Regulatory and compliance operations
For a team that owns notices, data subject requests and regulator correspondence, where somebody else sets the deadline. The stages, the agent’s mandate, the reviewer step, the record fields, the measure and the exit terms.
One queue, set to the tightest clock in it.
Who it is for
A team that owns notices, data subject requests and regulator correspondence, where the deadline is set by someone else. The work is not hard to do. It is hard to prove afterwards, because the evidence of each step was never gathered in one place.
The trigger
A notice under Turkey’s Law No. 5651, a data subject request, a transfer notification, a consumer complaint, or a letter from an authority.
The stages
Receive and stamp the clock
The item lands in one queue and the deadline is stamped on arrival, not on attention.
Classify by regime
The regime that governs the item is named, because the regime sets the period and the channel.
Assemble
The evidence the response needs is gathered from the file and indexed.
Draft
The response is drafted inside the template for that regime, and nowhere else.
Reviewer signs
The person accountable for that regime accepts, changes or rejects the draft.
Send
The response goes out through the channel the regime requires.
File
The proof of sending joins the evidence, and the item closes.
What the agent may read, keep and do
| May read | The notice, the file it concerns, the response templates and the deadline table. |
|---|---|
| May keep | The classification, the clock and the evidence index, for the retention period agreed with you. |
| May do | Classify, assemble, draft, calculate the deadline and warn on it. It may not send, decide the substantive answer, or extend a clock. |
Where a person signs
Stage 05, by the person who is accountable for that regime rather than by whoever is available. The record notes which regime set the deadline, so the basis for the period is visible later.
What the record contains
This is the file an inspection asks for, and it is easier to keep than to reconstruct.
These are the fields, not a real matter. No client work appears on this site.
| Field | What goes in it |
|---|---|
| Arrival | The channel the item came in on, and the time it landed |
| Regime | The regime that governs the item |
| Deadline | The deadline and the source that set it |
| Evidence | What was gathered, and where each piece came from |
| Draft | The draft version, and the template it was drawn from |
| Review | The reviewer’s name and decision |
| Dispatch | The channel used and the proof of sending |
| Close | The closing entry and its time |
Entries are written as the run happens and are append-only. A correction is a new entry naming the one it corrects. Section 5 of the operating standard says what that means in practice.
The measure a pilot uses
One measure, chosen by you. The one I would usually propose is the share of responses sent inside the deadline with the evidence complete on file, against your own last quarter. The second is the time from arrival to classification, because most missed deadlines are missed at the front.
The systems it usually sits on
The mailbox, KEP and UETS e-Tebligat on the Turkish side, the document system, and whatever case or complaint tracker already exists. LEXSAS resells none of these and claims no certified connector to any of them.
The first week
- Day one
- The scope call: the regimes you actually receive, the accountable owner for each, the systems, the measure.
- Days two and three
- The deadline table is built from the regimes you actually receive, not from a list of everything that exists.
- Day four
- The agent’s mandate and the response templates are written down, and you correct them.
- Day five
- The evidence index is agreed, the baseline is taken and the pilot dates are fixed.
Exit terms
The deadline table, the templates and the evidence index are yours. They are useful even if every piece of software is thrown away, and they are the part that takes longest to rebuild.
Three questions
The regime does, not the team. The workflow stamps the clock on arrival and records which regime set it. The agent may warn on a clock and may not extend one.
They are usually the tightest clock in the queue, because service is effective on arrival rather than on attention. The workflow treats an arrival as a trigger and the record carries the time.
No. It classifies, assembles the evidence and drafts inside your template. A named person signs and sends, through the channel the regime requires.
The controls behind this page are in the LEXSAS operating standard, sections 2 to 5. The reasoning is in Marketplace compliance ops: one notice queue, set to the tightest clock. Get in touch