Your Essential 10-Step GDPR Compliance Checklist

Originally published by Vanta.

Written by Jess Munday.

If your business entails collecting and/or processing the personal data of European Union (EU) or United Kingdom (UK) citizens, complying with the General Data Protection Regulation (GDPR) is a priority.

‍The regulation is quite comprehensive and includes numerous requirements your organization must implement. Adapting to its various requirements around transparency, accountability, and governance can get confusing, but using a GDPR compliance checklist is a practical way to ensure you don’t overlook any critical details.

‍This guide will provide a detailed checklist to inform your technical and procedural workflows. You’ll learn about the key requirements you should meet to get closer to full GDPR compliance.

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What is GDPR?

The GDPR safeguards the personal data of individuals residing in the EU and the companies operating within it, as well as of individuals physically located in the EU or the European Economic Area (EEA). It mandates that organizations provide individuals with greater control over their personal data, including the ability to access, correct, and delete it.

‍GDPR came into effect in 2018 and is essential for any organization aiming to operate within the EU or EEA without facing legal issues or operational disruptions—following Brexit, the UK GDPR now governs the protection of personal data in the UK.

‍Privacy-conscious businesses worldwide have adopted its stringent standards to ensure uninterrupted operations in these regions.

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Who needs GDPR compliance?

The following entities must comply with GDPR (or UK GDPR for organizations dealing with UK residents):

1. Any organization with a presence in an EU country or the UK.
2. Any organization collecting or processing the data of EU or UK residents, regardless of their physical location.
3. Data controllers that determine the purposes and means of processing personal data.
4. Data processors handling relevant personal data.

‍GDPR compliance is mandatory for these entities, and failure to comply can lead to heavy penalties, legal consequences, and even reputational damage. This makes it all the more important to have an organized internal system for ensuring compliance—and that’s where a checklist can help.

‍According to a Netsparker survey, over 47% of responding companies had to re-engineer their internal security teams, systems, and procedures and hire new employees to meet GDPR requirements. A robust GDPR checklist makes these transitions more manageable, giving you the guidance and clarity necessary to get your organization closer to compliance.

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GDPR compliance checklist: 10 steps to follow

Follow the 10-point checklist below to move your organization closer to full GDPR compliance:

1. Determine whether you can collect data lawfully.
2. Outline all the data you collect and process.
3. Decide whether you need a data protection officer (DPO).
4. Implement sufficient cybersecurity measures.
5. Create a data register.
6. Conduct a data protection impact assessment (DPIA) if necessary.
7. Maintain an up-to-date privacy policy.
8. Create a data breach response plan.
9. Assess whether you need an EU representative.
10. Manage third-party risks and data transfers.

‍We’ll explain these checklist items below to give you a conceptual understanding of the actions to take. You can also download our interactive GDPR Compliance Checklist.

1. Determine whether you can collect data lawfully

The core principle of GDPR is that your organization must have a valid legal basis for collecting and/or processing data governed by the regulation. Ensure that your organization collects data lawfully under one or more of the following scenarios:

• Explicit consent has been obtained from the data subject (individual or business) for specific purposes.
• Data processing is necessary to fulfill a contractual obligation with the data subject.
• Data processing is required to:
  • Comply with a legal obligation imposed on your organization.
  • Protect the vital interests of the data subject or another person.
  • Perform a task carried out in the public interest or in the exercise of official authority.
• Your organization has legitimate interests requiring data processing that do not violate the data subject’s fundamental rights or freedoms.

2. Outline all the data you collect and process

GDPR requires you to classify all the personal data you collect and process as well as document the retention periods for each.

The regulation also requires you to identify if your organization handles “special categories” of data, which include:

• Biometric data
• Genetic data
• Political or religious beliefs
• Health data
• Racial or ethnic origins
• Sexual orientation

The goal of this deep level of classification is to ensure you put appropriate safeguards in place to protect the personal data, including access control, encryption configurations, and much more. Additionally, you should record the collected data alongside the processing information, most notably the name of the controller (i.e., the organization processing the data), processing purpose, and data recipients.

3. Decide whether you need a data protection officer (DPO)

A DPO can be an internal employee or an external consultant responsible for overseeing compliance with data protection laws, including GDPR. Under GDPR, you are required to appoint a DPO if your organization meets any of the following conditions:

1. You are a public authority or body (except for courts acting in their judicial capacity).
2. Your core activities require regular and systematic monitoring of data subjects on a large scale.
3. Your core activities involve large-scale processing of special categories of personal data or data relating to criminal convictions and offenses.

If your organization is required to appoint a DPO, you must ensure the DPO operates with sufficient autonomy and independence. The idea is for the DPO to have an independent reporting structure, typically reporting directly to the highest management level.

Additionally, they cannot be dismissed or penalized for performing their duties. The DPO must also have the necessary expertise in data protection laws and practices.‍

4. Implement sufficient cybersecurity measures

Since cybersecurity is an essential component of GDPR, you need to implement key technical and procedural controls to minimize the risk of compromising the collected data.

‍The regulation specifically requires the following:

• Maintain strong encryption of the data governed by the GDPR.
• Implement strong security and privacy practices like pseudonymization.
• Set up adequate physical security controls, such as restricted access to infrastructure including servers, databases, and others.
• Develop and enforce data management and security policies.
• Ensure your systems only process the necessary data (refer to #1) by default.

‍To simplify the process, you can implement established cybersecurity frameworks (e.g., the NIST Cybersecurity Framework) with the help of robust compliance management software to maintain your cybersecurity posture.

‍5. Create a data register

A data register—often referred to as a Record of Processing Activities (ROPA) under GDPR—is used to demonstrate responsible data processing activities and your overall compliance with the regulation. Think of it as a record of your data practices that outlines which data is processed and collected, how these processes are performed, and what safeguard measures are active.

‍Here are some sample questions your register should answer:

• Where is the data coming from?
• What does it include?
• Why are you collecting it?
• Do you have consent or another legal basis to collect and process the data?
• Does the data include any special categories of personal data?
• How will the data be used (and will it be shared with someone)?
• How are you safeguarding the data?

‍Maintaining a detailed data register is essential for complying with Article 30 of GDPR, which requires organizations to document their processing activities. In the event of an audit, having these details readily available will facilitate the assessor's work and help demonstrate your compliance.‍

6. Conduct a data protection impact assessment (DPIA) if necessary

A DPIA is required if your data processing activities are likely to result in a high risk to the rights and freedoms of data subjects. The GDPR mandates a DPIA in situations where data processing could have significant privacy implications.

‍Here are some situations that call for a DPIA:

• You’re using new technologies or automation to process data on a large scale.
• You’re processing large volumes of special categories of personal data (e.g., health, genetic, or biometric data).
• Your data processing activities may significantly impact individuals' rights or have legal consequences.
• You’re conducting systematic monitoring of individuals (e.g., large-scale surveillance).

‍In the above cases, you’re required to assess the threats that may arise as a result of your data collection or processing efforts. Specifically, your assessment needs to cover the five elements below:

1. A comprehensive overview of the planned processing activities.
2. The purpose of the processing and the legal basis or its legitimate interest (where applicable).
3. An evaluation of the proportionality and necessity of your processing activities.
4. A complete assessment of data processing risks related to the rights and freedoms of data subjects.
5. Risk mitigation or remediation measures.

7. Maintain an up-to-date privacy policy

To be GDPR-compliant, you need to have a comprehensive internal and public-facing privacy policy. For the internal policy, see that it governs every aspect of data collection and processing, most notably:

• Data flows throughout your system
• Employee access to sensitive data
• Data sharing practices

‍Your public-facing policy must be readily available on your website so that each user can know how and why you collect their data, as well as how the data will be used and what they can do if they want to opt out. If any aspect of your policy changes, you must notify customers (typically via email).

‍If you’re unsure how to put together a public-facing policy, it’s best to seek legal counsel. Look for an expert who specializes in GDPR compliance and leverage their help to ensure your policy is watertight.

8. Create a data breach response plan

GDPR obligates organizations to report data breaches to a data protection authority (DPA) within 72 hours of detecting them. To effectively report breaches within the prescribed time frame, set up a precise data breach response plan that specifies the communication channels for timely reporting.

‍Your breach notification must cover the following:

• The nature of the breach
• Categories and volume of the affected data subjects
• The name and contact information of your DPO (or equivalent person who can provide more information)
• Likely consequences of the breach
• Planned remediation measures

‍In case of a delay in reporting, you must communicate a valid reason for it. Additionally, if the breach poses a high risk to the rights and freedoms of affected individuals, you are also required to notify the data subjects without undue delay. The only time you’re not required to report a breach is if it’s unlikely to impact the rights and freedoms of the affected subjects.

9. Assess whether you need an EU/UK representative

If your organization is formed and operates outside the EU or UK but processes personal data of individuals in those regions respectively, you may need an EU or UK-based representative to act as a point of contact for both Data Protection Authorities (DPAs) and data subjects.. This applies to all organizations except those that:

• Process data occasionally on a smaller scale.
• Do not process special categories of personal data (e.g., health, biometric, or genetic data) or data relating to criminal convictions and offenses.
• Conduct processing is unlikely to result in a risk to the rights and freedoms of data subjects.
• Are a public authority or body.

10. Manage third-party risks and data transfers

GDPR mandates various third-party risk requirements to safeguard the relevant customer data handled by third parties such as SaaS providers and other vendors. You must take appropriate steps to ensure your connected third parties are compliant.

‍You can do this by updating vendor contracts (and contracts with other third parties), such as your Data Protection Addendums (DPAs) to reflect the regulation’s requirements including:

• Clear provisions on data privacy and security.
• Obligations for third parties to report any data breaches or compliance issues promptly.
• Defined roles and responsibilities between the data controller (your organization) and the data processor (the third party).

‍All relevant third parties should ensure the required level of privacy and security and must communicate any incidents or compliance issues as necessary. Read this guide to understand the necessary controls.

‍Additionally, GDPR pays special attention to data transfers outside of the EU/EEA and UK. If you plan on conducting such transfers, you should:

1. Ensure the recipient country has received the EU Commission’s adequacy decision or the UK’s adequacy decisions, respective to which country’s data transfer is occurring.
2. If no adequacy decision is in place, use appropriate safeguards such as Standard Contractual Clauses (SCCs) or Binding Corporate Rules (BCRs).
3. Conduct a transfer impact assessment (TIA) to evaluate the risks associated with the data transfer and to ensure that adequate protection is provided.‍