# Audit HR files and processes for compliance gaps

Creates a tailored HR compliance audit checklist and prioritizes the gaps you find by risk.

- Topic: Legal & Compliance
- Framework: Few-Shot
- Level: Standard
- Tags: Legal, HR & Hiring, Analyze, Fill-in Template
- Source: https://www.thinkwithprompt.com/prompts/audit-hr-files-and-processes-for-compliance-gaps

## Prompt

```text
Help me run an internal HR compliance audit.

**Company size and locations:** [HEADCOUNT, countries/states]
**Workforce types:** [full-time, part-time, hourly/non-exempt, contractors, remote, visa holders]
**Areas to cover:** [e.g. personnel files, hiring records, right-to-work, pay and overtime classification, leave tracking, required postings and notices, training, record retention, data privacy]
**Known concerns or recent changes:** [e.g. new state, acquired team, past claims]
**Findings so far (optional):** [PASTE what I've checked]

Give me:
1. **Audit checklist** organized by area. For each item: what to check, what "good" looks like, and evidence to collect. Mark location-specific requirements as [CONFIRM LOCAL LAW] rather than stating legal specifics as fact.
2. **Sampling approach** - how many files or records to review and how to pick them.
3. **Common failure points** to look for (e.g. contractors who function like employees, medical info stored in personnel files, missing signed acknowledgments, inconsistent overtime classification).
4. **If I pasted findings:** a risk-ranked table - finding, risk (high/medium/low), why, remediation, owner, deadline.
5. **Summary** for leadership - top risks and a 90-day remediation plan.

This is general guidance; confirm legal requirements with an employment lawyer or qualified advisor for each location.
```

## What to fill in

- HEADCOUNT, countries/states
- e.g. new state, acquired team, past claims
- PASTE what I've checked
- CONFIRM LOCAL LAW

Free to copy and use. From ThinkWithPrompt (https://www.thinkwithprompt.com/), a library of 2,663 curated AI prompts.