ERP Regulatory Compliance Checklist
Navigate the complex landscape of ERP regulations with confidence. Our ERP Regulatory Compliance Checklist ensures your system aligns with industry standards, minimizing risk and maximizing efficiency. Download now and stay compliant!
This Template was installed 1 times.
Data Privacy & Protection
Ensuring adherence to relevant data privacy regulations (e.g., GDPR, CCPA).
Applicable Data Privacy Regulations?
Summary of Data Subject Rights Processes
Data Categories Processed
Estimated Number of Data Subjects
Last Data Privacy Impact Assessment Date
Description of Data Retention Policies
Privacy Policy Document (upload)
Financial Reporting Compliance
Verification of ERP settings and processes aligning with financial reporting standards (e.g., GAAP, IFRS).
Fiscal Year End Date
Accounting Standard Used
Last Financial Statement Approval Date
Chart of Accounts Review Frequency
Description of Key Accounting Policies
Currency Configuration Validation
Tax Management
Confirmation of proper configuration for tax calculations, reporting, and compliance with local tax laws.
Tax Rate (%)
Last Tax Rate Update Date
Tax Calculation Method
Applicable Tax Types
Tax Exemption Certificates on File
Tax Returns (Supporting Documents)
Industry-Specific Regulations
Addressing specific regulatory requirements pertinent to your industry (e.g., FDA for pharmaceuticals, HIPAA for healthcare).
Relevant Industry Standard(s)
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
Audit Trail & Record Keeping
Verification of adequate audit trail functionality and record retention policies within the ERP system.
Maximum Audit Trail Retention Period (in days)
Audit Trail Access Permissions - Who can access?
Last Audit Trail Review Date
Summary of Audit Trail Review Findings
Modules with Enhanced Audit Logging Enabled (Select all that apply)
Authorized Reviewer Signature
Security Controls & Access Management
Assessment of security controls, user access permissions, and data encryption practices.
Number of Active User Accounts
Role-Based Access Control (RBAC) Implemented?
Authentication Method
Description of Password Complexity Requirements
Privilege Escalation Controls
Last Password Policy Review Date
Contract Management & Compliance
Reviewing how the ERP handles contractual obligations and ensures compliance with vendor agreements.
Contract Review Process Description
Contract Approval Threshold (Value)
Contract Approval Workflow Type
Last Contract Compliance Review Date
Supporting Documentation (e.g., contracts, agreements)
Relevant Compliance Areas
Compliance Officer Signature
Inventory & Supply Chain Compliance
Verifying processes related to inventory management and supply chain activities adhere to relevant regulations.
Serialized Inventory Tracking Enabled?
Lot Control Implemented?
Last Supply Chain Risk Assessment Date
Relevant Supply Chain Certifications (e.g., ISO, FSC)
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
Ensuring proper reporting capabilities and documentation exist for demonstrating regulatory compliance.
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)
Summary of Key Findings in Last Report
Change Management & Updates
Managing changes to the ERP system to maintain compliance and minimize disruption.
Scheduled Update Date
Description of Changes
Version Number
Modules Affected
Change Type
Supporting Documentation (e.g., Release Notes)
Approval Status (Pending, Approved, Rejected)
Enterprise Resource Planning (ERP) Screen Recording
See how ChecklistGuro simplifies Enterprise Resource Planning (ERP)! This screen recording showcases key ERP functionalities within our Business Process Management (BPM) platform. Learn how ChecklistGuro can streamline your operations and boost efficiency. #ERP #BPM #ChecklistGuro #BusinessProcessManagement #SoftwareDemo
Related Checklist Templates
We can do it Together
Need help with Checklists?
Have a question? We're here to help. Please submit your inquiry, and we'll respond promptly.