> Document Version: 1.0 Document Owner: Acme Inc Generated: 2026-03-19 by Codepliant Next Review Date: 2027-03-19

This document assesses your organization's compliance maturity across key dimensions

and provides a roadmap for improvement.

## Overall Maturity Assessment

Current Level: 🟡 Level 3 — Defined

> Documented processes. Compliance is systematic.

### Maturity Scale

🔴 Level 1: Initial — Ad-hoc, reactive. No formal compliance processes.

🟠 Level 2: Repeatable — Basic processes established. Some documentation exists.

🟡 Level 3: Defined — Documented processes. Compliance is systematic. <-- YOU ARE HERE

⬜ Level 4: Managed — Measured and controlled. Metrics-driven compliance.

⬜ Level 5: Optimizing — Continuous improvement. Proactive compliance culture.

## Dimension Assessment

Dimension | Current Level | Status
--- | --- | ---
Data Governance | 🔵 Level 4 — Managed | Third-party services identified and inventoried
Privacy Program | 🔵 Level 4 — Managed | Organization identified in compliance configuration
Security Controls | 🟡 Level 3 — Defined | Authentication service detected
Vendor Management | 🟡 Level 3 — Defined | 8 third-party services identified
Incident Response | 🟡 Level 3 — Defined | Basic compliance documentation in place
AI Governance | 🟡 Level 3 — Defined | AI services detected in codebase

## Detailed Analysis

### Data Governance — 🔵 Level 4 (Managed)

Evidence:

- Third-party services identified and inventoried
- 9 data categories classified
- Database services detected — persistent data storage present
- Comprehensive compliance documentation generated
- Extensive documentation suite covers multiple compliance domains

Gaps to Address:

- Establish automated data lineage tracking and real-time monitoring

### Privacy Program — 🔵 Level 4 (Managed)

Evidence:

- Organization identified in compliance configuration
- Data Protection Officer designated
- Jurisdictions defined: EU, US-CA, US-VA, UK
- Privacy documentation is comprehensive
- Privacy program is structured and jurisdiction-aware

Gaps to Address:

- Establish privacy-by-design reviews for all new features

### Security Controls — 🟡 Level 3 (Defined)

Evidence:

- Authentication service detected
- Authentication and data storage controls present

Gaps to Address:

- Implement continuous vulnerability scanning and penetration testing
- Achieve SOC 2 Type II or ISO 27001 certification

### Vendor Management — 🟡 Level 3 (Defined)

Evidence:

- 8 third-party services identified
- Third-party risk documentation generated
- Comprehensive vendor inventory with risk assessment

Gaps to Address:

- Implement vendor risk scoring and periodic reassessment
- Automate continuous vendor compliance monitoring

### Incident Response — 🟡 Level 3 (Defined)

Evidence:

- Basic compliance documentation in place
- Incident response documentation generated

Gaps to Address:

- Conduct tabletop exercises and incident response drills
- Implement automated incident detection and response playbooks

### AI Governance — 🟡 Level 3 (Defined)

Evidence:

- AI services detected in codebase
- AI risk level assessed: limited
- AI usage description documented
- AI governance documentation generated

Gaps to Address:

- Implement AI model cards and bias monitoring
- Establish continuous AI audit and human oversight framework

## Roadmap to Next Level

Target: 🔵 Level 4 — Managed

> Measured and controlled. Metrics-driven compliance.

### Priority Actions

#### Phase 1: Quick Wins (0–30 days)

1. [Security Controls] Implement continuous vulnerability scanning and penetration testing
2. [Vendor Management] Implement vendor risk scoring and periodic reassessment
3. [Incident Response] Conduct tabletop exercises and incident response drills
4. [AI Governance] Implement AI model cards and bias monitoring

#### Phase 2: Foundation (30–90 days)

1. [Security Controls] Achieve SOC 2 Type II or ISO 27001 certification
2. [Vendor Management] Automate continuous vendor compliance monitoring
3. [Incident Response] Implement automated incident detection and response playbooks
4. [AI Governance] Establish continuous AI audit and human oversight framework

### Success Criteria for Level 4

- Compliance metrics tracked and reported quarterly
- Vendor risk scores maintained and reviewed
- Regular privacy impact assessments conducted
- SOC 2 or ISO 27001 certification initiated

This maturity assessment is generated from automated code analysis and configuration review. It provides an indicative assessment and should be validated through formal compliance audits. This does not constitute legal advice.