CRM COMPLIANCE CHECKLIST

Created by ChecklistGuro (https://checklistguro.com)


--- DATA PRIVACY & GDPR ---
[ ] Is a Data Protection Impact Assessment (DPIA) completed? (Yes, No, N/A)
[ ] Do you have a lawful basis for processing personal data? (Consent, Contract, Legal Obligation, Vital Interests, Legitimate Interests, Public Task)
[ ] Describe how consent is obtained and recorded (if applicable).
[ ] Number of data subjects’ rights requests received in the last year.
[ ] Is Subject Access Request (SAR) process documented? (Yes, No)
[ ] Date of last Privacy Policy update.
[ ] Which categories of personal data are processed? (Name, Email Address, Phone Number, Address, Financial Data, Health Data)

--- ACCESS CONTROLS & PERMISSIONS ---
[ ] Default User Access Level (Limited, Standard, Admin)
[ ] Functional Access Permissions (Sales) (Lead Management, Opportunity Management, Contact Management, Reporting)
[ ] Access to Custom Fields (Restricted, Permitted, All)
[ ] Number of Admin Users
[ ] Last Permission Review Date

--- DATA SECURITY MEASURES ---
[ ] Data Encryption at Rest (Enabled, Disabled, Partial)
[ ] Data Encryption in Transit (TLS 1.3, TLS 1.2, SSL 3.0 (Not Recommended))
[ ] Backup Frequency (Days)
[ ] Last Security Patch Applied
[ ] Description of Firewall Configuration
[ ] Upload Antivirus Scan Report

--- AUDIT TRAILS & LOGGING ---
[ ] Audit Log Retention Period (Days)
[ ] Audit Log Storage Location (CRM System, Separate Log Server, Cloud Storage)
[ ] Last Audit Log Review Date
[ ] Summary of Audit Log Review Findings
[ ] Log Includes User Activity (Yes, No)
[ ] Number of Critical Audit Events Monitored

--- INCIDENT RESPONSE PLAN ---
[ ] Incident Definition & Scope
[ ] Incident Severity Level (Low, Medium, High, Critical)
[ ] Estimated Impacted Records (Approximate)
[ ] Date of Incident Discovery
[ ] Time of Incident Discovery
[ ] Initial Containment Actions Taken
[ ] Communication Channels Used (Initial) (Email, Phone, Instant Messaging, Other)
[ ] Supporting Documentation (Logs, Screenshots)

--- THIRD-PARTY VENDOR COMPLIANCE ---
[ ] Vendor Security Assessment Completed? (Yes, No, In Progress)
[ ] Vendor Security Assessment Document
[ ] Vendor Data Processing Agreement Summary
[ ] Vendor SOC 2 Report Available? (Yes, No, N/A)
[ ] Vendor SOC 2 Report
[ ] Last Vendor Compliance Review Date
[ ] Notes on Vendor Compliance Risks & Mitigation

--- RECORD RETENTION POLICIES ---
[ ] Retention Period for Lead Data (Years)
[ ] Retention Period for Opportunity Data (Years)
[ ] Retention Period for Contact Data (Years)
[ ] Retention Period for Account Data (Years)
[ ] Retention Period for Sales Order Data (Years)
[ ] Data Disposal Method (Secure Deletion, Archiving, Anonymization)
[ ] Last Review Date of Retention Schedule
[ ] Justification for Retention Periods

--- TRAINING & AWARENESS ---
[ ] Training Program Title
[ ] Training Objectives
[ ] Topics Covered in Training (Select all that apply) (Data Privacy, Security Best Practices, Compliance Regulations, System Navigation, Reporting & Analytics)
[ ] Last Training Date
[ ] Number of Employees Trained
[ ] Training Delivery Method (Online, In-Person, Hybrid)
[ ] Training Materials (e.g., presentations, guides)

--- REGULAR AUDITS & REVIEWS ---
[ ] Last Audit Date
[ ] Frequency of Audits (e.g., quarterly, annually)
[ ] Summary of Findings from Previous Audit
[ ] Areas Reviewed During Audit (Data Security, Access Controls, Data Integrity, Workflow Automation, Reporting & Analytics)
[ ] Auditor Signature
[ ] Next Scheduled Audit Date

--- LEGAL & REGULATORY UPDATES ---
[ ] Last Regulatory Update Review Date
[ ] Summary of Recent Regulatory Changes
[ ] Applicable Regulations (GDPR, CCPA, HIPAA, Other (Specify in Long Text))
[ ] Specific Actions Taken in Response to Updates
[ ] Next Regulatory Review Date

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