Compliance Readiness Assessment

1. Organization Information

Company Name *

Industry *

Primary Contact Name *

Email Address *

Phone Number

2. Current Compliance Status

Which compliance frameworks are you currently subject to?

HIPAA (Healthcare) SOX (Financial Services) PCI DSS (Payment Card Industry) GDPR (European Data Protection) CCPA (California Consumer Privacy) ISO 27001 NIST Cybersecurity Framework None currently

What is your timeline for achieving compliance?

3. HIPAA Compliance Assessment

Complete this section if you handle Protected Health Information (PHI)

Do you have a designated HIPAA Privacy Officer?

Yes No Planned

Do you have documented privacy policies and procedures?

Yes No Partial

Do you conduct regular HIPAA training for employees?

Yes No Planned

Do you have Business Associate Agreements (BAAs) in place?

Yes No Partial

Additional HIPAA-related notes:

4. PCI DSS Compliance Assessment

Complete this section if you process, store, or transmit payment card data

Do you have a firewall protecting cardholder data?

Yes No Planned

Do you use strong encryption for cardholder data?

Yes No Partial

Do you restrict access to cardholder data on a need-to-know basis?

Yes No Partial

Do you regularly test security systems and processes?

Yes No Planned

Additional PCI DSS-related notes:

5. SOX Compliance Assessment

Complete this section if you are a publicly traded company or handle financial data

Do you have documented internal controls over financial reporting?

Yes No Partial

Do you have an audit trail for financial transactions?

Yes No Partial

Do you conduct regular security assessments?

Yes No Planned

Additional SOX-related notes:

6. GDPR Compliance Assessment

Complete this section if you process EU resident data

Do you have a lawful basis for processing personal data?

Yes No Partial

Do you have a process for handling data subject requests?

Yes No Planned

Do you have a Data Protection Officer (DPO)?

Yes No Planned

Do you conduct Data Protection Impact Assessments (DPIAs)?

Yes No Planned

Additional GDPR-related notes:

7. General Security Controls

Do you have a formal information security policy?

Yes No Partial

Do you conduct regular employee security training?

Yes No Planned

Do you have an incident response plan?

Yes No Partial

Do you perform regular vulnerability assessments?

Yes No Planned

Do you have a backup and disaster recovery plan?

Yes No Partial

8. Compliance Goals & Priorities

What are your primary compliance objectives?

Achieve certification Maintain ongoing compliance Reduce compliance risk Improve compliance processes Prepare for audits Enhance employee training

What is your budget for compliance initiatives?

What is your timeline for achieving compliance?

Additional Notes or Special Requirements