DPO Austria: use of Goog­le Ana­ly­tics pro­hi­bi­ted; stan­dard for third-coun­try review; sin­gu­la­rizati­on instead of identification

The Austri­an Data Pro­tec­tion Aut­ho­ri­ty (DPA) has issued a detail­ed Par­ti­al decis­i­on from 22 Decem­ber 2021 con­cer­ning a com­plaint by (more pre­cis­e­ly: repre­sen­ted by) NOYB, the NGO of Max Schrems. The com­plaint was direc­ted against a publisher and against Goog­le LLC (USA).

NYOB had argued that the Use of Goog­le Ana­ly­tics on the publisher’s web­site vio­la­tes the GDPRbecau­se this would result in the dis­clo­sure of per­so­nal data to Goog­le in the USA wit­hout the requi­re­ments of the GDPR for the dis­clo­sure of per­so­nal data in third count­ries being met.

Goog­le saw its­elf as a result of the decis­i­on to Expl­ana­ti­on of Goog­le Ana­ly­tics (Janu­ary 22, 2022). The decis­i­on could be appea­led with a noti­ce peri­od of four weeks; whe­ther it is legal­ly bin­ding in the mean­ti­me is not known (to us).

The obvious point: trans­mis­si­on to the USA

The use of Goog­le Ana­ly­tics results in the trans­fer of per­so­nal data from Austria to the USA. Alt­hough the stan­dard con­trac­tu­al clau­ses were con­clu­ded with Goog­le (still the old clau­ses), as is well known, the­se are not tel quel sufficient.

Here, at Goog­le, it is now clear that Goog­le is a “Pro­vi­der of elec­tro­nic com­mu­ni­ca­ti­on ser­vices” within the mea­ning of FISA 702 and is sub­ject to this law. The trans­fer to Goog­le could be made in accordance with the Schrems II judgment the­r­e­fo­re not sole­ly on the stan­dard clau­ses be supported.

It was open whe­ther “addi­tio­nal pro­tec­ti­ve mea­su­res” in the sen­se of the Gui­de­lines of the EDSA reme­dy. From the DSB’s point of view, this was – not sur­pri­sin­gly – not the case:

  • A Trans­pa­ren­cy Report about requests from aut­ho­ri­ties is not an effec­ti­ve measure.
  • The Com­mu­ni­ca­ti­on pro­tec­tion bet­ween Goog­le ser­vices, pro­tec­tion of data in tran­sit bet­ween data cen­ters, pro­tec­tion of com­mu­ni­ca­ti­ons bet­ween users and web­sites, or “on-site secu­ri­ty” also do not pre­vent or limit the abili­ty of U.S. intel­li­gence agen­ci­es to access data based on U.S. law.
  • The Data at rest” encryp­ti­on in the data cen­ters is also not enough: if the data importer is sub­ject to FISA 702, it may have to grant access to data, and pos­si­bly also to the key;
  • also that the data in que­sti­on pseud­ony­mi­zed are not enough. The DPO refers here to the “Gui­dance from the super­vi­so­ry aut­ho­ri­ties for tele­me­dia pro­vi­ders“of the Ger­man Data Pro­tec­tion Con­fe­rence. Accor­ding to this, the iden­ti­fi­ca­ti­on of users by means of an ID is not a pseud­ony­mizati­on mea­su­re within the mea­ning of the GDPR becau­se IDs are used “to make the indi­vi­du­al distin­gu­is­ha­ble and addressa­ble. Con­se­quent­ly, a pro­tec­ti­ve effect does not ari­se.” The DPA is con­tent with this refe­rence wit­hout com­men­ting on this issue its­elf, in par­ti­cu­lar on the que­sti­on of why pseud­ony­mizati­on should fail as long as indi­vi­du­als are still “distin­gu­is­ha­ble”. In sub­stance, this cor­re­sponds to the approach of the Sin­gu­la­rizati­on, which equa­tes the DPO to iden­ti­fi­ca­ti­on; see below.

The DPO is pro­ba­b­ly cor­rect in clas­si­fy­ing Goog­le as an “elec­tro­nic com­mu­ni­ca­ti­on ser­vices pro­vi­der” within the mea­ning of FISA 702 (alt­hough one may won­der whe­ther this is also the case in con­nec­tion with Goog­le Ana­ly­tics). The que­sti­on would be, howe­ver, whe­ther the publisher a rea­son to belie­ve has that “the […] laws and prac­ti­ces in the third coun­try of desti­na­ti­on, inclu­ding requi­re­ments to dis­c­lo­se per­so­nal data or mea­su­res allo­wing public aut­ho­ri­ties access to such data, pre­vent the data importer from ful­fil­ling its obli­ga­ti­ons under the­se clau­ses” (clau­se 14(a) of the new stan­dard con­trac­tu­al clau­ses; simi­lar­ly, though less cle­ar­ly, the Gui­de­lines of the EDSA “on mea­su­res that sup­ple­ment trans­fer tools to ensu­re com­pli­ance with the EU level of pro­tec­tion of per­so­nal data”.).

Howe­ver, the DSB does not exami­ne this que­sti­on, but pro­ce­eds direct­ly from the case law of the ECJ (Schrems II). The­r­e­fo­re, the pro­ba­bi­li­ty ofthat a theo­re­ti­cal pos­si­bi­li­ty of access by Ame­ri­can aut­ho­ri­ties mani­fests its­elf. This abso­lu­te approachwhich can still be seen in the Schrems II ruling, should be con­si­stent with the gui­de­lines of the EDSA and espe­ci­al­ly the new stan­dard con­trac­tu­al clau­ses actual­ly be over­co­me. At the same time, it would be pre­sump­tuous to hope that other Euro­pean super­vi­so­ry aut­ho­ri­ties will endor­se a pro­ba­bi­li­ty-based approach across the board.

In addi­ti­on, Art. 44 GDPR (Gene­ral Prin­ci­ples of Data Trans­fer) grants the data sub­jects a sub­jec­ti­ve right:

Against the back­ground of the wor­ding of Art. 77 (1) GDPR as well as the cited case law of the ECJ and the Admi­ni­stra­ti­ve Court, it can be sta­ted as an inte­rim result that the pro­vi­si­ons in Chap­ter V and, in par­ti­cu­lar, the obli­ga­ti­on for con­trol­lers and pro­ces­sors to ensu­re the level of pro­tec­tion for natu­ral per­sons gua­ran­teed by the Regu­la­ti­on as stan­dar­di­zed in Art. 44 GDPR, con­ver­se­ly also as a sub­jec­ti­ve right befo­re the com­pe­tent super­vi­so­ry aut­ho­ri­ty can be asser­ted pur­su­ant to Art. 77 (1) DSGVO.

Per­haps the more sen­si­ti­ve issue in the long term: the noti­on of per­so­nal data

The DPO con­clu­des that per­so­nal data is pro­ce­s­sed when Goog­le Ana­ly­tics is used. It thus makes a num­ber of sen­si­ti­ve findings:

May­be: Singularization

When Goog­le Ana­ly­tics is used, uni­que online iden­ti­fiers (“uni­que iden­ti­fiers”) are trans­mit­ted that iden­ti­fy both the complainant’s brow­ser or device and the publisher (through the Goog­le Ana­ly­tics account ID of the publisher as web­site ope­ra­tor); fur­ther­mo­re, infor­ma­ti­on on the web­site visi­ted, infor­ma­ti­on on the brow­ser and ope­ra­ting system, etc. and IP address of the complainant’s device.

In qua­li­fy­ing the­se data, the DSB tends to pro­ce­ed – but not unam­bi­guous­ly – from the noti­on of the Sin­gu­la­rizati­on out. It is suf­fi­ci­ent if mea­su­res are taken, such as the assign­ment of iden­ti­fi­ca­ti­on num­bers in this case, to iden­ti­fy web­site visi­tors in such a way. indi­vi­dua­li­ze:

A stan­dard of “iden­ti­fia­bi­li­ty” to the effect that it must be imme­dia­te­ly pos­si­ble to asso­cia­te such iden­ti­fi­ca­ti­on num­bers with a par­ti­cu­lar “face” of a natu­ral per­son – i.e. in par­ti­cu­lar with the name of the com­plainant – to be con­nec­ted, is not requi­red […].

The DSB justi­fi­es this with the view of the then Artic­le 29 Group, which had inde­ed men­tio­ned the con­cept of sin­gu­la­rizati­on (Opi­ni­on 4/2007 on the con­cept of per­so­nal data, June 20, 2007.):

At this point, it should be noted that, while iden­ti­fi­ca­ti­on through the name is the most com­mon occur­rence in prac­ti­ce, a name may its­elf not be neces­sa­ry in all cases to iden­ti­fy an indi­vi­du­al. This may hap­pen when other “iden­ti­fiers” are used to sin­gle someone out. Inde­ed, com­pu­te­ri­sed files regi­stering per­so­nal data usual­ly assign a uni­que iden­ti­fier to the per­sons regi­stered, in order to avo­id con­fu­si­on bet­ween two per­sons in the file. Also on the Web, web traf­fic sur­veil­lan­ce tools make it easy to iden­ti­fy the beha­vi­or of a machi­ne and, behind the machi­ne, that of its user. Thus, the individual’s per­so­na­li­ty is pie­ced tog­e­ther in order to attri­bu­te cer­tain decis­i­ons to him or her. Wit­hout even enqui­ring about the name and address of the indi­vi­du­al it is pos­si­ble to cate­go­ri­se this per­son on the basis of socio-eco­no­mic, psy­cho­lo­gi­cal, phi­lo­so­phi­cal or other cri­te­ria and attri­bu­te cer­tain decis­i­ons to him or her sin­ce the individual’s cont­act point (a com­pu­ter) no lon­ger neces­s­a­ri­ly requi­res the dis­clo­sure of his or her iden­ti­ty in the nar­row sen­se. In other words, the pos­si­bi­li­ty of iden­ti­fy­ing an indi­vi­du­al no lon­ger neces­s­a­ri­ly means the abili­ty to find out his or her name. The defi­ni­ti­on of per­so­nal data reflects this fact.

The DPO also refers to Reci­tal 26 of the GDPR:

Such an inter­pre­ta­ti­on is sup­port­ed by Reci­tal 26 of the GDPR, accor­ding to which the que­sti­on of whe­ther a natu­ral per­son is iden­ti­fia­ble “[…] shall take account of any means rea­son­ab­ly likely to be used by the con­trol­ler or by any other per­son to iden­ti­fy the natu­ral per­son, direct­ly or indi­rect­ly, such as the Sort out” (Eng­lish lan­guage ver­si­on of the regu­la­ti­on: “sing­ling out”). Under the term “wee­d­ing out” is the “Picking out from a set” (cf. https://www.duden.de/rechtschreibung/aussondern, retrie­ved Decem­ber 22, 2021), which is in line with the abo­ve con­side­ra­ti­ons regar­ding the indi­vi­dua­lizati­on of web­site visitors.

One can­not the­r­e­fo­re accu­se the DPO of having drawn its con­clu­si­ons out of thin air. At the same time, it remains open whe­ther the DPO inten­ded the con­cept of per­so­nal data to be inter­pre­ted so broad­ly in gene­ral, or whe­ther her con­side­ra­ti­ons on online iden­ti­fier or even be limi­t­ed to the case that – as here – a com­bi­na­ti­on with fur­ther ele­ments is pos­si­ble in addi­ti­on to segre­ga­ti­on, which is sup­port­ed by the fol­lo­wing statement:

In the lite­ra­tu­re it is like­wi­se express­ly repre­sen­ted that alre­a­dy a “digi­tal foot­print”, which allo­ws devices – and sub­se­quent­ly the con­cre­te user – to be cle­ar­ly indi­vi­dua­li­zed, con­sti­tu­tes a per­so­nal data […]. This con­side­ra­ti­on can be trans­fer­red to the pre­sent case due to the uni­que­ness of the iden­ti­fi­ca­ti­on num­bersespe­ci­al­ly sin­ce – as will be dis­cus­sed in more detail below – the­se iden­ti­fi­ca­ti­on num­bers can also be com­bi­ned with other elements.

Whe­ther the con­cept of sin­gu­la­rizati­on has thus alre­a­dy been kissed out of its slum­ber can­not the­r­e­fo­re be con­clu­si­ve­ly deter­mi­ned. Howe­ver, the decis­i­on of the DSB has the poten­ti­al to steer in this direc­tion in the lon­ger term and per­haps as part of a deve­lo­p­ment. If this were the case, i.e. if sin­gu­la­rizati­on were to pre­vail, this would also have to lead to the fact that a Dis­clo­sure of pseud­onyms to third par­ties wit­hout the pos­si­bi­li­ty of attri­bu­ti­on would be con­side­red dis­clo­sure of per­so­nal data, which is not the case today.

After all, the DSB expli­ci­t­ly lea­ves open whether

  • the “Anony­mizati­on func­tion the IP address” (IP Anony­mizati­on) would lead to a dif­fe­rent result, becau­se this func­tion was not imple­men­ted correctly;
  • whe­ther a IP address con­side­red in iso­la­ti­on is a per­so­nal data, becau­se the­se are com­bi­ned here with fur­ther ele­ments (in par­ti­cu­lar the Google
    Ana­ly­tics iden­ti­fi­ca­ti­on num­ber) was combined.

Not: objec­ti­ve approach to the deter­mi­na­ti­on of the refe­rence to the person

The DPO fur­ther sta­tes that the com­plainant in the spe­ci­fic case was even iden­ti­fia­ble by name. Their remarks here first appear to the objec­ti­ve approach to per­so­nal refe­rence the word:

Inde­ed, it is not neces­sa­ry that the respond­ents can in each case alo­ne estab­lish a per­so­nal refe­rence, i.e. that all the infor­ma­ti­on requi­red for iden­ti­fi­ca­ti­on is with them […]. Rather, it is suf­fi­ci­ent that anyo­ne – with legal­ly per­mis­si­ble means and rea­sonable effort – can estab­lish this per­so­nal refe­rence […].

The objec­ti­ve approach is not to set the fil­ter of iden­ti­fi­ca­ti­on lower (i.e., not to serious­ly con­sider the requi­red pos­si­bi­li­ties of iden­ti­fi­ca­ti­on), but to draw the cir­cle of rele­vant per­sons with the cor­re­spon­ding pos­si­bi­li­ties wide; in extre­me cases, it would be suf­fi­ci­ent if anyo­ne can con­clude the iden­ti­ty of the per­son concerned.

Howe­ver, the DPO does not say that here, on the contrary:

It is not over­loo­ked that, accor­ding to Reci­tal 26 of the GDPR, it is also neces­sa­ry to take into account, with what “pro­ba­bi­li­ty” anyo­ne uses meansto iden­ti­fy natu­ral per­sons direct­ly or indi­rect­ly. In fact, accor­ding to the data pro­tec­tion aut­ho­ri­ty, the term “anyo­ne” – and thus the scope of appli­ca­ti­on of Art. 4(1) GDPR – is not to be inter­pre­ted so broad­ly that any unknown actor could theo­re­ti­cal­ly have spe­cia­li­zed know­ledge to estab­lish a per­so­nal refe­rence; this would in fact lead to almost any infor­ma­ti­on fal­ling within the scope of the GDPR and dif­fe­ren­tia­ti­on from non-per­so­nal data beco­mes dif­fi­cult or even impos­si­ble. Rather, the decisi­ve fac­tor is whe­ther justi­fia­ble and rea­sonable effort an iden­ti­fia­bi­li­ty can be estab­lished […]. In the pre­sent case Howe­ver, the­re are now cer­tain play­ers who have a spe­cial know­ledgewhich makes it pos­si­ble to estab­lish a refe­rence to the com­plainant in the sen­se of the abo­ve state­ments and the­r­e­fo­re to iden­ti­fy him.

Goog­le was in a posi­ti­on to iden­ti­fy the user: The com­plainant was log­ged into his Goog­le account when he visi­ted the web­site. Goog­le the­r­e­fo­re at least knew that the user of the rele­vant Goog­le account had visi­ted the web­site. In this case, the set­tings in the Goog­le account were important. Howe­ver, if the iden­ti­fia­bi­li­ty depends only on this, then from a tech­ni­cal point of view all Pos­si­bi­li­ties for iden­ti­fia­bi­li­ty are available – that is enough.

Final­ly, the DSB also repres­ents in the result a Rever­sal of bur­den of proof: 

Like­wi­se, expli­cit refe­rence must be made to the pro­vi­si­ons of the GDPR. Accoun­ta­bi­li­ty the first respon­dent – as con­trol­ler, see below – to imple­ment appro­pria­te tech­ni­cal and orga­nizatio­nal mea­su­res in accordance with Artic­le 5(2) in con­junc­tion with Artic­le 24(1) in con­junc­tion with Artic­le 28(1) of the GDPR in order to ensu­re and pro­vi­de evi­dence that the pro­ce­s­sing (with the help of a pro­ces­sor) is car­ri­ed out in accordance with the Regu­la­ti­on. It is the­r­e­fo­re a mat­ter of a debt to be dischar­ged. This also inclu­des the pro­of that a pro­ce­s­sing ope­ra­ti­on is not sub­ject to the Regu­la­ti­on.. Despi­te seve­ral oppor­tu­ni­ties to do so, this was not provided.

Moreo­ver, even U.S. intel­li­gence agen­ci­es might be able to make an identification:

As the com­plainant has also cor­rect­ly poin­ted out, intel­li­gence ser­vices in the U.S. take cer­tain online iden­ti­fiers (such as the IP address or uni­que iden­ti­fi­ca­ti­on num­bers) as a start­ing point for moni­to­ring indi­vi­du­als. In par­ti­cu­lar, it can­not be ruled out that the­se intel­li­gence ser­vices have alre­a­dy coll­ec­ted infor­ma­ti­on with the help of which the data trans­mit­ted here can be tra­ced back to the per­son of the complainant.

Assess­ment

Here, the DSB tends to talk back to the con­cept of the Sin­gu­la­rizati­on the word. From the point of view of dis­cri­mi­na­ti­on law, this is under­stan­da­ble pri­ma vista, becau­se an indi­vi­dua­lizati­on of per­sons not known by name can be suf­fi­ci­ent to tre­at this per­son dif­fer­ent­ly from others. Howe­ver, une­qual tre­at­ment in this case is not based on infor­ma­ti­on that is actual­ly per­so­nal, becau­se the iden­ti­fiers used to dif­fe­ren­tia­te would only be per­so­nal in the pro­per sen­se if they were gene­ral - also by third par­ties – used for iden­ti­fi­ca­ti­on (like espe­ci­al­ly the name of a per­son); in addi­ti­on alre­a­dy Rosen­thal.

If, on the other hand, they ser­ve only a If the data of a third par­ty is used as an iden­ti­fier, it can­not be lin­ked to data of third par­ties or by third par­ties, and in this case one can­not speak of “iden­ti­fi­ca­ti­on”. The scope of pro­tec­tion of data pro­tec­tion law does not go so far that it can beco­me a gene­ral right to pro­tect against dis­cri­mi­na­ti­on, espe­ci­al­ly not in Switz­er­land with a mere­ly indi­rect pro­tec­ti­ve effect of fun­da­men­tal rights bet­ween pri­va­te indi­vi­du­als. For this rea­son, even fun­da­men­tal rights-based Euro­pean regu­la­ti­ons not taken over unque­stio­nin­gly be

In any case, one has to ask why the DPO makes the­se remarks at all. It would have been suf­fi­ci­ent to estab­lish the clear iden­ti­fi­ca­ti­on by Goog­le – here via the log­in in the Goog­le account of the com­plainant. Ulti­m­ate­ly, the state­ments on sin­gu­la­rizati­on are thus obiter dic­ta. At the same time, it must not be assu­med that the DPO has over­loo­ked the impli­ca­ti­ons of its state­ments; its state­ment can­not be dis­missed as an ope­ra­tio­nal acci­dent, but must be read as a deli­be­ra­te positioning.

Dis­tri­bu­ti­on of roles

When exami­ning the allo­ca­ti­on of roles under data pro­tec­tion law, the DPO initi­al­ly assu­mes that the publisher is the con­trol­ler becau­se it uses Goog­le Ana­ly­tics. Goog­le, on the other hand, is a data con­trol­ler for Goog­le Ana­ly­tics. Order pro­ces­sorwhich is sur­pri­sing, but basi­cal­ly cor­rect – depen­ding on the con­fi­gu­ra­ti­on of Goog­le Ana­ly­tics – and also the Goog­le atti­tu­de corresponds:

What now the Data pro­ce­s­sing in con­nec­tion with the Goog­le Ana­ly­tics tool it should be noted that [Goog­le] mere­ly pro­vi­des this and also has no influence on whe­ther and to what ext­ent the first respon­dent makes use of the tool func­tions and which spe­ci­fic set­tings it sel­ects. Inso­far as [Goog­le] the­r­e­fo­re only pro­vi­des Goog­le Ana­ly­tics (as a ser­vice), it has no influence on the “pur­po­ses and means” of the data pro­ce­s­sing and is the­r­e­fo­re, in accordance with Artic­le 4(8) of the GDPR, con­side­red to be a case-spe­ci­fic data con­trol­ler. Pro­ces­sor to qualify.

This applies wit­hout pre­ju­di­ce to Google’s role under data pro­tec­tion law with regard to pos­si­ble fur­ther data processing.

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