Article 30 GDPR

← Article 30 - Records of processing activities →
Chapter 1: General provisions Article 1: Subject-matter and objectives Article 2: Material scope Article 3: Territorial scope Article 4: Definitions Chapter 2: Principles Article 5: Principles relating to processing of personal data Article 6: Lawfulness of processing Article 7: Conditions for consent Article 8: Conditions applicable to child’s consent in relation to information society services Article 9: Processing of special categories of personal data Article 10: Processing of personal data relating to criminal convictions and offences Article 11: Processing which does not require identification Chapter 3: Rights of the data subject Article 12: Transparent information, communication and modalities for the exercise of the rights of the data subject Article 13: Information to be provided where personal data are collected from the data subject Article 14: Information to be provided where personal data have not been obtained from the data subject Article 15: Right of access by the data subject Article 16: Right to rectification Article 17: Right to erasure (‘right to be forgotten’) Article 18: Right to restriction of processing Article 19: Notification obligation regarding rectification or erasure of personal data or restriction of processing Article 20: Right to data portability Article 21: Right to object Article 22: Automated individual decision-making, including profiling Article 23: Restrictions Chapter 4: Controller and processor Article 24: Responsibility of the controller Article 25: Data protection by design and by default Article 26: Joint controllers Article 27: Representatives of controllers or processors not established in the Union Article 28: Processor Article 29: Processing under the authority of the controller or processor Article 30: Records of processing activities Article 31: Cooperation with the supervisory authority Article 32: Security of processing Article 33: Notification of a personal data breach to the supervisory authority Article 34: Communication of a personal data breach to the data subject Article 35: Data protection impact assessment Article 36: Prior consultation Article 37: Designation of the data protection officer Article 38: Position of the data protection officer Article 39: Tasks of the data protection officer Article 40: Codes of conduct Article 41: Monitoring of approved codes of conduct Article 42: Certification Article 43: Certification bodies Chapter 5: Transfers of personal data Article 44: General principle for transfers Article 45: Transfers on the basis of an adequacy decision Article 46: Transfers subject to appropriate safeguards Article 47: Binding corporate rules Article 48: Transfers or disclosures not authorised by Union law Article 49: Derogations for specific situations Article 50: International cooperation for the protection of personal data Chapter 6: Supervisory authorities Article 51: Supervisory authority Article 52: Independence Article 53: General conditions for the members of the supervisory authority Article 54: Rules on the establishment of the supervisory authority Article 55: Competence Article 56: Competence of the lead supervisory authority Article 57: Tasks Article 58: Powers Article 59: Activity reports Chapter 7: Cooperation and consistency Article 60: Cooperation between the lead supervisory authority and the other supervisory authorities concerned Article 61: Mutual assistance Article 62: Joint operations of supervisory authorities Article 63: Consistency mechanism Article 64: Opinion of the Board Article 65: Dispute resolution by the Board Article 66: Urgency procedure Article 67: Exchange of information Article 68: European Data Protection Board Article 69: Independence Article 70: Tasks of the Board Article 71: Reports Article 72: Procedure Article 73: Chair Article 74: Tasks of the Chair Article 75: Secretariat Article 76: Confidentiality Chapter 8: Remedies, liability and penalties Article 77: Right to lodge a complaint with a supervisory authority Article 78: Right to an effective judicial remedy against a supervisory authority Article 79: Right to an effective judicial remedy against a controller or processor Article 80: Representation of data subjects Article 81: Suspension of proceedings Article 82: Right to compensation and liability Article 83: General conditions for imposing administrative fines Article 84: Penalties Chapter 9: Specific processing situations Article 85: Processing and freedom of expression and information Article 86: Processing and public access to official documents Article 87: Processing of the national identification number Article 88: Processing in the context of employment Article 89: Safeguards and derogations relating to processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes Article 90: Obligations of secrecy Article 91: Existing data protection rules of churches and religious associations Chapter 10: Delegated and implementing acts Article 92: Exercise of the delegation Article 93: Committee procedure Chapter 11: Final provisions Article 94: Repeal of Directive 95: /46: /EC Article 95: Relationship with Directive 20: 02: /58: /EC Article 96: Relationship with previously concluded Agreements Article 97: Commission reports Article 98: Review of other Union legal acts on data protection Article 99: Entry into force and application

Legal Text

Article 30 - Records of processing activities

1. Each controller and, where applicable, the controller's representative, shall maintain a record of processing activities under its responsibility. That record shall contain all of the following information:

(a) the name and contact details of the controller and, where applicable, the joint controller, the controller's representative and the data protection officer;

(b) the purposes of the processing;

(c) a description of the categories of data subjects and of the categories of personal data;

(d) the categories of recipients to whom the personal data have been or will be disclosed including recipients in third countries or international organisations;

(e) where applicable, transfers of personal data to a third country or an international organisation, including the identification of that third country or international organisation and, in the case of transfers referred to in the second subparagraph of Article 49(1), the documentation of suitable safeguards;

(f) where possible, the envisaged time limits for erasure of the different categories of data;

(g) where possible, a general description of the technical and organisational security measures referred to in Article 32(1).

2. Each processor and, where applicable, the processor's representative shall maintain a record of all categories of processing activities carried out on behalf of a controller, containing:

(a) the name and contact details of the processor or processors and of each controller on behalf of which the processor is acting, and, where applicable, of the controller's or the processor's representative, and the data protection officer;

(b) the categories of processing carried out on behalf of each controller;

(c) where applicable, transfers of personal data to a third country or an international organisation, including the identification of that third country or international organisation and, in the case of transfers referred to in the second subparagraph of Article 49(1), the documentation of suitable safeguards;

(d) where possible, a general description of the technical and organisational security measures referred to in Article 32(1).

3. The records referred to in paragraphs 1 and 2 shall be in writing, including in electronic form.

4. The controller or the processor and, where applicable, the controller's or the processor's representative, shall make the record available to the supervisory authority on request.

5. The obligations referred to in paragraphs 1 and 2 shall not apply to an enterprise or an organisation employing fewer than 250 persons unless the processing it carries out is likely to result in a risk to the rights and freedoms of data subjects, the processing is not occasional, or the processing includes special categories of data as referred to in Article 9(1) or personal data relating to criminal convictions and offences referred to in Article 10.

Relevant Recitals

Recital 13: Harmonisation of Protection and Advantages for Small and Medium-Sized Enterprises

In order to ensure a consistent level of protection for natural persons throughout the Union and to prevent divergences hampering the free movement of personal data within the internal market, a Regulation is necessary to provide legal certainty and transparency for economic operators, including micro, small and medium-sized enterprises, and to provide natural persons in all Member States with the same level of legally enforceable rights and obligations and responsibilities for controllers and processors, to ensure consistent monitoring of the processing of personal data, and equivalent sanctions in all Member States as well as effective cooperation between the supervisory authorities of different Member States. The proper functioning of the internal market requires that the free movement of personal data within the Union is not restricted or prohibited for reasons connected with the protection of natural persons with regard to the processing of personal data. To take account of the specific situation of micro, small and medium-sized enterprises, this Regulation includes a derogation for organisations with fewer than 250 employees with regard to record-keeping. In addition, the Union institutions and bodies, and Member States and their supervisory authorities, are encouraged to take account of the specific needs of micro, small and medium-sized enterprises in the application of this Regulation. The notion of micro, small and medium-sized enterprises should draw from Article 2 of the Annex to Commission Recommendation 2003/361/EC.

Recital 82: Maintenance and Availability of Records

In order to demonstrate compliance with this Regulation, the controller or processor should maintain records of processing activities under its responsibility. Each controller and processor should be obliged to cooperate with the supervisory authority and make those records, on request, available to it, so that it might serve for monitoring those processing operations.

Recital 89: Abolishment of Indiscriminate General Notification

Directive 95/46/EC provided for a general obligation to notify the processing of personal data to the supervisory authorities. While that obligation produces administrative and financial burdens, it did not in all cases contribute to improving the protection of personal data. Such indiscriminate general notification obligations should therefore be abolished, and replaced by effective procedures and mechanisms which focus instead on those types of processing operations which are likely to result in a high risk to the rights and freedoms of natural persons by virtue of their nature, scope, context and purposes. Such types of processing operations may be those which in, particular, involve using new technologies, or are of a new kind and where no data protection impact assessment has been carried out before by the controller, or where they become necessary in the light of the time that has elapsed since the initial processing.

Commentary

Article 30 GDPR requires controllers and processors to maintain a "record of processing activities" (Article 4(2) GDPR). Paragraph 1 specifies the information that the controller must include in the record. Paragraph 2 serves the same purpose, but it is addressed to the processor. Paragraph 3 clarifies that the record must be in written form, possibly also in electronic form. The following paragraph, paragraph 4, states that the record must be provided to supervisory authorities when they request it. Finally, the last paragraph establishes exceptions to the obligation to keep the record for controllers and processors with fewer than 250 employees, unless additional conditions are met.

(1) Record of processing activities by the controller

Article 30(1) GDPR provides a list of the elements that must be contained in the record of processing activities carried out by the controller. If the controller is located outside the EU, then its representative in the EU under Article 27 GDPR is subject to this obligation.

(a) Names and contact details

Article 30(1)(a) states it should contain the name and contact details of the controller and, where applicable, the joint controller(s), the controller's representative and the data protection officer. This information is intended to enable an unambiguous identification of the controller(s) and whoever else is responsible under the GDPR. The notion of 'contact details' is not limited to a simple email address. It must contain all the elements (physical address, telephone number, contact person) that make it possible to contact a particular person or, where appropriate, reach them for an inspection.

(b) Purposes of the processing

Article 30(1)(b) requires the controller to provide a description of the purposes of the processing. In accordance with Article 5(2)(b), purposes must be determined prior to the data collection and, in principle, subsequent processing is only allowed for such pre-specified purposes, which must be clear and transparent to enable the supervisory authority to assess the adequacy of safeguards implemented and the lawfulness of the processing during potential audits.

Speaking of lawfulness, the provision does not require to mention the legal basis upon which a certain purpose relies. This gap should be filled by interpreting the text in line with the principle of accountability. If a controller must demonstrate compliance with the GDPR, then it must have a "firm and reasoned notion about the legal basis of processing before it starts any operation, and this notion should be verifiable by means of its records. Thus, in order for the keeping of records to be meaningful, it will be necessary for the controller to be able to demonstrate on which legal basis it relies in its processing".

(c) Categories of data subjects and of personal data

Article 30(1)(c) GDPR establishes that the record of processing activities shall describe the categories of data subjects and the categories of personal data. Examples of categories of data subjects are "website visitors", "clinic patients", "employees". Categories of personal data may be "website clicks", "diagnosis", "holiday leave", as well as "union affiliations". Scholars have highlighted that each category of personal data should be tied to the category of data subject it belongs to. For example, the record of processing activities should clearly show that the two categories "holiday leave" and "union affiliations" are processed with regard to the "employees" category.

(d) Categories of recipients

Article 30(1)(d) prescribes that controllers should describe the categories of recipients to whom personal data have been or will be disclosed. The wording of the provision suggests that only the categories of addressees have to be indicated, such as "suppliers", "accountants", "marketing consultants", or "legal advisors". However, this ambiguity does not seem advisable, as other provisions of the GDPR require the controller to keep track of individual recipients. For example, Article 15(1)(c) GDPR and Article 19 GDPR require the disclosure of “recipients or categories of recipients” and specific recipients “if the data subject requests it” respectively. Based on the same logical and legal premises, the European Court of Justice has recently clarified that, if requested by the data subject, the controller is obliged to provide a specific list of recipients. As such, it would go against its aim of increasing accountability to not specify the recipients in the record of processing activities.

(e) International transfers

In accordance with Article 30(1)(e), the controller shall provide information regarding the transfers of personal data to a third country or an international organisation and, in the case of the applicability of Article 49(1) GDPR, the documentation of suitable safeguards. There is no obligation to name the means by which the controller intends to ensure an adequate level of protection on the part of the foreign recipient of the data. Additional information "is needed only if a data transfer shall, exceptionally, be based on Article 49(1), second subparagraph, which pertains to occasional ('non-repetitive') transfers of data about a limited number of data subjects and for compelling legitimate interests".

(f) Envisaged time limits for erasure

Article 30(1)(f) GDPR requires controllers to clarify the envisaged time limits for erasure of different categories of data. If the controller knows when certain data will be deleted, it is necessary to indicate this period. However, it may not be feasible to specify an exact deletion period for every processing, especially if the permissible storage duration is contingent upon the indefinite duration of a contract. In such cases, it is advisable to provide a general deadline for deletion. Specifying the deletion period also helps the supervisory authority ensure compliance with the requirements of data minimization (Article 5(1)(c) GDPR) and storage limitation (Article 5(1)(e) GDPR).

(g) Description of security measures

Under Article 30(1)(f) GDPR, where possible, the controller provides a "general description" of the technical and organisational security measures referred to in Article 32(1) GDPR. In most cases, it is rare to encounter situations where a general description is impossible. Controller will likely use categories of measures such as "use of anti-virus programs," "restriction of external access", "security guards at the facility" or similar. However, if the controller engages in numerous processing activities, it can result in a significant documentation effort.

(2) Record of processing activities by the processor

Article 30(2) GDPR regulates the minimum requirements of the processor's records of processing activities (or, where available, its representative's under Article 27 GDPR). These rules, which partly overlap with those established by Article 30(1) GDPR, notably provide for an obligation on the processor to record the following elements.

(a) Names and contact details

Under Article 30(2)(a) GDPR, the processor must provide information in two separate directions. In their Record of Processing Activities (ROPA), on one hand, they should indicate the name as well as the contact details of all the controllers (or their representatives) on whose behalf they operate. On the other hand, they should mention all the processors or their representatives the processor has, in turn, engaged. If available, data protection officers should also be mentioned.

(b) Categories of processing carried out on behalf of the controller

Article 30(2)(b) GDPR requires the processor to list the categories of processing carried out on behalf of each controller. The processor is only required to document the categories of processing activities. The notion of categories implies that individual processing steps are not described in detail. It is likely sufficient for the processor to provide a general description of their service in the documentation (such as cloud computing or software-as-a-service).

(c) International transfers

Where applicable, information on the transfers of personal data to a third country or an international organisation and, in the case of the applicability of Article 49(1) GDPR, the documentation of suitable safeguards (Article 30(2)(c) GDPR). See commentary under Article 30(1)(e) GDPR.

(d) Description of security measures

The processor's ROPA must contain a general description of the technical and organisational security measures referred to in Article 32(1) GDPR. See commentary under Article 30(1)(g) GDPR.

(3) Written form

The records of processing activities shall be in writing, including in electronic form. This enables controllers to provide DPAs with the records when requested under Article 30(4) GDPR and to comply with, inter alia, the principles of accountability and transparency. Any changes to the processing operation have to be transparent and traceable (e.g. who has been the controller, processor or data protection officer – and when). The ROPA must be kept up to date, “in order to be able to track changes to the entries in the directory (e.g. who was responsible when, data protection officer, etc.), the changes should be documented with a storage period of one year.”

(4) Provision of the ROPA to supervisory authority

Under Article 30(4) GDPR, the controller or the processor and, where applicable, the controller's or the processor's representative, shall make the record available to the supervisory authority on request. Supervisory authorities can investigate controllers and processor as general control measure, but also where data breaches have occurred and data subjects have filed complaints. Records of processing activities therefore have to be available at any time to be provided to DPAs upon request.

Although not explicitly stated in Article 30(4), the Record of Processing Activities (ROPA) should be made available to the Data Protection Officer (DPO). Conversely, the DPO may not have the necessary resources to carry out their duties, as provided for in Article 38(2) of the GDPR.

There is no obligation to provide the ROPA directly to third parties, including data subjects. However, a significant portion of the information contained in the ROPA is already available in privacy policies (Articles 13 and 14) or in response to access requests (Article 15).

(5) Exceptions

An enterprise or an organisation employing less than 250 persons is not obliged to maintain records of processing. However, this exception does not apply if an organisation carries out processing that is likely to result in a risk to the rights and freedoms of data subjects, the processing is not occasional, or the processing includes special categories of data (Article 9(1) GDPR) or personal data relating to criminal convictions and offences referred to in Article 10 GDPR.

Decisions

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