Compliance Templates
Compliance failures are rarely caused by not knowing the rules. They come from processes nobody documented, steps skipped because nobody checked, and evidence that was never captured. CheckFlow’s compliance checklist templates give each process a repeatable structure: every requirement has a named owner, every step is recorded as it is completed, and every run is kept as the evidence trail an auditor or regulator will ask for.
The library holds 22 templates in five groups: security frameworks such as SOC 2, ISO 27001, PCI DSS, NIST CSF, CMMC, NIS2 and Cyber Essentials; privacy and data under GDPR, CCPA/CPRA and HIPAA; SOX and other financial controls; ISO quality, environmental and health and safety systems; and third-party risk. Every template is free to copy and fully editable, and each page links to a live example you can open without signing up.
Security Frameworks Templates
Certification, attestation and government security programmes, from a first SOC 2 report to CMMC and FedRAMP authorisation.
Privacy & Data Templates
Personal data obligations under European and US law, and the retention and disposal reviews that keep the data you hold in check.
Financial Controls Templates
Internal control over financial reporting, from the annual SOX programme to the quarterly test cycle and the access conflicts behind both.
Quality, Environment & Safety (ISO) Templates
ISO management system standards: a general implementation template plus dedicated templates for quality audits, environmental and health and safety systems.
Third-Party Risk Templates
Security and risk due diligence on the suppliers who hold your data or run your services, and the annual reassessment that keeps it current.
Setting a supplier up in your systems is covered by the Vendor Onboarding Checklist, and reviewing the SOC report a vendor sends you by the SOC Report Review Checklist.
Explore Our Compliance Checklist Templates
All 22 compliance templates, one line each. Every template page explains the requirements behind it, lists every phase and task, and links to a live example you can open without signing up.
Security Frameworks
- ISO 27001 Compliance Checklist: Build and certify an ISO 27001:2022 ISMS: scope, risk assessment, Statement of Applicability, Annex A controls, internal audit and management review.
- SOC 2 Readiness Checklist: Get ready for a first SOC 2 report: scope, gap assessment, remediation, control owners, CPA firm selection and the start of the observation window.
- PCI DSS 4.0 Compliance Checklist: Run the annual PCI DSS v4.0.1 cycle: scope, SAQ or ROC, targeted risk analyses, quarterly scans, penetration tests and the Attestation of Compliance.
- NIST CSF 2.0 Checklist: Assess your organisation against the six NIST CSF 2.0 Functions with a Current Profile, a Target Profile and a prioritised action plan.
- CMMC 2.0 Compliance Checklist: Prepare a defence contractor for CMMC: level, scope, NIST SP 800-171 assessment, SPRS score, POA&M and affirmations.
- NIS2 Compliance Checklist: Run an EU NIS2 programme: entity status, registration, management body duties, risk-management measures and incident reporting.
- Cyber Essentials Certification Checklist: Prepare for UK Cyber Essentials and Cyber Essentials Plus: scope, the five technical controls, the question set and annual renewal.
- FedRAMP Compliance Checklist: Pursue FedRAMP authorisation as a cloud service provider: readiness, system boundary, SSP, 3PAO assessment and continuous monitoring.
- FISMA Compliance Checklist: Meet FISMA for a federal information system: categorisation, NIST SP 800-53 controls, authorisation to operate and continuous monitoring.
- ICD 705 Fixed Facility Checklist: Prepare a SCIF for accreditation under ICD 705: construction, access control, intrusion detection, acoustic protection and documentation.
Privacy & Data
- GDPR Compliance Audit Checklist: Audit EU and UK GDPR compliance each year: records of processing, lawful basis, rights requests, processors, transfers, breaches and DPIAs.
- CCPA/CPRA Compliance Checklist: Run a California privacy programme: applicability, notices, consumer requests, opt-outs, contracts and the CPPA regulations.
- Data Retention & Disposal Review Checklist: Review records against the retention schedule, check legal holds, approve disposal and keep the certificates that prove it happened.
- HIPAA Compliance Audit Checklist: Audit HIPAA compliance across the Privacy, Security and Breach Notification Rules, including business associate agreements.
Financial Controls
- SOX 404 Compliance Checklist: Run the annual SOX 404 programme: scoping, control documentation, testing plan, deficiency evaluation, 302 certifications and the management report.
- SOX Internal Control Testing Checklist: Run one SOX test cycle: walkthroughs, test of design, sampling, operating effectiveness testing, deficiency classification and sign-off.
- Segregation of Duties Review Checklist: Find and resolve conflicting access: conflict matrix, user-role extracts, owner validation, removal or compensating controls, and sign-off.
Quality, Environment & Safety (ISO)
- ISO Compliance Checklist: Implement any ISO management system standard, from gap analysis and documentation to internal audit, management review and certification.
- ISO 9001 Internal Audit Checklist: Run one ISO 9001 internal audit: plan, process-based fieldwork, graded findings, corrective action and input to management review.
- ISO 14001 Environmental Management Checklist: Run an ISO 14001 environmental management system through the year: aspects, compliance obligations, controls, audit and review.
- ISO 45001 Occupational Health & Safety Checklist: Run an ISO 45001 OH&S management system: worker consultation, hazard identification, legal requirements, incidents, audit and review.
Third-Party Risk
- Vendor Risk Assessment Checklist: Assess a vendor’s security and risk: criticality tier, questionnaire and evidence, residual risk, contract terms and annual reassessment.
Why Teams Use CheckFlow for Compliance Management
A compliance evidence trail that survives audit
Regulators don't accept verbal assurances that the process was followed. They ask for dated records showing exactly who completed each step, when, and what the outcome was. CheckFlow creates this evidence trail automatically — every completed compliance step is timestamped, attributed, and archived in a format that any external auditor can review.
Compliance processes that run on schedule — every time
ISO surveillance audits every year, quarterly access reviews and monthly security control checks all have defined deadlines. CheckFlow's recurring feature generates each compliance process automatically at its required frequency — ensuring regulatory deadlines are never missed because the trigger was manual.
Consistent compliance across every team and location
A compliance programme that depends on individuals remembering requirements and applying them consistently across departments or systems will have gaps. CheckFlow deploys the same structured compliance process to every relevant team member — ensuring the standard is applied uniformly, not variably.
Compliance Templates — Frequently Asked Questions
What compliance frameworks do businesses most commonly need to manage?
It depends on where you operate, who your customers are and what data you handle. Businesses selling services to other companies are most often asked for a SOC 2 report or ISO 27001 certification. Anyone that accepts or processes card payments falls under PCI DSS. Organisations handling personal data face GDPR in the EU and UK and CCPA/CPRA in California, and US healthcare adds HIPAA. US-listed companies run SOX, US defence contractors need CMMC, and many EU organisations in critical sectors now fall under NIS2. Manufacturers and their supply chains are often asked for ISO 9001, ISO 14001 or ISO 45001 certification.
How do you maintain ongoing compliance rather than just passing periodic audits?
Ongoing compliance requires treating it as a continuous operational process rather than a periodic project. The key practices are: assigning ownership of every compliance requirement to a named person rather than a function, establishing recurring review and monitoring schedules aligned with each requirement's frequency, maintaining contemporaneous evidence of compliance activity as it happens rather than reconstructing it before an audit, and having a documented corrective and preventive action (CAPA) process for addressing non-conformances when they are identified. CheckFlow's recurring templates and task assignment features make each of these practices operational rather than aspirational.
What is the difference between compliance and an audit?
Compliance is the ongoing state of meeting regulatory requirements — the policies, processes, and controls that ensure obligations are consistently met. An audit is the periodic verification that compliance is being maintained — an independent assessment of whether the controls are in place, are being followed, and are producing the intended results. Good compliance management makes audits straightforward; poor compliance management means audits become stressful events that reveal gaps rather than confirming a well-managed programme.
Can I customise CheckFlow's compliance templates for my regulatory environment?
Every CheckFlow template is fully customisable. Add requirements specific to your regulatory environment, adjust task assignments to reflect your team structure, set the frequency that matches your compliance calendar, and add the evidence-capture steps your specific auditors require. When a regulatory update changes a requirement, the updated template deploys to all future runs while completed historical records remain unchanged.
Which compliance template should we start with?
Start with the obligation that has a date attached: a customer asking for a SOC 2 report, a PCI DSS assessment falling due or a certification audit already booked. Run the readiness or audit template for that framework first, then set up the recurring controls it depends on as their own scheduled checklists. Frameworks overlap heavily, so evidence from one, such as access reviews, vendor assessments and incident response tests, usually supports the next.
Is CheckFlow free for these compliance templates?
14-day free trial, no card required. The Business plan is $10 per user per month after the trial. Full details at checkflow.io/pricing.