Compliance Plan Template

Author(s): Josh Mendelssohn, Dana Tessler

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The compliance plan will contain all formal documentation associated with your compliance management program. You will use the compliance plan to structure your project, record your regulatory requirements, document your compliance gaps, track your remediation planning, and monitor compliance improvements.

The final compliance plan will contain the following sections:

  • Project Charter
  • Roles and Responsibilities
  • Goals
  • Regulatory Requirements
  • Regulatory Change Management Policy
  • Prioritized Compliance Gaps
  • Remediation Strategy
  • Recurring Gaps
  • Root Causes

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