Write a compliance investigation report from my notes
Turns interview notes and evidence into a structured, neutral investigation report with findings tied to the standard of proof.
The prompt
Help me write the final report for a compliance investigation.
Allegations investigated: [LIST each one]
Scope and mandate: [who commissioned it, what was in and out of scope]
Evidence reviewed: [documents, emails, system logs, transaction data - with dates]
Interview notes: [PASTE, with interviewees identified by role or code]
Policies or laws relevant: [PASTE sections]
Standard of proof we apply: [e.g. balance of probabilities]
Structure the report as:
1. Executive summary - allegations, conclusion on each (substantiated / not substantiated / inconclusive), and key recommendations.
2. Background and scope.
3. Methodology - what was done, limitations (e.g. a witness declined, data unavailable).
4. Findings by allegation - relevant facts, evidence for and against, credibility considerations, and the conclusion against the standard of proof.
5. Root causes and control weaknesses that allowed it to happen.
6. Recommendations - control fixes and referrals. Leave disciplinary decisions to HR and management.
Rules:
- Every factual statement must trace to a specific piece of evidence or interview; add a reference like (Doc 4) or (Interview W2).
- Separate facts, the subject's account, and my analysis.
- Neutral language. No conclusions beyond what the evidence supports; mark gaps [UNVERIFIED].
- Note that the report may be legally privileged or discoverable; ask legal counsel how to label and distribute it.
Highlighted [brackets] are blanks to replace with your own details.
Fill in the blanks and use this promptMore Legal & Compliance prompts
What to fill in
- LIST each one
- who commissioned it, what was in and out of scope
- documents, emails, system logs, transaction data - with dates
- PASTE, with interviewees identified by role or code
- PASTE sections
- e.g. balance of probabilities
How this prompt is built
This prompt follows the Few-Shot structure (Few-shot prompting). A few-shot prompt includes one or more worked examples of the input and the output you want, so the model can copy the pattern instead of guessing it.
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