Document ManagementCompliance Checklist
Comprehensive compliance checklists for GDPR, HIPAA, SOX, PCI DSS, and FERPA. Track your progress, ensure full compliance, and avoid costly penalties.
What is Regulatory Compliance?
Regulatory compliance means adhering to laws, regulations, and industry standards that govern how organizations handle data, protect privacy, and manage financial information. Organizations that fail to comply face significant penalties, loss of customer trust, and potential legal consequences. Compliance is not a one-time project but an ongoing commitment to maintaining standards across all business operations.
This interactive compliance checklist helps you systematically address every requirement across five major regulatory frameworks. Each regulation has specific requirements tailored to different industries: GDPR for data protection, HIPAA for healthcare, SOX for finance, PCI DSS for payment processing, and FERPA for education. Understanding your applicable regulations is the first step toward building a robust compliance program.
Use this tool to track your organization's compliance progress. Mark items as complete, in-progress, or partial. Export your checklist for audits and share results with your compliance team. The checklist includes evidence requirements and identifies automatable controls that document management systems can enforce.
Why Compliance Matters
Non-compliance exposes organizations to regulatory fines, legal liability, and enforcement actions. Implementing compliance controls reduces organizational risk significantly.
Customers expect their data to be handled responsibly. Demonstrating compliance builds brand reputation and customer confidence in your data handling practices.
Compliance frameworks establish best practices for data governance, security, and documentation that improve overall business operations and reduce errors.
Maintaining compliance reduces audit friction and provides documented evidence of adherence to regulatory requirements when auditors conduct assessments.
Understanding Your Regulatory Landscape
Different regulations apply based on your industry, geographic location, and data types. Organizations often must comply with multiple frameworks simultaneously:
- GDPR - Applies to any organization processing data of EU residents, regardless of where the organization is located
- HIPAA - Required for healthcare providers, health plans, and healthcare clearinghouses in the United States
- SOX (Sarbanes-Oxley) - Mandated for public companies and their auditors to ensure financial reporting accuracy
- PCI DSS - Required for any merchant accepting credit cards or any organization handling cardholder data
- FERPA - Applies to U.S. schools and educational institutions that receive federal education funding
How to Use This Compliance Checklist
This interactive tool provides a comprehensive framework for implementing and tracking compliance across all five major regulations:
- Select your regulation - Choose the applicable frameworks for your organization
- Review requirements - Each checklist item includes the specific requirement, description, and evidence needed
- Track progress - Mark items as complete, in-progress, or partial to monitor compliance status
- Collect evidence - Document how you meet each requirement using the evidence requirements listed
- Export results - Generate compliance reports for audits, board reviews, or regulatory inspections
- Implement controls - Use automatable controls to enforce compliance through document management systems
Select Regulation
Data Protection Impact Assessment (DPIA)
Conduct DPIA for high-risk processing activities
Evidence Required (2)
- • DPIA documentation
- • Risk assessment reports
Privacy by Design
Implement data protection measures from the design stage
Evidence Required (2)
- • System architecture docs
- • Privacy controls documentation
Right to Access (Article 15)
Enable data subjects to access their personal data
Evidence Required (2)
- • Access request procedures
- • Response time logs
Right to Erasure (Article 17)
Implement "right to be forgotten" functionality
Evidence Required (2)
- • Deletion procedures
- • Audit logs
Data Portability (Article 20)
Allow data export in machine-readable format
Evidence Required (2)
- • Export functionality
- • Format specifications
Explicit Consent
Obtain clear, affirmative consent for data processing
Evidence Required (3)
- • Consent forms
- • Consent logs
- • Opt-in mechanisms
Consent Withdrawal
Easy mechanism to withdraw consent
Evidence Required (2)
- • Withdrawal procedures
- • UI screenshots
Encryption at Rest
Encrypt personal data stored in databases
Evidence Required (2)
- • Encryption certificates
- • Security audit reports
Encryption in Transit
Use TLS/SSL for data transmission
Evidence Required (2)
- • SSL certificates
- • Network security docs
72-Hour Notification
Notify authorities within 72 hours of breach discovery
Evidence Required (2)
- • Incident response plan
- • Notification templates
Need Help Achieving Full Compliance?
Our compliance experts can help you implement all requirements and automate your document management compliance.