The Data Privacy Framework (DPF): How it works and legal considerations across jurisdictions

Under the GDPR, any organization that transfers personal data from the EU to the US needs a lawful transfer mechanism. For US-based recipients, one of the primary options is the EU-U.S. Data Privacy Framework (EU-U.S. DPF).

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The DPF is easy to misunderstand. It's often confused with the GDPR itself, even though it's a cross-border transfer mechanism, not a privacy law. Teams also aren't always sure when it applies or how it differs from Standard Contractual Clauses (SCCs), and those gaps can limit how useful it is.

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This guide explains what the DPF is, how it works across the EU, UK and Switzerland, when to use it instead of SCCs, and what to consider about its future.

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What is the Data Privacy Framework?

The EU-U.S. Data Privacy Framework (EU-U.S. DPF) was developed by the US Department of Commerce to facilitate data transfers from the European Union to participating organizations in the US.

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It allows organizations to receive personal information from the EU under the European Commission’s adequacy decision, providing a lawful transfer mechanism for cross-border transfers. However, it doesn’t replace existing GDPR obligations: if your organization handles the personal data of individuals in the EU, you still must continue your existing GDPR processes and controls for how that data is collected, processed, stored, and protected.

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DPF was introduced after several years of uncertainty over international data transfers. Before the DPF, organizations relied on the Safe Harbor framework, which the Court of Justice of the European Union (CJEU) invalidated in 2015. Its successor, the Privacy Shield, was struck down on July 16, 2020, through the Schrems II decision. The reasoning: the CJEU determined that US surveillance laws didn’t provide protections equivalent to those under EU law. The DPF was introduced in response, with new US government commitments and safeguards intended to address concerns around government access to personal data.

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“For companies already on Privacy Shield, the DPF felt like business as usual where the same principles apply, and existing participants were automatically moved over as long as they updated their public commitments in time. The real shift isn't in what companies attest to day-to-day, but rather in how the framework being attested reflects US government commitments.”

Faisal Khan

GTM GRC Solutions Expert, Vanta

|

LinkedIn

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The DPF also includes separate programs for data transfers from the UK and Switzerland. Organizations can participate in the EU-US DPF, the UK Extension, or the Swiss-US DPF, depending on where the data originates. Participation in one program does not automatically extend to the others, so organizations must separately opt in to cover UK or Swiss data.

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How the DPF works

Since the DPF is a voluntary certification framework, eligible US organizations can join by applying to the US Department of Commerce’s DPF Program. Instead of signing individual agreements with each EU data exporter, participating organizations publicly commit to complying with the DPF Principles and become subject to enforcement by the FTC or Department of Transportation (DoT), where applicable.

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To comply, organizations must implement privacy controls that satisfy the DPF’s principles. A key requirement is establishing intake channels and mechanisms that allow individuals in the EU/EEA (data subjects) to exercise their rights with your organization, as well as processes for addressing user complaints.

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Depending on its role in processing, the organization also becomes subject to controller or processor obligations. This includes managing onward transfers appropriately and ensuring that third parties provide the required level of protection for personal data.

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DPF certification expires after a year. To maintain compliance, you must undergo an annual recertification process with the US Department of Commerce.

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{{cta_withimage11="/cta-blocks"}}| The US data privacy checklist

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DPF requirements by jurisdiction

You can pursue certification with one or more DPF programs, depending on where the data received originates. They are:

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When to choose the DPF over SCCs

Besides the DPF, you can also rely on Standard Contractual Clauses as an enabling mechanism to import data from the EU. While SCCs and DPF both serve as broader legal mechanisms to allow data transfers, there are notable differences between them, and you should carefully consider which to pursue.

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Ask yourself the following question when trying to decide between the DPF and SCCs:

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*SCCs must be executed between the data exporter and importer for the transfer relationship. The clauses themselves are standardized (2021 EU SCCs, four modules) and must be signed for each transfer relationship and typically supplemented by a Transfer Impact Assessment (TIA).

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While the DPF is currently a valid transfer mechanism, its future remains subject to legal and regulatory developments. Previous transfer frameworks were invalidated following challenges before the CJEU, so organizations should consider contingency mechanisms rather than relying exclusively on the DPF.

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“If the current DPF is invalidated, SCCs are the most likely fallback, but they are not a drop-in replacement and should not be the only contingency in a serious transfer risk program.”

Faisal Khan

GTM GRC Solutions Expert, Vanta

|

LinkedIn

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Organizations opting for SCCs must consider additional requirements introduced after the Schrems II decision. SCCs are the most likely fallback, but they are not a drop-in replacement and should not be the only contingency in a serious transfer risk program. Practical options to consider:

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• SCCs paired with a Transfer Impact Assessment (TIA): Post-Schrems II, SCCs alone are insufficient. Organizations must conduct a TIA evaluating the destination country’s laws and, where necessary, implement supplementary measures (technical, contractual, and organizational). The technical measures, particularly encryption with keys held outside the US and pseudonymization, are what regulators scrutinize most.
• Binding Corporate Rules (BCRs): For intra-group transfers, BCRs remain a durable mechanism, though they require DPA approval and are time- and resource-intensive to establish. Organizations with mature global privacy programs should have BCRs in progress as a hedge regardless of DPF status.

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How to achieve and maintain DPF compliance

Achieving DPF compliance is a structured process that requires you to:

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1. Determine your eligibility
2. Conduct an internal assessment against DPF criteria
3. Implement controls and address gaps
4. Submit information to the Department of Commerce
5. Renew your certification annually

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Step 1: Determine your eligibility

Before pursuing compliance with the DPF, determine whether your organization is eligible. The DPF is designed for US organizations subject to either the FTC or the DoT. Then, determine which DPF framework applies based on the data’s origin, such as data transferred from the EU, UK, or Switzerland.

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As mentioned earlier, participation in one DPF program alone doesn’t mean you’re aligned with the others. If you comply with the US DPF, you must still manually opt in to the UK Extension or the Swiss-US DPF. You can’t rely on either until the underlying EU-US DPF certification is active, even though the requirements to address are mostly the same.

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Also consider whether your organization handles human resources (HR) data, since that is a separate self-attestation. If you receive HR data from the EU/UK/Switzerland in the context of an employment relationship, you must specifically opt in to HR data coverage and commit to cooperate with EU Data Protection Authorities as their independent recourse mechanism. 

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Before you move on with the verification process, check whether your data transfer activities fall into the scope of the DPF and that it covers the types of data you receive and process.

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Step 2: Conduct an internal assessment against DPF criteria

Next, assess existing privacy and security controls against DPF criteria. The goal is to determine which parts of your program meet DPF criteria and where you might have to implement additional safeguards.

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Review your privacy notices and internal policies to verify that they reflect how your organization collects, stores, and processes data. Then, evaluate processes for handling data subject requests and complaints. This includes confirming you have established intake channels, response procedures, and communications ownership to be able to respond within GDPR timelines.

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Next, validate your onward transfer and third-party management practices. If you share personal data with third parties, ensure that the transfers are properly managed and that the vendors provide a level of protection that meets DPF requirements.

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Document any identified gaps or ambiguities, along with the actions taken to address them, to serve as evidence records of compliance efforts.

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{{cta_withimage14="/cta-blocks"}} | GDPR compliance checklist

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Step 3: Implement controls and address gaps

Once you’ve identified relevant gaps, implement the controls and change processes you need to meet DPF principles. Begin by updating your privacy notices, internal policies, and supporting documentation to reflect your practices and DPF commitments. Then, implement the technical, organizational, and administrative controls. Connect each control to the process it supports to keep privacy requirements embedded into daily operations and make them easier to update as business processes change.

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Establish processes for receiving, acknowledging, and handling data subject requests or complaints. These processes should define how requests are submitted, who is responsible for responding, and how you track completion rates.

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You should also review existing vendor relationships and contracts to verify that data transfers meet DPF requirements and that third parties provide appropriate safeguards.

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This step can have several moving parts at once, so use top GDPR or privacy compliance software for support and assign clear ownership to keep implementation consistent.

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Step 4: Submit information to the Department of Commerce

Gather the documentation needed for self-certification into a submission packet. It should include:

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• Organization’s Legal Name
• Organization’s Display Name (this gets displayed on the Data Privacy Framework List along with the legal name)
• Address
• City
• US State or Territory
• Zip Code
• Organization contact information
• Corporate officer information

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Next, create an account on the International Trade Administration (ITA) website and upload your documentation to the DPF portal.

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Once you’ve submitted your documents, designate an independent resource mechanism. This is a third-party service whose purpose is to investigate data subjects' complaints and requests for free and to ensure your organization remains aligned with the DPF. 

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To maintain participation in the DPF program, you’ll also have to pay the annual fee, which depends on your revenue and the number of frameworks you’re certified for.

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Step 5: Renew your certification annually

DPF compliance requires ongoing oversight and regular recertification. Implement continuous control monitoring to identify and address gaps promptly instead of relying on last-minute adjustments to prepare for audits.

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Regularly review data transfers, processor/subprocessor compliance, and privacy practices to maintain alignment. This is particularly important after notable changes to your processing activities or when you introduce new vendors or systems that interact with sensitive data.

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You’ll also need to annually recertify with the Department of Commerce to maintain your participation in the DPF program. Start preparation early and conduct internal assessments to fix any potential gaps and avoid costly reworks within tight recertification windows.

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Staying in a state of audit-readiness puts significant pressure on your security and compliance teams. Top compliance management solutions like Vanta can help relieve some of the burden by enabling continuous oversight and automating repetitive workflows.

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Streamline DPF and privacy compliance with Vanta

The Vanta platform helps organizations modernize and scale their compliance and privacy programs. With built-in automation, ongoing oversight, and hourly controls monitoring, the platform helps you centralize privacy management.

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Vanta's GDPR software includes DPF-specific controls that guide organizations through the self-certification process, reducing time to compliance. Other key features include:

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• Pre-built policy templates with customization supported by Vanta AI
• Automated evidence collection through 400+ integrations
• Integrated risk management that connects privacy assessments to risks, controls, vendors, and frameworks
• Control mapping to reuse existing control evidence across overlapping privacy requirements
• Live data inventories, RoPA and DPIA management, and more
• Support for organizations at every stage of privacy program maturity, from foundational governance to advanced privacy operations

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If you’re operating in multiple US jurisdictions, Vanta supports you with a USDP solution, which unifies compliance requirements across 19 state-level privacy regulations.

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Schedule a custom demo to see how Vanta streamlines privacy compliance for your team.

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{{cta_simple19="/cta-blocks"}} | GDPR product page

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A note from Vanta: Vanta is not a law firm, and this article does not constitute or contain legal advice or create an attorney-client relationship. When determining your obligations and compliance with respect to relevant laws and regulations, you should consult a licensed attorney.