Compliance Checklist Template for Software Procurement
Published on: January 1, 2025
Summary
General Information
Software Name: ___________________________
Vendor: _________________________________
Evaluator Name: __________________________
Date of Evaluation: ______________________
Checklist Categories
1. Data Security
Requirement | Compliant? (Yes/No) | Notes |
Encryption of data in transit and at rest | ||
Adherence to security standards (e.g., ISO 27001) | ||
Multi-factor authentication (MFA) availability | ||
Regular security updates and patches | ||
Secure API integrations |
2. Regulatory Compliance
Requirement | Compliant? (Yes/No) | Notes |
General Data Protection Regulation (GDPR) | ||
Health Insurance Portability and Accountability Act (HIPAA) | ||
California Consumer Privacy Act (CCPA) | ||
Payment Card Industry Data Security Standard (PCI-DSS) | ||
Other industry-specific regulations |
3. Vendor Documentation
Requirement | Compliant? (Yes/No) | Notes |
Availability of compliance certifications | ||
Third-party audit reports (e.g., SOC 2, Type II) | ||
Transparent data storage and processing policies | ||
Detailed service level agreements (SLAs) | ||
Vendor breach history and resolution practices |
4. Organizational Alignment
Requirement | Compliant? (Yes/No) | Notes |
Alignment with internal compliance policies | ||
Support for centralized compliance monitoring | ||
Compatibility with existing IT and security systems | ||
Scalability to accommodate future regulatory changes | ||
Training provided for compliance maintenance |
Summary of Findings
Category | Fully Compliant? (Yes/No) | Key Notes/Concerns |
Data Security | ||
Regulatory Compliance | ||
Vendor Documentation | ||
Organizational Alignment |
Recommendations
Proceed with Procurement: If all key compliance requirements are met.
Further Discussion Needed: Highlight specific gaps and consult with the vendor.
Disqualify Vendor: If critical compliance requirements are unmet and cannot be resolved.
Notes for Use
Customize this checklist to include industry-specific regulations and organizational policies.
Collaborate with legal and compliance teams to validate findings.
Use this template as part of a broader evaluation framework to ensure informed decisions.
This template provides a structured approach to evaluating compliance, protecting your organization from potential risks while ensuring alignment with industry and legal standards.
