Data Protection (Privacy)

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Transcript Data Protection (Privacy)

Mag. Dipl.-Ing. Dr. Michael Sonntag
Data Protection (Privacy)
Legal and Technical Aspects of E-Commerce, Budapest, 7.-11.10.2002
E-Mail: [email protected]
WWW: http://www.fim.uni-linz.ac.at/staff/sonntag.htm
Copyright, 2002 © Michael Sonntag
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Questions?
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Please ask them immediately!
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Michael Sonntag
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Legal and Technical Aspects of E-Commerce
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Content
Why the need?
 What/Who is protected (Categories, media, …)
 Definitions (Controller  Processor, …)
 What constitutes “consent”?
 Principles of data quality
 When data may be processed
 The rights of the subject

Information, access, rectification, deletion, objection
Remedies, liability, sanctions
 Third countries (Non-EU)

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Why the need?

Large desire for privacy by individuals
“The right to be left alone”

Large desire for information by companies
Know your customers, advertising, credit rating, …
Some balance must be found!
Danger of secretly gathering data
 Danger of exchanging and correlating data
 Advantages of personalization
 Advantages of not requiring standard information

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Data: Protection / Security
/ Privacy / … ?

Data Protection: Protection against disclosure
Data should be kept secret
(Data) Privacy = Data Protection
 Data Security: Protection against loss

Data should be available (to the subject and the owner)

Subject = The person the data is related to
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Who is protected?

Natural persons:
Everything human is protected from everything else
» Children with relation to their parents
» Employees with relation to their employing company
Personal data: Everything related to the person
» Color of hair, habits, creditworthiness, health, ...

Legal persons:
NOT in directive on protection of individuals
» 95/46/EC “Privacy directive”
INCLUDED in directive on privacy and el. communications
» 2002/58/EC “Electronic communications privacy directive”
“Personal” data: Balances, trade secrects, ...
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What is protected?
(1)

Only personal data:
Must be connected to an individual
» No statistical data; relates to several persons
– Desires of a society might also be desires of the members  protected!
This individual must be identifiable
» With reasonable accuracy
– One of three men in hungary with exactly the same name  protected!
– Name not required; anything leading to a singular person suffices

Only data that is processed
Gathered, related to other, transferred, …

“Public” data might still be protected!
Especially if known only to a restricted public
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What is protected?
(2)

Data must be either
automatically processed, or
» Computer systems in any form
contained (intended to be contained) in a filing system
» Criteria related to individuals necessary
» Unimportant: local or distributed / functionally or geographically
» E. g. Database, filing cabinet with index

NOT included are unordered collections
Not accessible according to personal criteria
E. g. conventional archive of records (paper)
» Sorted according to record numbers, which are not personally
related (finding all records for a certain person is practically
impossible!)
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What is protected?
(3)

Special categories of data:
“Sensitive” data:
» Race, ethnic origin, political opinion, religious/philosophical
belief, trade-union membership, health, sex life
» More stringently protected (usually closed list of exemptions)!
“Criminal” data:
» Data relating to offences, criminal convictions or security
measures
» Specially protected
» Must usually be processed under control of official authority
National identification number
» No rules for processing them
» Member states must define conditions for processing
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Controller  Processor

Controller:
Who determines the purposes and means of processing
the personal data
If purpose and means are specified by law, the law may
specify who the controller is

Processor:
Who processes some data on behalf of the controller

Important for liability and rights of the subject
They are always in relation to the controller!
» Rarely the processor: E. g. if processing was expressly
forbidden by the controller
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Methods for collecting
data in the Internet (1)

Cookies
Small text files sent from webservers to browsers and
sent from those to webservers on subsequent requests
Stored on local disk
Allow tracking a user within (and over several) websites
Used e. g. for shopping carts (storing a customer
number or the products selected themselves)

Example (Logging in to www.amazon.at):
Name: “x-abcde”, Domain: “amazon.de”, Path: “/”,
Expires: “31.12.2035”, Secure: “No”,
Data: “cNpGUcRlrDzE4Utuif2RxyamfN?WZV?Z”
» Plus 2 other cookies
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Methods for collecting
data in the Internet (2)

Weblogs
Every access to a webserver is usually logged
What is logged depends on werbserver’s administrator
Allows tracking users within a website
May include a lot of information
» E. g. screen resolution, browser type, IP-address, …
» Depends on configuration of the webserver!

Example:
08:40:15 140.78.100.180 GET /Default.asp 200
“Time” “IP-address of requester” “Command” “Result”
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Methods for collecting
data in the Internet (3)

Webbugs
Small (1x1) transparent images from a different server
» Usually employs cookies from the server the bug originates from
Can also be included in E-Mails
» Entry in weblog shows the time the message was actually read
Can be created by JavaScript or similar languages
Arbitrary information can be sent back to the server in
the request string
» Every data accessible to scripting language can be sent!
» E. g. operating system
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H
Webbug - Example

http://www.denverpost.com/
http://192.168.112.2o7.net/b/ss/denverpost/1/31/2fsi1012312472080?[AQB]r=http%3A%2F%2Fwww.bugnosis.org%2Fexamples.html&s=1280x1024&c=24
&o=Win32&j=1.3&v=Y&k=Y&bw=1031&bh=530&t=29%2F0%2F2002%2014%3A54%3A32%202%2060&pageName=Denver%20Post%20%2F%20DPO%20Home&server=&ch=&pageType=&pageValue=&product=&c1=DPO%20Home&c2=&c3=&c4=&c5=
&c6=&c7=&c8=&g=http%3A%2F%2Fwww.denverpost.com%2F&a=Microsoft%20Internet%20Explorer%205.01&p=[AQE]
Visited site: http://www.denverpost.com/
Referer: http://www.bugnosis.org/examples.html
Screen resolution: 1280x1024 Pixel, 24 Bit color depth
Size of browser window: 1031x530 pixels
Operating system: Win32
Date: 29.0.2002 14:54
Browser: Internet Explorer 5.01
Cookie set on loading the image
…...

Invisible; locally created by JavaScript!
Michael Sonntag
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H
Webbug-Source (1)
<!-- Start SuperStats tracking code version 3.1. Copyright 1997-2001 MyComputer.com, Inc. More info available at http://www.mycomputer.com -->
<script language="JavaScript">
/**** DO NOT ALTER ANYTHING BELOW THIS LINE! ****/
var pageName;if(!pageName)pageName='Denver Post / DPO Home'
var server;if(!server)server=''
var channel;if(!channel)channel=''
var pageType;if(!pageType)pageType=''
var pageValue;if(!pageValue)pageValue=''
var product;if(!product)product=''
var prop1;if(!prop1)prop1='DPO Home'
var prop2;if(!prop2)prop2=''
var prop3;if(!prop3)prop3=''
var prop4;if(!prop4)prop4=''
var prop5;if(!prop5)prop5=''
var prop6;if(!prop6)prop6=''
var prop7;if(!prop7)prop7=''
var prop8;if(!prop8)prop8=''
function mc_escape(s){var ch;s=escape(s)
while((ch=s.indexOf('+'))>0)s=s.substr(0,ch)+'%2B'+s.substr(ch+1,s.length)
while((ch=s.indexOf('/'))>0)s=s.substr(0,ch)+'%2F'+s.substr(ch+1,s.length)
return s}
var mc_t=new Date;var mc_n1=Math.floor(mc_t.getTime()/10800000)%10
var mc_n2=mc_t.getTime()%10000000000000;var mc_s=mc_n1+'fsi'+mc_n2
function mc_mkcd(){var s='',c='',v='',p='',bw='',bh=''
var j='1.0'
var g=window.location.href
var a=mc_apn+' '+mc_apv
var o=navigator.platform
var r=(mc_r?mc_r:(mc_noe?'NULL':'External Frame Referrer'))
var yr,t=mc_t.getDate()+'/'+mc_t.getMonth()+'/'+((yr=mc_t.getYear())<1900?yr+1900:yr)+' '+mc_t.getHours()+':'+mc_t.getMinutes()+':' + mc_t.getSeconds()+' '+mc_t.getDay()+'
'+mc_t.getTimezoneOffset()
document.cookie='ssACK=true';var k=(document.cookie.indexOf('ssACK=')!=-1?'Y':'N')
Michael Sonntag
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H
Webbug-Source (2)
if(mc_apv>=4)s=screen.width+'x'+screen.height
if(mc_apn=='Netscape'){var i1=0,i2=0,sta;while((i1<navigator.plugins.length)&&(i2<30)){sta=navigator.plugins[i1].name
if(sta.length>100)sta=sta.substring(0,100);sta+=';'
if(p.indexOf(sta)==-1)p+=sta;i1++;i2++}
v=(navigator.javaEnabled()?'Y':'N')
if(mc_apv>=3)j='1.1'
if(mc_apv>=4){j='1.2'
c=screen.pixelDepth
bw=window.innerWidth
bh=window.innerHeight
}if(mc_apv>=4.06)j='1.3'
}if(mc_apn=='Microsoft Internet Explorer'){if(mc_apv<4)r='NULL'
if(mc_apv>=3)v='P'
if(mc_apv>=4){j='1.2'
v=(navigator.javaEnabled()?'Y':'N')
c=screen.colorDepth
}if(mc_apv>=5&&navigator.platform.indexOf('Win')>=0){c=screen.colorDepth
bw=document.documentElement.offsetWidth
bh=document.documentElement.offsetHeight
j='1.3'
}}if(mc_apn=='Opera'){var i1=0,i2=0,sta
while((i1<navigator.plugins.length)&&(i2<30)){sta=navigator.plugins[i1].name
if(sta.length>100)sta=sta.substring(0,100);sta+=';'
if(p.indexOf(sta)==-1)p+=sta;i1++;i2++}
var v='N'
}code='<im'+'g
src="http://192.168.112.2O7.net/b/ss/denverpost/1/31/'+mc_s+'?[AQB]r='+mc_escape(r)+'&s='+mc_escape(s)+'&c='+mc_escape(c)+'&o='+mc_escape(o)+'&j='+j+'&v='+v+'&k='+k+'&
bw='+bw+'&bh='+bh+'&t='+mc_escape(t)+'&pageName='+mc_escape(pageName)+'&server='+mc_escape(server)+'&ch='+mc_escape(channel)+'&pageType='+mc_escape(pageType
)+'&pageValue='+mc_escape(pageValue)+'&product='+mc_escape(product)+'&c1='+mc_escape(prop1)+'&c2='+mc_escape(prop2)+'&c3='+mc_escape(prop3)+'&c4='+mc_escape(pr
op4)+'&c5='+mc_escape(prop5)+'&c6='+mc_escape(prop6)+'&c7='+mc_escape(prop7)+'&c8='+mc_escape(prop8)+'&g='+mc_escape(g)+'&a='+mc_escape(a)+'&p='+mc_escape(p)+'[
AQE]'+'" border=0 alt="" width=1 height=1>'
Michael Sonntag
Legal and Technical Aspects of E-Commerce
16
H
Webbug-Source (3)
if(!mc_noe)document.write(code)
return code}var mc_n=navigator,mc_apn=mc_n.appName,mc_w=mc_n.appVersion,mc_apv,mc_i
var mc_msie=mc_w.indexOf('MSIE ')
if(mc_w.indexOf('Opera')>0)mc_apn='Opera'
if(mc_msie>0){mc_apv=parseInt(mc_i=mc_w.substring(mc_msie+5))
if(mc_apv>3)mc_apv=parseFloat(mc_i)}else mc_apv=parseFloat(mc_w)
function mc_et(){window.onerror=window.oe;return true}var mc_noe=false
if(navigator.userAgent.indexOf('Mac')>=0&&navigator.userAgent.indexOf('MSIE 4')>=0)var mc_r=document.referrer
else{window.oe=window.onerror;window.onerror=mc_et;var mc_r=parent.document.referrer;mc_noe=mc_et()}
</script><script language="JavaScript">
document.write(mc_mkcd()+(mc_msie>0?'<'+'!--':''))
</script><noscript><a href="http://192.168.112.2O7.net/c/ss/denverpost"
target="_top"><img src="http://192.168.112.2O7.net/b/ss/denverpost/1"
border=0 width=1 height=1></a></noscript><script language="JavaScript">
if(mc_msie>0)document.write(' --'+'>')
</script> <!-- End SuperStats tracking code. -->
Cookie set:
Name:ss_vi_denverpost
Domain: 2o7.net
Path: /
Expires: Do, Apr 15 2010 20:00:00
Secure: No
Data: v2|0-0|1013174171|0|0|0|0|0||
Michael Sonntag
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Methods for collecting
data in the Internet (4)

Registration for a service
“Free” services are often only provided in exchange for
personal information ( some kind of payment)
Used for advertisements, which are sold
Allows personalization
» Often in several levels: Additional services requires further
configuration and disclosure of information
Important to check, whether the information collected
might also be sold or with whom it is shared
Usually legal, as user is asked and gives away the data
freely
» No “secret” gathering like webbugs, cookies, spyware, … !
Michael Sonntag
Legal and Technical Aspects of E-Commerce
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Methods for collecting
data in the Internet (5)

The role of advertisements on the Web
Usually coupled with Cookies from a central server
Allows tracking users across different sites
Profiling according to which sites are visited how often

Users have learned to ignore advertisements
Source of income for free services is lost
Advertisements get ever more intrusive
Problem: Nobody knows where the ads come from,
where his information is stored, what is collected
 Special filtering software already exists

Michael Sonntag
Legal and Technical Aspects of E-Commerce
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Methods for collecting
data in the Internet (6)

Spyware, AdWare
Programs secretly or openly installed on your computer,
which gather data
» Addresses of webpages visited
» Files used (videos/sounds played, documents edited, …)
» Can do everything, as locally installed with your own rights!
Programs with “E.T.-Syndrome”: Phoning home
» Regularly sending the information gathered to someone
» Even if not, specific requests allow building a profile
Spyware is in most cases illegal
» EULA might not be sufficient for consent; if applicable at all
AdWare: Payment for program by spying (mostly legal)
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Data Security

El. Comm. Privacy directive:
Users must be informed free of charge by provider on
particular security risks and possible remedies

Privacy directive:
Controller must implement appropriate measures to
protect personal data against loss and disclosure
Especially during transmission over networks
» Almost an obligation for encryption
Contract with processor must be in writing and include:
» Processor may only act on instruction from the controller
» Processor must also protect against loss and disclosure

Both: Measures for appropriate level of security
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Informed consent

Must be given freely
No duress or compulsion
» Denial of contract (if not unethical) possible!
– BUT: Effective monopolies; e. g. banks???

Must be specific
For a certain purpose (or a closed list/described set)
» NOT “we are allowed to do with it what we want”
For a certain controller
» NOT “we may transfer it to everyone we like”

Subject must be informed
» NOT “to all members of our company group”

Can be given expressly or implied
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Principles of
data quality (1)
In relation to purpose of the processing data must be
 adequate: Minimum necessary for the purpose
 relevant: Must help fulfilling the purpose
 not excessive: Must actually (not potentially /
minimally) improve fulfilling the purpose
 accurate: No guessing the data / no interpolation
Also includes that they must be as complete as possible
» If not complete enough for the purpose, they may not be used!
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Principles of
data quality (2)

kept up to date: Later verification / updates are
necessary
Only with regard to the purpose
Only if reasonable, i. e. not too expensive

erased: If no longer needed they MUST be destroyed
Putting them on backup somewhere is NOT sufficient!
rectified: If incomplete or wrong
 anonymized: If no longer necessary for the purpose

Exceptions for historical, statistical, or scientific use
Michael Sonntag
Legal and Technical Aspects of E-Commerce
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Data may only be
processed if … (1)

the subject has unambiguously given consent
See definition of consent above!
Everyone can do with his data as he wants
» The freedom not to use the protection of the law
» See e. g. television talkshows!

it is necessary for the performance of a contract
Data subject must be party to contract, or
For taking steps at request of subject prior to contract
» E. g. checking creditworthiness, calculating shipping costs, …
Otherwise this could be used as a right of withdrawal
» Later you do not want the contract any more and prohibit the
seller to use your address  he couldn’t send the goods to you!
Michael Sonntag
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Data may only be
processed if … (2)

it is necessary for compliance with a legal
obligation of the controller
E. g. archiving or records, processing of data of the
employee by the employer (holidays, payment, ...)

necessary for protection of vital interests of subject
E. g. looking up his blood group
“Vital” must be seen narrowly
» “Of interest” or “possibly beneficial” is not enough!

necessary for tasks of public interest/official authority
To avoid having to grant ALL processing by law
Must be important requirement, not just reduction of work
Michael Sonntag
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Data may only be
processed if … (3)

necessary for legitimate interests of controller or
third parties or those to whom data is disclosed
EXCEPT where interests of subject are stronger!
Weighing up of interests is required
Examples:
» Vital interests of thirds: Blood group to find suitable blood donors
» Required for pursuing a claim before public authorities
» Cooperation through official channels to improve pub. admin.
May not be just a monetary comparison
» Gain for processor vs. damage to subject
General clause for all other uses!
Michael Sonntag
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Rights of the subject:
Information

When collecting information from the subject, the
following information must be given:
Identity of the controller (and his representative)
» To allow exercising his/her rights
Purposes of processing the data is intended for
» To enable consent and informed decision (“Do I want this?”)
Any other information necessary for fair processing
» Recipients or categories of recipients of the data
» Whether answers are obligatory or voluntary as well as
possible consequences of failure to reply
» The existence of the rights of access/rectify
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Rights of the subject:
Access

Every subject can request information:
Only from the controller
At reasonable intervals
Without excessive delay or expense
Whether or not data relating to him/her is processed
» Including purpose of processing, categories of data, recpients
or categories of recipients to whom data is/was disclosed
In intelligible form “his” data and any information
available as to their source
The logic involved in automatic processing
» Restricted: Trade secrets, complexity, ...
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Rights of the subject:
Rectification

If through the right of access (or otherwise) wrong
data is discovered:
The processor must correct it himself
The subject can request rectification
Both only if data is incomplete or inaccurate
 If no modification is possible (e. g. write-once
records), additional information must be appended
 All third parties who received the wrong data must
be notified of the rectification

NOT if impossible or disproportional effort required!
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Rights of the subject:
Deletion / Blocking

If through the right of access (or otherwise) illegal
data is discovered:
The processor must delete it himself
The subject can request deletion

Both only if data may not be processed
E. g. illegally acquired
If no deletion is possible (e. g. write-once records),
the data must be blocked (black-list)
 All third parties who received the illegal data must
be notified; similar to rectification

Michael Sonntag
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Rights of the subject:
Objection-Version 1

Tasks of public interest/official authority or
processing with legitimate interests
Even though ordinarily allowed & when legally obtained
Subject can object to the use of his data at any time
Requires compelling legitimate grounds
» Subject must declare why his position is special
» Subject must declare what specific danger this poses to him
National laws may set exemptions
The subjects data may no longer be processed then
Michael Sonntag
Legal and Technical Aspects of E-Commerce
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Rights of the subject:
Objection-Version 2

In the case of (intended or actual) use of personal
data for direct marketing
Subject can request to be left out of this
Free of charge (previous right of objection might cost!)

Subject must be expressively informed of this right

Very early form of anti-spam provision
Opt-out solution
States must take measures to ensure that subjects are
aware of this right
Michael Sonntag
Legal and Technical Aspects of E-Commerce
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Exemptions from rights

Exemptions from most rights possible in case of
national security
defense
public security
prevention, investigation, detection, prosecution of crimes
important economic of financial interest of the state
monitoring, inspection, regulatory inspection with
exercise of official authority in cases 3-5
protection of the data subject or his/her rights
protection of freedom of others
scientific research, press, purely personal use, …
Michael Sonntag
Legal and Technical Aspects of E-Commerce
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Remedies, Liability,
Sanctions

Every person must have right for a judicial remedy
Administrative remedies might be obligatory before

Damages because of unlawful processing must be
compensable by the controller
Controller MAY only be exempted if he proves that he is
not responsible
» Processor or subject may then be liable

Member states must lay down suitable sanctions
Sanctions are never covered by EU treaties and
therefore always duty of the countries!
Michael Sonntag
Legal and Technical Aspects of E-Commerce
35
Case study:
Directories of subscribers

Subscribers must be informed
free of charge
before inclusion in a public directory
especially for further usage possibilities (e. g. reverse lookup)
only for natural persons
» States may decide what to do with legal persons

Subscribers can decide whether (and what) to include
Includes verification / correction / withdrawing (free of charge)

NOT being included MUST be free of charge

Existing directories of public voice telephony:
Opt-out (can remain included)  applicable only to new
subscribers
Michael Sonntag
Legal and Technical Aspects of E-Commerce
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Data exchange with
third countries


Transfer of data only allowed to countries with
adequate level of protection
Adequacy: Generally as well as for the actual transfer
Nature of the data, purpose, duration, professional rules in
destination country, security measures, …

Exemptions exist, when transfer is still allowed
E. g. unambiguous consent of the subject for this transfer

EU commission may decide that a certain country
possesses an adequate level of protection
All states must adhere to this decision
Data transfers are freely possible then (from and to)
Michael Sonntag
Legal and Technical Aspects of E-Commerce
37
Countries with
adequate protection

Countries with decisions of the EU commission
Hungary (26.7.2000)
Switzerland (26.7.2000)
USA (25.8.2000)
» Safe Harbor only!
Canada (20.12.2001)

Model contracts for transfer of data to other countries exist
See data protection website of the EU!
Michael Sonntag
Legal and Technical Aspects of E-Commerce
38
Literature/Links:

Data Protection website of the EU:
http://europa.eu.int/comm/internal_market/en/dataprot/index.htm
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

EU data protection directive:
1995/46/EC, L 281/31-50 23.11.1995
EU electronic communications data protection directive:
2002/58/EC, L 201/37-47 31.7.2002
Electronic Privacy Information Center & Privacy International
http://www.privacy.org/
Michael Sonntag
Legal and Technical Aspects of E-Commerce
39