Source: https://pdpecho.com/2017/04/24/summary-of-the-opinion-of-ag-kokott-in-puskar-on-effective-judicial-remedies-and-lawful-grounds-for-processing-other-than-consent/
Timestamp: 2019-04-20 00:51:00+00:00

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The Conclusions of Advocate General Kokott in C-73/16 Puškár were published on 30 March and remained under the radar, even though they deal with a couple of very important questions for EU data protection law that may have wide implications: effective judicial remedies, lawful grounds for processing other than consent, the right to access one’s own personal data. As a bonus, the AG refers to and analyses Article 79 GDPR – the right to a judicial remedy.
The analysis regarding effective judicial remedies under Article 47 Charter and Directive 95/46 could be relevant for the debate on essentially equivalence when it comes to adequacy decisions for international data transfers (for those of you who don’t remember, one of the two main findings in Schrems was that the Safe Harbor framework touched the essence of the right to effective judicial remedies, breaching thus Article 47 Charter). In this sense, the AG founds that a measure that does not restrict the category of people who could in principle have recourse to judicial review does not touch the essence of this right. Per a contrario, if a measure does restrict these categories of people, it would touch the essence of the right to an effective judicial remedy, and, therefore, it would breach the Charter.
Finally, a question of great importance for EU law in general is also tackled: what should national courts do when the case-law of the CJEU and the case-law of the ECtHR diverge regarding the protection of fundamental rights?
Note that all highlights from the post are made by the author.
C-73/16 Puškár concerns the request of Mr Puškár to have his name removed from a blacklist kept by the Finance Directorate of Slovakia which contains names and national ID numbers for persons “who purport to act, as ‘fronts’, as company directors”. The list associates a legal person or persons with a natural person who supposedly acted on their behalf (§15) and is created for the purposes of tax administration and combating tax fraud (§23 2nd question for a preliminary ruling). It transpires from several paragraphs of the Conclusions that Mr Puskar found out about the list and the fact that he is on the list from a leak (§23 2nd question;§72; §76). Instead of relying on the more straightforward right to erasure or right to object under data protection law, Mr Puškár claimed that “his inclusion in the above mentioned list infringes his personal rights, specifically the right to the protection of his good name, dignity and good reputation” (§16).
whether national courts should give precedence to the case-law of the CJEU or the case-law of the ECtHR on a specific topic where the two diverge.
To reply to the first question, AG Kokott looks at Articles 28(4) and 22 of Directive 95/46 and also at Article 79 of the General Data Protection Regulation, which will replace Directive 95/46 starting with 25 May 2018.
Article 28(4) of Directive 95/46 states that each supervisory authority (Data Protection Authority) is to hear claims lodged by any person concerning the protection of his rights and freedoms with regard to the processing of personal data. Article 22 provides that, without prejudice to the remedy referred to in Article 28(4), every person is to have a right to a judicial remedy for any breach of the rights guaranteed him by the national law applicable to the processing in question (§37, §38).
In practice, this means that an individual who engages in Court proceedings for a breach of data protection law must be able to also initiate administrative proceedings with a DPA (complaints lodged with DPAs).
The same rule is kept under Article 79 GDPR, slightly broadened: the right to a judicial remedy must be effective and must be granted without prejudice to any administrative or non-judicial remedy, including the right to lodge a complaint with a supervisory authority.
AG Kokott explains that these rules still do not clarify “whether the bringing of legal proceedings may be made contingent upon exhaustion of another remedy. All that can be taken from Article 79 of the General Data Protection Regulation is that the judicial remedy must be effective. An obligation to exhaust some other remedy before bringing legal proceedings will consequently be impermissible if the judicial remedy is rendered ineffective as a result of this precondition” (§43).
The AG found that Article 47(1) of the Charter and the principle of effectiveness “ultimately embody the same legal principle” and that they can be examined jointly using the rules in Articles 47(1) and 52(1) of the Charter – which is the provision that enshrines the rules for limiting the exercise of the fundamental rights in the Charter (§51). Hence, the question is whether the obligation to exhaust administrative procedures before going to Court amounts to a justified interference with the right to an effective judicial remedy.
AG Kokott remarks that the interference is provided for by Slovakian law and that it does not touch the essence of the right to effective judicial remedy because “it does not restrict the category of people who could in principle have recourse to judicial review” (§56). [Small comment here: this means that a provision which would restrict the category of people who could in principle have recourse to judicial review touches the essence of the right in Article 47 Charter. Check out paragraphs 45 and 46 of the EDPS Opinion on the EU-US Umbrella Agreement commenting on the fact that Article 19 of the Agreement provides for the possibility of judicial redress only for citizens of the EU, excluding thus categories of individuals that would otherwise be covered by the Charter, such as asylum seekers and residents].
It remained to be analysed whether the interference complies with the principle of proportionality, which “requires that a measure be ‘appropriate, necessary and proportionate to the objective it pursues’” (§58). The AG retains the submission of the Supreme Court that “the exhaustion of the administrative remedy represents a gain in efficiency, as it provides the administrative authority with an opportunity to remedy the alleged unlawful intervention, and saves it from unwanted court proceedings” (§59). The AG considers that “obligatory preliminary proceedings are undoubtedly appropriate for achieving the objectives” and that a “less onerous method” does not suggest itself as capable of realising them to the same extent (§62).
However, the AG points out that the “specific form” of the administrative remedy is important to determine the appropriateness of the measure in practice. This condition applies in particular if there is uncertainty “as to whether the time limit for bringing an action begins to run before a decision has been made in the administrative action” (§64). Additionally, Article 47(2) Charter establishes the right of every person to have their case dealt with within a reasonable period of time. “While this right in fact relates to judicial proceedings, naturally it may not be undermined by a condition for the bringing of an action” (§67).
In conclusion, the AG considers that the right to effective judicial review under Article 47 Charter and the principle of effectiveness “do not preclude an obligation to exhaust an administrative remedy being a condition on bringing legal proceedings if the rules governing that remedy do not disproportionately impair the effectiveness of judicial protection. Consequently, the obligatory administrative remedy must not cause unreasonable delay or excessive costs for the overall legal remedy” (§71).
Essentially, the question asked by the Supreme Court is whether the contested list may be excluded as evidence due to the fact that it came into the possession of the claimant without the consent of the competent authorities (§72).
The AG considers that “a review should be carried out to determine whether the person affected has a right of access to the information in question. If this were the case, the interest in preventing unauthorized use would no longer merit protection” (§83).
Further, it is recalled that “under the second sentence of Article 8(2) of the Charter and Article 12 of the Data Protection Directive, everyone has the right of access to data which has been collected concerning him or her. This also applies in principle to data being recorded in the contested list. Furthermore, the persons so affected would, by virtue of the collection of the data, have to be informed of the use of the data, under either Article 10 or Article 11 of the Data Protection Directive” (§85).
“where appropriate” if it is “justified” (§88). This is an indication that even if such an exemption would be provided for by law, a further analysis is needed to see whether the exemption is justified.
A key point the AG makes is that “even if there are indications of a legitimate interest in a hypothetical, legally justified non-disclosure of the list in question, the national courts must also examine whether in the individual case these outweigh the legitimate interests of the individual in bringing the proceedings” (§89). This is important because it is a clear indication that when a controller relies on their legitimate interest as a ground for processing, it always has to engage in a balancing exercise with the legitimate interests (and rights) of the data subject.
In conclusion, the AG established that refusing to accept as evidence a document obtained by the claimant without the consent of an authority is not possible under the principle of a fair hearing in Article 47 Charter when the document contains personal data of the claimant, which the authority is required to disclose to the claimant under Article 12 and 13 of the Data Protection Directive.
The Supreme Court wanted to know whether the fundamental right to privacy (Article 7 Charter) and protection of personal data (Article 8 Charter) and the Data Protection Directive prohibit a Member State from creating a list of personal data for the purposes of tax collection without the consent of the persons concerned.
The AG points out that “this question is primarily to be answered in the light of the Data Protection Directive, as this specifies the rights to privacy and data protection” (§95).
The AG further recalls that Article 7 of the Data Protection Directive allows processing of personal data if it is based on one of the six lawful grounds for processing provided for (§99) [NB: of which only one is “consent”!]. While the AG acknowledges that three of the six conditions are applicable in this case (1 – performance of a task in the public interest [Article 7(e)]; 2 – legitimate interest of the controller [Article 7(f)] and 3 – necessity of compliance with a legal obligation [Article 7(c)]), she considers the examination of the latter 2 as “superfluous”: “This is because all parties acknowledge that tax collection and combating tax fraud are tasks in the public interest within the meaning of Article 7(e) of the Data Protection Directive” (§100).
A much-welcomed clarification is further brought by the AG, who specifies that Article 7(e) of the Data Protection Directive “must be read in conjunction with the principles of Article 6. According to Article 6(1)(b), personal data must only be collected for specified, explicit and legitimate purposes. Within the scope of Article 7(e), the purpose of the data processing is inseparably linked to the delegated tasks. Consequently, the transfer of the task must clearly include the purpose of the processing” (§106).
This clarification is welcomed because it reminds controllers that even if they correctly process personal data on one of the lawful grounds for processing (such as consent or legitimate interest) in compliance with Article 7 of the Directive, they still have to comply with all the other safeguards for processing personal data, including the principles for processing in Article 6 of the Directive (purpose limitation, data minimization etc).
The AG remarks that the reference for a preliminary ruling does not specify the purpose of the contested list and leaves it to the Supreme Court to look further into this question (§107). Additionally, the AG also considers that the Supreme Court “will have to examine whether the creation and use of the contested list and in particular the naming of Mr Puškár is necessary for the claimed public interest”. This is yet another reminder how important “necessity” is for personal data protection in the EU legal framework (check out EDPS’s recently published “Necessity Toolkit”).
the legal persons associated with the person concerned, which will be affected in terms of their freedom to conduct business under Article 16 of the Charter”.
This finding is a testimony of the importance of complying with the right to the protection of personal data, as non-compliance would have various consequences on several other fundamental rights.
As the AG explains, “such a serious interference of this kind can only be proportionate if there are sufficient grounds for the suspicion that the person concerned purported to act as a company director of the legal persons associated with him and in so doing undermined the public interest in the collection of taxes and combating tax fraud” (§111).
there are sufficient grounds to suspect that these persons should be on the list”.
Further, the AG spelled out that “neither the fundamental rights to privacy, Article 7 of the Charter, or data protection, Article 8, would in this case prevent the creation and use of the list” (§117).
The analysis to reach this conclusion was another missed opportunity to persuade the Court of Justice to better delineate the two fundamental rights protected by Article 7 and Article 8 of the Charter. The AG referred to these as “the fundamental rights to privacy and data protection”.
Without a clear analysis of what constitutes interference with the two rights, the AG referred to “naming of a person on the contested list” as “affecting” both fundamental rights (§115). In the same paragraph, she further analysed en masse “these interferences”, writing that they are only justified “if they have a sufficient legal basis, respect the essence of both fundamental rights, and preserve the principle of proportionality” (§ 115). Considering that the legality and proportionality of the measure were addressed in previous sections, the AG merely stated that “the adverse effects associated with inclusion on the contested list, those interferences do not meet the threshold of a breach of the essence of those rights” before concluding that neither of the two Charter articles would prevent the creation of such a blacklist.
The last question is one that is extremely interesting for EU lawyers in general, not necessarily for EU data protection lawyers, because it tackles the issue of different levels of protection of the same fundamental right emerging from the case-law of the Court of Justice of the EU in Luxembourg, on one hand, and the European Court of Human Rights in Strasbourg, on the other hand.
As the AG summarizes it, “the fourth question is aimed at clarifying whether a national court may follow the case-law of the Court of Justice of the European Union where this conflicts with the case-law of the ECtHR” (§118). This issue is relevant in our field because Article 8 of the European Convention of Human Rights shares partially the same material scope of Article 7 and Article 8 of the EU Charter of Fundamental Rights (Article 8 of the Convention is more complex), and Article 52(3) of the Charter states that “the rights in the Charter, which correspond to rights guaranteed by the European Convention on the Protection of Human Rights and Fundamental Freedoms (ECHR), have the same meaning and scope as conferred by the ECHR” (§122). However, the second sentence of Article 52(3) of the Charter permits EU law to accord more extensive protection (§122).
The AG specifies that “EU law permits the Court of Justice to deviate from the case-law of the ECtHR only to the extent that the former ascribes more extensive protection to specific fundamental rights than the latter. This deviation in turn is only permitted provided that it does not also cause another fundamental right in the Charter corresponding to a right in the ECHR to be accorded less protection than in the case-law of the ECtHR. One thinks, for example, of cases in which a trade-off must be made between specific fundamental rights” (§123).
Not surprisingly, the AG advises that when the case-law of the two Courts comes in conflict, the national courts should directly apply the case-law of the CJEU when it affords more protection to the fundamental rights in question, but they should send a reference for a preliminary ruling to the CJEU to ask which way to go when the case-law of the ECtHR affords enhanced protection to the fundamental right in question (§124 and §125). The argument of the AG is that the latter case “inevitably leads to a question of the interpretation of EU law with regard to the fundamental right in question and Article 52(3) of the Charter” which, if performed by the national Court, could further “amount to the view that the interpretation of the fundamental right in question by the Court of Justice is not compatible with Article 52(3)”.
As for the relevance of this question to the case at hand – it remains a mystery. The AG herself pointed out that “the admissibility of the question in this form is dubious, particularly as the Supreme Court does not state on which issue the two European courts supposedly are in conflict and the extent to which such a conflict is significant for the decision in the main proceedings” (§119).
the relationship between ECtHR and CJEU case-law on the same fundamental right.
Suggested citation: G. Zanfir-Fortuna, “Summary of the Opinion of AG Kokott in Puškár (on effective judicial remedies and lawful grounds for processing other than consent)”, pdpEcho.com, 24 April 2017.
This entry was posted in CJEU case-law, Comments, GDPR, News and tagged AG Kokott, AG Opinion in Puskar, Article 47 Charter, Article 52(3) Charter, Article 7 Charter, Article 8 Charter, blacklisting data protection, blacklists, CJEU, CJEU case-law vs ECHR case-law, data protection, Data Protection Directive, GDPR, legitimate grounds for processing, privacy, Puskar, Tax Authorities and personal data. Bookmark the permalink.

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