## Core Analysis Framework ### Phase 1: Document Intake & Structuring ``` I need to analyze the following enterprise documents: **Primary Document:** [Document type, purpose] **Supporting Documents:** [List all related documents] **Analysis Objective:** [What you need to verify, extract, or compare] Please perform the following: 1. **Document Classification** - Identify document types and hierarchical relationships - Map dependencies between documents - Flag missing or incomplete sections 2. **Structure Extraction** - Extract key sections, clauses, and data points - Create a structured outline of critical information - Identify ambiguous or contradictory language 3. **Initial Risk Flags** - Highlight unusual terms, conditions, or values - Note missing required elements - Flag potential compliance issues ``` ### Phase 2: Deep Analysis Protocols #### For Grant Agreements vs. Budget Analysis ``` **Task:** Verify that our budget proposal aligns with grant agreement requirements. **Grant Agreement:** [Paste or attach grant document] **Budget Proposal:** [Paste or attach budget document] Perform a comprehensive compliance check: 1. **Allowable Costs Verification** - List all allowable cost categories from the grant - Cross-reference each budget line item - Flag any disallowed expenses - Calculate percentage allocation vs. grant requirements 2. **Timeline Compliance** - Extract grant period start/end dates - Verify budget timeline matches grant period - Check milestone deadlines and deliverables - Flag any timeline mismatches 3. **Reporting Requirements** - List all required reports and their frequencies - Check if budget includes reporting resources - Verify data collection mechanisms align with reporting needs 4. **Match Requirements** - Calculate required cost-sharing or match amounts - Verify in-kind vs. cash match compliance - Validate match source eligibility 5. **Deliverables Matrix** - Create a table mapping budget items to specific deliverables - Verify each deliverable has adequate budget allocation - Check for over/under-budgeted work packages **Output Format:** - Compliance Score (0-100%) - List of discrepancies with severity (Critical/High/Medium/Low) - Recommended corrections - Summary memo for stakeholders ``` #### For Contract Risk Analysis ``` Analyze the following contract for risks and unfavorable terms: **Contract:** [Paste contract text] **Context:** [Type of agreement, parties involved, deal value] Conduct a thorough risk assessment: 1. **Liability & Indemnification** - Identify liability caps and exclusions - Assess indemnification obligations - Flag unlimited liability clauses - Check insurance requirements 2. **Termination & Renewal** - Summarize termination conditions for each party - Note auto-renewal terms - Identify notice periods and cure rights - Check for "gotcha" clauses 3. **Payment Terms** - Extract payment schedule and conditions - Identify late payment penalties - Check for unexpected fees or escalations - Verify invoicing and dispute resolution terms 4. **Intellectual Property** - Determine IP ownership and licensing rights - Check for restrictive covenants - Identify work-for-hire provisions - Note any IP warranties or representations 5. **Performance Obligations** - List all deliverables and deadlines - Identify acceptance criteria and processes - Check for service level agreements (SLAs) - Note penalties for non-performance 6. **Regulatory Compliance** - Verify GDPR, CCPA, or other data privacy compliance - Check for required certifications or audits - Identify regulatory reporting obligations **Output:** - Risk Matrix (likelihood × impact) - Red-flag items requiring negotiation - Suggested contract amendments - Comparison to industry standards ``` #### For Multi-Document Financial Audit ``` Perform a financial audit across the following documents: **Documents:** 1. Budget: [Original budget] 2. Expense Reports: [Monthly or quarterly reports] 3. Bank Statements: [Supporting financial records] 4. Purchase Orders/Invoices: [Transaction details] Audit Requirements: 1. **Variance Analysis** - Compare budgeted vs. actual for each category - Calculate variance percentages - Identify categories over/under budget by >10% - Flag any unusual spending patterns 2. **Compliance & Authorization** - Verify all expenses have proper documentation - Check for required approvals on large purchases - Ensure expenses align with allowable cost categories - Identify any potentially unallowable costs 3. **Reconciliation** - Cross-reference expense reports with bank statements - Identify missing transactions or discrepancies - Verify invoice amounts match payment amounts - Check for duplicate payments 4. **Trend Analysis** - Identify spending trends over time - Project remaining budget burn rate - Forecast budget shortfalls or surpluses - Recommend budget reallocation if needed **Deliverables:** - Audit report with findings and severity levels - Variance analysis table - Recommendations for corrective action - Supporting evidence citations ``` ### Phase 3: Synthesis & Reporting #### Executive Summary Generation ``` Based on the document analysis performed above, generate an executive summary: **Audience:** [C-suite, Board, Grant Officer, etc.] **Tone:** [Formal, concise, action-oriented] **Length:** [1-page, 2-page, etc.] Include: 1. **Key Findings**: Top 3-5 critical insights 2. **Risk Assessment**: High-priority issues requiring immediate attention 3. **Compliance Status**: Overall compliance score and areas of concern 4. **Financial Impact**: Monetary implications of findings 5. **Recommendations**: Specific, actionable next steps 6. **Timeline**: Suggested deadlines for addressing issues Format as a professional memo with: - Clear section headers - Bullet points for readability - Data visualizations (tables, charts) where helpful - Executive-friendly language (avoid jargon) ``` ## Advanced Techniques ### For Complex Logical Hierarchies ``` When analyzing documents with nested conditions or complex logical structures: 1. Extract all conditional logic (if-then, unless, provided that) 2. Map dependencies and precedence 3. Identify edge cases where multiple conditions intersect 4. Test scenarios against the logical framework 5. Highlight ambiguities requiring legal interpretation ``` ### For Multi-Party Agreements ``` For documents involving multiple parties with different obligations: 1. Create a party-by-party obligation matrix 2. Map interdependencies (Party A's obligation triggers Party B's) 3. Identify coordination requirements 4. Check for conflict resolution mechanisms 5. Verify that all parties' interests are represented fairly ``` ### For Compliance Documentation ``` When verifying regulatory compliance: 1. List all applicable regulations and standards 2. Map each requirement to corresponding document evidence 3. Identify gaps where requirements lack documentation 4. Assess sufficiency and quality of evidence 5. Recommend additional documentation needed ``` ## Best Practices 1. **Use High Effort Mode**: For critical documents, specify "high effort" to maximize Opus's reasoning depth 2. **Provide Context**: Include background on industry norms, organizational policies, or regulatory requirements 3. **Request Citations**: Ask for specific page numbers, clause references, or line item citations 4. **Iterate on Ambiguities**: For unclear language, ask Opus to reason through multiple interpretations 5. **Verify Critical Findings**: For high-stakes decisions, request Opus to double-check its most important conclusions ## Output Formats ### Compliance Checklist ``` Create a compliance checklist in table format: | Requirement | Source (Doc, Section) | Status | Evidence | Notes | |------------|----------------------|--------|----------|-------| | [Item] | [Citation] | ✅/⚠️/❌ | [Details] | [Comments] | ``` ### Risk Register ``` Generate a risk register: | Risk ID | Description | Likelihood | Impact | Severity | Mitigation | Owner | |---------|------------|------------|--------|----------|------------|-------| | R-001 | [Risk] | [H/M/L] | [H/M/L]| [Score] | [Actions] | [Name]| ``` ### Variance Analysis Table ``` Produce a budget variance table: | Category | Budgeted | Actual | Variance | % Variance | Explanation | |----------|----------|--------|----------|------------|-------------| | [Item] | $X | $Y | $Z | +/-N% | [Reason] | ``` ## Example Session **User**: "Analyze this grant agreement and tell me if our budget proposal is compliant." **Opus Response**: > I've completed the compliance analysis. Here's my assessment: > > **Overall Compliance: 87% ✅** > > **Critical Issues (Must Fix):** > > 1. ❌ **Equipment over-budget**: Grant allows max 15% for equipment, but your proposal allocates 22% ($44K of $200K total). Need to reduce by $14K. > - Source: Grant Agreement, Section 4.2, Page 7 > - Recommendation: Reclassify $14K of equipment to "Supplies" or reduce scope > 2. ⚠️ **Match documentation unclear**: Grant requires 25% cash match ($50K), but I see only $38K clearly documented as cash match. > - Missing: $12K documentation > - Note: $12K labeled "In-kind facilities" might not count as cash match per Section 5.1 > > **Medium Priority:** 3. Timeline mismatch: Budget shows Year 1 ending Dec 2026, but grant period ends June 2027... ## Related Resources - [SEC EDGAR Database](https://www.sec.gov/edgar) for public company filings - [GovRegs](https://www.govregs.com/) for compliance requirements - [AICPA Standards](https://www.aicpa.org/) for audit standards