The first and most important step is to acknowledge the receipt of the legal notice to demonstrate good faith and willingness to resolve the matter. This should be done within 3-5 business days. This initial communication sets the tone for cooperation and transparency, which regulators tend to view favourably.
Furthermore, ensure that the acknowledgment is written and it comes from a designated compliance officer, legal counsel, or senior management representative. This demonstrates seriousness and accountability.
STEP 2: UNDERSTAND THE ALLEGATIONSCarefully review the legal notice to identify the specific GDPR violations being alleged. Common allegations include:
- Non-compliance with lawful processing obligations(Article 5 and 6).
- Failure to obtain valid consent(Articles 6 and 7).
- Improper handling of data subject rights(e.g., Article 15 – Right of access, Article 17 – Right to erasure, etc.).
- Data breach not reported within 72 hours(Article 33).
- Highlight and separate each allegation in the notice.
- Note the GDPR articles cited and match them with your internal compliance policies.
- Determine the specific data subjects involved (e.g., individuals, regions, or categories of personal data).
An internal investigation is critical to verify the facts and build your defense.
a) Appoint a GDPR Compliance Team or DPO- Involve your Data Protection Officer (DPO), if appointed, or assemble a team of legal and IT experts.
- Ensure documentation of all actions during the investigation.
- Timeline: When did the alleged contravention occur?
- Scope: Which data subjects, systems, or processes are involved?
- Root Cause: Identify whether the issue arose due to human error, system failure, or lack of compliance protocols.
- Data processing agreements (DPAs).
- Records of consent (timestamps, consent forms).
- Data breach notification logs.
- Records of Processing Activities (ROPA).
- Relevant communications (e.g., emails, meeting notes).
Determine whether your organization, a third-party vendor, or both are responsible for the alleged contravention.
STEP 4: DRAFT THE RESPONSEA formal response to the legal notice must be structured, factual, and solution-oriented. Below is a step-by-step structure for the response:
a) Acknowledge the Allegations: Summarize the allegations clearly and concisely.
b) Present Your Findings for Each Allegation: For each allegation, provide your findings with evidence.
c) Corrective Measures: If there were any lapses on your part, acknowledge them professionally and outline corrective measures taken.
d) Preventive Measures: Show commitment to future compliance by detailing steps you have taken to strengthen GDPR adherence.
f) Closing and Openness to Discussion: Reiterate your willingness to cooperate and provide additional clarifications.
KEY DO’S AND DON’TS Do’s- Respond within the stipulated timeline.
- Provide factual, evidence-backed responses.
- Involve your DPO and legal team promptly.
- Demonstrate corrective and preventive measures.
- Ignore the legal notice.
- Admit liability without proper legal knowledge.
- Delay internal investigations.
- Use vague or incomplete answers.
Responding to a legal notice for GDPR contraventions is not merely a procedural formality, but a critical opportunity to demonstrate your organisation’s commitment to data protection principles. A well-handled response reflects transparency in operations, accountability for any lapses, and a proactive attitude toward rectifying issues.
By swiftly acknowledging the notice, you signal responsiveness and good faith. Through a comprehensive internal investigation, you gather the facts, assess the root causes, and identify whether any obligations under the GDPR, such as breach notification, consent requirements, or lawful processing bases have been compromised. Finally, by crafting a clear, evidence-based response, you present a reasoned defence, accept responsibility where necessary, and outline corrective or preventive measures.
This approach does more than just address the immediate legal concerns, it builds trust and reinforces your organisation’s broader privacy governance framework. Ultimately, it showcases your dedication to not only meeting compliance obligations but also fostering a data-responsible culture.
For any further queries or feedback, feel free to reach out to rohit.lalwani@amlegals.com or mridusha.guha@amlegals.com