ERP REGULATORY COMPLIANCE CHECKLIST

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--- DATA PRIVACY & PROTECTION ---
[ ] Applicable Data Privacy Regulations? (GDPR, CCPA, Other)
[ ] Summary of Data Subject Rights Processes
[ ] Data Categories Processed (Personal Data, Sensitive Personal Data, Financial Data, Health Data)
[ ] Estimated Number of Data Subjects
[ ] Last Data Privacy Impact Assessment Date
[ ] Description of Data Retention Policies
[ ] Privacy Policy Document (upload)

--- FINANCIAL REPORTING COMPLIANCE ---
[ ] Fiscal Year End Date
[ ] Accounting Standard Used (GAAP, IFRS, Other)
[ ] Last Financial Statement Approval Date
[ ] Chart of Accounts Review Frequency
[ ] Description of Key Accounting Policies
[ ] Currency Configuration Validation (Valid, Needs Review)

--- TAX MANAGEMENT ---
[ ] Tax Rate (%)
[ ] Last Tax Rate Update Date
[ ] Tax Calculation Method (Destination-Based, Origin-Based, Hybrid)
[ ] Applicable Tax Types (Sales Tax, VAT, GST, Use Tax)
[ ] Tax Exemption Certificates on File
[ ] Tax Returns (Supporting Documents)

--- INDUSTRY-SPECIFIC REGULATIONS ---
[ ] Relevant Industry Standard(s) (FDA (Pharmaceuticals), HIPAA (Healthcare), SOX (Financial), PCI DSS (Retail/Payment Processing), ISO 27001 (Information Security), Other (Specify in Long Text))
[ ] Specify 'Other' Industry Standard (if selected)
[ ] Batch Number Validation Threshold (if applicable)
[ ] Last Compliance Audit Date
[ ] Supporting Documentation (e.g., audit reports, certifications)
[ ] Key Compliance Areas requiring ERP Configuration (Data Security, Reporting, Inventory Management, Access Controls, Traceability)

--- AUDIT TRAIL & RECORD KEEPING ---
[ ] Maximum Audit Trail Retention Period (in days)
[ ] Audit Trail Access Permissions - Who can access? (System Administrators Only, Designated Audit Team, All Users)
[ ] Last Audit Trail Review Date
[ ] Summary of Audit Trail Review Findings
[ ] Modules with Enhanced Audit Logging Enabled (Select all that apply) (Finance, Inventory, Manufacturing, Sales, HR)
[ ] Authorized Reviewer Signature

--- SECURITY CONTROLS & ACCESS MANAGEMENT ---
[ ] Number of Active User Accounts
[ ] Role-Based Access Control (RBAC) Implemented? (Yes, No, Partially Implemented)
[ ] Authentication Method (Username/Password, Multi-Factor Authentication (MFA), Single Sign-On (SSO))
[ ] Description of Password Complexity Requirements
[ ] Privilege Escalation Controls (Strictly Defined, Limited, None)
[ ] Last Password Policy Review Date

--- CONTRACT MANAGEMENT & COMPLIANCE ---
[ ] Contract Review Process Description
[ ] Contract Approval Threshold (Value)
[ ] Contract Approval Workflow Type (Sequential Approval, Parallel Approval, Automated Approval)
[ ] Last Contract Compliance Review Date
[ ] Supporting Documentation (e.g., contracts, agreements)
[ ] Relevant Compliance Areas (Data Privacy, Financial Reporting, Tax Regulations, Industry Specific)
[ ] Compliance Officer Signature

--- INVENTORY & SUPPLY CHAIN COMPLIANCE ---
[ ] Serialized Inventory Tracking Enabled?
[ ] Lot Control Implemented? (Yes, No)
[ ] Last Supply Chain Risk Assessment Date
[ ] Relevant Supply Chain Certifications (e.g., ISO, FSC) (ISO 9001, ISO 14001, FSC Certification, Other)
[ ] Summary of Key Supply Chain Risks and Mitigation Strategies
[ ] Number of Supply Chain Partners Audited Annually
[ ] Supply Chain Partner Compliance Documentation (e.g., Audit Reports)

--- REPORTING & DOCUMENTATION ---
[ ] Description of Compliance Documentation
[ ] Compliance Report (e.g., Audit Trail)
[ ] Date of Last Compliance Report Generation
[ ] Number of Compliance Reports Generated per Year
[ ] Reports Distributed to Stakeholders (Select All) (Executive Management, Audit Committee, Regulatory Body, Internal Teams)
[ ] Summary of Key Findings in Last Report

--- CHANGE MANAGEMENT & UPDATES ---
[ ] Scheduled Update Date
[ ] Description of Changes
[ ] Version Number
[ ] Modules Affected (Finance, Inventory, Sales, HR, Manufacturing)
[ ] Change Type (Bug Fix, Enhancement, Security Patch, Regulatory Update)
[ ] Supporting Documentation (e.g., Release Notes)
[ ] Approval Status (Pending, Approved, Rejected)

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