List of 10 Key GDPR Documents Your Business Needs

Compliance with the General Data Protection Regulation requires more than just good intentions; it demands proper documentation. Stay on the right side of the EU data privacy law with this ultimate list of key GDPR documents for compliance. 

The GDPR aims to protect individual privacy and uphold the lawful, transparent, and secure processing of personal data.

Businesses operating in EEA/EU member states or those handling EU personal data must match their data processing activities with GDPR standards. This also means maintaining accurate and up-to-date records to prove compliance with the law.

However, GDPR documentation is more than just a legal requirement; it serves as a framework for regulating data processing operations as well as a tool for demonstrating compliance to authorities and stakeholders.

Key GDPR documents include records of Data Protection Impact Assessments (DPIAs), privacy notices, and data protection and retention policies.

The top reasons that make GDPR documentation crucial include:

Demonstrating compliance 

The accountability principle and Article 24 of GDPR mandate that businesses demonstrate compliance with the law, including the data protection principles. GDPR documentation helps businesses meet this requirement.

Record-keeping obligation

Article 30 of the GDPR necessitates data controllers and processors to maintain records of their data processing operations and to cooperate with supervisory/data protection authorities by making the records available when requested.

Preparation for emerging technologies

As businesses adopt AI and automation, GDPR documentation becomes increasingly crucial. Often, these processes require collecting and handling personal data, necessitating close monitoring for GDPR compliance.

This includes the records of processing activities, Data Protection Impact Assessments, categories of personal data collected, and purposes of the processing.

Avoid legal consequences

Organisations caught in violation of GDPR obligations can face serious fines of up to 20 million euros or 4 per cent of their annual revenue.

Below is a list of documents essential for compliance with EU data protection law.

#1 Privacy policy

Under GDPR, Article 12 outlines transparency requirements, Article 13 specifies disclosure obligations for direct data collection and Article 14 covers disclosure for indirect data collection. These articles collectively emphasise the importance of transparency in data practices.

A privacy policy/privacy notice tells data subjects what personal data an organisation collects, why they need it, how they will be used, and how they keep it safe. 

It should typically include:

• Name and contact information of the organisation
• Categories of personal data collected and their sources
• Data storage period 
• Specific purposes/ legal bases/legitimate interests for processing 
• Data sharing specifics including international transfers
• Data subject rights such as the right of access, erasure, rectification, data portability
• Instructions on how to exercise the rights

#2 DPIA documentation/Register 

A privacy assessment register is a structured document that contains information about all the DPIAs conducted by your organisation. They are mostly carried out to assess the impacts of data processing activities on high-risk data like sensitive information. 

A DPIA register typically contains:

• A detailed and specific description of data processing operations including the types of personal data processed and the retention period
• Assessment of the necessity and proportionality of the processing in relation to legal bases, legitimate interests and data subject rights
• Analysis of any risks to the rights and freedom of individuals 
• Advises or comments from concerned parties such as the Data Protection Officer (DPO) or individuals

#3 Data protection policy

A data protection policy is like a route map for employees to aid GDPR implementation in daily operations. It clearly defines the rules for collecting, processing, storing, deleting and protecting personal data. The policy also brings consistency to the operations within the organisation.

It usually includes:

• An introduction that sets the objective and scope of the policy
• Definition of the critical terms outlined in the policy
• The extent of the GDPR’s application
• Data protection principles and your organisation’s adherence to it
• The GDPR requirements for privacy-compliant data processing 
• Roles and responsibilities of stakeholders like employees, DPO and third-party processors
• Explanation of the data subject rights and guidelines for handling requests
• Guidelines on data processing practices including collection and retention of personal data
• Data protection measures implemented
• Information about the awareness training programmes for employees

#4 Data Processing Agreement

GDPR’s Article 28 (3) requires businesses to have a contractual relationship with their processors. A DPA is a legal agreement between a data controller and a data processor that specifies the terms and conditions for processing personal data by a third-party service on behalf of the data controller.

A DPA must cover:

• The definition of key terms in the agreement
• Roles and responsibilities of each party
• Details and duration of data processing activities 
• Purpose of processing
• Subject matter of the agreement (Categories of personal data)
• Technical and organisational measures implemented by the parties
• Audit rights to the controller
• Instructions on deletion and return of personal data

#5 Records of Processing Activities (RoPA)

The RoPA is a document that demonstrates compliance with the data processing requirements of GDPR. Controllers and processors with 250+ employees must record all operations involving personal data that fall under their responsibility. 

Article 30 of GDPR prescribes the following information to be included in an organisation’s RoPA:

• Name and contact details of the organisation
• Categories and purpose of processing
• Categories of data subjects involved in the processing
• Recipients of the data
• Data retention period 
• General description of the data security safeguards implemented

#6 Consent forms

GDPR sets out strict consent rules for businesses processing EU personal data. 

A consent form should be concise, conspicuous and free from any jargon.

It must at least include:

• Name of the organisation
• Specific purposes and a brief description of the processing
• Withdrawal mechanism
• Link to a detailed privacy statement
• Opt-in mechanisms like a tickbox, toggle buttons or a signature block

#7 Data breach response plan

A data breach response plan is a comprehensive document that outlines the steps employees must follow in the event of a personal data breach. It guides them in identifying, reporting and containing breaches.

The document also includes a pre-prepared notification template to be given to the supervisory authorities and affected individuals ensuring compliance with the data breach notification obligations under the law.

The key elements of a breach response plan are:

• The process to identify, assess the impact and mitigate the breach promptly
• Internal reporting guidelines
• Guidelines on when and how to report the breach to supervisory authorities and affected data subjects
• Notification templates
• Actions to contain and reduce the impact of the breach
• Roles of employees in the event of a breach

 #8 Data breach register

Article 33 (5) of GDPR requires all controllers to maintain a breach register comprising the information related to the personal data breach, the impacts caused and the actions the organisation has taken to mitigate it.

#9 Data retention policy

The storage limitation principle and associated GDPR obligations restrict the indefinite storage of personal data. To comply with the law, businesses must have a data retention policy that sets the criteria for how long specific categories of data should be stored.

A data retention policy must at least include:

• Types of information covered by the policy
• Specify the duration for which it will be retained or the criteria for determining the duration
• Exceptions to the storage limitation if there are any
• Actions to be taken after the retention period

#10 Standard Contractual Clauses or Binding Corporate Rules

SCC and BCR are legal arrangements enabling cross-border data transfers.

Standard Contractual Clauses are legal agreements approved by the European Commission allowing businesses to transfer personal data outside the European Union or the European Economic Area.

Binding Corporate Rules, on the other hand, are internal policies adopted by multinational corporations, especially, to enable data transfer to entities or branches that are not EEA or European members.

Maintaining your GDPR documents ensures your organisation’s compliance over time. Here are a few key practices to help you achieve it.

Regular updates

GDPR documentation requires an ongoing and proactive effort. Therefore, review and update your GDPR documents regularly.

Centralise documentation storage

Implementing a document management system along with centralised storage for files guarantees that all stakeholders can easily access the most recent versions of all essential documents.

Implement version controls and change logs

Establish a version control system that records all changes made to the document. This helps you track the version history and maintain a clear audit trail for regulatory reviews.

Train employees

Hold consistent training sessions to ensure your staff understands and follows GDPR guidelines when managing personal information.

Conduct internal audits

Regular audits should be conducted to ascertain whether the GDPR documents are being implemented correctly within the organisation.

Appoint a DPO

You may also appoint a data protection officer to oversee the implementation of GDPR, especially if handling large amounts of personal or special categories of data.