# 1. KNOWLEDGE AUDIT **PROVISIONAL card** - **Commitment:** USD 180,000 support-agent build (QUOTE-9, a quote; not signed). - **Objective:** Employee-facing response suggestions over support documents, with eventual customer-data access (LOCAL-BRIEF, a local alias for the brief). No success metric is supplied. - **Original scope/version:** v0.2 (retrieval, suggestion UI, eventual customer data; REQ-11 requests all-customer documents). - **STATUS:** HOLD. **AUTHORIZATION:** UNKNOWN. **ACTION:** HOLD. Signing and live-data connection are not supported by the supplied records. - **Open critical IDs:** LOCAL-G1, G2, G3, G4, G5. (LOCAL- IDs are local aliases, not real source identifiers.) | Gate (scope v0.2) | Basis / why critical | Closure predicate | Evidence / gap | State | |---|---|---|---|---| | LOCAL-G1 | REQ-11 (STAKEHOLDER REQUEST) vs POL-4, approved 2026-09-10 (GOVERNING REQUIREMENT). Critical: the approved policy conflicts with the requested scope. | Scope restated to assigned-account, or a policy change documented by the policy authority. | OBSERVATION: both texts. INFERENCE: the agent inherits POL-4's staff limit. | OPEN | | LOCAL-G2 | SEC-2 (GOVERNING REQUIREMENT). Critical: it explicitly precedes live records. | Isolation results for the exact version/scope. The pass predicate is not supplied. | OBSERVATION: no result supplied; TEST-8 ran no isolation tests. | UNKNOWN, treated as open | | LOCAL-G3 / G4 | OUTCOME INFERENCE. Critical because READY needs useful-outcome evidence. G3 is approved outcome criteria; G4 is retrieval/policy-utility results. | G3: criteria approved. G4: results meeting G3 under POL-4. | UNKNOWN: neither exists. An always-refuse build could pass an isolation test. | OPEN | | LOCAL-G5 | Commercial authority. Critical: it is a precondition to any commitment. | Documented signer authority for the exact scope/version. | SOURCE CLAIM: price only (QUOTE-9). UNKNOWN: PO, signer, payment ledger. | UNKNOWN, treated as open | - **O0** = {LOCAL-G1, G2, G3, G4, G5}. - **Closed (outside O0):** LOCAL-G6. OBSERVATION: TEST-8 shows 20 dummy display checks passed on ui-0.2. This closes display only. - **Additional blockers:** LOCAL-G7 (non-critical): whether "scope v0.2" is the same as "ui-0.2" is UNKNOWN. Pilot gates LOCAL-P1 (objective), P2 (acceptance criteria) and P3 (price/authority) are UNKNOWN (NOTE-5). - **Conflicts:** REQ-11 vs POL-4. Who may amend POL-4 is UNKNOWN. **Metacognitive Checkpoint** - ASSUMPTION: POL-4 binds the agent. That is an INFERENCE. - EVIDENCE: No record shows an exemption. - ALTERNATIVE: "All customer documents" may mean all support documents, which would narrow the conflict. - ERROR MODE: Treating 20 display passes as broader evidence, or the quote as authority. - CORRECTION: Request the REQ-11 owner's clarification before relying on G1 as a hard conflict. # 2. ANALYSIS - **GAP:** REQ-11 asks for all-customer retrieval while POL-4 allows assigned-account only. → **DEPENDENCY/CONSEQUENCE:** Isolation proof (G2) needs a defined access model, so signing now commits to a scope that conflicts with approved policy. → **EXCLUSION/PROOF REQUEST:** Exclude all-customer retrieval from any signed scope absent a documented authorized policy change. Request a written scope statement or policy-owner decision. - **GAP:** No isolation, retrieval or utility results exist; TEST-8 is display-only on ui-0.2. → **DEPENDENCY/CONSEQUENCE:** SEC-2 blocks live data, and READY needs outcome evidence, so TEST-8 cannot support either. → **EXCLUSION/PROOF REQUEST:** Exclude TEST-8 as evidence for retrieval, isolation or utility. Request approved outcome criteria, then isolation and positive-case retrieval results for the exact version. - **GAP:** Signing authority, payment status and pilot definition are all missing. → **DEPENDENCY/CONSEQUENCE:** A pilot is only PROPOSED and NOT ASSESSABLE; NOTE-5 is a proposal, not a basis. → **EXCLUSION/PROOF REQUEST:** Exclude the pilot from any approval until P1–P3 exist. PROPOSED alternatives (unapproved, unevidenced): a staged contract with a phase gate before live data, or a manual or rule-based assigned-account baseline for utility comparison. **Metacognitive Checkpoint** - ASSUMPTION: G2 depends on G1 (INFERENCE). - EVIDENCE: TEST-8 is not transferred to untested scope. - ALTERNATIVE: The pilot or a manual baseline may suffice, but it is unproven. - ERROR MODE: Circularity (NOTE-5 proposes a pilot, which does not show it is needed) and proposal-as-policy. - CORRECTION: Do not credit the pilot or staged contract as risk reduction until their objectives and terms exist. # 3. PROBABILITY ASSESSMENT - **Event:** Committed funds are spent on a build that cannot lawfully or usefully connect to live data. **Horizon:** not supplied. - **Probability:** NOT ESTIMABLE. No counts, reference class or denominator are supplied. **Confidence:** MEDIUM for the exposure labeling, LOW for anything about likelihood. | Category | Amount / state | |---|---| | QUOTED | USD 180,000 (QUOTE-9; SOURCE CLAIM, proposed) | | COMMITTED | UNKNOWN. No PO is supplied, but that does not establish no commitment. | | PAID / UNPAID | UNKNOWN (no ledger) | | IRREVERSIBLE SPEND | UNKNOWN (no refund/termination terms) | | POTENTIAL LOSS | UNKNOWN amount | The categories overlap, so they are not summed and no expected loss is computed. **Decision-changing evidence:** signed/unsigned status and payment terms; the REQ-11 interpretation; isolation results; pilot price. **Metacognitive Checkpoint** - DENOMINATOR: None. - PAID-STATUS ASSUMPTION: Not assumed zero. - LOWER-EXPOSURE OPTION: The pilot's price is UNKNOWN, so lower exposure is undemonstrated. - FALSE PRECISION and DOUBLE COUNTING: Avoided. - CORRECTION: No percentage is offered. NOT TESTABLE FROM SUPPLIED RECORDS. # 4. SYNTHESIS | Scope/version | STATUS | AUTHORIZATION | ACTION | Decisive evidence | |---|---|---|---|---| | ORIGINAL v0.2 | HOLD | UNKNOWN | HOLD | REQ-11/POL-4 conflict; SEC-2 has no evidence; TEST-8 limits | | TESTED ui-0.2 (dummy display) | NOT ASSESSABLE as a deliverable (no objective or acceptance basis beyond 20 checks) | UNKNOWN | NO ACTION ESTABLISHED | TEST-8 | | PROPOSED NARROWER (dummy UI pilot, no version) | NOT ASSESSABLE | UNKNOWN | REQUEST PROOF (P1–P3) | NOTE-5 | | AUTHORIZED | None documented | UNKNOWN | NO ACTION ESTABLISHED | No PO or signature | **Proposed work orders** (all computed from the same O0; Ci is potential closure on the named PASS receipt only): | ID | Purpose | Ci | PASS artifact / authority | FAIL / INCONCLUSIVE | OWNER | REMAINS | |---|---|---|---|---|---|---| | LOCAL-WO1 | Scope reconciliation | {G1} | Dated written decision by the policy authority citing POL-4 and the scope version | Closes nothing | PROPOSED | {G2, G3, G4, G5} | | LOCAL-WO2 | Approve outcome criteria | {G3} | Approved criteria for the exact scope/version, with approver named | Closes nothing | PROPOSED | {G1, G2, G4, G5} | | LOCAL-WO3 | Authority documentation | {G5} | Documented signer authority, PO status and ledger statement | Closes nothing | PROPOSED | {G1, G2, G3, G4} | - **Set check:** For each row, Ci ∩ REMAINS = ∅ and Ci ∪ REMAINS = O0. - **Already CLOSED:** LOCAL-G6 (not in O0). - **Not covered:** G2 and G4 evidence orders depend on WO1/WO2 outputs, so they are deferred to a new snapshot. A scope change reopens G3. **PROPOSED clauses** (no SLA, warranty, consent or approval implied): 1. **Inclusion/exclusion:** Scope is limited to assigned-account access per POL-4. All-customer retrieval (REQ-11) is excluded unless a documented authorized policy change is attached. 2. **Acceptance:** No live customer data is connected until isolation evidence for the exact delivered version is accepted in writing by an authority to be named. Display checks do not constitute acceptance of retrieval, isolation or outcomes. 3. **Outcome acceptance:** Retrieval deliverables are accepted only against criteria approved before testing. 4. **Change control:** Any change to scope, version or access model reopens the affected gates. A dummy-data UI pilot is a separate deliverable with its own objective, criteria, price and authority. **Metacognitive Checkpoint** - ASSUMPTION: G3/G4 are critical via the READY definition. If a reviewer classes them non-critical, recompute O0. - CLAUSE SUPPORT: Grounded in POL-4, SEC-2, TEST-8 and NOTE-5 but unapproved. - SCOPE ALTERNATIVE: The pilot remains unassessed. - SET ARITHMETIC: Verified above. - AUTHORITY: None supplied, none claimed. - CORRECTION: Request a reviewer decision on G3/G4 criticality. **UNKNOWNS:** REQ-11 meaning; POL-4 amendment authority; signer, PO and payment status; isolation predicate; outcome criteria; pilot objective, criteria and price; whether scope v0.2 equals ui-0.2. **GATE-REOPENING TRIGGERS:** any change to scope, version, access model, or policy; invalidated or superseded evidence. **EXTERNAL TESTS:** NOT RUN **SPENDING APPROVAL:** NOT GIVEN **POLICY WAIVER:** NOT GIVEN **CERTIFICATION:** NOT GIVEN