Regulatory Templates - Initial Setup
Overview
This sub-skill handles the initial setup phase for regulatory template creation, including template selection and context initialization.
Parent skill: regulatory-templates
Output: Complete initial context object with all selections and configurations
Foundational Principle
Setup initializes the foundation - errors here propagate through all 3 gates.
Setup is not "just configuration" - it's critical validation:
- Template selection: Wrong template = entire workflow on wrong regulatory spec (hours wasted)
- Context initialization: Incomplete context = gates fail mysteriously downstream
- Dictionary status check: Skipped check = lost automation, unnecessary interactive validation
- User awareness: No alert about validation mode = poor UX, blocked progress
Skipping setup steps means:
- Hard-coded context bypasses validation (typos, wrong versions)
- Missing values cause gate failures (debugging waste)
- Silent dictionary check = user unprepared for interactive validation
- No audit trail of selections (compliance gap)
Setup is the contract between user intent and gate execution. Get it wrong = everything downstream breaks.
When to Use
Called by: regulatory-templates skill at the beginning of the workflow
Purpose: Gather all user selections and initialize the context object that will flow through all gates
NO EXCEPTIONS - Setup Requirements Are Mandatory
Setup requirements have ZERO exceptions. Foundation errors compound through all gates.
Common Pressures You Must Resist
| Pressure | Your Thought | Reality |
|---|---|---|
| Ceremony | "User said CADOC 4010, skip selection" | Validation confirms, prevents typos, initializes full context |
| Speed | "Hard-code context, skip AskUserQuestion" | Bypasses validation, loses audit trail, breaks contract |
| Simplicity | "Dictionary check is file I/O ceremony" | Check determines validation mode (auto vs interactive 40 min difference) |
| Efficiency | "Skip user alert, they'll see validation later" | Poor UX, unprepared user, blocked progress |
Setup Requirements (Non-Negotiable)
Template Selection:
- ✅ REQUIRED: Use AskUserQuestion for authority and template selection
- ❌ FORBIDDEN: Hard-code based on user message, skip selection dialog
- Why: Validation confirms correct template, prevents typos, establishes audit trail
Dictionary Status Check:
- ✅ REQUIRED: Check ~/.claude/docs/regulatory/dictionaries/ for template dictionary
- ❌ FORBIDDEN: Skip check, assume no dictionary exists
- Why: Determines validation mode (automatic vs interactive = 40 min time difference)
User Alert:
- ✅ REQUIRED: Alert user if interactive validation required (no dictionary)
- ❌ FORBIDDEN: "They'll figure it out in Gate 1"
- Why: User preparedness, UX, informed consent for 40-min validation process
Complete Context:
- ✅ REQUIRED: Initialize ALL context fields (authority, template_code, template_name, dictionary_status, documentation_path)
- ❌ FORBIDDEN: Minimal context, "gates will add details later"
- Why: Incomplete context causes mysterious gate failures
The Bottom Line
Setup shortcuts = silent failures in all downstream gates.
Setup is foundation. Wrong template selection wastes hours on wrong spec. Missing context breaks gates mysteriously. Skipped checks lose automation.
If tempted to skip setup, ask: Am I willing to debug gate failures from incomplete initialization?
Rationalization Table
| Excuse | Why It's Wrong | Correct Response |
|---|---|---|
| "User already said CADOC 4010" | Validation confirms, prevents typos (4010 vs 4020) | Run selection |
| "Hard-code context is faster" | Bypasses validation, loses audit trail | Use AskUserQuestion |
| "Dictionary check is ceremony" | Determines 40-min validation mode difference | Check dictionary |
| "They'll see validation in Gate 1" | Poor UX, unprepared user | Alert if interactive |
| "Just pass minimal context" | Incomplete causes mysterious gate failures | Initialize ALL fields |
| "Setup is just config" | Foundation errors compound through 3 gates | Setup is validation |
If You Find Yourself Making These Excuses
STOP. You are rationalizing.
Setup appears simple but errors propagate through 4-6 hours of gate execution. Foundation correctness prevents downstream waste.
Severity Calibration
MUST classify setup issues using these severity levels:
| Severity | Definition | Examples | Gate Impact |
|---|---|---|---|
| CRITICAL | BLOCKS workflow progression OR invalidates foundation | - Template not in registry- Authority selection invalid- Context initialization failed- Required field missing from context | HARD BLOCK - Cannot proceed to Gate 1 |
| HIGH | REQUIRES resolution for accurate gate execution | - Dictionary status unknown- Documentation path missing- Template code incorrect- User not alerted about validation mode | MUST resolve before Gate 1 |
| MEDIUM | SHOULD fix for optimal workflow | - Deadline not specified (using default)- Optional context fields missing- Documentation incomplete | SHOULD resolve - document if deferred |
| LOW | Minor improvements possible | - Context verbosity- Naming improvements- Additional metadata | OPTIONAL - note in report |
Classification Rules:
CRITICAL = ANY of:
- Template selection cannot be validated against registry
- Authority is not BACEN or RFB (invalid for Brazilian regulatory)
- Context object missing required fields (authority, template_code, template_name)
- Setup steps cannot complete
HIGH = ANY of:
- Dictionary status not checked (determines 40-min vs automatic validation)
- User not informed about interactive validation requirement
- Documentation path not set correctly
- Template metadata incomplete
Blocker Criteria - STOP and Report
You MUST distinguish between decisions you CAN make vs those requiring escalation.
| Decision Type | Examples | Action |
|---|---|---|
| Can Decide | Default deadline, context field ordering, documentation format | Proceed with setup |
| MUST Escalate | Template not in registry, user selection unclear, multiple valid authorities | STOP and ask for clarification |
| CANNOT Override | AskUserQuestion requirement, dictionary check, context completeness, user alert for interactive mode | HARD BLOCK - Must complete before Gate 1 |
HARD GATES (STOP immediately):
- Template Not Found: Template missing from registry
- Ambiguous Selection: User response doesn't match available templates
- Missing Context: Required context fields cannot be populated
- Dictionary Check Skipped: Cannot determine validation mode without check
Escalation Message Template:
⛔ **SETUP BLOCKER - Cannot Initialize Context**
**Issue:** [Specific blocker]
**Impact:** [What cannot be determined/initialized]
**Required:** [What needs resolution]
**Cannot proceed to Gate 1 until resolved.**
Cannot Be Overridden
NON-NEGOTIABLE requirements (no exceptions, no user override):
| Requirement | Why NON-NEGOTIABLE | Verification |
|---|---|---|
| AskUserQuestion for Selection | Prevents typos, validates against registry, creates audit trail | Used AskUserQuestion tool |
| Dictionary Status Check | Determines validation mode (40-min difference) | Checked dictionary path |
| User Alert for Interactive Mode | UX requirement, informed consent for long process | Alert shown if no dictionary |
| Complete Context Initialization | Incomplete context causes mysterious gate failures | ALL required fields populated |
| Template Registry Validation | Ensures template exists and is supported | Template verified in registry |
CANNOT allow user to:
- Skip template selection ("I already told you CADOC 4010" = NO - validate anyway)
- Bypass dictionary check ("just assume no dictionary" = NO)
- Skip user alert ("they'll figure it out" = NO)
- Initialize partial context ("add missing fields later" = NO)
- Hard-code selections ("same as last time" = NO - run selection)
Pressure Resistance
See shared-patterns/pressure-resistance.md for universal pressure scenarios.
Setup-Specific Pressures
| User Says | Your Response |
|---|---|
| "I already said CADOC 4010, just start" | "I MUST validate the selection against our registry. This takes 30 seconds and prevents typos (4010 vs 4020). Running AskUserQuestion now." |
| "Skip dictionary check, it doesn't exist" | "I CANNOT skip the dictionary check. It determines if we need 40-minute interactive validation or can proceed automatically. Checking now." |
| "Don't alert me, just proceed" | "I MUST inform you if interactive validation is required. This is a 40-minute process that requires your input. You need to be prepared." |
| "Just use the same template as last time" | "I CANNOT hard-code previous selections. Each workflow MUST validate against current registry. Requirements may have changed." |
| "Setup is ceremony, go straight to analysis" | "I CANNOT skip setup. It initializes the context that ALL gates depend on. Incomplete setup = mysterious failures in Gates 1-3." |
Setup Steps
Step 1: Regulatory Authority Selection
AskUserQuestion: "Which regulatory authority template?"
| Option | Description |
|---|---|
| CADOC | BACEN - Cadastro de Clientes do SFN |
| e-Financeira | RFB - SPED e-Financeira |
| DIMP | RFB - Declaração de Informações sobre Movimentação Patrimonial |
| APIX | BACEN - Open Banking API |
| Novo template | Qualquer regulação BACEN/RFB/CVM/SUSEP/outro não listado acima |
Open system: The workflow supports ANY regulatory template, not just the pre-defined list. If the template is not listed, select "Novo template" and provide the spec.
Step 1.0: New Template Intake (only if "Novo template" selected)
If the user selects "Novo template", collect the following before proceeding:
AskUserQuestion (sequence):
- Template name — ex: "CADOC 4030", "DLO", "e-Financeira evtPatrimonio", "DECRED"
- Regulatory authority — BACEN | RFB | CVM | SUSEP | COAF | outro (especificar)
- Output format — XML | TXT (fixed-width) | HTML | CSV | JSON
- Official spec — URL do manual/circular oficial OU caminho de arquivo XSD/PDF (OBRIGATÓRIO)
- Reporter dev URL (optional) — URL do ambiente de desenvolvimento para validação pós-geração
Context additions for new templates:
is_new_template: true
template_spec_url: "<URL fornecida>"
template_spec_format: "<XML|TXT|HTML|CSV>"
reporter_dev_url: "<URL ou null>" # for optional Test Gate
Alert user:
"Template novo detectado. Gate 1 irá extrair os campos da spec fornecida, usar pattern matching com templates existentes para sugerir mapeamentos, e salvar o dicionário automaticamente ao final. Na próxima execução deste template, o workflow será automático (~5 min)."
BLOCKER: If no official spec URL/file is provided → STOP. Cannot map fields without the authoritative specification.
Step 1.1: Template Selection (Conditional by Authority)
AskUserQuestion: Show template options based on authority selected:
| Authority | Question | Options |
|---|---|---|
| CADOC | "Which CADOC document?" | 4010 (Cadastro), 4016 (Crédito), 4111 (Câmbio) |
| e-Financeira | "Which event?" | evtCadDeclarante, evtAbertura, evtFechamento, evtMovOpFin, evtMovPP, evtMovOpFinAnual |
| DIMP | "Which version?" | v10 (current) |
| APIX | "Which API?" | 001 (Cadastrais), 002 (Contas/Transações) |
Template Registry:
| Category | Code | Name | Frequency | Format | FATCA/CRS |
|---|---|---|---|---|---|
| CADOC | 4010 | Informações de Cadastro | Monthly | XML | N/A |
| CADOC | 4016 | Operações de Crédito | Monthly | XML | N/A |
| CADOC | 4111 | Operações de Câmbio | Daily | XML | N/A |
| e-Financeira | evtCadDeclarante | Cadastro do Declarante | Per Period | XML | Yes/Yes |
| e-Financeira | evtAberturaeFinanceira | Abertura e-Financeira | Semestral | XML | No/No |
| e-Financeira | evtFechamentoeFinanceira | Fechamento e-Financeira | Semestral | XML | Yes/Yes |
| e-Financeira | evtMovOpFin | Mov. Operações Financeiras | Semestral | XML | Yes/Yes |
| e-Financeira | evtMovPP | Mov. Previdência Privada | Semestral | XML | No/No |
| e-Financeira | evtMovOpFinAnual | Mov. Operações Fin. Anual | Annual | XML | Yes/Yes |
| DIMP | v10 | DIMP Versão 10 | Annual | XML | N/A |
| APIX | 001 | Dados Cadastrais | REST API | JSON | N/A |
| APIX | 002 | Contas e Transações | REST API | JSON | N/A |
Capture: Authority (BACEN/RFB), category, code, name, metadata
Step 2: Optional Deadline Input
If not provided by user, use standard deadline for the template type.
Step 3: Check Dictionary Status and Alert User
CRITICAL: Check dictionary BEFORE initializing context. Path: ~/.claude/docs/regulatory/dictionaries/{category}-{code}.yaml
| Template | Has Dictionary | Validation Mode |
|---|---|---|
| CADOC_4010 | ✅ Yes | Automatic |
| CADOC_4016 | ✅ Yes | Automatic |
| APIX_001 | ✅ Yes | Automatic |
| EFINANCEIRA_evtCadDeclarante | ✅ Yes | Automatic |
| All others | ❌ No | Interactive |
If NO dictionary exists → AskUserQuestion:
- Question: "Template has no pre-configured dictionary. Gate 1 will use batch approval by confidence level (~10-15 min). Proceed?"
- Options: "Proceed" | "Choose different template"
- Alert user: Gate 1 will query APIs → suggest mappings → batch approval by confidence level → auto-save dictionary for future use
Step 4: Initialize Context Object
Base context structure (ALL fields required):
| Field | Source | Example |
|---|---|---|
authority |
Step 1 | "BACEN" or "RFB" |
template_category |
Step 1 | "CADOC", "e-Financeira", "DIMP", "APIX" |
template_code |
Step 1.1 | "4010", "evtMovOpFin", "v10", "001" |
template_name |
Registry | "Informações de Cadastro" |
template_selected |
Computed | "CADOC 4010" |
dictionary_status |
Step 3 | {has_dictionary, dictionary_path, validation_mode} |
documentation_path |
Registry | ".claude/docs/regulatory/templates/..." |
deadline |
User/Default | "2025-12-31" |
gate1/gate2/gate3 |
Initialize | null (populated by subsequent gates) |
is_new_template |
Step 1.0 | false (default) or true (new template) |
template_spec_url |
Step 1.0 | null (default) or URL/path of official spec |
reporter_dev_url |
Step 1.0 | null (default) or Reporter dev environment URL |
Template-Specific Extensions:
| Category | Extra Fields |
|---|---|
| CADOC | format: "XML", frequency: "monthly"/"daily" |
| e-Financeira | format: "XML", event_module, event_category, event_frequency, fatca_applicable, crs_applicable |
| DIMP | format: "XML", frequency: "annual" |
| APIX | format: "JSON", api_type: "REST" |
Documentation Paths:
- CADOC:
.claude/docs/regulatory/templates/BACEN/CADOC/cadoc-4010-4016.md - e-Financeira:
.claude/docs/regulatory/templates/RFB/EFINANCEIRA/efinanceira.md - DIMP:
.claude/docs/regulatory/templates/RFB/DIMP/dimp-v10-manual.md - APIX:
.claude/docs/regulatory/templates/BACEN/APIX/{code}/
State Tracking Output
Output on completion: SKILL: regulatory-templates-setup | STATUS: COMPLETE | TEMPLATE: {template_selected} | DEADLINE: {deadline} | NEXT: → Gate 1
Success Criteria
- ✅ Template selected and validated
- ✅ Deadline established (input or default)
- ✅ Context object initialized with ALL fields
- ✅ Dictionary status checked
Output: Return complete context object to parent skill.
Converted and distributed by TomeVault — claim your Tome and manage your conversions.