Compliance Checklist Template for Software Procurement
Published on: January 1, 2025
Summary
This checklist ensures that all software solutions considered during the procurement process meet necessary compliance standards and regulatory requirements, mitigating risks and safeguarding organizational integrity.
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.
