Compliance gap assessment workbook
Find the compliance gaps before scrutiny does
For compliance owners, security leads, and founders heading into an audit or enterprise deal. A fill-in workbook to surface scattered evidence, unclear owners, and unmanaged AI risk before someone else does.
Description
Your compliance program is not failing because of intent. It is failing because evidence is scattered, owners are unclear, and AI risk is expanding faster than documentation. Most teams find this out in the worst possible room: in front of an auditor, or a prospect's security team.
This workbook fixes that. It walks you through honest control-by-control assessment grids for SOC 2, ISO 27001:2022, and GDPR, HIPAA, and CCPA, plus an AI governance section that is the highest-value diagnostic in the document. Every row forces a real answer: does evidence exist, where does it live, who owns it, and what is the risk if the gap stays open. Partial means partial, not "we are working on it."
The output is a gap summary and a resource and return case you can take straight to leadership. A blank copy is a liability. A completed one is a governance asset. Use it once for a baseline, then revisit quarterly.
Here are the insights you will walk away with
Ready-made tables for SOC 2 trust service criteria, ISO 27001:2022 Annex A, and GDPR, HIPAA, and CCPA obligations, each mapped to specific control references like CC6.1 and Article 30.
A simple Yes, No, Partial rating for every control area, plus evidence location, owner, and target date, so gaps can't hide behind good intentions.
The section most programs skip and the one auditors and customers are starting to ask about first. Assess your AI risk coverage before it becomes a finding.
Frame the fix as a return, not a request: what the status quo costs, what closing the gaps returns, and when the investment pays back.
Rank every gap by risk level and effort, assign owners and dates, then lock the decision and schedule the 90-day review.
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These are the questions this eBook will answer
A compliance gap assessment is a structured review that compares your current controls and evidence against what a framework or regulation actually requires. The output is a list of gaps, each with a risk rating and an owner, so you know exactly what stands between you and a clean audit.
Start by defining your organization and scope, then work through your obligations one control at a time: does evidence exist, where is it, who owns it, and what happens if the gap stays open. Finish with a prioritized remediation plan. This workbook gives you that exact sequence in six sections.
At minimum: the control area with framework references, evidence status, evidence location, risk if the gap remains, an owner, and a target date. Without owners and dates, a gap assessment is just a list of problems.
An audit is a formal evaluation by an external party that results in a report or certification. A gap assessment is the internal exercise you run before the audit, on your own terms, so nothing in the audit comes as a surprise.
The workbook includes assessment grids for SOC 2 attestation, ISO 27001:2022 certification, and GDPR, HIPAA, and CCPA regulations, plus an AI governance section covering emerging obligations like the EU AI Act. The same structure extends to any custom obligation you add.
