould

hav

e ju

risd

ictio

n ov

er s

peci

fic

issu

es (

choi

ceof

jura

lictio

n)an

dw

hich

sys

tem

of

law

sho

uld

gove

rn s

peci

fic

issu

es (

choi

ce o

f la

w).

The

disc

ussi

on o

f di

ffer

ent s

trat

egie

s an

d pr

opos

edpr

inci

ples

has

con

firm

edth

e vi

ew th

at a

t the

pre

sent

stag

e, w

ith th

e ad

vent

of

such

rap

id c

hang

esin

tech

nolo

gy, a

nd g

iven

the

non-

bind

ing

natu

re o

f th

e G

uide

lines

, no

atte

mpt

sho

uld

be m

ade

to p

ut f

orw

ard

spec

ific

, det

aile

dso

lutio

ns.

Dif

ficu

lties

are

boun

d to

ari

se w

ith r

espe

ct to

bot

h th

e ch

oice

of

a

69

[ 4 9

theoretically sound regulatory model and the need for additional experienceabout the implications of solutions which in themselves are possible.75. As reprds the question of choice of law, onc way of approaching theseproblems is to identity one or more connecting factors which, at best,indicate one applicable law. This is particularly difficult in the case ofinternational computer networks where, because of dispersed location andrapid movement of data, and geographically dispersed data processingactivities, several connecting factors could occur in a complex manner in-volving, _elements of legal novelty. Moreover, it is not evident what valueshou10. presently be attributed to rules which by mechanistic applicationestablish the specific national law to be applied. For one thing, the appro-priateness of such a solution seems to depend upon the existence of bothsimilar legal concepts and rule structures, and binding commitments ofnations to observe certain standards of personal data protection. In theabsence ot these conditions, an attempt could be made to formulate moreflexible principles which involve a search for a "proper law" and are linkedto the purpose of ensuring effective protection ot privacy and individualliberties. Thus, in a situation where several laws may be applicable, it has,been suggested that one solution could be to give preference to the domesticlaw offering the best protection of personal data. On the other hand, itmay be argued that solutions of this kind leave too much uncertainty, notleast from the point ot view ot the data controllers who may wish to know,where necessary in advance, by which national systems ot rules an inter-national data processing system will be governed.76. In view of these difficulties, and considering that problems of conflictsof laws might best be handled within the total framework of personal andnon-personal data, the Expert Group has decided to content itself with astatement which merely signals the issues and recommends that Membercountries should work towards their solution.

Follow -up

77. l'he Expert Group called attention to the terms of Recommendation 4on the Guidelines which suggests that Member countries agree as soon aspossible on specific procedures ot consultation and co-operation for theapplication of the Guidelines.

7

..

so

APPENDIX TWO

Convention for the Protection of Individualswith Regard to Automatic Processing of

Personal Data

Source: Pipe, Russell. A Business Guide to Privacy and DataProtection Legislation. (Paris: ICC Publishing S.A.,1981), 344-352.

COUNCILOF EUROPE

[50]

CONVENTION FOR THE PROTECTION OF INDIVIDUALSWITH REGARD TO AUTOMATIC PROCESSING

OF PERSONAL DATA

72

[ 51]

PREAMBLE

The member States of the Council of Europe, signatory hereto.

Considering that the aim of the Council of Europe is to achieve greater unity between itsmembers, based in particular on respect for the rule of law, as well as human rights andfundamental freedoms ;

Considering that it is desirable to extend the safeguards for everyone's rights and funda-mental freedoms, and in particular the right to the respect for privacy; taking account of theincreasing flow across frontiers of personal data undergoing automatic processing ;

Reaffirming at the same time their commitment to freedom of information regardless offrontiers

Recognising that it is necessary to reconcile the fundamental values of the respect forprivacy and the free flow of information between peoples,

Have agreed as follows :

CHAFTER I GENERAL PROVISIONS

Article 1

Object and purpose

The purpose of this convention is to secure in the territory of each Party for everyindividual, whatever his nationality or residence, respect for his rights and fundamental freedoms.and in particular his right to privacy, with regard to automatic processing of personal datarelating to him ("data protection").

Article 2

Definitions

For the purposes of this convention :

a. 13personal data" means any information relating to an identified or identifiable individ-ual ("data subject") ;

b. "automated data file" means any set of data undergoing automatic processing ;

c. "automatic processing" includes the following operations if carried out in whole or inpart by automated means : storage of data. carrying out of logical and/or arithmetical operationson those data, their alteration, erasure. retrieval or dissemination ;

d. "controller of the file" means the natural or legal person, public authority, agency orany other body who is competent according to the national law to decide what should be thepurpose of the automated data file. which categories of personal data should be stored and whichoperations should be applied to them.

",3

L 5 2 j

Article 3

Scope

1. The Parties undertake to apply this convention to automated personal data files andautomatic processing of personal data in the public and private actors.

2. Any State may. at the time of signature or when depositing its instrument of ratification.acceptance, approval or accession, or at any later time, give notice by a declaration addressed tothe Secretary General of the Council of Europe :

a. that it will not apply this convention to certain categories of automated personal datafiles, a list of which will be deposited. In this list it shall not include, however, categories ofautomated data files subject under its domestic law to data protection provisions. Consequently,it shall amend this list by a new declaration whenever additional categories of automatedpersonal data files are subjected to data protection provisions under its doniesti: law ;

b. that it will also apply this convention to information relating to groups of persons,associations, foundations, companies, corporations and any other bodies consisting directly orindirectly of individuals, whether or not such bodies possess legal personality ;

c. that it will also apply this convention to personal data files which are not processedautomatically.

3. Any State which has extended the scope of this convention by any of the declarationsprovided for in sub-paragraph 2.b or c above may give notice in the said declaration that suchextensions shall apply only to certain categories of personal data files, a list of which will bedeposited.

4. Any Party which has excluded certain categories of automated personal data files by adeclaration provided for in sub-paragraph 2.a above may not claim the application of thisconvention to such categories by a Party which has not excluded them.

3. Likewise. a Party which has not made one or other of the extensions provided for in sub-paragraphs 2.6 and c above may not claim the application of this convention on these pointswith respect to a Party which has made such extensions.

6. The declarations provided for in paragraph 2 above shall take effect from the moment ofthe entry into force of the convention with regard to the State which has made them if they havebeen made at the time of signature or deposit of its instrument of ratification, acceptance,approval or accession, or three months dfter their receipt by the Secretary General of the Councilof Europe if they have been made at any later time. These declarations may be withdrawn, inwhole or in part, by a notification addressed to the Secretary General of the Council of Europe.Such withdrawals shall take effect three months after the date of receipt of such notification.

CHAPTER II BASIC PRINCIPLES FOR DATA PROTECTION

Article 4

Duties of the Parties

Each Party shall take the necessary measures in its domestic law to give effect to the basicprinciples for data protection set out in this chapter.

2 These measures shall be taken at the latest at the time of entry into force of thisconkention in respect of that Party.

[ 53

Article 5Quality of data

Personal-data undergoing automatic processing shall be :a. obtained and processed fairly and lawfully ;b. stored for specified and legitimate purposes and not used in a way incompatible with

those purposes ;

c. adequate, relevant and not excessive in relation to the purposes for which they arestored ;

d. accurate and, where necessary, kept up to date ;e. preserved in a form which permits identification of the data subjects for no longer than

is required for the purpose for which those data are stored.

Article 6

Special categories of data

Personal data revealing racial origin, political opinions or religious or other beliefs, as wellas personal data concerning health or sexual life, may not be processed automatically unlessdomestic law provides appropriate safeguards. The same shall apply to personal data relating tocriminal convictions.

Article 7

Data security

Appropriate security measures shall be taken for the protection of personal data stored inautomated data files against accidental or unauthorised destruction or accidental loss as well asaRainst unauthorised access, alteration or dissemination.

Article 8

Additional safeguards for the data subject

Any person shall be enabled :

a. to establish the existence of an automated personal data file, its main purposes. as wellas the identity and habitual residence or principal place of business of the controller of the file :

b. to obtain at reasonable intervals and without excessive delay or expense confirmation ofwhether personal data relating to him are stored in the automated data file as well as communi-cation to him of such data in an intelligible form :

c. to obtain, as the case may be. rectification or erasure of such data if these havebeen processed contrary to the provisions of domestic law giving effect to the basic principles setout in Articles 5 and 6 of this convention ;

d. to have a remedy if a request for confirmation or. as the case may be. communication.rectification or erasure as referred to in paragraphs b and c of this article is not complied with.

Article 9

Exceptions and restrictions

I. No exception to the provisions of Articles 5. 6 and 8 of this convention shall be all(w edexcept within the limits defined in this article.

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2. Derogation from the provisions of Articles 5. 6 and 8 of this convention shall be allowedwhen such derogation is provided for by the law of the Party and constitutes a necessary measurein a democratic society in the interests of :

a. protecting State security, public safety, the monetary interests of the State or thesuppression of criminal offences ;

b. protecting the data subject or the rights and freedoms of others.

3. Restrictions on the exercise of the rights specified in Article 8, paragraphs b, c and d.may be provided by law with respect to automated personal data files used for statistics or forscientific research purposes when there is obviously no risk of an infringement of the privacy ofthe data subjects.

Article 10

Sanctions and remedies

Each Party undertakes to establish appropriate sanctions and remedies for violations ofprovisions of domestic law giving effect to the basic principles for data protection set out in thischapter.

Article 11

Extended protection

None of the provisions of this chapter shall be interpreted as limiting or otherwiseaffecting the possibility for a Party to grant data subjects a wider measure of protection than thatstipulated in this convention.

CHAPTER III TRANSBORDER DATA FLOWS

Article 12

Transborder flows of personal data and domestic law

1. The following provisions shall apply to the transfer across national borders, by whatevermedium. of personal data undergoing automatic processing or collected with a view to their beingautomatically processed.

2. A Party shall not. for the sole purpose of the protection of privacy, prohibit or subject tospecial authorisation transborder flows of personal data going to the territory of another Party.

3. Nevertheless. each Party shall be entitled to derogate from the provisions of paragraph 2 :

a. insofar as its legislation includes specific regulations for certain categories of personaldata or of automated personal data files, because of the nature of those data or those files.except where the regulations of the other Party provide an equivalent protection :

b. when the transfer is made from its territory to the. territory of a non-Contracting Statethrough the intermediary of the territory of another Party, in order to avoid such transfersresulting in circumvention of the legislation of the Party referred to at the beginning of thisparagraph.

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CHAPTER IV MUTUAL ASSISTANCE

Article 13

Co-operation between Parties1. The Parties agree to render each other mutual assistance in order to implement thisconvention.

2. For that purpose :

a. each Party shall designate one or more authorities, the name and address of each ofwhich it shall communicate to the Secretary General of the Council of Europe :

b. each Party which has designated more than one authority shall specify in its com-munication referred to in the previous sub-paragraph the competence of each authority.3. An authority designated by a Party shall at the request of an authority designated byanother Party :

a. furnish information on its law and administrative practice in the field of dataprotection ;

b. take, in conformity with its domestic law and for the sole purpose of protection ofprivacy, all appropriate measures for furnishing factual information relating to specific automaticprocessing carried out in its territory, with the exception however of the personal data beingprocessed.

Article 14

Assistance to data subjects resident abroad

1. Each Party shall assist any person resident abroad to exercise the rights conferred by itsdomestic law giving effect to the principles set out in Article 8 of this convention.

2. When such a person resides in the territory of another Party he shall be given the optionof submitting his request through the intermediary of the authority designated by that Party.3. The request for assistance shall contain all the necessary particulars. relating inter aliato :

a. the name, address and any other relevant particulars identifying the person making therequest :

b. the automated personal data file to which the request pertains. or its controller ;

c. the purpose of the request.

Article 15

Safeguards concerning assistance rendered by designated authorities1. An authority designated by a Party which has received information from an authoritydesignated by another Party either accompanying a request for assistance or in reply to its ov.nrequest for assistance shall not use that information for purposes other than those specified inthe request for assistance.

2. Each Party shall see to it that the persons belonging to or acting on behalf of thedesignated authority shall be bound by appropriate obligations of secrecl. or confidentiality v.ithregard to that information.

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3. In no case may a designated authority be allowed to make under Article 14. paragraph 2.a request for assistance on behalf of a data subject resident abroad, of its own accord andv.ithout the express consent of the person concerned.

Article 16

Refusal of requests for assistance

A designated authority to which a request for assistance is addressed under Articles 13 or14 of this convention may not refuse to comply with it unless :

a. the request is not compatible with the powers in the field of data protection of theauthorities responsible for replying ;

b. the request does not comply with the provisions of this convention ;

c. co mpliance with the request would be incompatible with the sovereignty, security orpublic policy (ordre public) of the Party by which it was designated, or with the rights andfundamental freedoms of persons under the jurisdiction of that Party.

Article 17

Costs and procedures of assistance

1. Mutual assistance which the Parties render each other under Article 13 and assistancethey render to data subjects abroad under Article 14 shall not give rise to the payment of anycosts or fees other than those incurred for experts and interpreters. The latter costs or fees shallbe borne by the Party which has designated the- authority making the request for assistance.

2. The data subject may not be charged costs or fees in connection with the steps taken onhis behalf in the territory of another Party other than those lawfully payable by residents of thatParty.

3. Other details concerning the assistance relating in particular to the forms and proceduresand the languages to be used, shall be established directly between the Parties concerned.

CHAPTER V CONSULTATIVE COMMITTEE

Article 18

Composition of the committee

1.

2.

A Consultative Committee shall be set up after the entry into force of this convention.

Each Party shall appoint a representative to the committee and a deputy representative.Any member State of the Council of Europe which is not a Party to the convention shall have theright to be represented on the committee by an observer.

3. The Consultative Committee may. by unanimous decision, invite any non-member State ofthe Council of Europe which is not a Party to the convention to be represented by an observer ata given meeting.

:

Article 19

Functions of the committee

Consultative Committeea. may make proposals with a view to facilitating or

entimproving the application of the

cony

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b. may make proposals for amendment of this convention in accordance with Article 21

c. shall formulate its opinion on any proposal for amendment of this convention which isreferred to it in accordance with Article 21. paragraph 3 ;

d. may. at the request of a Party, express an opinion on any question concerning theapplication of this convention.

Article 20

Procedure

I. The Consultative Committee shall be convened by the Secretary General of the Council ofEurope. Its first meeting shall be held within twelve months of the entry into force of thisconvention. It shall subsequently meet at least once every two years and in any case when one-third of the representatives of the Parties request its convocation.

2. A majority of representatives of the Parties shall constitute a quorum for a meeting of theConsultative Committee.

3. After each of its meetings, the Consultative Committee shall submit to the Committee ofMinisters of the Council of Europe a report on its work and on the functioning of the convention.

4. Subject to the provisions of this convention, the Consultative Committee shall draw up itsown Rules of. Procedure.

CHAPTER VI AMENDMENTS

Article 21

Amendments

1. Amendments to this convention may be proposed by a Party, the Committee of Ministersof the Council of Europe or the Consultative Committee.

2. Any proposal for amendment shall be communicated by the Secretary General of theCouncil of Europe to the member States of the Council of Europe and to every non-memberState which has acceded to or has been invited to accede to this convention in accordance withthe provisions of Article 23.

3. Moreover, any amendment proposed by a Party or the Committee of Ministers shall becommunicated to the Consultative Committee, which shall submit to the Committee of Ministersits opinion on that proposed amendment.

The Committee of Ministers shall consider the proposed amendment and any opinionsubmitted by the Consultative Committee and may approve the amendment.

5 The text of any amendment approved by the Committee of Ministers in accordance withparagraph 4 of this article shall be forwarded to the Parties for acceptance.

6. Any amendment approved in accordance with paragraph 4 of this article shall come intoforce on the thirtieth day after all Parties have informed the Secretary General of their accept-ance thereof.

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CHAPTER VII FINAL CLAUSES

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Article 22

Entry into force

I. This convention shall be open for signature by the member States of the Council ofEurope. It is subject to ratification, acceptance or approval. Instruments of ratification, accept-ance or approval shall be deposited with the Secretary General of the Council of Europe.

2. This convention shall enter into force on the first day of the month following theexpiration of a period of three months after the date on which five member States of the Councilof Europe have expressed their consent to be bound by the convention in accordance with theprovisions of the preceding paragraph.

3. In respect of any member State which subsequently expresses its consent to be bound byit. the convention shall enter into force on the first day of the month following the expiration of aperiod of three months after the date of the deposit of the instrument of ratification. acceptanceor approval.

Article 23

Accession by non-member States

I. After the entry into force of this convention. the Committee of Ministers of the Council ofEurope may invite any State not a member of the Council of Europe to accede to this conventionby a decision taken by the majority provided for in Article 20.d of the Statute of the Council ofEurope and by the unanimous vote of the representatives of the Contracting States entitled to siton the committee.

2. In respect of any acceding State. the convention shall enter into force on the first day ofthe month following the expiration of a period of three months after the date of deposit of theinstrument of accession with the Secretary General of the Council of Europe.

Article 24

Territorial clause

1 Any State may at the time of signature or when depositing its instrument of ratification.acceptance. approval or accession, specify the territory or territories to which this conventionshall apply.

2 Any State may at any later date. by a declaration addressed to the Secretary General ofthe Council of Europe. extend the application of this convention to any other territory specifiedin the declaration. In respect of such territory the convention shall enter into force on the firstday of the month following the expiration of a period of three months after the date of receipt ofsuch declaration by the Secretary General.

3. Any declaration made under the tv.o preceding paragraphs may. in respect of any territoryspecified in such declaration, be withdrawn by a notification addressed to the Secretary General.The withdrawal shall become effective on the first day of the month following the expiration of aperiod of six months after the date of receipt of such notification by the Secretary General.

Article 25

Reservations

No reser% ation may be made in respect of tht pro%isions of this consention.

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Article 26

Denunciation

Any Party may at any time denounce this convention by means of a notification addressedto the Secretary General of the Council of Europe.

2. Such denunciation shall become effective on the first day of the month following theexpiration of a period of six months after the date of receipt of the notification by the SecretaryGeneral.

Article 27

Notifications

The Secretary General of the Council of Europe shall notify the member States of theCouncil and any State which has acceded to this convention of :

a. any signature ;

b. the deposit of any instrument of ratification, acceptance, approval or accession ;c. any date of entry into force of this convention in accordance with Articles 22, 23

and 24 ;

d. any other act, notification or communication relating to this convention.

In witness whereof the undersigned.being duly authorised thereto, have signedthis Convention.

Done at Strasbourg, the day ofJanuary 1981. in English and in French,both texts being equally authoritative, in asingle copy which shall remain deposited inthe archives of the Council of Europe. TheSecretary General of the Council of Europeshall transmit certified copies to each of thesignatory and acceding States.