Circular 1/2011 of the Bank of Spain on the creation, modification and deletion of personal data files managed by the Bank of Spain

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Circular 1/2011, of January 26, of the Bank of Spain, on the creation, modification and deletion of files with personal data managed by the Bank of Spain. (BOE of February 7) (Correction of errors BOE of February 9)

The descriptions of the automated files with personal data existing in the Bank of Spain are collected in circulars 2/2005, of February 25; 4/2005, of December 23; 3/2007, of July 27, and 4/2008, of October 31, in compliance with what is provided in article 20 of the Organic Law 15/1999, of December 13, on the protection of personal data, and in title V of the Regulation of the aforementioned Organic Law 15/1999, approved by Royal Decree 1720/2007, of December 21, on the creation, modification or deletion of files of Public Administrations.

The approval of new regulations regarding some files and the changes that have occurred in the organizational structure of the Bank of Spain, in internal management processes and in the corresponding information systems, make it necessary to create ten files, modify thirteen and delete four.

The modifications and deletions of files with personal data collected in this Circular affect files created or modified by circulars 2/2005, of February 25; 3/2007, of July 27, and 4/2008, of October 31.

The descriptions of all files that are created or modified appear in the annex of this Circular. For those files that are modified, this description replaces the corresponding description included in the circular of creation or last modification of the file, as applicable for each file.

Regardless of the potential assignees listed in the sections "Assignments of personal data" and "Transfers of personal data to third countries" in the descriptions of the various files, and in accordance with what is provided in article 6 of Legislative Royal Decree 1298/1986, of June 28, in the wording given to it by Law 37/1998, of November 16, the data, documents and information held by the Bank of Spain by virtue of all functions entrusted to it by laws have a reserved character, although they may nevertheless be assigned to the authorities, bodies or groups listed in section 4 of the aforementioned provision.

Likewise, and by virtue of what is provided in section 1 of the aforementioned article, the Bank of Spain may communicate information relating to the address, management and ownership of credit institutions, as well as those that may facilitate the control of their solvency and any other that may facilitate their supervision or serve to prevent, prosecute or sanction irregular conduct, to those authorities that have similar functions entrusted in foreign States.

The "Assignments of personal data" and "Transfers of personal data to third countries" of the files "Training" and "Mobility and Development" created by this Circular will be carried out with the prior and unequivocal consent of the affected parties, in accordance with the scenario contemplated in section e) of article 34 of Law 15/1999, of December 13, as has been done in the case of the file "Selection and training of personnel" deleted by this Circular.

Consequently, in exercise of the powers granted, the Governing Council of the Bank of Spain, at the proposal of the Executive Commission, has approved this Circular, which contains the following regulations:

First Rule.

The files "Suppliers and cash professionals", "Structure of participatory quotas of savings banks" and "Registry of customer service and customer ombudsman services" are created, whose descriptions, which appear in the annex of this Circular, are incorporated into Annex I, "Files managed by the Bank of Spain by virtue of the public functions entrusted to it by Law 13/1994, of June 1, and other applicable legislation", of Circular 2/2005, of February 25, "Automated files with personal data managed by the Bank of Spain".

Second Rule.

The file "Certain cash operations" is modified in the sections "Purpose of the file and intended uses", "Origin of the data", "Groups or categories of interested parties", "Basic structure of the file and types of data", "Treatment system" and "Data assignments".

Third Rule.

The file "Capital structure of entities supervised by the Bank of Spain" is modified in the sections "Reference regulation", "Groups or categories of interested parties", "Basic structure of the file and types of data", "Treatment system" and "Data assignments".

Fourth Rule.

The file "Registry of agents of entities supervised by the Bank of Spain" is modified by changing its name to "Registry of agents of credit and payment entities", and in the sections "Reference regulation", "Origin of the data", "Groups or categories of interested parties", "Basic structure of the file and types of data", "Treatment system", "Data assignments" and "International data transfers".

Fifth Rule.

The file "Registry of professionals linked to valuation companies supervised by the Bank of Spain" is modified in the sections "Groups or categories of interested parties", "Basic structure of the file and types of data", "Treatment system", "Data assignments" and "International data transfers".

Sixth Rule.

The file "Registry of holders of establishments open to the public for foreign currency exchange" is modified in the sections "Reference regulation", "Origin of the data", "Groups or categories of interested parties", "Basic structure of the file and types of data", "Treatment system", "Data assignments" and "International data transfers".

Seventh Rule.

The file "Official registries of senior management of entities registered with the Bank of Spain" is modified in the sections "Reference regulation", "Purpose and intended uses", "Origin of the data", "Groups or categories of interested parties", "Basic structure of the file and types of data", "Treatment system", "Data assignments" and "International data transfers".

Eighth Rule.

The file "Complaints Service" is modified in the sections "Origin of the data", "Groups or categories of interested parties", "Basic structure of the file and types of data", "Treatment system", "Security level", "Data assignments" and "International data transfers".

Ninth Rule.

The files "Contracting Management", "Selection", "Training", "Mobility and Development", "Union Affairs and Social Benefits", "Social History" and "Supervision Staff Management" are created, whose descriptions, which appear in the annex of this Circular, are incorporated into Annex II, "Files of an internal or operational nature", of Circular 2/2005, of February 25, "Automated files with personal data managed by the Bank of Spain".

Tenth Rule.

The files "Suppliers and clients of non-financial goods and services" and "Files of the Centralized Contracting Service" are deleted. The data from both files have been incorporated into the file "Contracting Management", created by this Circular.

Eleventh Rule.

The file "Selection and training of personnel" is deleted. The data from said file have been incorporated into the files "Selection", "Training" and "Mobility and Development", created by this Circular.

Twelfth Rule.

The file "Personnel Management" is modified by segregating from it the data relating to the file "Union Affairs and Social Benefits" created in this Circular, changing its name to "Personnel Administration", and in the sections "Purpose and intended uses", "Origin of the data", "Groups or categories of interested parties", "Basic structure of the file and types of data", "Treatment system" and "Assignments of personal data".

Thirteenth Rule.

The file "Access control and stay in Bank of Spain buildings" is modified by changing its name to "Surveillance, access control and stay in Bank of Spain buildings", and in the sections "Reference regulation", "Rights of access, rectification, cancellation and opposition", "Purpose and intended uses", "Groups or categories of interested parties", "Basic structure of the file and types of data" and "Data assignments".

Fourteenth Rule.

The file "Issuance of identification cards" is deleted. The data from said file have been incorporated into the file "Surveillance, access control and stay in Bank of Spain buildings", modified by this Circular.

Fifteenth Rule.

The file "Declarations of the Bank of Spain code of conduct" is modified in the sections "Origin of the data", "Basic structure of the file and types of data" and "Treatment system".

Sixteenth Rule.

The file "Electronic certificates" is modified in the sections "Rights of access, rectification, cancellation and opposition" and "Basic structure of the file and types of data included in it".

Seventeenth Rule.

The file "Registry of document entry and exit" is modified in the sections "Reference regulation", "Rights of access, rectification, cancellation and opposition", "Purpose of the file and intended uses" and "Groups or categories of interested parties".

Eighteenth Rule.

The file "Archive queries" is modified in the sections "Rights of access, rectification, cancellation and opposition", "Purpose and intended uses" and "Basic structure of the file and types of data included in it".

Final Rule.

This Circular will enter into force on the day of its publication in the "Official State Gazette".

ANNEX

[ 1 ]

File: Suppliers and cash professionals

File Manager.–Bank of Spain.

Rights of access, rectification, cancellation and opposition.–Issuance and Cash Department. Calle Alcalá, 48, 28014 Madrid

Purpose of the file and intended uses.–Management of requests for the performance of cash processing machinery tests and for the opening of banknote selection centers and management of service benefits related to cash.

Type of purpose and intended uses of the file: Other purposes.

Origin of the data.–The interested party themselves or their legal representative.

Groups or categories of interested parties:

Suppliers.

Legal representatives.

Applicants.

Beneficiaries.

Basic structure of the file and types of personal data included in it:

Specially protected data: Does not include this type of data.

Relating to the commission of offenses: Does not include this type of data.

Identifying data:

NIF/DNI (Tax ID/ID Card).

Name and surnames.

Address.

Telephone.

Signature/fingerprint.

Other classified data: Academic and professional.

Treatment system.–Mixed.

Security measures.–Basic.

Assignments of personal data.–No data assignments are planned.

Transfers of personal data to third countries.–No data transfers are planned.

[1]

Files incorporated in Circular 2/2005, of February 25.

File: Structure of participatory quotas of Savings Banks

File Manager.–Bank of Spain.

Rights of access, rectification, cancellation and opposition.–Financial Information and Risk Central Department. Calle Alcalá, 48, 28014 Madrid.

Reference regulation:

Article 11 of Royal Decree 302/2004, of February 20.

Bank of Spain Circular 1/2009, of December 18.

Legislative Royal Decree 1298/1986, of June 28.

Purpose of the file and intended uses.–To have updated information on the structure of the participatory quotas of Savings Banks.

Type of purpose and intended uses of the file: Other purposes.

Origin of the data.–Private entity.

Groups or categories of interested parties.–Owners or lessees.

Basic structure of the file and types of personal data included in it:

Specially protected data: Does not include this type of data.

Relating to the commission of offenses: Does not include this type of data.

Identifying data:

NIF/DNI (Tax ID/ID Card).

Name and surnames.

Other identifying data: Passport, residence card.

Other classified data: Economic, financial and insurance.

Treatment system.–Automated.

Security measures.–Basic.

Assignments of personal data.–No data assignments are planned.

Transfers of personal data to third countries.–No data transfers are planned.

File: Registry of Customer Service and Customer Ombudsman Services

File Manager.–Bank of Spain.

Rights of access, rectification, cancellation and opposition.–Financial Institutions Department. Calle Alcalá, 48, 28014 Madrid.

Reference regulation:

Law 44/2002, of November 22, on measures to reform the financial system.

ECO Order 734/2004, of March 11, on the departments and services for customer attention and the customer ombudsman of financial entities.

Legislative Royal Decree 1298/1986, of June 28.

Purpose of the file and intended uses.–Management of the Registry of Customer Service and Customer Ombudsman Services which processes the contact data that entities supervised by the Bank of Spain must make available to their customers for the presentation of complaints and grievances.

Type of purpose and intended uses of the file: Administrative procedure.

Origin of the data:

The interested party themselves or their legal representative.

Private entity.

Groups or categories of interested parties:

Legal representatives.

Applicants.

Basic structure of the file and types of personal data included in it:

Specially protected data: Does not include this type of data.

Relating to the commission of offenses: Does not include this type of data.

Identifying data:

NIF/DNI (Tax ID/ID Card).

Name and surnames.

Address.

Telephone.

Other identifying data: Fax, email address.

Other classified data: Employment details.

Treatment system.–Mixed.

Security measures.–Basic.

Assignments of personal data:

Public Treasury and Tax Administration.

Judicial bodies.

European Union bodies.

Other bodies of the State Administration.

Other bodies of the Autonomous Community.

Provincial councils.

Other bodies of Local Administration.

Others: National Securities Market Commission, Executive Service of the Commission for the Prevention of Money Laundering and Monetary Offenses.

Transfers of personal data to third countries:

Other public bodies of other States.

International organizations.

Judicial bodies.

Other categories: Supervisory bodies of financial institutions or financial markets and to member countries of the European Union and others with which there is reciprocity.

File: Certain cash operations

File Manager.–Bank of Spain.

Rights of access, rectification, cancellation and opposition.–Issuance and Cash Department. Calle Alcalá, 48, 28014 Madrid.

Purpose of the file and intended uses.–Administrative and accounting management of cash movements, deposits of diverse typology and various circumstances relating to banknotes and coins (expert appraisals, differences, remittances and exchanges), communication of operations within the scope of money laundering prevention.

Type of purpose and intended uses of the file:

Fiscal and administrative accounting management.

Other purposes.

Origin of the data:

The interested party themselves or their legal representative.

Private entity.

Public Administrations.

Groups or categories of interested parties:

Employees.

Citizens and residents.

Legal representatives.

Applicants.

Other groups: experts for whose work deposits are made.

Basic structure of the file and types of personal data included in it.–Specially protected data: Does not include this type of data.

Relating to the commission of offenses: Does not include this type of data.

Identifying data:

NIF/DNI (Tax ID/ID Card).

Employee registration number.

Name and surnames.

Address.

Telephone.

Signature.

Other types of identifying data: Residence card, passport, email address.

Other types of classified data:

Personal characteristics.

Academic and professional.

Economic, financial and insurance.

Goods and services transactions.

Other types of data: Operation data.

Treatment system.–Mixed.

Security measures.–Medium.

Assignments of personal data:

Public Treasury and Tax Administration.

Security Forces and Corps.

Others: Executive Service of the Commission for the Prevention of Money Laundering and Monetary Offenses.

Transfers of personal data to third countries.–No data transfers are planned.

File: Capital structure of entities supervised by the Bank of Spain

File Manager.–Bank of Spain.

Rights of access, rectification, cancellation and opposition.–Financial Information and Risk Central Department. Calle Alcalá, 48, 28014 Madrid.

Reference regulation:

Article 61 of Law 26/1988, of July 29.

Article 19 of Royal Decree 1245/1995, of July 14.

Article 16 of Royal Decree 322/2008, of February 29.

Bank of Spain Circular 1/2009, of December 18.

Royal Decree 775/1997, of May 30.

Circular 3/1998, of January 27.

Royal Decree 2660/1998, of December 14.

Circular 6/2001, of October 29.

Legislative Royal Decree 1298/1986, of June 28.

Purpose of the file and intended uses.–To have updated information on the capital structure of entities supervised by the Bank of Spain.

Type of purpose and intended uses of the file: Other purposes.

Origin of the data.–Private entity.

Groups or categories of interested parties.–Owners or lessees.

Basic structure of the file and types of personal data included in it:

Specially protected data: Does not include this type of data.

Relating to the commission of offenses: Does not include this type of data.

Identifying data:

NIF/DNI (Tax ID/ID Card).

Name and surnames.

Address.

Other identifying data: passport, residence card.

Other classified data:

Academic and professional.

Economic, financial and insurance.

Goods and services transactions.

Treatment system.–Mixed.

Security measures.–Basic.

Assignments of personal data.–No data assignments are planned.

Transfers of personal data to third countries.–No data transfers are planned.

File: Registry of Agents of Credit and Payment Entities

File Manager.–Bank of Spain.

Rights of access, rectification, cancellation and opposition.–Financial Institutions Department. Calle Alcalá, 48, 28014 Madrid.

Reference regulation:

Article 22 of Royal Decree 1245/1995, of July 14.

Bank of Spain Circular 4/2010.

Royal Decree 2660/1998, of December 14.

Order of the Ministry of Economy of November 16, 2000, on the regulation of certain aspects of the legal regime of foreign currency exchange establishments and their agents.

Bank of Spain Circular 6/2001, of October 29.

Royal Decree 712/2010, of May 28.

Purpose of the file and intended uses.–List of agents authorized or designated to act habitually on behalf of clients, in the name and on behalf of credit entities; of the holders of establishments open to the public for foreign currency exchange authorized to manage transfers with the outside; and of payment entities, including community ones that provide services in Spain.

Type of purpose and intended uses of the file: Administrative procedure.

Origin of the data.–Private entity.

Groups or categories of interested parties:

Applicants.

Other groups: Agents of supervised entities.

Basic structure of the file and types of personal data included in it:

Specially protected data: Does not include this type of data.

Relating to the commission of offenses: Does not include this type of data.

Identifying data:

NIF/DNI (Tax ID/ID Card).

Name and surnames.

Address.

Other identifying data: nationality, date of birth in case of non-residents.

Other classified data:

Employment details.

Commercial information.

Treatment system.–Mixed.

Security measures.–Basic.

Assignments of personal data:

Public Treasury and Tax Administration.

Judicial bodies.

European Union bodies.

Other bodies of the State Administration.

Other bodies of the Autonomous Community.

Other bodies of Local Administration.

Others: National Securities Market Commission, Executive Service of the Commission for the Prevention of Money Laundering and Monetary Offenses.

Transfers of personal data to third countries:

Other public bodies of other States.

International organizations.

Judicial bodies.

Other categories: Supervisory bodies of financial institutions or financial markets and to member countries of the European Union and others with which there is reciprocity.

File: Registry of Professionals Linked to Valuation Companies Supervised by the Bank of Spain

File Manager.–Bank of Spain.

Rights of access, rectification, cancellation and opposition.–Financial Institutions Department. Calle Alcalá, 48, 28014 Madrid.

Reference regulation:

Law 2/1981, of March 25 ("BOE" of April 15).

Royal Decree 685/1982, of March 17 ("BOE" of April 7).

Royal Decree 775/1997, of May 30 ("BOE" of June 13).

Bank of Spain Circular 3/1998, of January 27 ("BOE" of February 13).

Legislative Royal Decree 1298/1986, of June 28.

Purpose of the file and intended uses.–Management of the data of qualified professionals linked, according to the definition given in article 2.3 of Royal Decree 775/1997, communicated by entities specialized in valuation and by the valuation services of lending entities, in accordance with the reference regulation.

Type of purpose and intended uses of the file: Administrative procedure.

Origin of the data:

The interested party themselves or their legal representative.

Private entity.

Groups or categories of interested parties:

Legal representatives.

Applicants.

Other groups: the qualified professionals who provide their services permanently in or for entities specialized in valuation or lending entities.

Basic structure of the file and types of personal data included in it:

Specially protected data: Does not include this type of data.

Relating to the commission of offenses: Does not include this type of data.

Identifying data:

NIF/DNI (Tax ID/ID Card).

Name and surnames.

Other classified data:

Academic and professional.

Employment details.

Other types of data: Valuation control functions in entities.

Treatment system.–Mixed.

Security measures.