Compliance Check Skill for Claude

/compliance-check -- Compliance Review

> If you see unfamiliar placeholders or need to check which tools are connected, see CONNECTORS.md.

Run a compliance check on a proposed action, product feature, marketing campaign, or business initiative.

Important: This command assists with legal workflows but does not provide legal advice. Compliance assessments should be reviewed by qualified legal professionals. Regulatory requirements change frequently; always verify current requirements with authoritative sources.

Usage

/compliance-check $ARGUMENTS

What I Need From You

Describe what you're planning to do. Examples:

• "We want to launch a referral program with cash rewards"
• "We're adding biometric authentication to our mobile app"
• "We need to process EU customer data in our US data center"
• "Marketing wants to use customer testimonials in ads"

Output

## Compliance Check: [Initiative]

### Summary
[Quick assessment: Proceed / Proceed with conditions / Requires further review]

### Applicable Regulations and Policies
| Regulation/Policy | Relevance | Key Requirements |
|-------------------|-----------|-----------------|
| [GDPR / CCPA / HIPAA / etc.] | [How it applies] | [What you need to do] |

### Requirements
| # | Requirement | Status | Action Needed |
|---|-------------|--------|---------------|
| 1 | [Requirement] | [Met / Not Met / Unknown] | [What to do] |

### Risk Areas
| Risk | Severity | Mitigation |
|------|----------|------------|
| [Risk] | [High/Med/Low] | [How to address] |

### Recommended Actions
1. [Most important action]
2. [Second priority]
3. [Third priority]

### Approvals Needed
| Approver | Why | Status |
|----------|-----|--------|
| [Person/Team] | [Reason] | [Pending] |

### Further Review Recommended
[Areas where outside counsel or specialist review is advised]

Privacy Regulation Overview

GDPR (General Data Protection Regulation)

Scope: Applies to processing of personal data of individuals in the EU/EEA, regardless of where the processing organization is located.

Key Obligations for In-House Legal Teams:

• Lawful basis: Identify and document lawful basis for each processing activity (consent, contract, legitimate interest, legal obligation, vital interest, public task)
• Data subject rights: Respond to access, rectification, erasure, portability, restriction, and objection requests within 30 days (extendable by 60 days for complex requests)
• Data protection impact assessments (DPIAs): Required for processing likely to result in high risk to individuals
• Breach notification: Notify supervisory authority within 72 hours of becoming aware of a personal data breach; notify affected individuals without undue delay if high risk
• Records of processing: Maintain Article 30 records of processing activities
• International transfers: Ensure appropriate safeguards for transfers outside EEA (SCCs, adequacy decisions, BCRs)
• DPO requirement: Appoint a Data Protection Officer if required (public authority, large-scale processing of special categories, large-scale systematic monitoring)

Common In-House Legal Touchpoints:

• Reviewing vendor DPAs for GDPR compliance
• Advising product teams on privacy by design requirements
• Responding to supervisory authority inquiries
• Managing cross-border data transfer mechanisms
• Reviewing consent mechanisms and privacy notices

CCPA / CPRA (California Consumer Privacy Act / California Privacy Rights Act)

Scope: Applies to businesses that collect personal information of California residents and meet revenue, data volume, or data sale thresholds.

Key Obligations:

• Right to know: Consumers can request disclosure of personal information collected, used, and shared
• Right to delete: Consumers can request deletion of their personal information
• Right to opt-out: Consumers can opt out of the sale or sharing of personal information
• Right to correct: Consumers can request correction of inaccurate personal information (CPRA addition)
• Right to limit use of sensitive personal information: Consumers can limit use of sensitive PI to specific purposes (CPRA addition)
• Non-discrimination: Cannot discriminate against consumers who exercise their rights
• Privacy notice: Must provide a privacy notice at or before collection describing categories of PI collected and purposes
• Service provider agreements: Contracts with service providers must restrict use of PI to the specified business purpose

Response Timelines:

• Acknowledge receipt within 10 business days
• Respond substantively within 45 calendar days (extendable by 45 days with notice)

Other Key Regulations to Monitor

| Regulation | Jurisdiction | Key Differentiators |

|---|---|---|

| LGPD (Brazil) | Brazil | Similar to GDPR; requires DPO appointment; National Data Protection Authority (ANPD) enforcement |

| POPIA (South Africa) | South Africa | Information Regulator oversight; required registration of processing |

| PIPEDA (Canada) | Canada (federal) | Consent-based framework; OPC oversight; being modernized |

| PDPA (Singapore) | Singapore | Do Not Call registry; mandatory breach notification; PDPC enforcement |

| Privacy Act (Australia) | Australia | Australian Privacy Principles (APPs); notifiable data breaches scheme |

| PIPL (China) | China | Strict cross-border transfer rules; data localization requirements; CAC oversight |

| UK GDPR | United Kingdom | Post-Brexit UK version; ICO oversight; similar to EU GDPR with UK-specific adequacy |

DPA Review Checklist

When reviewing a Data Processing Agreement or Data Processing Addendum, verify the following:

Required Elements (GDPR Article 28)

• [ ] Subject matter and duration: Clearly defined scope and term of processing
• [ ] Nature and purpose: Specific description of what processing will occur and why
• [ ] Type of personal data: Categories of personal data being processed
• [ ] Categories of data subjects: Whose personal data is being processed
• [ ] Controller obligations and rights: Controller's instructions and oversight rights

Processor Obligations

• [ ] Process only on documented instructions: Processor commits to process only per controller's instructions (with exception for legal requirements)
• [ ] Confidentiality: Personnel authorized to process have committed to confidentiality
• [ ] Security measures: Appropriate technical and organizational measures described (Article 32 reference)
• [ ] Sub-processor requirements:
• [ ] Written authorization requirement (general or specific)
• [ ] If general authorization: notification of changes with opportunity to object
• [ ] Sub-processors bound by same obligations via written agreement
• [ ] Processor remains liable for sub-processor performance
• [ ] Data subject rights assistance: Processor will assist controller in responding to data subject requests
• [ ] Security and breach assistance: Processor will assist with security obligations, breach notification, DPIAs, and prior consultation
• [ ] Deletion or return: On termination, delete or return all personal data (at controller's choice) and delete existing copies unless legal retention required
• [ ] Audit rights: Controller has right to conduct audits and inspections (or accept third-party audit reports)
• [ ] Breach notification: Processor will notify controller of personal data breaches without undue delay (ideally within 24-48 hours; must enable controller to meet 72-hour regulatory deadline)

International Transfers

• [ ] Transfer mechanism identified: SCCs, adequacy decision, BCRs, or other valid mechanism
• [ ] SCCs version: Using current EU SCCs (June 2021 version) if applicable
• [ ] Correct module: Appropriate SCC module selected (C2P, C2C, P2P, P2C)
• [ ] Transfer impact assessment: Completed if transferring to countries without adequacy decisions
• [ ] Supplementary measures: Technical, organizational, or contractual measures to address gaps identified in transfer impact assessment
• [ ] UK addendum: If UK personal data is in scope, UK International Data Transfer Addendum included

Practical Considerations

• [ ] Liability: DPA liability provisions align with (or don't conflict with) the main services agreement
• [ ] Termination alignment: DPA term aligns with the services agreement
• [ ] Data locations: Processing locations specified and acceptable
• [ ] Security standards: Specific security standards or certifications required (SOC 2, ISO 27001, etc.)
• [ ] Insurance: Adequate insurance coverage for data processing activities

Common DPA Issues

| Issue | Risk | Standard Position |

|---|---|---|

| Blanket sub-processor authorization without notification | Loss of control over processing chain | Require notification with right to object |

| Breach notification timeline > 72 hours | May prevent timely regulatory notification | Require notification within 24-48 hours |

| No audit rights (or audit rights only via third-party reports) | Cannot verify compliance | Accept SOC 2 Type II + right to audit upon cause |

| Data deletion timeline not specified | Data retained indefinitely | Require deletion within 30-90 days of termination |

| No data processing locations specified | Data could be processed anywhere | Require disclosure of processing locations |

| Outdated SCCs | Invalid transfer mechanism | Require current EU SCCs (2021 version) |

Data Subject Request Handling

Request Intake

When a data subject request is received:

• Identify the request type:
• Access (copy of personal data)
• Rectification (correction of inaccurate data)
• Erasure / deletion ("right to be forgotten")
• Restriction of processing
• Data portability (structured, machine-readable format)
• Objection to processing
• Opt-out of sale/sharing (CCPA/CPRA)
• Limit use of sensitive personal information (CPRA)

• Identify applicable regulation(s):
• Where is the data subject located?
• Which laws apply based on your organization's presence and activities?
• What are the specific requirements and timelines?

• Verify identity:
• Confirm the requester is who they claim to be
• Use reasonable verification measures proportionate to the sensitivity of the data
• Do not require excessive documentation

• Log the request:
• Date received
• Request type
• Requester identity
• Applicable regulation
• Response deadline
• Assigned handler

Response Timelines

| Regulation | Initial Acknowledgment | Substantive Response | Extension |

|---|---|---|---|

| GDPR | Not specified (best practice: promptly) | 30 days | +60 days (with notice) |

| CCPA/CPRA | 10 business days | 45 calendar days | +45 days (with notice) |

| UK GDPR | Not specified (best practice: promptly) | 30 days | +60 days (with notice) |

| LGPD | Not specified | 15 days | Limited extensions |

Exemptions and Exceptions

Before fulfilling a request, check whether any exemptions apply:

Common exemptions across regulations:

• Legal claims defense or establishment
• Legal obligations requiring retention
• Public interest or official authority
• Freedom of expression and information (for erasure requests)
• Archiving in the public interest or scientific/historical research

Organization-specific considerations:

• Litigation hold: Data subject to a legal hold cannot be deleted
• Regulatory retention: Financial records, employment records, and other categories may have mandatory retention periods
• Third-party rights: Fulfilling the request might adversely affect the rights of others

Response Process

• Gather all personal data of the requester across systems
• Apply any exemptions and document the basis
• Prepare response: fulfill the request or explain why (in whole or part) it cannot be fulfilled
• If denying (in whole or part): cite the specific legal basis for denial
• Inform the requester of their right to lodge a complaint with the supervisory authority
• Document the response and retain records of the request and response

Regulatory Monitoring Basics

What to Monitor

Maintain awareness of developments in:

• Regulatory guidance: New or updated guidance from supervisory authorities (ICO, CNIL, FTC, state AGs, etc.)
• Enforcement actions: Fines, orders, and settlements that signal regulatory priorities
• Legislative changes: New privacy laws, amendments to existing laws, implementing regulations
• Industry standards: Updates to ISO 27001, SOC 2, NIST frameworks, and sector-specific requirements
• Cross-border transfer developments: Adequacy decisions, SCC updates, data localization requirements

Monitoring Approach

• Subscribe to regulatory authority communications (newsletters, RSS feeds, official announcements)
• Track relevant legal publications for analysis of new developments
• Review industry association updates for sector-specific guidance
• Maintain a regulatory calendar of known upcoming deadlines, effective dates, and compliance milestones
• Brief the legal team on material developments that affect the organization's processing activities

Escalation Criteria

Escalate regulatory developments to senior counsel or leadership when:

• A new regulation or guidance directly affects the organization's core business activities
• An enforcement action in the organization's sector signals heightened regulatory scrutiny
• A compliance deadline is approaching that requires organizational changes
• A data transfer mechanism the organization relies on is challenged or invalidated
• A regulatory authority initiates an inquiry or investigation involving the organization

Tips

• Be specific — "We want to email all our users" is better than "marketing campaign."
• Include the geography — Compliance requirements vary by jurisdiction.
• Mention the data — What personal data is involved? This drives most compliance requirements.