Compliance Audit Checklist Form
This compliance audit checklist helps organizations systematically verify adherence to regulatory requirements, internal policies, and industry standards. The form covers key compliance areas including data protection, security controls, operational procedures, and documentation requirements. Track compliance status (compliant, non-compliant, partial, N/A), document evidence, and note required corrective actions. Perfect for internal audits, regulatory inspections, and compliance reviews across any industry.
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export function complianceChecklist(form: FormTs) {
// Compliance Audit Checklist Form - Regulatory compliance verification
// Demonstrates: Pages (multi-page), MatrixQuestion, RatingScale, StarRating, ThumbRating, CheckboxList, conditional visibility, computed values, dynamic styling
// ============================================
// COMPUTED VALUES FOR SUMMARY
// ============================================
const compliantCount = form.computedValue(() => 0);
const nonCompliantCount = form.computedValue(() => 0);
// ============================================
// HEADER
// ============================================
form.addRow(row => {
row.addTextPanel('header', {
label: 'Compliance Audit Checklist',
computedValue: () => 'Document compliance status and audit findings',
customStyles: {
backgroundColor: '#0f766e',
color: 'white',
padding: '24px',
borderRadius: '12px',
textAlign: 'center'
}
});
});
// ============================================
// MULTI-PAGE STRUCTURE
// ============================================
const pages = form.addPages('compliancePages', {
heightMode: 'current-page'
});
// ============================================
// PAGE 1: Audit Information
// ============================================
const page1 = pages.addPage('info');
page1.addRow(row => {
row.addTextPanel('page1Title', {
label: 'Step 1 of 4: Audit Information',
customStyles: {
backgroundColor: '#ccfbf1',
padding: '12px 16px',
borderRadius: '8px',
fontWeight: 'bold'
}
});
});
const auditInfo = page1.addSubform('auditInfo', {
title: 'Audit Details',
customStyles: { padding: '16px', borderRadius: '8px', border: '1px solid #e2e8f0' }
});
auditInfo.addRow(row => {
row.addTextbox('auditTitle', {
label: 'Audit Title/Reference',
placeholder: 'e.g., Q4 2024 Compliance Review',
isRequired: true
}, '1fr');
row.addTextbox('auditId', {
label: 'Audit ID',
placeholder: 'e.g., AUD-2024-042'
}, '1fr');
});
auditInfo.addRow(row => {
row.addDropdown('complianceFramework', {
label: 'Compliance Framework',
options: [
{ id: 'gdpr', name: 'GDPR (Data Protection)' },
{ id: 'soc2', name: 'SOC 2' },
{ id: 'iso27001', name: 'ISO 27001' },
{ id: 'hipaa', name: 'HIPAA (Healthcare)' },
{ id: 'pci-dss', name: 'PCI-DSS (Payment)' },
{ id: 'internal', name: 'Internal Policy' },
{ id: 'custom', name: 'Custom/Multiple' }
],
placeholder: 'Select framework',
isRequired: true
}, '1fr');
row.addDropdown('auditType', {
label: 'Audit Type',
options: [
{ id: 'internal', name: 'Internal Audit' },
{ id: 'external', name: 'External Audit' },
{ id: 'regulatory', name: 'Regulatory Inspection' },
{ id: 'certification', name: 'Certification Audit' },
{ id: 'surveillance', name: 'Surveillance Audit' }
],
placeholder: 'Select type',
isRequired: true
}, '1fr');
});
auditInfo.addRow(row => {
row.addDatepicker('auditDate', {
label: 'Audit Date',
isRequired: true
}, '1fr');
row.addTextbox('auditor', {
label: 'Auditor Name',
placeholder: 'Your name',
isRequired: true
}, '1fr');
});
auditInfo.addRow(row => {
row.addTextbox('department', {
label: 'Department/Area Audited',
placeholder: 'e.g., IT Operations, Human Resources'
}, '1fr');
row.addDropdown('auditScope', {
label: 'Audit Scope',
options: [
{ id: 'full', name: 'Full Scope' },
{ id: 'focused', name: 'Focused/Targeted' },
{ id: 'follow-up', name: 'Follow-up Audit' },
{ id: 'spot-check', name: 'Spot Check' }
],
placeholder: 'Select scope'
}, '1fr');
});
page1.addRow(row => {
row.addEmpty('1fr');
row.addButton('toPage2', {
label: 'Next: Data & Security',
onClick: () => pages.goToPage('security')
});
});
// ============================================
// PAGE 2: Data Protection & Security
// ============================================
const page2 = pages.addPage('security');
page2.addRow(row => {
row.addTextPanel('page2Title', {
label: 'Step 2 of 4: Data Protection & Security',
customStyles: {
backgroundColor: '#ccfbf1',
padding: '12px 16px',
borderRadius: '8px',
fontWeight: 'bold'
}
});
});
const dataProtection = page2.addSubform('dataProtection', {
title: 'Data Protection Controls',
customStyles: { padding: '16px', borderRadius: '8px', border: '1px solid #e2e8f0' }
});
dataProtection.addRow(row => {
row.addMatrixQuestion('dataControls', {
label: 'Verify data protection controls:',
rows: [
{ id: 'inventory', label: 'Data inventory maintained', description: 'Records of personal/sensitive data', isRequired: true },
{ id: 'legal-basis', label: 'Legal basis documented', description: 'Consent, contract, legitimate interest', isRequired: true },
{ id: 'privacy-notice', label: 'Privacy notices in place', description: 'Clear and accessible notices', isRequired: true },
{ id: 'retention', label: 'Retention policy enforced', description: 'Data deleted when no longer needed', isRequired: true },
{ id: 'subject-rights', label: 'Subject rights process', description: 'Access, deletion, portability', isRequired: false },
{ id: 'dpia', label: 'DPIAs conducted', description: 'Impact assessments for high-risk processing', isRequired: false }
],
columns: [
{ id: 'na', label: 'N/A' },
{ id: 'compliant', label: 'Compliant' },
{ id: 'partial', label: 'Partial' },
{ id: 'non-compliant', label: 'Non-Compliant' }
],
striped: true,
fullWidth: true
});
});
const securityControls = page2.addSubform('security', {
title: 'Security Controls'
});
securityControls.addRow(row => {
row.addMatrixQuestion('securityMatrix', {
label: 'Verify security controls:',
rows: [
{ id: 'access-control', label: 'Access controls', description: 'Authentication, authorization, least privilege', isRequired: true },
{ id: 'encryption', label: 'Encryption', description: 'Data at rest and in transit', isRequired: true },
{ id: 'logging', label: 'Audit logging', description: 'Activity logs maintained and reviewed', isRequired: true },
{ id: 'backup', label: 'Backup procedures', description: 'Regular backups, tested recovery', isRequired: true },
{ id: 'patching', label: 'Patch management', description: 'Systems updated timely', isRequired: false },
{ id: 'incident', label: 'Incident response', description: 'Plan documented and tested', isRequired: false }
],
columns: [
{ id: 'na', label: 'N/A' },
{ id: 'compliant', label: 'Compliant' },
{ id: 'partial', label: 'Partial' },
{ id: 'non-compliant', label: 'Non-Compliant' }
],
striped: true,
fullWidth: true
});
});
page2.addSubform('securityNotes', {
title: 'Security Findings'
}).addRow(row => {
row.addTextarea('securityObservations', {
label: 'Evidence reviewed and observations',
placeholder: 'Document the evidence reviewed and any findings...',
rows: 3,
autoExpand: true
});
});
page2.addRow(row => {
row.addButton('backToPage1', {
label: 'Back',
onClick: () => pages.goToPage('info')
});
row.addEmpty('1fr');
row.addButton('toPage3', {
label: 'Next: Operations & Documentation',
onClick: () => pages.goToPage('operations')
});
});
// ============================================
// PAGE 3: Operations & Documentation
// ============================================
const page3 = pages.addPage('operations');
page3.addRow(row => {
row.addTextPanel('page3Title', {
label: 'Step 3 of 4: Operations & Documentation',
customStyles: {
backgroundColor: '#ccfbf1',
padding: '12px 16px',
borderRadius: '8px',
fontWeight: 'bold'
}
});
});
const operations = page3.addSubform('operations', {
title: 'Operational Controls',
customStyles: { padding: '16px', borderRadius: '8px', border: '1px solid #e2e8f0' }
});
operations.addRow(row => {
row.addMatrixQuestion('operationsMatrix', {
label: 'Verify operational controls:',
rows: [
{ id: 'policies', label: 'Policies documented', description: 'Current and approved policies', isRequired: true },
{ id: 'procedures', label: 'Procedures documented', description: 'SOPs for key processes', isRequired: true },
{ id: 'training', label: 'Staff training', description: 'Compliance training completed', isRequired: true },
{ id: 'awareness', label: 'Awareness program', description: 'Ongoing security/compliance awareness', isRequired: false },
{ id: 'change-mgmt', label: 'Change management', description: 'Changes documented and approved', isRequired: false },
{ id: 'vendor-mgmt', label: 'Vendor management', description: 'Third-party risk assessed', isRequired: false }
],
columns: [
{ id: 'na', label: 'N/A' },
{ id: 'compliant', label: 'Compliant' },
{ id: 'partial', label: 'Partial' },
{ id: 'non-compliant', label: 'Non-Compliant' }
],
striped: true,
fullWidth: true
});
});
const documentation = page3.addSubform('documentation', {
title: 'Documentation Review'
});
documentation.addRow(row => {
row.addCheckboxList('docsReviewed', {
label: 'Documentation reviewed during audit:',
options: [
{ id: 'policies', name: 'Policies and procedures' },
{ id: 'risk-register', name: 'Risk register' },
{ id: 'training-records', name: 'Training records' },
{ id: 'audit-logs', name: 'System audit logs' },
{ id: 'incident-reports', name: 'Incident reports' },
{ id: 'contracts', name: 'Contracts/agreements' },
{ id: 'certifications', name: 'Certifications' },
{ id: 'meeting-minutes', name: 'Meeting minutes' },
{ id: 'previous-audits', name: 'Previous audit reports' }
],
orientation: 'vertical'
});
});
documentation.addSpacer();
documentation.addRow(row => {
row.addTextarea('documentationNotes', {
label: 'Documentation findings',
placeholder: 'Note any documentation gaps or issues...',
rows: 3,
autoExpand: true
});
});
page3.addRow(row => {
row.addButton('backToPage2', {
label: 'Back',
onClick: () => pages.goToPage('security')
});
row.addEmpty('1fr');
row.addButton('toPage4', {
label: 'Next: Summary & Findings',
onClick: () => pages.goToPage('summary')
});
});
// ============================================
// PAGE 4: Summary & Findings
// ============================================
const page4 = pages.addPage('summary');
page4.addRow(row => {
row.addTextPanel('page4Title', {
label: 'Step 4 of 4: Summary & Findings',
customStyles: {
backgroundColor: '#ccfbf1',
padding: '12px 16px',
borderRadius: '8px',
fontWeight: 'bold'
}
});
});
const overallAssessment = page4.addSubform('overall', {
title: 'Overall Compliance Assessment',
customStyles: () => {
const score = overallAssessment.starRating('complianceScore')?.value() || 0;
if (score >= 4) return { backgroundColor: '#dcfce7', padding: '16px', borderRadius: '8px' };
if (score >= 3) return { backgroundColor: '#fef9c3', padding: '16px', borderRadius: '8px' };
if (score >= 1) return { backgroundColor: '#fecaca', padding: '16px', borderRadius: '8px' };
return { padding: '16px', borderRadius: '8px', border: '1px solid #e2e8f0' };
}
});
overallAssessment.addRow(row => {
row.addStarRating('complianceScore', {
label: 'Overall Compliance Score',
maxStars: 5,
size: 'xl',
alignment: 'center',
showConfettiOnMax: true,
tooltip: '5 = Fully Compliant, 1 = Significant Non-Compliance'
});
});
overallAssessment.addRow(row => {
row.addRatingScale('complianceLevel', {
preset: 'custom',
min: 0,
max: 100,
label: 'Compliance Level (%)',
lowLabel: '0% Non-Compliant',
highLabel: '100% Fully Compliant',
alignment: 'center'
});
});
overallAssessment.addRow(row => {
row.addThumbRating('passedAudit', {
label: 'Did the audit pass?',
showLabels: true,
upLabel: 'Pass',
downLabel: 'Fail',
alignment: 'center',
size: 'lg'
});
});
const findings = page4.addSubform('findings', {
title: 'Key Findings'
});
findings.addRow(row => {
row.addInteger('criticalFindings', {
label: 'Critical Findings',
placeholder: '0',
min: 0,
tooltip: 'Immediate action required'
}, '1fr');
row.addInteger('majorFindings', {
label: 'Major Findings',
placeholder: '0',
min: 0,
tooltip: 'Significant gaps'
}, '1fr');
row.addInteger('minorFindings', {
label: 'Minor Findings',
placeholder: '0',
min: 0,
tooltip: 'Minor improvements'
}, '1fr');
row.addInteger('observations', {
label: 'Observations',
placeholder: '0',
min: 0,
tooltip: 'Best practice recommendations'
}, '1fr');
});
const correctiveActions = page4.addSubform('corrective', {
title: 'Corrective Actions Required',
isVisible: () => {
const critical = findings.integer('criticalFindings')?.value() || 0;
const major = findings.integer('majorFindings')?.value() || 0;
return critical > 0 || major > 0;
},
customStyles: { backgroundColor: '#fef2f2', padding: '16px', borderRadius: '8px' }
});
correctiveActions.addRow(row => {
row.addTextPanel('correctiveAlert', {
computedValue: () => {
const critical = findings.integer('criticalFindings')?.value() || 0;
if (critical > 0) {
return `Critical findings require immediate remediation within 30 days.`;
}
return 'Major findings should be addressed within 90 days.';
},
customStyles: {
backgroundColor: '#ef4444',
color: 'white',
padding: '12px 16px',
borderRadius: '8px',
fontWeight: '500'
}
});
});
correctiveActions.addSpacer();
correctiveActions.addRow(row => {
row.addTextarea('correctiveActionPlan', {
label: 'Corrective Action Plan',
placeholder: 'List required corrective actions with owners and deadlines...',
rows: 4,
autoExpand: true,
isRequired: () => {
const critical = findings.integer('criticalFindings')?.value() || 0;
return critical > 0;
}
});
});
const nextAudit = page4.addSubform('nextAudit', {
title: 'Follow-up'
});
nextAudit.addRow(row => {
row.addDropdown('followUpRequired', {
label: 'Follow-up audit required?',
options: [
{ id: 'no', name: 'No - All findings are minor' },
{ id: 'yes-30', name: 'Yes - Within 30 days' },
{ id: 'yes-60', name: 'Yes - Within 60 days' },
{ id: 'yes-90', name: 'Yes - Within 90 days' },
{ id: 'yes-annual', name: 'Yes - Next annual audit' }
],
placeholder: 'Select'
}, '1fr');
row.addDatepicker('nextAuditDate', {
label: 'Next Audit Date',
minDate: () => new Date().toISOString().split('T')[0]
}, '1fr');
});
// Summary Panel
const summaryPanel = page4.addSubform('summaryPanel', {
title: 'Audit Summary Report'
});
summaryPanel.addRow(row => {
row.addTextPanel('summaryContent', {
computedValue: () => {
const title = auditInfo.textbox('auditTitle')?.value();
const framework = auditInfo.dropdown('complianceFramework')?.value();
const date = auditInfo.datepicker('auditDate')?.value();
const auditor = auditInfo.textbox('auditor')?.value();
const score = overallAssessment.starRating('complianceScore')?.value();
const level = overallAssessment.ratingScale('complianceLevel')?.value();
const passed = overallAssessment.thumbRating('passedAudit')?.value();
const critical = findings.integer('criticalFindings')?.value() || 0;
const major = findings.integer('majorFindings')?.value() || 0;
const minor = findings.integer('minorFindings')?.value() || 0;
const obs = findings.integer('observations')?.value() || 0;
const docsReviewed = documentation.checkboxList('docsReviewed')?.value() || [];
const frameworkLabels: Record<string, string> = {
'gdpr': 'GDPR',
'soc2': 'SOC 2',
'iso27001': 'ISO 27001',
'hipaa': 'HIPAA',
'pci-dss': 'PCI-DSS',
'internal': 'Internal Policy',
'custom': 'Custom'
};
let summary = `COMPLIANCE AUDIT REPORT\n`;
summary += `${'═'.repeat(28)}\n\n`;
if (title) summary += `Audit: ${title}\n`;
if (framework) summary += `Framework: ${frameworkLabels[framework]}\n`;
if (date) summary += `Date: ${date}\n`;
if (auditor) summary += `Auditor: ${auditor}\n`;
if (score) {
summary += `\nCOMPLIANCE SCORE:\n`;
summary += `Rating: ${'★'.repeat(score)}${'☆'.repeat(5 - score)} (${score}/5)\n`;
}
if (level !== null && level !== undefined) {
summary += `Level: ${level}%\n`;
}
const totalFindings = critical + major + minor + obs;
if (totalFindings > 0) {
summary += `\nFINDINGS:\n`;
if (critical > 0) summary += ` Critical: ${critical}\n`;
if (major > 0) summary += ` Major: ${major}\n`;
if (minor > 0) summary += ` Minor: ${minor}\n`;
if (obs > 0) summary += ` Observations: ${obs}\n`;
} else {
summary += `\nNo findings recorded.\n`;
}
if (docsReviewed.length > 0) {
summary += `\nDocuments reviewed: ${docsReviewed.length}\n`;
}
if (passed) {
summary += `\nAUDIT RESULT: ${passed === 'up' ? 'PASS' : 'FAIL'}`;
}
return summary;
},
customStyles: () => {
const passed = overallAssessment.thumbRating('passedAudit')?.value();
const baseStyles = {
padding: '16px',
borderRadius: '8px',
whiteSpace: 'pre-wrap',
fontFamily: 'monospace',
fontSize: '13px'
};
if (passed === 'up') {
return { ...baseStyles, backgroundColor: '#dcfce7', borderLeft: '4px solid #22c55e' };
} else if (passed === 'down') {
return { ...baseStyles, backgroundColor: '#fecaca', borderLeft: '4px solid #ef4444' };
}
return { ...baseStyles, backgroundColor: '#f8fafc', borderLeft: '4px solid #0f766e' };
}
});
});
page4.addRow(row => {
row.addButton('backToPage3', {
label: 'Back',
onClick: () => pages.goToPage('operations')
});
row.addEmpty('1fr');
});
// ============================================
// FORM CONFIGURATION
// ============================================
form.configureSubmitButton({
label: () => {
const passed = overallAssessment.thumbRating('passedAudit')?.value();
return passed === 'up' ? 'Submit Audit Report (Pass)' : 'Submit Audit Report';
},
isVisible: () => pages.currentPageIndex() === 3
});
form.configureCompletionScreen({
type: 'text',
title: 'Audit Report Submitted',
message: () => {
const passed = overallAssessment.thumbRating('passedAudit')?.value();
const critical = findings.integer('criticalFindings')?.value() || 0;
if (passed === 'up') {
return 'The compliance audit has been completed successfully. Continue to maintain compliance through regular reviews and updates.';
}
if (critical > 0) {
return 'The audit has been submitted. Critical findings have been identified requiring immediate attention. Please distribute the corrective action plan to responsible parties.';
}
return 'The audit has been submitted. Please address the identified findings according to the corrective action plan and schedule a follow-up audit.';
}
});
}
Frequently Asked Questions
What compliance frameworks does this checklist support?
The checklist is designed to be adaptable to multiple frameworks including GDPR, SOC 2, ISO 27001, HIPAA, PCI-DSS, and internal corporate policies. You can customize categories and items to match your specific compliance requirements.
How should compliance status be determined?
Each item should be marked as: Compliant (fully meets requirements), Partial (partially compliant with gaps), Non-Compliant (does not meet requirements), or N/A (not applicable to this audit). Always document evidence to support your assessment.
What evidence should be documented?
Evidence includes policy documents, procedure records, system configurations, audit logs, training records, contracts, certifications, and any documentation that demonstrates compliance. Note the location and type of evidence reviewed.
How often should compliance audits be conducted?
Frequency depends on the regulatory framework and risk level. Many standards require annual audits, while high-risk areas may need quarterly reviews. Some regulations require continuous monitoring with periodic formal assessments.
What happens when non-compliance is identified?
Document the non-compliance, assess the risk level, and create a corrective action plan with timeline. Serious non-compliance may require immediate remediation. Track all findings through resolution and maintain records for future audits.