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Regulation/StandardRequirement IDRequirement DescriptionAction Item DescriptionControl TypeAssigned ToDepartment/FunctionRisk LevelDue DateRegulatory DeadlineStatusEvidence/Documentation RequiredEvidence LocationAuditorLast Audit DateNext Audit DateCompliance StatusCompletion DateAudit Notes
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GDPRGDPR-001Data Protection Impact Assessment (DPIA)Conduct DPIA for new customer data processing systemPreventiveAlice JohnsonLegal & ComplianceHigh11/15/202512/1/2025In ProgressDPIA Report, Privacy NoticeSharePoint/Legal DocsKPMG6/20/20246/20/2026In ProgressInitial draft complete, awaiting review
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HIPAAHIPAA-005Security Incident Response PlanUpdate incident response plan with new breach notification proceduresCorrectiveBob WilliamsIT SecurityMedium10/30/202511/15/2025Not StartedUpdated Incident Response PlanConfluence/IT SecurityDeloitte1/10/20251/10/2026Not CompliantNeed to schedule workshop for team
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SOXSOX-302Internal Control DocumentationReview and update process documentation for financial reportingDetectiveCarol DavisFinanceLow12/10/20251/1/2026CompletedProcess Flowcharts, NarrativesInternal Audit DrivePwC8/1/20258/1/2026Compliant12/5/2025No significant findings
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ISO 27001ISO-010Access Control PolicyImplement multi-factor authentication (MFA) for all critical systemsPreventiveDavid LeeIT OperationsHigh2/28/20263/31/2026In ProgressMFA Implementation Plan, User TrainingJira/IT ProjectsEY9/1/20249/1/2025In ProgressPilot phase successful, scaling next quarter
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GDPRGDPR-003Data Subject Request (DSR) ProcessEnhance DSR portal for automated request handlingDetectiveEmily ChenCustomer ServiceMedium11/1/202511/30/2025Not StartedDSR Portal Design DocumentInternal WikiGrant Thornton7/15/20247/15/2026Not CompliantRequires integration with CRM system
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HIPAAHIPAA-002Employee TrainingConduct annual HIPAA privacy and security training for all staffPreventiveFrank GreenHRLow10/20/202510/25/2025CompletedTraining Records, Completion CertificatesHRIS SystemRSM9/1/20259/1/2026Compliant10/18/2025High attendance, positive feedback
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SOXSOX-404IT General Controls ReviewPerform quarterly review of IT change management controlsDetectiveGrace HallInternal AuditMedium11/25/202512/15/2025In ProgressITGC Audit Report, Evidence of ReviewAudit Management SystemMazars9/10/20259/10/2026In ProgressQ3 review ongoing, preliminary findings circulated
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