Article 57 GDPR

← Article 57 - Tasks →
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 57 - Tasks

1. Without prejudice to other tasks set out under this Regulation, each supervisory authority shall on its territory:

(a) monitor and enforce the application of this Regulation;

(b) promote public awareness and understanding of the risks, rules, safeguards and rights in relation to processing. Activities addressed specifically to children shall receive specific attention;

(c) advise, in accordance with Member State law, the national parliament, the government, and other institutions and bodies on legislative and administrative measures relating to the protection of natural persons' rights and freedoms with regard to processing;

(d) promote the awareness of controllers and processors of their obligations under this Regulation;

(e) upon request, provide information to any data subject concerning the exercise of their rights under this Regulation and, if appropriate, cooperate with the supervisory authorities in other Member States to that end;

(f) handle complaints lodged by a data subject, or by a body, organisation or association in accordance with Article 80, and investigate, to the extent appropriate, the subject matter of the complaint and inform the complainant of the progress and the outcome of the investigation within a reasonable period, in particular if further investigation or coordination with another supervisory authority is necessary;

(g) cooperate with, including sharing information and provide mutual assistance to, other supervisory authorities with a view to ensuring the consistency of application and enforcement of this Regulation;

(h) conduct investigations on the application of this Regulation, including on the basis of information received from another supervisory authority or other public authority;

(i) monitor relevant developments, insofar as they have an impact on the protection of personal data, in particular the development of information and communication technologies and commercial practices;

(j) adopt standard contractual clauses referred to in Article 28(8) and in point (d) of Article 46(2);

(k) establish and maintain a list in relation to the requirement for data protection impact assessment pursuant to Article 35(4);

(l) give advice on the processing operations referred to in Article 36(2);

(m) encourage the drawing up of codes of conduct pursuant to Article 40(1) and provide an opinion and approve such codes of conduct which provide sufficient safeguards, pursuant to Article 40(5);

(n) encourage the establishment of data protection certification mechanisms and of data protection seals and marks pursuant to Article 42(1), and approve the criteria of certification pursuant to Article 42(5);

(o) where applicable, carry out a periodic review of certifications issued in accordance with Article 42(7);

(p) draft and publish the criteria for accreditation of a body for monitoring codes of conduct pursuant to Article 41 and of a certification body pursuant to Article 43;

(q) conduct the accreditation of a body for monitoring codes of conduct pursuant to Article 41 and of a certification body pursuant to Article 43;

(r) authorise contractual clauses and provisions referred to in Article 46(3);

(s) approve binding corporate rules pursuant to Article 47;

(t) contribute to the activities of the Board;

(u) keep internal records of infringements of this Regulation and of measures taken in accordance with Article 58(2); and

(v) fulfil any other tasks related to the protection of personal data.

2. Each supervisory authority shall facilitate the submission of complaints referred to in point (f) of paragraph 1 by measures such as a complaint submission form which can also be completed electronically, without excluding other means of communication.

3. The performance of the tasks of each supervisory authority shall be free of charge for the data subject and, where applicable, for the data protection officer.

4. Where requests are manifestly unfounded or excessive, in particular because of their repetitive character, the supervisory authority may charge a reasonable fee based on administrative costs, or refuse to act on the request. The supervisory authority shall bear the burden of demonstrating the manifestly unfounded or excessive character of the request.

Relevant Recitals

Recital 123: Cooperation Amongst Supervisory Authorities and with the Commission

The supervisory authorities should monitor the application of the provisions pursuant to this Regulation and contribute to its consistent application throughout the Union, in order to protect natural persons in relation to the processing of their personal data and to facilitate the free flow of personal data within the internal market. For that purpose, the supervisory authorities should cooperate with each other and with the Commission, without the need for any agreement between Member States on the provision of mutual assistance or on such cooperation.

Recital 129: Tasks and Powers of Supervisory Authorities

In order to ensure consistent monitoring and enforcement of this Regulation throughout the Union, the supervisory authorities should have in each Member State the same tasks and effective powers, including powers of investigation, corrective powers and sanctions, and authorisation and advisory powers, in particular in cases of complaints from natural persons, and without prejudice to the powers of prosecutorial authorities under Member State law, to bring infringements of this Regulation to the attention of the judicial authorities and engage in legal proceedings. Such powers should also include the power to impose a temporary or definitive limitation, including a ban, on processing. Member States may specify other tasks related to the protection of personal data under this Regulation. The powers of supervisory authorities should be exercised in accordance with appropriate procedural safeguards set out in Union and Member State law, impartially, fairly and within a reasonable time. In particular each measure should be appropriate, necessary and proportionate in view of ensuring compliance with this Regulation, taking into account the circumstances of each individual case, respect the right of every person to be heard before any individual measure which would affect him or her adversely is taken and avoid superfluous costs and excessive inconveniences for the persons concerned. Investigatory powers as regards access to premises should be exercised in accordance with specific requirements in Member State procedural law, such as the requirement to obtain a prior judicial authorisation. Each legally binding measure of the supervisory authority should be in writing, be clear and unambiguous, indicate the supervisory authority which has issued the measure, the date of issue of the measure, bear the signature of the head, or a member of the supervisory authority authorised by him or her, give the reasons for the measure, and refer to the right of an effective remedy. This should not preclude additional requirements pursuant to Member State procedural law. The adoption of a legally binding decision implies that it may give rise to judicial review in the Member State of the supervisory authority that adopted the decision.

Recital 132: Awareness-Raising Activities and Specific Measures

Awareness-raising activities by supervisory authorities addressed to the public should include specific measures directed at controllers and processors, including micro, small and medium-sized enterprises, as well as natural persons in particular in the educational context.

Commentary

Article 57(1) GDPR contains a detailed, albeit not exhaustive, list of mandatory tasks assigned to the supervisory authorities (“SA”). In Article(2)to(4) specify the general terms and conditions regarding performance of its tasks.

(1) Tasks of the supervisory authority (SA)

Article 57(1) GDPR sets out a list of 21 tasks that each SA must ("shall") perform on its teritory, without prejudice to other tasks set out under the GDPR.

The tasks can be devided into monitoring and enforcement, investigation and audit activities, advisory activities, cooperation requirements, execution of the activities and instruments envisaged in other Articles of the GDPR, documentation requirements and following current developments.

The aim of the detailed regulation is to create an equivalent level of data protection within the EU through a "uniform implementation framework" (Recital 123 GDPR, 129 GDPR and Article 57(1)(g)(h) GDPR).

Ensuring free flow of personal data is not entailed among the tasks of the SA.

Without prejudice to other tasks set out under this Regulation

The provision does not provide for a closed list, as other tasks and responsibilities may arise from other provisions included in the GDPR, such as drawing up of annual activity reports under Article 59 GDPR.

Tasks of SAs

(a) Monitor and enforce the GDPR

According to Article 57(1)(a) GDPR, the SAs must ("shall") monitor and enforce the application of the GDPR. These are SA's main tasks. The collocation of these tasks (letter a) reflects its prominence. It summarises the core idea of SAs activities. Other tasks envisaged by the provision are almost all preordained to the fulfilment of these main tasks.

Monitor

Monitoring means checking compliance with the GDPR. In particular, the performance of data protection reviews.

Example: Reviewing the certifications granted under Article 42(7) GDPR.

This provision takes into account that data protection law, even at the highest level, is of little use if it is not enforced.

Enforce

Enforcement means remedying identified infringements of the GDPR, including coercive enforcement. This means that if the SA determines that the GDPR has been applied incorrectly or not at all by a controller or processor, it should not stop there. Its activities include the effective enforcement of the GDPR against entities. The SA should make use of its corrective powers under Article 58(2) GDPR. This ranges from warning, to issuing a ban on processing and to the imposition of fines.

Example: Company YX is transfering data to the US without a valid legal basis. SA can establish an infringment of the GDPR, order return of data to the EU/EEA, ban future processing of respective data outside the EU/EEA and impose a fine.

SAs thus become effective supervisors with the possibility to intervene comprehensively and, if necessary, with coercive measures for the purpose of the effective application of the GDPR.

(b) Promote public awareness

Raising public awareness is explicitly regulated as a task. The GDPR expressly assigns the SAs the task of making the public aware not only of the risks associated with data processing but also of safeguards and protections that the GDPR affords to data subjects and children.

Example: Organising A SA organises a public campaign "know your rights" on data subjects rights taht includes visits of schools.

(c) Advise member states and other public bodies

The wording includes general, preventive advice to the bodies mentioned on which measures should be taken to ensure an appropriate level of data protection. A confirmation to this can be found in Article 36(4) GDPR which stipulates that Member States shall consult the SA during the preparation of a legislative measure which relates to processing of personal data. The advisory activities of the supervisory authorities are intended to make data processing transparent and enable the addressees of the advisory service to conduct legal and administrative activities in accordance with data protection.

Example: xxx

(d) Promote the awareness of controllers and processors

SAs should not only shed light on legislative proposals and administrative measures, but also on those actors whose actions are governed by the GDPR (controllers and processors). In practice, this task can be carried out, for example, through training courses, official statements as well as through direct contacts with the obligated parties in the event of obvious difficulties in interpreting new and controversial provisions.

Example: xxx

(e) Provide information concerning the exercise of data subject rights

Not only do data protection authorities raise public awareness but they also provide specific guidance to data subjects with information about the exercise of their GDPR rights. The term “rights” includes material rights (such as the right to be forgotten, Article 17 GDPR) as well as procedural rights and legal enforcement options (for instance, the rights mentioned in Article 77 GDPR, Article 78 GDPR and Article 80 GDPR). Article 57(1)(e) GDPR refers to the fact that several SAs may have to work together for the purpose of a corresponding information campaign (e.g. by creating a joint information website or a joint leaflet).

Example: Pusblishing of easily understandble information about the rights of data subjects and how to draft and file a complain.

(f) Handle, investigate complaints and inform the complainant of the progress

Under Article 57(1)(f) GDPR, SAs should deal with data subjects’ complaints (including complaints filed in accordance with Article 80 GDPR). This is one of the main tsks of supervisory authorities. It implies investigating the subject matter of the complaint and informing the complainant about the progress and result of the investigation. All the above should be performed within a reasonable period of time (see also Article 77(2) GDPR and Article 78 GDPR). This reflects a fundamental duty of the data protection authorities to process complaints quickly and efficiently and to avoid lengthy proceedings.

(g) Cooperate with other supervisory authorities to ensure consistency and enforcement

SAs must share information and cooperate with other authorities in case a processing presents transnational profiles. It seems important to highlight that this type of cooperation does not require a cross-border processing as per Article 4(21) GDPR. The inter-agency cooperation can be regarded as a necessary instrument that allows SAs to monitor and enforce the application of the GDPR throughout the EU/EEA. Such aim would be impossible without a proactive cooperation. Therefore, it is the task of every national data protection SA, to work with other SAs, also through the exchange of information, and to provide them with administrative assistance in order to ensure the uniform application and enforcement of the GDPR.

(h) Conduct investigations

The SA can clearly carry out ex officio investigations to ensure compliance with the GDPR. To start the investigation, a SA can obtain the information out of its own initiative or from another SA (e.g. in accordance with Article 60(1) GDPR and Article 61(1)GDPR). Relevant information can also be obtained by another authority (e.g. a competition SA, consumer protection or telecommunications authority). In any of these cases, the SA can start an investigation.

(i) Monitor relevant development

Another activity SAs are tasked with is to follow any development relevant to data protection field. In particular, the SA shall be updated on new communication technologies and business practices. This seems to be necessary in order to adequately carry out the other tasks, particularly monitoring and advice. To do so, the SAs shall be given appropriate human and technical resources (Article 52(4) GDPR).

(j) Adopt standard contractual clauses under Articles 28(8) GDPR and 46(2)(d) GDPR

SAs can adopt standard contractual clauses in accordance with Article 28(8) GDPR and Article 46(2)(d) GDPR. Both cases trigger the coherence procedure before the EDPB according to Article 63 GDPR and Article 64(1)(d) GDPR.

Example: xxx

(k) Establish and maintain a DPIA list under Article 35(4) GDPR

Every SA shall establish and maintain a list of the processing operations for which according a data protection impact assessment must always be carried out (Article 35(1) GDPR). On the other side, maintaining a negative list for cases where a DPIA is not needed is not a mandatory task. However, according to Article 35(5) GDPR, a SA may also establish and make public a list of the kind of processing operations for which no data protection impact assessment is required. These lists are also to be submitted to the EDPS.

Example: xxx

(l) Give advice on the processing operations referred to in Article 36(2) GDPR

If the SA is of the opinion that the intended processing referred to in Article 36(1) GDPR would infringe the GDPR, it can provide written advice to the controller and, where applicable to the processor, may use any of its powers referred to in Article 58 GDPR. In these cases, the data protection officers of the responsible parties act as a contact point for the SAs in accordance with Article 39(1)(e) GDPR.

Example: xxx

(m) Promote and regulate the use of codes of conduct pursuant to Article 40(5) GDPR

Example: xxx

See comment under Article 40 GDPR.

(n) Promote and regulate the use of data protection certification mechanisms pursuant to Article 42(5) GDPR

See comment under Article 42 GDPR.

(o) Carry out periodic reviews in accordance with Article 42(7) GDPR

Example: xxx

See comment under Article 42 GDPR.

(p) Draft and publish the criteria for accreditation of a body for monitoring codes of conduct pursuant to Article 41 GDPR and of a certification body pursuant to Article 43 GDPR

Example: xxx

See comments under Article 41 GDPR and Article 43 GDPR.

(q) Accreditation of a body for monitoring codes of conduct

Example: xxx

See comments under Article 41 GDPR and Article 43 GDPR.

(r) Authorise contractual clauses and provisions referred to in Article 46(3) GDPR

Example: xxx

See comment under Article 46 GDPR.

(s) Approve binding corporate rules pursuant to Article 47

Example: xxx

See comment under Article 47 GDPR.

(t) Contribute to the activities of the EDPB

The numerous tasks of the European DAta Protection Board (EDPB) are listed in Article 70 GDPR and include, in particular, the preparation and publication of opinions, guidelines, recommendations and best practices. The SAs should actively contribute to the fulfilment of these tasks. This concerns both the meetings of the EDPB itself and their preparation, in particular within the framework of expert subgroups. The obligation to cooperate is independent of whether the SA itself is a member of the EDPB.

Example: xxx

(u) Keep internal records of infringements of the GDPR and of measures taken in accordance with Article 58(2) GDPR

Example: xxx

See comment under Article 58 GDPR.

(v) Fulfil any other tasks related to the protection of personal data

Article 57(1)(v) GDPR constitutes the residual provision for all “other tasks related to the protection of personal data”. The list of tasks is therefore not exhaustive and member states can provide for further tasks in national law. However, these should be chosen carefully with a view to the respective financial resources and the already far-reaching tasks.

Example: xxx

On its territory

The wording ("on its terrirory") is intended to clarify that the tasks of the supervisory authority do not extend beyond the territory of its member state.

(2) Submission of complaints is to be facilitated

The data subject's right to file a complaint and seek protection following an infringement of the GDPR is widely mentioned and protected throughout the GDPR. Data subjects are informed about the existence of the right to complaint (Article12(4) GDPR and Article 13(2)(d)(e) GDPR). The SAs deal with every complaint, investigating it to an appropriate extent and informing the complainant about the progress and result of the investigation (Article 57(1)(f) GDPR). The filing of complaints should be facilitated. This means that the SA should be able to provide simple and intuitive solutions for uploading and filing the complaint as well as relevant attachments. The provision expressly mentions a “complaint submission form” which should be easy to understand and gain access to. The provision, however, does not exclude “other means of communications”, such as the e-mail. In order to facilitate the filing, the SA’s IT systems should be able to receive the complaints with the least number of obstacles possible. It should allow the upload of the most commonly used file formats and avoid setting unreasonable restrictions on the amount of files that can be uploaded and their dimension.

(3) Free of charge principle (for the data subject)

The right to file a complaint is granted free of charge. This supports the idea of data protection as a fundamental right that must be enforced without undue hindrance by both controllers and SAs. On the other side, since controllers and processors are not mentioned, it seems reasonable to conclude that the SA may charge them with some fees for the performance of their tasks.

(4) Exception: manifestly unfounded or excessive requests

Article 57(4) GDPR provides for an exception to the “free of charge” principle. In particular, if the requests are manifestly unfounded or excessive, in particular if they are repetitive, the authority may charge a reasonable fee or refuse to act on the request. This is to prevent the activity of a SA from being seriously impaired or even paralysed by troublemakers who make nonsensical or repeated requests. However, since the task of the SAs is to protect fundamental rights, this exception rule may only be used in clearly defined situations. The above exception may limit the protection of the data subject's right to file a complaint. For this reason, Article 57(4) GDPR provides that the data protection SA bears the burden of proof and must demonstrate that a request is manifestly unfounded or excessive. .

Decisions

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