GDPR·Article Article 36·medium·Component: Chapter IV: Controller and Processor

What this control requires

Controllers must consult the supervisory authority before processing if a DPIA indicates high risk without mitigation, providing details on responsibilities, purposes, safeguards, DPO contact, and the DPIA. The authority may provide advice or use powers within 8 weeks, extendable by 6 weeks. This control addresses Prior Consultation.
— GDPR, Article Article 36

In plain English

Controllers must consult the supervisory authority before processing if a DPIA indicates high risk without mitigation, providing details on responsibilities, purposes, safeguards, DPO contact, and the DPIA. In practice, this means you can prove you processor controller-level controls on a defined cadence.

Why it matters

GDPR administrative fines reach the greater of €20 million or 4% of global annual turnover. The European Data Protection Board (EDPB) coordinates supervisory-authority enforcement across the EU/EEA, and DPAs publish enforcement decisions citing specific Articles.

What an auditor looks for

A DPA or privacy auditor expects: a Records of Processing Activities (RoPA) entry, a documented lawful basis, evidence the Article's data-subject right is operationalised end-to-end, a named DPO contact (where required), and Article 30 records that match what the front-end actually does.

Within Chapter IV: Controller and Processor, the assessor will trace your implementation back to the catalogue reference (Article Article 36) and look for objective evidence on the latest two assessment cycles.

How to implement

Policy Management

Docs. Keep each policy in version-controlled Markdown alongside the code that implements it; ship a signed PDF snapshot at each annual review and link the SHA into the SoA.

Operational checklist

  • Processor. Document the trigger, the owner and the cadence.
  • Prior. Document the trigger, the owner and the cadence.
  • Supervisory. Document the trigger, the owner and the cadence.
  • Powers. Document the trigger, the owner and the cadence.
  • Safeguards. Document the trigger, the owner and the cadence.
  • Scope: controller, controllers, supervisory authority, consultation.

Evidence to collect

  • Policy Document. A signed and version-controlled policy / standard / procedure document.

Signed policy or standard documents the safeguard. Focus: Prior consultation.

Common pitfalls

  • Policies that no engineer has read; the version in Confluence drifts from the version that's actually being enforced.

Related controls in GDPR

References

Topics: governance riskpolicy management