AI Compliance Advisor - Prompts Reference

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Overview

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Prompt Templates

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Compliance Chat System Prompt

• CARF (Commission on Accreditation of Rehabilitation Facilities)
• Joint Commission accreditation
• State licensing requirements for behavioral health and recovery housing
• CMS (Centers for Medicare & Medicaid Services) regulations
• HIPAA privacy and security requirements
• SAMHSA guidelines for substance use treatment

• Provides clear, actionable guidance
• References specific regulatory standards when applicable
• Identifies potential compliance risks
• Considers organizational context
• Never provides legal advice
• Uses anonymized references for cases
• Flags state/accreditor variations

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Requirement Identification Prompt

1. Clear title and description
2. Regulatory body (CARF, Joint Commission, State, CMS, SAMHSA, HIPAA)
3. Specific reference code (e.g., “CARF 1.A.1”, “42 CFR Part 2”)
4. Priority (critical, high, medium, low)
5. Confidence score (0-100)

• Directly applicable requirements
• Currently in effect or upcoming
• Commonly cited in audits
• High-risk for non-compliance

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Gap Analysis Prompt

1. Gap type classification
2. Clear description
3. Priority (critical, high, medium, low)
4. Specific recommendation
5. 2-4 concrete remediation actions

• Likely audit citations
• Patient/resident safety risks
• Approaching deadlines
• Ease of remediation

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Audit Preparation Prompt

1. Readiness Score: 0-100
2. Assessment Narrative: Current state summary
3. Gap Areas: Areas needing attention
4. Potential Findings: Likely audit citations
5. Checklist Items: Prioritized tasks

• ready - No action needed
• needs_attention - Some work required
• not_ready - Significant work needed

• Audit type (CARF survey, state inspection, CMS review)
• Historical findings
• Current compliance status
• Documentation completeness
• Staff interview readiness

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Risk Assessment Prompt

• Score = Likelihood × Impact (1-25)
• 1-4: Low
• 5-9: Medium
• 10-16: High
• 17-25: Critical

1. Likelihood score (1-5)
2. Impact score (1-5)
3. Risk score (calculated)
4. Risk rating
5. Mitigation strategy recommendation
6. 2-5 specific mitigation actions
7. Reasoning for assessment

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Structured Output Schemas

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Requirement Suggestion Schema

{
  suggestions: [{
    title: string,          // Clear title for the requirement
    description: string,    // Detailed description
    regulatoryBody: string, // CARF, Joint Commission, State, CMS, SAMHSA, HIPAA
    referenceCode?: string, // Specific reference code
    priority: 'critical' | 'high' | 'medium' | 'low',
    confidence: number      // 0-100
  }]
}

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Gap Analysis Schema

{
  gaps: [{
    type: 'evidence' | 'check' | 'training' | 'policy',
    description: string,
    priority: 'critical' | 'high' | 'medium' | 'low',
    recommendation: string,
    suggestedActions: string[]  // 2-4 items
  }]
}

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Audit Preparation Schema

{
  readinessScore: number,        // 0-100
  assessment: string,            // Narrative assessment
  gapAreas: string[],            // Key areas needing attention
  potentialFindings: string[],   // Potential audit findings
  checklistItems: [{
    item: string,
    status: 'ready' | 'needs_attention' | 'not_ready',
    priority: 'high' | 'medium' | 'low'
  }]
}

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Risk Assessment Schema

{
  likelihood: number,      // 1-5
  impact: number,          // 1-5
  riskScore: number,       // 1-25 (likelihood × impact)
  riskRating: 'low' | 'medium' | 'high' | 'critical',
  reasoning: string,
  suggestedStrategy: 'avoid' | 'reduce' | 'transfer' | 'accept',
  suggestedActions: string[],  // 2-5 items
  confidence: number           // 0-100
}

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Context Building

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buildComplianceContext Function

{
  organizationType?: string,  // e.g., "Recovery Housing"
  accreditations?: string[],  // e.g., ["CARF", "State License"]
  state?: string,             // e.g., "California"
  services?: string[]         // e.g., ["Residential Treatment", "Outpatient"]
}

Organization Type: Recovery Housing
Accreditations: CARF, State License
State: California
Services: Residential Treatment, Outpatient

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Module Context

{
  module: 'gr',
  feature: 'compliance-advisor' | 'gap-analysis' | 'audit-prep' | 'risk-assessment'
}

• Module-specific rate limiting
• Usage tracking per module
• Feature-level analytics

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AI Hooks Reference

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useAIComplianceChat

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useAIRequirementIdentification

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useAIGapAnalysis

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useAIAuditPreparation

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useAIRiskAssessment

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PHI Protection

• System prompts instruct AI to use anonymized references
• The Platform AI layer includes PHI detection
• Identifiable information is blocked before reaching AI

• ❌ “John Smith in Room 204”
• ✅ “Resident R-001”

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Error Handling

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Customization Options (Future)

• Organization-specific prompt additions
• Custom regulatory body definitions
• State-specific requirement overrides
• Custom risk matrix thresholds

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Related Documentation

• AI User Guide
• AI Admin Guide
• Platform AI Integration