Bodobalazs: 1 revision imported: GDPRHUB import 2023 04 18

2023-04-18T15:01:36Z

1 revision imported: GDPRHUB import 2023 04 18

New page

{| class="wikitable" style="width: 25%; margin-left: 10px; float:right;"
![[Article 29 GDPR|←]] Article 30 - Records of processing activities [[Article 31 GDPR|→]]
|-
| style="padding: 20px; background-color:#003399;" |[[File:Gdpricon.png|100px|center|link=Overview_of_GDPR]]
|-
|

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 1: General provisions</div>
<div class="mw-collapsible-content">
<small>
[[Article 1 GDPR|Article 1: Subject-matter and objectives]]<br />
[[Article 2 GDPR|Article 2: Material scope]]<br />
[[Article 3 GDPR|Article 3: Territorial scope]]<br />
[[Article 4 GDPR|Article 4: Definitions]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 2: Principles</div>
<div class="mw-collapsible-content">
<small>
[[Article 5 GDPR|Article 5: Principles relating to processing of personal data]]<br />
[[Article 6 GDPR|Article 6: Lawfulness of processing]]<br />
[[Article 7 GDPR|Article 7: Conditions for consent]]<br />
[[Article 8 GDPR|Article 8: Conditions applicable to child’s consent in relation to information society services]]<br />
[[Article 9 GDPR|Article 9: Processing of special categories of personal data]]<br />
[[Article 10 GDPR|Article 10: Processing of personal data relating to criminal convictions and offences]]<br />
[[Article 11 GDPR|Article 11: Processing which does not require identification]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 3: Rights of the data subject</div>
<div class="mw-collapsible-content">
<small>
[[Article 12 GDPR|Article 12: Transparent information, communication and modalities for the exercise of the rights of the data subject]]<br />
[[Article 13 GDPR|Article 13: Information to be provided where personal data are collected from the data subject]]<br />
[[Article 14 GDPR|Article 14: Information to be provided where personal data have not been obtained from the data subject]]<br />
[[Article 15 GDPR|Article 15: Right of access by the data subject]]<br />
[[Article 16 GDPR|Article 16: Right to rectification]]<br />
[[Article 17 GDPR|Article 17: Right to erasure (‘right to be forgotten’)]]<br />
[[Article 18 GDPR|Article 18: Right to restriction of processing]]<br />
[[Article 19 GDPR|Article 19: Notification obligation regarding rectification or erasure of personal data or restriction of processing]]<br />
[[Article 20 GDPR|Article 20: Right to data portability]]<br />
[[Article 21 GDPR|Article 21: Right to object]]<br />
[[Article 22 GDPR|Article 22: Automated individual decision-making, including profiling]]<br />
[[Article 23 GDPR|Article 23: Restrictions]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 4: Controller and processor</div>
<div class="mw-collapsible-content">
<small>
[[Article 24 GDPR|Article 24: Responsibility of the controller]]<br />
[[Article 25 GDPR|Article 25: Data protection by design and by default]]<br />
[[Article 26 GDPR|Article 26: Joint controllers]]<br />
[[Article 27 GDPR|Article 27: Representatives of controllers or processors not established in the Union]]<br />
[[Article 28 GDPR|Article 28: Processor]]<br />
[[Article 29 GDPR|Article 29: Processing under the authority of the controller or processor]]<br />
[[Article 30 GDPR|Article 30: Records of processing activities]]<br />
[[Article 31 GDPR|Article 31: Cooperation with the supervisory authority]]<br />
[[Article 32 GDPR|Article 32: Security of processing]]<br />
[[Article 33 GDPR|Article 33: Notification of a personal data breach to the supervisory authority]]<br />
[[Article 34 GDPR|Article 34: Communication of a personal data breach to the data subject]]<br />
[[Article 35 GDPR|Article 35: Data protection impact assessment]]<br />
[[Article 36 GDPR|Article 36: Prior consultation]]<br />
[[Article 37 GDPR|Article 37: Designation of the data protection officer]]<br />
[[Article 38 GDPR|Article 38: Position of the data protection officer]]<br />
[[Article 39 GDPR|Article 39: Tasks of the data protection officer]]<br />
[[Article 40 GDPR|Article 40: Codes of conduct]]<br />
[[Article 41 GDPR|Article 41: Monitoring of approved codes of conduct]]<br />
[[Article 42 GDPR|Article 42: Certification]]<br />
[[Article 43 GDPR|Article 43: Certification bodies]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 5: Transfers of personal data</div>
<div class="mw-collapsible-content">
<small>
[[Article 44 GDPR|Article 44: General principle for transfers]]<br />
[[Article 45 GDPR|Article 45: Transfers on the basis of an adequacy decision]]<br />
[[Article 46 GDPR|Article 46: Transfers subject to appropriate safeguards]]<br />
[[Article 47 GDPR|Article 47: Binding corporate rules]]<br />
[[Article 48 GDPR|Article 48: Transfers or disclosures not authorised by Union law]]<br />
[[Article 49 GDPR|Article 49: Derogations for specific situations]]<br />
[[Article 50 GDPR|Article 50: International cooperation for the protection of personal data]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 6: Supervisory authorities</div>
<div class="mw-collapsible-content">
<small>
[[Article 51 GDPR|Article 51: Supervisory authority]]<br />
[[Article 52 GDPR|Article 52: Independence]]<br />
[[Article 53 GDPR|Article 53: General conditions for the members of the supervisory authority]]<br />
[[Article 54 GDPR|Article 54: Rules on the establishment of the supervisory authority]]<br />
[[Article 55 GDPR|Article 55: Competence]]<br />
[[Article 56 GDPR|Article 56: Competence of the lead supervisory authority]]<br />
[[Article 57 GDPR|Article 57: Tasks]]<br />
[[Article 58 GDPR|Article 58: Powers]]<br />
[[Article 59 GDPR|Article 59: Activity reports]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 7: Cooperation and consistency</div>
<div class="mw-collapsible-content">
<small>
[[Article 60 GDPR|Article 60: Cooperation between the lead supervisory authority and the other supervisory authorities concerned]]<br />
[[Article 61 GDPR|Article 61: Mutual assistance]]<br />
[[Article 62 GDPR|Article 62: Joint operations of supervisory authorities]]<br />
[[Article 63 GDPR|Article 63: Consistency mechanism]]<br />
[[Article 64 GDPR|Article 64: Opinion of the Board]]<br />
[[Article 65 GDPR|Article 65: Dispute resolution by the Board]]<br />
[[Article 66 GDPR|Article 66: Urgency procedure]]<br />
[[Article 67 GDPR|Article 67: Exchange of information]]<br />
[[Article 68 GDPR|Article 68: European Data Protection Board]]<br />
[[Article 69 GDPR|Article 69: Independence]]<br />
[[Article 70 GDPR|Article 70: Tasks of the Board]]<br />
[[Article 71 GDPR|Article 71: Reports]]<br />
[[Article 72 GDPR|Article 72: Procedure]]<br />
[[Article 73 GDPR|Article 73: Chair]]<br />
[[Article 74 GDPR|Article 74: Tasks of the Chair]]<br />
[[Article 75 GDPR|Article 75: Secretariat]]<br />
[[Article 76 GDPR|Article 76: Confidentiality]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 8: Remedies, liability and penalties</div>
<div class="mw-collapsible-content">
<small>
[[Article 77 GDPR|Article 77: Right to lodge a complaint with a supervisory authority]]<br />
[[Article 78 GDPR|Article 78: Right to an effective judicial remedy against a supervisory authority]]<br />
[[Article 79 GDPR|Article 79: Right to an effective judicial remedy against a controller or processor]]<br />
[[Article 80 GDPR|Article 80: Representation of data subjects]]<br />
[[Article 81 GDPR|Article 81: Suspension of proceedings]]<br />
[[Article 82 GDPR|Article 82: Right to compensation and liability]]<br />
[[Article 83 GDPR|Article 83: General conditions for imposing administrative fines]]<br />
[[Article 84 GDPR|Article 84: Penalties]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 9: Specific processing situations</div>
<div class="mw-collapsible-content">
<small>
[[Article 85 GDPR|Article 85: Processing and freedom of expression and information]]<br />
[[Article 86 GDPR|Article 86: Processing and public access to official documents]]<br />
[[Article 87 GDPR|Article 87: Processing of the national identification number]]<br />
[[Article 88 GDPR|Article 88: Processing in the context of employment]]<br />
[[Article 89 GDPR|Article 89: Safeguards and derogations relating to processing for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes]]<br />
[[Article 90 GDPR|Article 90: Obligations of secrecy]]<br />
[[Article 91 GDPR|Article 91: Existing data protection rules of churches and religious associations]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 10: Delegated and implementing acts</div>
<div class="mw-collapsible-content">
<small>
[[Article 92 GDPR|Article 92: Exercise of the delegation]]<br />
[[Article 93 GDPR|Article 93: Committee procedure]]<br />
</small>
</div></div>

<div class="toccolours mw-collapsible mw-collapsed" style="border-width: 0px" overflow:auto;">
<div style="font-weight:bold;line-height:1.6;">Chapter 11: Final provisions</div>
<div class="mw-collapsible-content">
<small>
[[Article 94 GDPR|Article 94: Repeal of Directive 95: /46: /EC]]<br />
[[Article 95 GDPR|Article 95: Relationship with Directive 20: 02: /58: /EC]]<br />
[[Article 96 GDPR|Article 96: Relationship with previously concluded Agreements]]<br />
[[Article 97 GDPR|Article 97: Commission reports]]<br />
[[Article 98 GDPR|Article 98: Review of other Union legal acts on data protection]]<br />
[[Article 99 GDPR|Article 99: Entry into force and application]]<br />
</small>
</div>
</div>
|}

==Legal Text==
<br /><center>'''Article 30 - Records of processing activities'''</center>

<span id="1">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:</span>

::<span id="1a">(a) the name and contact details of the controller and, where applicable, the joint controller, the controller's representative and the data protection officer;</span>

::<span id="1b">(b) the purposes of the processing;</span>

::<span id="1c">(c) a description of the categories of data subjects and of the categories of personal data;</span>

::<span id="1d">(d) the categories of recipients to whom the personal data have been or will be disclosed including recipients in third countries or international organisations;</span>

::<span id="1e">(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;</span>

::<span id="1f">(f) where possible, the envisaged time limits for erasure of the different categories of data;</span>

::<span id="1g">(g) where possible, a general description of the technical and organisational security measures referred to in Article 32(1).</span>

<span id="2">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:</span>

::<span id="2a">(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;</span>

::<span id="2b">(b) the categories of processing carried out on behalf of each controller;</span>

::<span id="2c">(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;</span>

::<span id="2d">(d) where possible, a general description of the technical and organisational security measures referred to in Article 32(1).</span>

<span id="3">3. The records referred to in paragraphs 1 and 2 shall be in writing, including in electronic form.</span>

<span id="4">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.</span>

<span id="5">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.</span>

==Relevant Recitals==
{{Recital/13 GDPR}}{{Recital/82 GDPR}}{{Recital/89 GDPR}}

==Commentary==
Article 30 GDPR requires controllers and processors to maintain a record of processing activities (Article 4(2) GDPR). This obligation represents the expression of several data processing principles. On the one hand, it promotes accountability by allowing the controller to keep track of its processing and amend it where necessary. On the other hand, it increases the overall transparency of the processing and makes it easier for data subjects to exercise their rights. In practice, the record of processing activities is nothing more than an updated written account of the main elements of the processing.

=== (1) Record of Processing Activities by the Controller ===
Article 30(1) GDPR provides a non-exhaustive list of the elements that constitute the record of processing activities.

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)<ref>''Hartung'', in Kühling, Buchner, DS-GVO BDSG, Article 30, margin number 17 (C.H.Beck 2020, 3rd Edition).</ref> that make it possible to contact a particular person or, where appropriate, reach them for an inspection.

Article 30(1)(b) requires the controller to provide a description of the purposes of the processing. It is noteworthy that this does not extend to a description of the legal basis for the processing operations. However, this gap should be filled by interpreting the text in line with the principles of fair processing. In particular, under the principle of accountability, according to which the controller must be able to demonstrate compliance with the GDPR, 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''".<ref>''Kotschy'', in Kuner, Bygrave, Docksey, The EU General Data Protection Regulation (GDPR): A Commentary, Article 30 GDPR, p. 620 (Oxford University Press 2020).</ref>

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.<ref>''Hartung'', in Kühling, Buchner, DS-GVO BDSG, Article 30, margin number 19 (C.H.Beck 2020, 3rd Edition).</ref>

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. As such, it would go against its aim of increasing accountability to not specify the recipients in the record of processing activities.<ref>In a broadly similar sense, ''Kotschy'', in Kuner, Bygrave, Docksey, The EU General Data Protection Regulation (GDPR): A Commentary, Article 30 GDPR, p. 620 (Oxford University Press 2020).</ref>

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 GDPR|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''".<ref>''Kotschy'', in Kuner, Bygrave, Docksey, The EU General Data Protection Regulation (GDPR): A Commentary, Article 30 GDPR, p. 622 (Oxford University Press 2020).</ref>

Finally, Article 30(1)(f) and (g) GDPR respectively require controllers to clarify the envisaged time limits for erasure of different categories of data and, where possible, provide general description of the technical and organisational security measures referred to in [[Article 32 GDPR|Article 32(1) GDPR]].
=== (2) Record of Processing Activities by the Processor ===
Article 30(2) GDPR sets out the rules governing the maintenance of records of processing activities by the processor. These rules, which partly overlap with those established by Article 30(1) GDPR, notably provide for an obligation on the processor to record: the name and contact details of the controller on behalf of which the processor is acting as well as the name and contact details of other processors (Article 30(2)(a) GDPR);<ref>"''Which kind of processors should be included is not explained: they could be involved either by having delegated processing tasks to the documenting processor or by being sub-processors of the documenting processor. In both cases there would have to exist a contract between the documenting processor and the orher processor or processors, in which case their identity must be known and recorded anyway by the documenting processor, which is also the case with regard to the names of the representative (Article 27) and data protection officer (Article 37) both of which are also required under Article 30(2)(a).''" See ''Kotschy'', in Kuner, Bygrave, Docksey, The EU General Data Protection Regulation (GDPR): A Commentary, Article 30 GDPR, p. 623 (Oxford University Press 2020).</ref> the categories of processing carried out on behalf of each controller (Article 30(2)(b) GDPR); 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 GDPR|Article 49(1) GDPR]], the documentation of suitable safeguards (Article 30(2)(c) GDPR); a general description of the technical and organisational security measures referred to in [[Article 32 GDPR|Article 32(1) GDPR]] (Article 30(2)(d) GDPR).

=== (3) Written Form ===
The records of processing activities shall be in writing, including in electronic form, and kept up to date. 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.<ref>''Hartung'', in Kühling, Buchner, DS-GVO BDSG, Article 30, margin number 31 (C.H.Beck 2020, 3rd Edition).</ref> 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). Moreover, “''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.''”<ref>DSK, Datenschutzkonferenz, ‘Hinweise zum Verzeichnis von Verarbeitungstätigkeiten’, Art. 30 DS-GVO, February 2018, p. 3 (available [https://www.ldi.nrw.de/mainmenu_Datenschutz/submenu_Datenschutzbeauftragte/Inhalt/Behoerdliche_Datenschutzbeauftragte/Inhalt/Das-Verarbeitungsverzeichnis-nach-Artikel-30-DS-GVO/Hinweise-zum-Verzeichnis-von-Verarbeitungstaetigkeiten.pdf here]).</ref>

=== (4) Provision to Supervisory Authority ===
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.

=== (5) Exceptions ===
<blockquote><u>EDPB Guidelines:</u> On this provision there is the [https://edpb.europa.eu/our-work-tools/our-documents/guidelines/position-paper-derogations-obligation-maintain-records_en Working Party 29 Position Paper on the derogations from the obligation to maintain records of processing activities pursuant to Article 30(5) GDPR].</blockquote>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 GDPR|Article 9(1) GDPR]]) or personal data relating to criminal convictions and offences referred to in [[Article 10 GDPR]].
==Decisions==
→ You can find all related decisions in [[:Category:Article 30 GDPR]]

==References==
<references />

[[Category:GDPR Articles]]

Article 30 GDPR - Revision history

Bodobalazs: 1 revision imported: GDPRHUB import 2023 04 18