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Process Runbook / SOP
Regulatory Change Monitoring
[YourCompany.com] · Legal Department · Prepared by FullSpec · [Today's Date]
This runbook is the day-to-day operating guide for the Regulatory Change Monitoring automation. It explains what the system does on its own, where your team steps in, how to handle problems when they arise, and what routine maintenance keeps the process running cleanly. FullSpec has built and configured everything described here. Your role, and the role of your compliance coordinator, is limited to reviewing the weekly digest, acting on borderline items, and keeping the contact and routing details current.
01Process overview
The Regulatory Change Monitoring process runs automatically every day. A scheduled scan fetches new content from all configured regulatory feeds and websites via Feedly, deduplicates items already seen, scores each new item for relevance against your jurisdiction and topic profile, generates a plain-language summary for qualifying items, logs every relevant change to the Airtable compliance register, routes a real-time Slack alert to the responsible owner, and sends a structured weekly digest email via Gmail every Monday morning. The only action your team takes is reviewing borderline items flagged by the relevance agent, which typically takes no more than five minutes per item. Everything else is handled by the three agents running in the background.
Process name
Regulatory Change Monitoring
Trigger
Daily schedule fires once per day at a configured time; also activates immediately when a source returns a new item during a poll
Final output
Relevant regulatory changes logged in Airtable with full metadata, Slack alerts sent to the responsible owner, and a weekly digest email delivered to management every Monday
Agents running
Source Monitor Agent, Relevance and Summary Agent, Alert and Digest Agent
Tools involved
Feedly, Airtable, Slack, Gmail, Notion
Weekly volume
40 to 80 regulatory sources monitored; daily scan with alert triage handled automatically
Human checkpoint
Compliance Coordinator reviews borderline items flagged by the Relevance and Summary Agent (approximately 5 minutes per item)
Process owner
Compliance Coordinator
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02Step-by-step: what happens and who acts
What you actually need to do: There is one human step in this entire process. When the Relevance and Summary Agent flags a borderline item, it posts a Slack message to the Compliance Coordinator with a brief summary and a link to the Airtable record. You review the item, decide whether it is relevant or not, and mark the Airtable record accordingly. This takes around five minutes per item and is the only action required from your team on a daily basis. Everything else runs without any input from you.
Step
What happens
Who acts
Type
1
The automation platform fires a scheduled trigger once per day at the configured time. This starts the entire monitoring cycle for that day.
Automation
Automated
2
The Source Monitor Agent connects to Feedly and retrieves all new articles, publications, amendments, and notices from every configured regulatory feed since the last scan. Items already seen in previous runs are deduplicated and discarded before anything moves further.
Source Monitor Agent
Automated
3
The Relevance and Summary Agent reads each new item and scores it for relevance based on the configured jurisdiction profile, topic tags, and keyword rules. Items that score below the relevance threshold are archived silently with no alert generated. Items that fall within the borderline band are flagged for human review.
Relevance and Summary Agent
Automated
4
For any item that is borderline, a Slack message is sent to the Compliance Coordinator with a short description and a direct link to the Airtable record. The Coordinator reads the item and marks it as relevant or not relevant in Airtable. This is the only manual action in the entire process.
Compliance Coordinator
Human
5
For every item that passes the relevance threshold (either automatically or after human confirmation), the Relevance and Summary Agent generates a plain-language summary of two to three sentences covering what changed, the effective date, and the likely business impact. It also determines the correct internal owner based on the topic routing table.
Relevance and Summary Agent
Automated
6
The confirmed regulatory change is written to the Airtable compliance register with the source URL, publication date, effective date, topic category, relevance score, plain-language summary, and assigned owner. The record is timestamped automatically to support audit trail requirements.
Source Monitor Agent
Automated
7
The Alert and Digest Agent matches the topic category of each newly logged item to the routing table and posts a structured Slack alert in the correct channel, tagging the responsible owner directly. High-relevance items trigger an immediate alert; standard items are batched.
Alert and Digest Agent
Automated
8
Every Monday morning the Alert and Digest Agent assembles a digest of all changes logged during the previous week and sends it as a formatted email via Gmail to the Compliance Coordinator and any management recipients configured during setup.
Alert and Digest Agent
Automated
9
If any action item logged in Airtable has not been acknowledged by the assigned owner within the configured number of days, the Alert and Digest Agent automatically sends an overdue follow-up reminder via Slack and flags the record in Airtable for attention.
Alert and Digest Agent
Automated
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03Handling exceptions
Situation
What the system does
What you do
A regulatory item arrives with missing metadata (no publication date, no source URL, or no effective date)
The Source Monitor Agent logs the item to Airtable with a 'Metadata incomplete' status tag and skips the Slack alert. The Compliance Coordinator receives a daily summary of incomplete records in the digest.
Open the flagged Airtable record, manually fill in the missing fields from the original source, and change the status to 'Ready'. The system will then route the alert automatically.
A duplicate item is detected from two different feeds covering the same regulation
The deduplication logic in the Source Monitor Agent identifies matching items by URL hash and publication date, retains the first version received, and discards the duplicate without logging it.
No action required. If you notice two records for the same regulation, mark the duplicate as 'Archived' in Airtable and notify FullSpec at support@gofullspec.com so the deduplication rule can be reviewed.
A topic category in the new item does not match any entry in the routing table, so no owner can be assigned
The Alert and Digest Agent logs the item to Airtable with an 'Unrouted' status and sends a Slack message to the Compliance Coordinator flagging that no owner could be assigned.
Identify the correct owner for the topic, update the routing table in Airtable with the new category-to-owner mapping, and manually assign the record. Contact FullSpec if you need help editing the routing table.
The Compliance Coordinator does not review a borderline item within 48 hours of it being flagged
The Alert and Digest Agent sends a follow-up Slack reminder at the 48-hour mark. If the item remains unreviewed after 72 hours, it is escalated via a second Slack message tagging the Legal Operations Manager.
Review the item as soon as you receive the escalation message. If you are unavailable, ask the Legal Operations Manager or Head of Risk to review and mark the record in Airtable on your behalf.
Feedly cannot reach one or more regulatory sources because the site is down or has changed its URL structure
The Source Monitor Agent logs a connection error for the affected source and retries up to three times over the following two hours. After three failed attempts, an error alert is sent to the Compliance Coordinator via Slack.
Check whether the source website is temporarily unavailable or has permanently moved. If the URL has changed, update the feed configuration in Feedly. If the site has added a login gate, contact FullSpec to assess whether a custom scraper or alternative source is needed.
The Airtable API is unavailable and the automation platform cannot write new records to the compliance register
The orchestration layer pauses the write step and retries every 15 minutes for up to two hours. If the outage persists beyond two hours, the items are queued locally and a Slack error alert is sent to the Compliance Coordinator.
Check the Airtable status page (status.airtable.com) to confirm whether there is a known outage. No manual data entry is needed during a short outage as the queue will flush automatically once the API recovers. For outages longer than four hours, contact FullSpec at support@gofullspec.com for manual fallback guidance.
04Who to contact and when
Fill in the rows below once your team is confirmed. Keep this table updated whenever roles change so that the right person is reached quickly during an exception or escalation.
Role
Name
How to reach them
Process owner / Compliance Coordinator
[Your name]
[Your email and Slack handle]
Legal Operations Manager
[Rep name]
[Rep email and Slack handle]
Head of Risk (escalation for high-priority items)
[Rep name]
[Rep email]
FullSpec builder (configuration changes, routing table edits, source additions)
FullSpec team
support@gofullspec.com
FullSpec support (errors, outages, unexpected behaviour)
FullSpec support
support@gofullspec.com
For any issue where the automation has stopped producing alerts entirely, or where records are no longer appearing in Airtable, contact FullSpec at support@gofullspec.com straight away. Do not attempt to rebuild or re-trigger the workflow manually, as this can create duplicate records in the compliance register.
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05Ongoing maintenance
The automation is designed to run with minimal upkeep, but a small number of routine checks will keep it accurate and reliable. The table below sets out what to review, how often, and who is responsible.
Whenever a new regulatory source needs to be added or an existing one is retired
Add or remove the feed in Feedly and update the source list held in Notion. Notify FullSpec if the new source requires a custom scraper rather than a standard RSS feed, as this needs a build change.
Compliance Coordinator + FullSpec (if scraper needed)
Whenever a plain-language summary template needs to change (format, length, or language)
Contact FullSpec with the updated template or revised instructions. The Relevance and Summary Agent prompt is managed at the configuration level and cannot be edited directly in Airtable.
Compliance Coordinator notifies FullSpec
Monthly spot-check (first Monday of each month)
Open the Airtable compliance register and review the previous month's records. Confirm that relevance scores look reasonable, that no known regulation has been missed, and that all records have a named owner assigned.
Compliance Coordinator
Weekly error-log review (every Monday, alongside the digest email)
The Monday digest email includes a brief error summary. Review any flagged connection errors, unrouted items, or metadata-incomplete records and action them before the next cycle runs.
Compliance Coordinator
Whenever a team member's role changes, a new owner is added, or someone leaves
Update the routing table in Airtable to reflect the new owner for each topic category. Also update the contact table in this document and the digest email recipient list in the Alert and Digest Agent configuration. Contact FullSpec to update the agent config.
Compliance Coordinator + FullSpec
Quarterly volume review (every three months)
Check whether the number of sources monitored or the volume of flagged items has grown significantly. If the weekly digest is becoming too long or borderline-item reviews are taking more than 30 minutes per week, review the relevance scoring thresholds with FullSpec and adjust.
Legal Operations Manager + FullSpec
The most common maintenance issue for this process is an outdated routing table. When a team member changes role or leaves and the topic-to-owner mapping is not updated, Slack alerts continue going to the previous person. Those alerts are often silently ignored, which means action items go unacknowledged and the overdue reminder cycle triggers unnecessarily. Review the routing table whenever there is any change to the compliance or legal team.
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