R363 — When Compliance Misses, HITL Fires
1 Open Compliance Follow-up
What happens when a revision fails compliance. R363 ran the rules in form_compliance_specs against every uploaded revision. Where required fields were missing, a follow-up row was inserted into form_intake_queue (the same R361 queue Evelyn already uses), with channel compliance_followup and severity matching the most-severe missing rule. R361 HITL assignee picking + R362 lifecycle FSM apply — no separate machinery.
Live Compliance Follow-Ups
Q #4
F1-09 · via compliance_followup
high
ASSIGNEE: evelyn.shapiro@cascadia-mep.example (people) ·
STATE: pending_approval ·
CREATED: 2026-05-31T05:57:38
Compliance gap in F1-09 v.X — missing: NYC_paid_safe_leave, NY_workplace_violence
[
{
"field": "NYC_paid_safe_leave",
"description": "NYC Earned Safe & Sick Time Act",
"citation": "NYC Admin Code \u00a720-911",
"severity": "high"
},
{
"field": "NY_workplace_violence",
"description": "NY workplace violence prevention program",
"citation": "NY Labor Law \u00a727-b",
"severity": "high"
}
]
The Active Rule Set (11 rules across 3 forms)
F1-01 (3 required fields)
| Field key | Description | Detect regex | Citation | Severity |
|---|
| employer_signature | I-9 Section 2 employer signature block | (?i)(authorized representative|employer … | 8 CFR 274a.2 | high |
| section_1_attestation | I-9 citizenship attestation | (?i)(citizen|noncitizen national|lawful … | 8 CFR 274a.2 | high |
| section_2_doc_list | I-9 Section 2 document categories | (?i)(List A|List B|List C)… | 8 CFR 274a.2 | high |
F1-09 (5 required fields)
| Field key | Description | Detect regex | Citation | Severity |
|---|
| NYC_paid_safe_leave | NYC Earned Safe & Sick Time Act | (?i)(paid safe leave|PSL\b)… | NYC Admin Code §20-911 | high |
| NY_harassment_training | NY annual sexual harassment prevention training | (?i)(harassment training|sexual harassme… | NY Labor Law §201-g | high |
| NY_workplace_violence | NY workplace violence prevention program | (?i)(workplace violence|WPV prevention)… | NY Labor Law §27-b | high |
| at_will | At-will employment acknowledgment | (?i)(at-will|at will employment)… | best practice | normal |
| equal_opportunity | Federal EEO statement | (?i)(equal employment opportunity|EEO)… | Title VII | normal |
F4-09 (3 required fields)
| Field key | Description | Detect regex | Citation | Severity |
|---|
| fall_protection | OSHA fall protection | (?i)(fall protection)… | 29 CFR 1926.501 | high |
| osha_30 | OSHA 30-hour construction | (?i)(OSHA[- ]?30)… | 29 CFR 1926 | high |
| sst_card | NYC LL196 SST card | (?i)(SST card|Site Safety Training)… | NYC Admin Code §28-401.3 | high |
What R364 Will Add
- Semantic compliance — LLM-based intent matching, not just regex (e.g. "we provide leave for safety reasons" ≈ NYC PSL)
- Cross-form compliance — handbook claims SST training; does F4-09 record exist?
- Image-PDF OCR — handles scanned forms (E_DEP_0009 path)
- Suggested-fix LLM — when gap detected, propose corrective text the HR director can paste into v3
- Regulation-currency check — flag rules where citation has new amendments