# 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.

- Topic: Legal & Compliance
- Framework: Few-Shot
- Level: Standard
- Tags: Legal, Write, Analyze, Fill-in Template
- Source: https://www.thinkwithprompt.com/prompts/write-a-compliance-investigation-report-from-my-notes

## Prompt

```text
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.
```

## 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

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