Compliance Agent

The Compliance Monitor Agent provides continuous surveillance of regulatory compliance across an operator’s oil and gas portfolio in Texas. Unlike the filing agents (Rule 37 and Rule 32), this agent runs proactively to detect compliance risks before they become violations.

Configuration

Property	Value
Agent ID	`compliance-monitor-agent`
Agent Type	`compliance_monitor`
Primary Model	gpt-4o
Fallback Model	gpt-4o-mini
YAML File	`agents/compliance-agent.yaml`

Purpose

The Compliance Monitor continuously tracks regulatory compliance across an operator’s entire portfolio. Its responsibilities include:

Deadline tracking — monitor all permit, filing, and authorization deadlines
Production compliance — check production against allowables and gas-to-oil ratio (GOR) thresholds
Rule change detection — detect RRC rule changes that affect active operations
Risk scoring — assign risk scores to each well and lease in the portfolio
Dashboard summaries — generate compliance status summaries on demand

Skills

The Compliance Monitor shares skills with the monitoring tier rather than having dedicated filing skills:

Skill ID	Name	Purpose
`flaring-volume-calc`	Flaring Volume Calculation	Assess flaring volumes across the portfolio to identify wells approaching authorization limits or in violation
`emissions-estimate`	Emissions Estimate	Calculate CO2e emissions for portfolio-wide environmental compliance assessment

The Compliance Monitor uses fewer skills than the filing agents because its role is detection and alerting, not filing preparation. When it identifies an issue requiring action, it escalates to the appropriate filing agent or the compliance team.

Alert Levels

The agent uses a three-tier alert system:

Level	Criteria	Action
INFO	General compliance status updates, routine assessment results	Logged to dashboard, no notification
WARNING	Deadlines within 30 days, minor anomalies, production approaching limits	Dashboard notification, optional email
CRITICAL	Deadlines within 7 days, active violations, exceedances, unauthorized activity	Dashboard alert, email notification, HITL checkpoint triggered

HITL Checkpoints

Checkpoint	Required	Reviewer Strategy	Description
`compliance_alert`	No	`role_based`	Notify compliance team of critical findings

The HITL checkpoint for the Compliance Monitor is not required — the agent can complete its assessment and post results without blocking on approval. However, when a CRITICAL alert is generated, the checkpoint creates a notification for the compliance team to review.

Even though the HITL checkpoint is optional, the agent never takes autonomous action on compliance issues. It detects, assesses, and alerts — but remediation actions (filing exceptions, updating permits) are always initiated by humans or delegated to the filing agents with their own mandatory HITL checkpoints.

Budget

Limit	Per Execution	Per Day
Tokens	50,000	500,000
Cost (USD)	$3.00	$30.00

The Compliance Monitor has a smaller per-execution budget than the filing agents because individual assessments are lighter weight. The daily budget allows for approximately 10 full portfolio scans per day.

System Prompt

The agent’s system prompt covers:

Continuous monitoring identity and responsibilities
Deadline tracking across permits, filings, and authorizations
Production compliance monitoring against allowables and GOR thresholds
Rule change detection for active operations
Risk scoring methodology for wells and leases
Dashboard summary generation capability
Three-tier alert level definitions and criteria

Metadata


metadata:
  domain: oil_and_gas
  jurisdiction: texas
  monitoring_type: continuous

Monitoring Workflow

The Compliance Monitor follows this assessment pattern:


Portfolio scan → Entity assessment → Status classification → Alert generation

Assessment Flow

Portfolio scan — query the knowledge graph for all active entities (wells, leases, facilities)
Deadline check — compare upcoming deadlines against current date, classify by urgency
Production review — check recent production data against allowables and thresholds
Authorization status — verify that all active operations have current authorizations
Rule applicability — check for any rule changes since the last assessment
Risk scoring — compute a composite risk score for each entity
Status update — update the compliance_status table with current assessment
Alert generation — create alerts for WARNING and CRITICAL findings

Compliance Status Values

The agent classifies each entity-domain pair into one of five statuses, which populate the compliance matrix:

Status	Color	Meaning
`compliant`	Green	No action needed, all requirements met
`action_needed`	Amber	Upcoming deadlines or minor issues requiring attention
`overdue`	Red	Missed deadlines, active violations, or exceedances
`not_applicable`	Grey	This compliance domain does not apply to this entity
`in_review`	Blue	Filing is in progress or under HITL review

Integration with Other Agents

The Compliance Monitor interacts with the other agents in the following ways:

Scenario	Handoff
Spacing violation detected	Escalates to Rule 37 agent for exception filing preparation
Flaring approaching limits	Escalates to Rule 32 agent for R-32 renewal
Flaring data anomaly	Delegates to Flaring Monitor for detailed analysis
Critical deadline approaching	Creates HITL alert for the compliance team