Regulatory Compliance Gap Assessment Checklist Form
Evaluate your organization's regulatory compliance status with this concise, modern assessment checklist.
Organization Name
*
Department/Business Unit
Assessment Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Select the compliance domains being assessed (check all that apply):
*
Data Privacy
Information Security
Financial Reporting
Environmental Regulations
Health & Safety
Other
Rate your organization's current compliance level for each domain:
*
Rows
Not Started
In Progress
Partially Compliant
Fully Compliant
Data Privacy
1
2
3
4
Information Security
5
6
7
8
Financial Reporting
9
10
11
12
Environmental Regulations
13
14
15
16
Health & Safety
17
18
19
20
List and describe up to three key compliance gaps identified:
For each identified gap, indicate if a remediation plan exists:
Rows
Yes
No
Gap 1
21
22
Gap 2
23
24
Gap 3
25
26
Overall confidence in current compliance posture:
*
Low
1
2
3
4
High
5
1 is Low, 5 is High
Additional comments or observations
Submit Assessment
Should be Empty: