This post provides a comprehensive maturity model for assessing Regulatory Compliance and Security within an organization. It covers five key dimensions: Compliance System, Data Security, Access Control, Security Training, and Incident Response. Each dimension includes specific questions to evaluate processes, policies, and capabilities related to compliance and security.
Assessment Overview
The following sections assess the organization’s capabilities in ensuring regulatory compliance (e.g., GDPR, CCPA) and data security through defined processes, policies, training, and response mechanisms. Each question includes maturity levels (1 to 5) with evaluation guidelines to determine your organization’s current state.
Dimension 1: Compliance System
Focuses on processes for compliance with data regulations (e.g., GDPR, CCPA).
1.1 Are regulatory compliance audits conducted?
Level
Description
Evaluation Guideline
Level 1
No audits.
No audits exist.
Level 2
Irregular audits.
Irregular audits occur.
Level 3
Regular audits started.
Regular audits have started.
Level 4
Regular audits systematized.
Audits are systematized.
Level 5
Real-time audits.
Real-time audits are proven.
1.2 Are compliance policies documented?
Level
Description
Evaluation Guideline
Level 1
No documentation.
No documentation exists.
Level 2
Informal documentation.
Informal documentation exists.
Level 3
Some documentation.
Some documentation exists.
Level 4
Mostly documented.
Mostly documented.
Level 5
Fully documented.
Fully documented is proven.
1.3 Is there a response process for compliance violations?
Level
Description
Evaluation Guideline
Level 1
No response.
No response exists.
Level 2
Informal response.
Informal response occurs.
Level 3
Basic response exists.
Basic response exists.
Level 4
Documented response.
Response is documented.
Level 5
Automated response.
Automation is proven.
1.4 Is compliance status regularly reported?
Level
Description
Evaluation Guideline
Level 1
No reporting.
No reporting exists.
Level 2
Irregular reporting.
Irregular reporting occurs.
Level 3
Some reporting.
Some reporting occurs.
Level 4
Regular reporting.
Regular reporting occurs.
Level 5
Real-time reporting.
Real-time reporting is proven.
1.5 Is compliance training provided?
Level
Description
Evaluation Guideline
Level 1
No training.
No training exists.
Level 2
Informal training.
Informal training occurs.
Level 3
Basic training.
Basic training exists.
Level 4
Regular training.
Regular training occurs.
Level 5
Comprehensive training.
Comprehensive training is proven.
Dimension 2: Data Security
Focuses on data security policies and threat detection.
2.1 Is there a data security policy?
Level
Description
Evaluation Guideline
Level 1
No policy.
No policy exists.
Level 2
Informal policy.
Informal policy exists.
Level 3
Basic policy exists.
Basic policy exists.
Level 4
Documented policy.
Policy is documented.
Level 5
Systematic policy.
Systematic policy is proven.
2.2 Is access restricted based on confidentiality?
Level
Description
Evaluation Guideline
Level 1
No restrictions.
No restrictions exist.
Level 2
Limited restrictions.
Limited restrictions exist.
Level 3
Some restrictions.
Some restrictions exist.
Level 4
Mostly restricted.
Mostly restricted.
Level 5
Fully restricted.
Fully restricted is proven.
2.3 Are tools used to detect security threats?
Level
Description
Evaluation Guideline
Level 1
No tools.
No tools are used.
Level 2
Manual detection.
Manual detection is used.
Level 3
Basic tools used.
Basic tools are used.
Level 4
Standardized tools.
Standardized tools are used.
Level 5
Advanced tools.
Advanced tools are proven.
2.4 Is there a response plan for security incidents?
Level
Description
Evaluation Guideline
Level 1
No plan.
No plan exists.
Level 2
Informal plan.
Informal plan exists.
Level 3
Basic plan exists.
Basic plan exists.
Level 4
Documented plan.
Plan is documented.
Level 5
Automated plan.
Automation is proven.
2.5 Is security regularly tested?
Level
Description
Evaluation Guideline
Level 1
No testing.
No testing occurs.
Level 2
Irregular testing.
Irregular testing occurs.
Level 3
Regular testing started.
Regular testing has started.
Level 4
Regular testing systematized.
Testing is systematized.
Level 5
Real-time testing.
Real-time testing is proven.
Dimension 3: Access Control
Focuses on systems for managing data access permissions.
3.1 Are access permissions defined by role?
Level
Description
Evaluation Guideline
Level 1
No definition.
No definition exists.
Level 2
Informal definition.
Informal definition exists.
Level 3
Some definition.
Some definition exists.
Level 4
Mostly defined.
Mostly defined.
Level 5
Fully defined.
Fully defined is proven.
3.2 Are permissions regularly reviewed?
Level
Description
Evaluation Guideline
Level 1
No review.
No review exists.
Level 2
Irregular review.
Irregular review occurs.
Level 3
Regular review started.
Regular review has started.
Level 4
Regular review systematized.
Review is systematized.
Level 5
Real-time review.
Real-time review is proven.
3.3 Are access logs recorded?
Level
Description
Evaluation Guideline
Level 1
No recording.
No recording exists.
Level 2
Limited recording.
Limited recording occurs.
Level 3
Some recording.
Some recording occurs.
Level 4
Mostly recorded.
Mostly recorded.
Level 5
Fully recorded.
Fully recorded is proven.
3.4 Are there measures to prevent unauthorized access?
Level
Description
Evaluation Guideline
Level 1
No measures.
No measures exist.
Level 2
Informal measures.
Informal measures exist.
Level 3
Basic measures exist.
Basic measures exist.
Level 4
Documented measures.
Measures are documented.
Level 5
Automated measures.
Automation is proven.
3.5 Is access control automated?
Level
Description
Evaluation Guideline
Level 1
No automation.
No automation exists.
Level 2
Manual process.
Manual process is used.
Level 3
Some automation.
Some automation exists.
Level 4
Mostly automated.
Mostly automated.
Level 5
Fully automated.
Fully automated is proven.
Dimension 4: Security Training
Focuses on the level of employee training on data security.
4.1 Is security training provided?
Level
Description
Evaluation Guideline
Level 1
No training.
No training exists.
Level 2
Informal training.
Informal training occurs.
Level 3
Basic training.
Basic training exists.
Level 4
Regular training.
Regular training occurs.
Level 5
Comprehensive training.
Comprehensive training is proven.
4.2 Is training regularly updated?
Level
Description
Evaluation Guideline
Level 1
No updates.
No updates exist.
Level 2
Irregular updates.
Irregular updates occur.
Level 3
Some updates.
Some updates occur.
Level 4
Regular updates.
Regular updates occur.
Level 5
Real-time updates.
Real-time updates are proven.
4.3 Do all employees receive training?
Level
Description
Evaluation Guideline
Level 1
No training.
No training exists.
Level 2
Some employees trained.
Only some employees receive training.
Level 3
Key employees trained.
Key employees are trained.
Level 4
Most employees trained.
Most employees are trained.
Level 5
All employees trained.
All employees trained is proven.
4.4 Are security simulations conducted?
Level
Description
Evaluation Guideline
Level 1
No simulations.
No simulations exist.
Level 2
Informal simulations.
Informal simulations occur.
Level 3
Basic simulations.
Basic simulations exist.
Level 4
Regular simulations.
Regular simulations occur.
Level 5
Systematic simulations.
Systematic simulations are proven.
4.5 Is the effectiveness of training evaluated?
Level
Description
Evaluation Guideline
Level 1
No evaluation.
No evaluation exists.
Level 2
Informal evaluation.
Informal evaluation occurs.
Level 3
Basic evaluation.
Basic evaluation exists.
Level 4
Regular evaluation.
Regular evaluation occurs.
Level 5
Systematic evaluation.
Systematic evaluation is proven.
Dimension 5: Incident Response
Focuses on capabilities to respond to security incidents and regulatory violations.
5.1 Is there an incident response plan?
Level
Description
Evaluation Guideline
Level 1
No plan.
No plan exists.
Level 2
Informal plan.
Informal plan exists.
Level 3
Basic plan exists.
Basic plan exists.
Level 4
Documented plan.
Plan is documented.
Level 5
Automated plan.
Automation is proven.
5.2 Can the organization respond quickly to incidents?
Level
Description
Evaluation Guideline
Level 1
Unable to respond.
Unable to respond.
Level 2
Slow response.
Slow response occurs.
Level 3
Basic response possible.
Basic response exists.
Level 4
Quick response.
Quick response occurs.
Level 5
Real-time response.
Real-time response is proven.
5.3 Is root cause analysis performed?
Level
Description
Evaluation Guideline
Level 1
No analysis.
No analysis exists.
Level 2
Informal analysis.
Informal analysis occurs.
Level 3
Some analysis.
Some analysis occurs.
Level 4
Regular analysis.
Regular analysis occurs.
Level 5
Systematic analysis.
Systematic analysis is proven.
5.4 Is the response process tested?
Level
Description
Evaluation Guideline
Level 1
No testing.
No testing occurs.
Level 2
Irregular testing.
Irregular testing occurs.
Level 3
Regular testing started.
Regular testing has started.
Level 4
Regular testing systematized.
Testing is systematized.
Level 5
Real-time testing.
Real-time testing is proven.
5.5 Are there post-incident improvement measures?
Level
Description
Evaluation Guideline
Level 1
No measures.
No measures exist.
Level 2
Informal measures.
Informal measures exist.
Level 3
Basic measures exist.
Basic measures exist.
Level 4
Documented measures.
Measures are documented.
Level 5
Systematic measures.
Systematic measures are proven.
How to Use This Model
Use the evaluation guidelines for each question to assess your organization’s maturity in regulatory compliance and security across all dimensions. Identify gaps in compliance processes, security policies, access controls, training programs, and incident response capabilities, then take steps to progress toward higher maturity levels by implementing systematic processes, automation, and comprehensive training.
The author has lived and breathed the life of a data steward for years, wrestling with data to keep organizations on track. Through countless hours of consulting—both giving and receiving advice—learned one thing: explaining and leading data governance is no easy feat.
