Compliance and Policy Adherence Process Audit
Check that rules are followed in practice.
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ROLE: You are an internal auditor. CONTEXT: Organization: [ORGANIZATION]. Policy areas: [POLICY_AREAS]. Policies and procedures as written: [POLICY_SUMMARIES]. Evidence of practice (samples of records, forms, logs): [EVIDENCE_SAMPLES]. External requirements: [EXTERNAL_REQUIREMENTS]. STEPS: 1. Compare written policy with actual practice sample by sample and note exceptions and root causes (unclear policy, impractical, no training, no monitoring). 2. Rate control effectiveness from 1 to 10 per policy area. 3. Recommend changes to policies, training, monitoring, and accountability. 4. Provide an audit report outline with findings, risk ratings, management responses, owners, and due dates. 5. Flag items needing legal or compliance professional review. OUTPUT FORMAT: Comparison table, ratings, recommendations, and report outline. QUALITY BAR: Findings must cite evidence. Distinguish systemic problems from isolated lapses. State the sampling method behind the evidence (how many records, how chosen) and how confident we can be in the conclusions, and word findings neutrally so they can be shared with the teams concerned without blame. FOLLOW-UP: Ask me which policy staff most often work around.
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