Audit Preparation & Evidence Documentation

DPDP Audit Checklist: Documents & Evidence Required

Preparing for an independent statutory DPDP compliance audit requires assembling concrete documentation and technical artifacts. Here is the comprehensive evidence package evaluated by LLM Advocates auditors.

Book Official Audit Gap Assessment

1. Legal & Governance Documentation

Master Privacy Policy: Public-facing policy compliant with Section 5 itemization rules.
Employee Privacy Notice: Internal policy detailing employee data processing under Section 7(i).
Data Protection Officer Appointment Letter: Formal Board resolution appointing India-resident DPO (Rule 10).
Statutory RoPA Register: Record of Processing Activities documenting data categories, retention, and legal bases.
Data Retention & Deletion Schedule: Policy governing deletion thresholds under Section 8(7).

2. Technical & Architectural Artifacts

Data Flow & Lineage Diagrams: Architecture diagrams detailing data ingestion, processing, and cloud storage.
Cryptographic Proof of Consent Logs: Export of tamper-evident SHA-256 consent grant and withdrawal events (Section 6(10)).
Encryption Standards Document: Evidence of AES-256 at-rest and TLS 1.3 in-transit encryption under Section 8(4).
VAPT & Penetration Testing Reports: Recent third-party vulnerability assessment and remediation logs.
Access Control & RBAC Matrix: Documented role-based permissions preventing unauthorized employee access.

3. Vendor & Third-Party Processor Contracts

Executed Data Processing Agreements (DPAs): Mandatory statutory contracts with all cloud providers, SaaS tools, and agencies under Section 8(2).
Sub-Processor Register: Catalog of all sub-contractors handling personal data with geographic locations.
Vendor Security Assessment Questionnaires: Annual audit questionnaires evaluating vendor cyber posture.

4. Operational Incident & Grievance Logs

72-Hour Breach Response Playbook: Incident management escalation tree and DPBI notification drafts (Section 8(6)).
Grievance Redressal Register: Historical log of user requests, complaints, and resolution SLAs (Section 13).
DSAR / Erasure Request Fulfillment Logs: Audit trail of completed deletion, correction, and summary requests.

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