This guide provides a universal methodology for conducting a gap analysis, applicable to any framework or regulation.
What is a Compliance Gap Analysis?
A gap analysis compares an organisation’s existing controls, policies, and processes against a desired standard (e.g., a regulation, certification, or best practice). The goal is to:
- Identify missing or insufficient controls.
- Highlight areas of non-compliance or risk exposure.
- Develop a remediation roadmap to close gaps.
When Should You Conduct a Gap Analysis?
- Before implementing a new regulation (e.g., DORA, NIS2).
- Ahead of an audit or certification (e.g., ISO 27001, SOC 2).
- After a security incident to uncover process failures.
- Annually to maintain continuous compliance.
Step-by-Step: How to Conduct a Gap Analysis
1. Define the Scope & Objectives
Select the standard/framework (e.g., GDPR, HIPAA, NIST CSF).
Determine scope: Which departments, systems, or processes will be assessed?
Set goals: Full compliance, certification readiness, or risk reduction?
2. Map Requirements & Controls
List all mandatory requirements from the regulation or standard.
Document existing controls (policies, tools, processes) that address each requirement.
Use a spreadsheet or GRC tool (like SnapGRC) to track alignment.
3. Assess Current State vs. Target State
For each requirement, evaluate:
- Compliant (✅) – Fully meets the standard.
- Partially Compliant (⚠️) – Partially meets but needs improvement.
- Non-Compliant (❌) – Missing or inadequate.
Example:
| Requirement | Current Control | Status | Gap Description |
|---|---|---|---|
| "Encrypt sensitive data" | AES-256 in transit only | ⚠️ | Needs encryption at rest |
| "Annual staff training" | No formal program | ❌ | Implement cybersecurity training |
4. Prioritise & Remediate Gaps
- Risk-based prioritisation: Focus on high-impact gaps first (e.g., data security failures).
- Assign owners & deadlines for each remediation task.
- Leverage automation (e.g., GRC platforms) to track progress.
5. Validate & Monitor
- Retest controls after remediation.
- Update documentation (policies, audit trails).
- Schedule recurring reviews to maintain compliance.
Best Practices for an Effective Gap Analysis
- Involve cross-functional teams (IT, legal, operations).
- Use standardised templates for consistency.
- Integrate with risk management to align with broader business goals.
- Automate where possible (e.g., continuous monitoring tools).
How SnapGRC Simplifies Gap Analyses
Manual gap analyses are time-consuming and error-prone. SnapGRC’s compliance platform automates the process by:
- Pre-mapping controls to 50+ standards (GDPR, NIST, ISO 27001).
- Generating real-time gap reports with actionable insights.
- Tracking remediation with automated workflows.
Conclusion
A well-executed gap analysis is the foundation of an effective compliance program. By following this structured approach, organisations can efficiently identify weaknesses, allocate resources, and achieve—or maintain—compliance with minimal disruption.
Next Steps:
- Define your framework and scope.
- Document controls and gaps.
- Prioritise and remediate.
For complex requirements or to simplify compliance, consider GRC software like SnapGRC to automate tracking and reporting.
