ERP Security & Compliance Checklist
Ensure your ERP system safeguards critical data and meets regulatory requirements with our comprehensive ERP Security & Compliance Checklist. Minimize risk, optimize controls, and maintain peace of mind - download now and fortify your business.
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Access Control & User Management
Verify user roles, permissions, and authentication protocols for ERP system access.
User Authentication Method
Number of Active User Accounts
Role-Based Access Control (RBAC) Implementation
Last User Access Review Date
Privileged Accounts Verified?
Description of User Access Review Process
Data Encryption & Protection
Assess data encryption methods at rest and in transit within the ERP system.
Encryption Method at Rest
Specify Encryption Method (if 'Other' selected)
Encryption Method in Transit
Specify Encryption Method (if 'Other' selected)
Encryption Key Rotation Frequency (Days)
Key Management System
Details regarding access control to Encryption Keys
Change Management & Audit Trails
Review change management processes and audit trail configurations for tracking system modifications.
Change Request ID
Description of Change
Change Request Submission Date
Impacted Modules (Number of)
Change Type (e.g., Configuration, Code)
Impacted Users/Departments
Planned Implementation Date
Change Approver Signature
Network Security & Firewalls
Evaluate network security measures, including firewalls and intrusion detection systems protecting the ERP environment.
Firewall Rule Count
Firewall Vendor
Firewall Configuration Documentation Review Notes
Number of Network Segments (VLANs)
Intrusion Detection/Prevention System (IDS/IPS) Status
Last Firewall Rule Set Review Date
Data Backup & Disaster Recovery
Confirm data backup frequency, storage location, and disaster recovery procedures for ERP data.
Backup Frequency (e.g., Daily, Weekly)
Backup Location(s) Description
Retention Period (in days/months)
Backup Type (Full, Incremental, Differential)
Last Successful Backup Date
Disaster Recovery Plan Documented?
Last Disaster Recovery Drill Date
Recovery Time Objective (RTO) (in hours)
Regulatory Compliance (e.g., GDPR, SOX)
Assess adherence to relevant industry regulations and compliance standards related to ERP data handling.
Which regulatory frameworks apply?
Describe how data subject rights (e.g., right to access, right to erasure) are handled within the ERP system.
Number of data processing agreements (DPAs) in place with third-party vendors.
Last review date of compliance documentation.
Which data residency requirements apply?
Summarize how audit trails are used for regulatory compliance reporting.
Vulnerability Scanning & Patch Management
Check for regular vulnerability scans and timely application of security patches for ERP software and related infrastructure.
Last Vulnerability Scan Date
Scan Frequency (Days)
Summary of Last Scan Results
Vulnerability Scan Tools Used
Last Patch Deployment Date
Patch Management Process Documentation Link
Patch Deployment Method
Third-Party Integration Security
Review security protocols and assessments for third-party integrations with the ERP system.
Describe the purpose and criticality of each third-party integration.
Integration Authentication Method
Number of Active Integrations
Summarize security reviews/assessments performed on each integration (if applicable).
Data Encryption in Transit (for each integration)
Last Integration Security Review Date
Incident Response Plan
Verify the existence and effectiveness of an incident response plan for ERP security breaches.
Incident Definition & Scope
Initial Incident Severity Level
Estimated Impacted Records
Date of Incident Detection
Time of Incident Detection
Detailed Description of the Incident
Potentially Affected Systems
Supporting Documentation (Screenshots, Logs)
Security Awareness Training
Confirm ongoing security awareness training for employees accessing the ERP system.
Last Training Completion Date
Topics Covered in Training
Training Frequency (Months)
Training Delivery Method
Summary of Recent Security Reminders
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