Regulatory Compliance Tracker Template
Centralize compliance tracking, map controls to evidence, and stay audit-ready.
Setup in 30 minutes
Created by
ElasticFlow Team
Verified Creator
Last update
Setup time
30 minutes
What You Get
Real-time compliance status across all regulations in one view
Automatic gap identification when regulations or requirements change
Always audit-ready with complete, organized evidence trails
Integrations Used
Regulatory Compliance Tracker Template
Track GDPR, HIPAA, and SOC 2 controls in one place. Map owners, collect evidence, spot gaps fast, and stay audit-ready with this automated compliance workflow template.
The Problem
What you're dealing with
No single view of compliance status across frameworks
Evidence scattered across email, drives, and systems
Audit prep takes weeks of manual gathering
Gaps discovered during audits instead of proactively
Unclear ownership of controls and evidence collection
The Solution
How we fix it
Centralized compliance register with all frameworks
Evidence tracker linked to controls and requirements
Automatic gap detection with severity scoring
Owner assignment and remediation tracking
One-click audit evidence export
Regulatory Compliance Tracker Template
Track GDPR, HIPAA, and SOC 2 controls in one place. Map owners, collect evidence, spot gaps fast, and stay audit-ready with this automated compliance workflow template.
Related Metrics
Track these alongside First Response Time for a complete view
Compliance Status Dashboard
Track controls, evidence, and gaps across GDPR, HIPAA, and SOC 2
Regulatory Compliance
$615K pipeline35 active deals| Company | Contact | Stage | Deal Value | Compliance Signals | Next Step | Touchpoints |
|---|---|---|---|---|---|---|
H HealthTech Co Healthcare | Compliance Team Chief Compliance Officer | Compliance Review | $340,000 70% probability | HIPAA BAA not executedSOC2 audit pending | BAA execution call Today | 1043 |
Common Compliance Signals
Based on 35 active deals
Regulatory Compliance Categories
4 categories with severity levels and examples
Examples by Severity
Quarterly privacy impact assessments and DPA reviews
Severity Gradation System
How regulatory compliance are classified and prioritized
Critical
Address within 24-48 hours
Deal-blocking regulatory issue requiring immediate escalation
Warning
Address within 1 week
Significant regulatory issue that could delay or derail progress
Info
Address during normal follow-up
Minor regulatory issue, good to track but not blocking
Resolved
Document for future reference
Previously identified regulatory issue that has been addressed
Real-World Scenarios
See how regulatory compliance tracking works in different situations
Company-Wide
EU regulator announced audit of data practices
Passed audit with zero findings, compliance program commended
Make It Yours
ElasticFlow is fully customizable — add your own categories, rules, playbooks, and metrics
Custom Regulatory Categories
Define your own taxonomy beyond the default categories
- Add industry-specific regulatory types
- Create subcategories for granular tracking
- Rename categories to match your methodology
- Set category priorities and weights
Automation Rules
Trigger actions automatically when regulatory are detected
- When critical regulatory detected → Alert manager
- When threshold exceeded → Create task
- When pattern identified → Send notification
- When resolved → Update CRM
Response Playbooks
Attach guides and best practices to each category
- Link templates for common scenarios
- Attach battle cards and talk tracks
- Include historical resolution data
- Add video training for complex cases
Custom Scoring Weights
Adjust how metrics impact overall scores
- Increase weight for deal-blocking factors
- Adjust by deal size or stage
- Factor in historical patterns
- Custom formulas for health scores
CRM Field Mapping
Control exactly where data lands in your CRM
- Map to custom CRM properties
- Create dedicated tracking objects
- Sync to Deal/Contact/Account
- Update stage based on metrics
Alert Configuration
Get notified about metrics that matter
- Slack alerts for critical issues
- Daily digest by category
- Email when metrics persist
- Manager escalation paths
Start with Templates, Customize as You Go
Every workflow comes with sensible defaults that work out of the box. As you learn what matters for your team, customize categories, add playbooks, and build automation rules. Your configurations are versioned and can be shared across your organization.
What You Can Build
Turn regulatory compliance data into strategic advantage
Compliance Dashboard
Real-time view of compliance status across regulations
Audit Trail
Complete audit trail for regulatory examinations
Risk Scoring
Quantify regulatory risk exposure
Quick Start Checklist
What This Template Tracks
Concrete fields and artifacts you'll use to manage compliance
The regulatory framework this control supports
Example: SOC 2, GDPR, HIPAA
Specific requirement or control reference
Example: CC6.1, Art. 32, §164.312
What data, systems, or processes are covered
Example: All production systems with customer data
Person responsible for this control
Example: IT Security Manager
Category of controls for organization
Example: Access Control, Data Privacy, Incident Response
Documentation needed to prove compliance
Example: Access review logs, approval tickets
How often evidence must be collected
Example: Quarterly, Monthly, Per-incident
Date of most recent compliance review
Example: 2025-01-01
When next review or evidence collection is due
Example: 2025-04-01
Current compliance status
Example: Compliant, Gap Identified, Remediation In Progress
Severity if this control fails
Example: Critical, High, Medium, Low
Control-to-Evidence Mapping
Real examples of how controls map to evidence across frameworks
CC6.1 - Logical Access Controls
IAM user list export + access review approval tickets + terminated user audit
Okta, Jira
IT Security Manager
Quarterly
CC7.2 - Incident Response
Incident tickets + postmortem documents + remediation completion proof
PagerDuty, Confluence
Security Team Lead
Per incident + quarterly summary
Audit Readiness Sprint Plan
Get audit-ready in 90 days with this phased approach
Foundation
Day 1-30- Complete control inventory for target framework
- Assign control owners with documented responsibilities
- Identify evidence sources for each control
- Create evidence collection schedule
- Set up compliance register in Google Sheets
Remediation
Day 31-60- Close top 10 compliance gaps by risk score
- Run mock audit export and review for completeness
- Document remediation actions with evidence
- Validate evidence quality with internal review
- Update policies and procedures as needed
Automation & Maintenance
Day 61-90- Automate recurring evidence collection where possible
- Set up alerts for regulation updates and changes
- Establish continuous monitoring dashboards
- Schedule quarterly compliance reviews
- Create auditor-ready evidence package template
Regulation Change Log Playbook
A repeatable process for handling regulatory change management
A regulation change log is a structured record of every regulatory update that affects your compliance program. It captures what changed, why it matters, who owns remediation, and what evidence needs updating. Maintaining this log prevents audit surprises by ensuring no regulatory shift goes untracked. In this workflow, each change log entry links directly to your compliance register and evidence tracker, creating a complete audit trail from detection through implementation.
Step-by-Step Process
Detect changes
Subscribe to regulatory feeds, auditor bulletins, and framework update notifications from bodies like NIST, AICPA, and EU data protection authorities
Triage severity and scope
Assess impact using Critical/Warning/Info classification based on enforcement risk, deadline proximity, and business impact
Map impacted controls and processes
Identify which controls in your compliance register require updates and which business processes or systems are affected
Assign owners and due dates
Designate responsible parties with clear remediation deadlines aligned to regulatory timelines
Implement remediation and policy updates
Execute required changes to policies, procedures, technical controls, and training materials
Collect and update evidence
Gather new evidence demonstrating compliance with updated requirements and update evidence tracker entries
Update audit trail and notes
Document all actions taken with timestamps, approvals, and decision rationale in the change log
Schedule review cadence
Set follow-up reviews to verify remediation effectiveness and define close-out criteria for the change
Change Impact Triage
Example Triggers
- New enforcement action affecting your industry with immediate applicability
- Mandatory requirement with hard deadline under 30 days
- Gap discovered by external auditor during assessment
- Regulatory investigation or inquiry received
Required Actions
- Escalate to compliance leadership and legal within 24 hours
- Assign dedicated owner with authority to prioritize resources
- Create remediation plan with weekly status checkpoints
- Prepare interim risk mitigation measures
Example Triggers
- Regulation update with 3-12 month implementation window
- Control wording change affecting evidence collection procedures
- Auditor recommendation from recent internal or external assessment
- Industry guidance update suggesting best practice changes
Required Actions
- Add to next compliance sprint planning cycle
- Assign owner and target completion date
- Update affected policies and procedures within 30 days
- Schedule evidence collection updates
Example Triggers
- Guidance clarification without new substantive requirements
- Best practice recommendation from industry group
- Industry trend to monitor for future planning
- FAQ or interpretation update from regulator
Required Actions
- Log for quarterly compliance review agenda
- Update internal documentation as needed
- Share with relevant stakeholders for awareness
- No immediate remediation required
What to Log
Capture these fields for each regulatory change entry:
Change Source
Where the change originated (regulator announcement, auditor feedback, internal process review, legal update)
Regulation/Framework Impacted
Which regulatory framework is affected (GDPR, HIPAA, SOC 2, ISO 27001, etc.)
Impacted Controls
Specific control IDs or categories that require updates
Impacted Business Processes/Systems
Which business processes, applications, or systems are affected by the change
Risk/Severity Level
Triage classification (Critical, Warning, Info) based on enforcement risk and timeline
Owner and Stakeholders
Primary responsible party and other stakeholders who need to be informed or consulted
Decision and Rationale
What action was decided and why, including any risk acceptance decisions
Due Date and Status
Target completion date and current status (Open, In Progress, Pending Review, Closed)
Evidence Updates Required
What new evidence needs to be collected or existing evidence needs updating
Supporting Materials
Links to regulatory text, auditor reports, guidance documents, or internal analysis
Date Detected
When the change was first identified and logged
Date Resolved
When remediation was completed and verified
Example Change Log Entries
Change
EU regulatory guidance now requires explicit sub-processor lists with notification procedures in all Data Processing Agreements
Impacted Controls
Article 28 - Data Processing Agreements
Owner
Legal/Privacy Team
Evidence Update
Update DPA template with sub-processor exhibit, review 47 existing vendor agreements for compliance, collect signed amendments
Change
AICPA updated CC6.1 to require documented approval workflows for all privileged access changes, not just new access grants
Impacted Controls
CC6.1 - Logical Access Controls
Owner
IT Security Manager
Evidence Update
Add approval ticket screenshots to quarterly access review package, update access change procedure documentation
Change
OCR enforcement trend shows increased scrutiny on training completion evidence with specific focus on role-based training documentation
Impacted Controls
Section 164.530(b) - Training Requirements
Owner
HR/Compliance Team
Evidence Update
Export training completion certificates with timestamps and role assignments, not just completion percentages
Track your regulatory change management effectiveness:
Related Compliance Metrics
Track these metrics to measure your compliance program effectiveness.
Related Workflows
Explore related workflows to extend your compliance automation.
- Clause Risk Analyzer
Automatically identify risky clauses, non-standard terms, and compliance gaps in incoming contracts. Protect your company from unfavorable terms.
- Contract Compliance Monitor
Track contract obligations, deadlines, and compliance status across your entire contract portfolio. Never miss a deadline or obligation again.
- NDA Lifecycle Manager
Track NDA status, expiration, and coverage across all relationships. Ensure confidential information is always protected.
What You'll Get
Real-time compliance status across all regulations in one view
Automatic gap identification when regulations or requirements change
Always audit-ready with complete, organized evidence trails
Proactive alerts before compliance lapses or deadlines
Clear ownership and accountability for every control
Faster audit prep with pre-organized evidence packages
When To Use This
Subject to GDPR, HIPAA, SOC 2, or other regulations
Audit preparation takes weeks of scrambling
New regulations require contract and process updates
Need a single source of truth for compliance status
Who This Is For
Compliance Officers and Managers
Legal Operations teams
IT Security and GRC professionals
Internal Audit teams
Data Protection Officers (DPOs)
Customize to Your Needs
This workflow is fully customizable to match your specific business needs:
Add or remove integrations - Connect any tools from our marketplace to extend functionality
Adjust logic and conditions - Modify triggers, filters, and branching logic to fit your processes
Map custom fields - Define how data flows between your tools with our visual field mapper
Set up notifications - Get alerts when workflows complete, fail, or need attention
Tools & Integrations
How to Set Up
Get started in 30 minutes with these simple steps
Select Frameworks
Choose applicable regulations (GDPR, HIPAA, SOC 2, etc.) for your organization
Build Control Inventory
Import or create your control list mapped to each framework's requirements
Assign Owners
Designate responsible parties for each control and evidence collection
Connect Evidence Sources
Link systems where evidence is generated (IAM, ticketing, training LMS)
Set Review Cadence
SlackConfigure weekly/monthly/quarterly review schedules and alerts
Need Help or Want to Customize This?
Ready to Automate Your Workflow?
Start using this workflow today and save hours every week. Quick setup, no technical expertise required.
14-day trial • Cancel anytime