rules/edpb_fine_guidelines.json

{
  "title": "EDPB Guidelines 04/2022 on the Calculation of Administrative Fines under Regulation (EU) 2016/679",
  "version": "1.0.0",
  "legal_basis": "Article 83 GDPR",
  "statutory_tiers": {
    "TIER_1": {
      "article": "Art. 83(4)",
      "fixed_max_eur": 10000000,
      "turnover_percentage_max": 0.02,
      "description": "Infringements of obligations of the controller and processor, certification bodies, and monitoring bodies.",
      "covered_articles": [
        "Art. 8", "Art. 11", "Art. 25", "Art. 26", "Art. 27", "Art. 28", "Art. 29",
        "Art. 30", "Art. 31", "Art. 32", "Art. 33", "Art. 34", "Art. 35", "Art. 36",
        "Art. 37", "Art. 38", "Art. 39", "Art. 41(4)", "Art. 42", "Art. 43"
      ]
    },
    "TIER_2": {
      "article": "Art. 83(5)",
      "fixed_max_eur": 20000000,
      "turnover_percentage_max": 0.04,
      "description": "Infringements of basic principles for processing, data subjects' rights, cross-border transfers, and DPA orders.",
      "covered_articles": [
        "Art. 5", "Art. 6", "Art. 7", "Art. 9", "Art. 12", "Art. 13", "Art. 14",
        "Art. 15", "Art. 16", "Art. 17", "Art. 18", "Art. 19", "Art. 20", "Art. 21",
        "Art. 22", "Art. 44", "Art. 45", "Art. 46", "Art. 47", "Art. 48", "Art. 49",
        "Art. 58(1)", "Art. 58(2)"
      ]
    }
  },
  "turnover_brackets": [
    {
      "bracket_id": "MICRO",
      "name": "Micro Undertaking",
      "turnover_max_eur": 2000000,
      "tier1_base_range": [2000, 40000],
      "tier2_base_range": [4000, 80000]
    },
    {
      "bracket_id": "SMALL",
      "name": "Small Undertaking",
      "turnover_min_eur": 2000000,
      "turnover_max_eur": 10000000,
      "tier1_base_range": [40000, 200000],
      "tier2_base_range": [80000, 400000]
    },
    {
      "bracket_id": "MEDIUM",
      "name": "Medium Undertaking",
      "turnover_min_eur": 10000000,
      "turnover_max_eur": 50000000,
      "tier1_base_range": [200000, 1000000],
      "tier2_base_range": [400000, 2000000]
    },
    {
      "bracket_id": "LARGE",
      "name": "Large Enterprise",
      "turnover_min_eur": 50000000,
      "turnover_max_eur": 250000000,
      "tier1_base_range": [1000000, 5000000],
      "tier2_base_range": [2000000, 10000000]
    },
    {
      "bracket_id": "VERY_LARGE",
      "name": "Very Large Enterprise",
      "turnover_min_eur": 250000000,
      "turnover_max_eur": 500000000,
      "tier1_base_range": [5000000, 8000000],
      "tier2_base_range": [10000000, 16000000]
    },
    {
      "bracket_id": "GLOBAL",
      "name": "Global Undertaking",
      "turnover_min_eur": 500000000,
      "tier1_base_range": [8000000, 10000000],
      "tier2_base_range": [16000000, 20000000]
    }
  ],
  "seriousness_coefficients": {
    "LOW": {
      "name": "Low Seriousness",
      "percentage_range": [0.0, 0.10],
      "criteria": "Isolated incident, low volume of subjects, ordinary data, negligible impact, rapid containment."
    },
    "MEDIUM": {
      "name": "Medium Seriousness",
      "percentage_range": [0.10, 0.20],
      "criteria": "Systemic deficiency, substantial number of individuals, moderate duration, financial or non-material distress."
    },
    "HIGH": {
      "name": "High Seriousness",
      "percentage_range": [0.20, 1.00],
      "criteria": "Special category / health data, large-scale vulnerable populations, prolonged duration, irreversible harm, structural disregard."
    }
  },
  "aggravating_factors": [
    {
      "id": "INTENTIONAL",
      "label": "Intentional or Willful Infringement",
      "article": "Art. 83(2)(b)",
      "weight": 0.25,
      "description": "Infringement committed deliberately with knowledge of unlawfulness."
    },
    {
      "id": "RECIDIVISM",
      "label": "Previous Relevant Infringements",
      "article": "Art. 83(2)(e)",
      "weight": 0.20,
      "description": "Past reprimands, warnings, or fines issued by supervisory authorities."
    },
    {
      "id": "FAILURE_TO_MITIGATE",
      "label": "Failure to Mitigate Damage",
      "article": "Art. 83(2)(c)",
      "weight": 0.15,
      "description": "Inadequate response or prolonged inaction after discovering the breach."
    },
    {
      "id": "LACK_OF_COOPERATION",
      "label": "Refusal or Obstruction of DPA Investigation",
      "article": "Art. 83(2)(f)",
      "weight": 0.20,
      "description": "Concealing facts or failing to provide information requested by the authority."
    },
    {
      "id": "FINANCIAL_GAIN",
      "label": "Financial Benefit Gained",
      "article": "Art. 83(2)(k)",
      "weight": 0.15,
      "description": "Economic advantage or cost avoidance directly resulting from non-compliance."
    }
  ],
  "mitigating_factors": [
    {
      "id": "PROMPT_SELF_REPORT",
      "label": "Spontaneous Self-Notification to DPA",
      "article": "Art. 83(2)(h)",
      "weight": -0.20,
      "description": "Proactive notification to the DPA before any third-party complaint or detection."
    },
    {
      "id": "EXEMPLARY_COOPERATION",
      "label": "High Level of Cooperation with DPA",
      "article": "Art. 83(2)(f)",
      "weight": -0.15,
      "description": "Full transparency, comprehensive logs, and immediate execution of remedial steps."
    },
    {
      "id": "ROBUST_PRE_TOMS",
      "label": "Robust Pre-existing Security Measures (TOMs)",
      "article": "Art. 83(2)(d)",
      "weight": -0.15,
      "description": "Industry-standard encryption, pseudonymization, and ISO 27001 certification in place."
    },
    {
      "id": "PROMPT_SUBJECT_REMEDY",
      "label": "Immediate Redress to Data Subjects",
      "article": "Art. 83(2)(c)",
      "weight": -0.15,
      "description": "Free credit monitoring, identity theft protection, or compensation provided to individuals."
    },
    {
      "id": "CERTIFICATION_ADHERENCE",
      "label": "Adherence to Approved Codes of Conduct / Certification",
      "article": "Art. 83(2)(j)",
      "weight": -0.10,
      "description": "Formal compliance with EDPB-approved code of conduct (Art. 40) or certification (Art. 42)."
    }
  ]
}