03 — Blockers Carried Forward & Readiness

Tier: Concept / principle only. This doc names the blockers and the tier each one holds; it does not solve any of them and must not be read as solving any of them. Source: Round-4 docs 02 (open-question closure), 08 (live-PG compatibility), 11 (GO/NO-GO). Live-PG evidence is read-only and as of 2026-06-01.

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3.1 Why this doc exists

The Round-4 CONDITIONAL GO authorizes the concept tier only. Every later tier (apply/remediation binding, IU surface/owner-binding, law-file patch, enactment) is held behind a named, detected, upgrade-pathed prerequisite. This canon carries those flags forward verbatim so no downstream reader mistakes a concept contract for a buildable design. Nothing here is solved. Every blocker is open.

3.2 Substrate blockers (PG schema delta needed; concept may reference, apply waits)

ID	Blocker	Live evidence (read-only 2026-06-01)	Holds	Non-mutating remediation path (later tier)
SB-1	Missing governance APR action-types	apr_action_types = 6 (add_field, amend_law*, create_item, enact_nrm*, patch_ops_code, update_item; *=unimplemented); none is assign_governance_owner / grant_governance_exception / delegate_authority / assign_axis_owner	apply PROPOSE	add 4 rows + handler/council-review wiring; interim exception store = admin_fallback_log (C-2)
SB-2	Object/axis ownership edge un-expressible	chk_relations_source_type & chk_relations_target_type both ∈ {law, agency}; 8 live edges all agency→law	apply APPLY	additive table governance_object_ownership(owner_gov_code, object_type, object_ref, scope, …) preferred over widening the CHECK (C-1)
SB-3	IU axis envelope hardcodes 3 axes	iu_three_axis_envelope DDL = exactly axis_a_*, axis_b_*, axis_c_*; 216 rows; a 4th axis ⇒ ALTER TABLE	open-axis at the IU substrate	Axis Registry = ground truth; generic iu_axis_value store; envelope → hot-cache projection — IU technical design, after OP-B

SB-3 is the keystone honesty caveat: the "no fixed axis array" principle (M-DEF-8/9) is concept-true but substrate-false at IU today. Every concept doc that asserts open-axis carries this caveat.

3.3 Council / human decision surface (8 items — none blocks the concept tier)

ID	Decision	Class	Recommended default (council to ratify)	Holds
C-1	object/axis ownership edge: new table vs widen CHECK	council + substrate (SB-2)	new governance_object_ownership table (additive, no migration risk)	apply
C-2	governance APR action-type bundle	council + substrate (SB-1)	one bundle of 4 (assign_governance_owner w/ handler; the rest council-review)	apply
C-3 / OP-B	IU family accountable owner per scope	council	policy→COUNCIL; substrate/health→KG-SYS + SIV; execution→DOT; render→MOUT (interim TTL delegation); law→NRM-SYS	IU surface / owner-binding
C-4	review_decision as approval adapter vs full Đ32	council	record as a governed approval-adapter exception (11-field, with replacement_plan to migrate to Đ32)	IU approval routing
C-5	render ownership: COUNCIL delegation vs GOV-MOUT activation	council	delegation now (TTL), GOV-MOUT activation as end-state (Đ28 is agency-orphaned today)	render-binding
C-6	shareable-but-personal boundary (A2) + legacy-bypass deadline (A3)	council (ratification)	(A2) Class-0 → governed at export/share; (A3) 60 days	— (proceed on default)
H-1	how new clauses become enacted law	human	separate human-ratification phase (council_review + manual/admin-fallback enact into normative_registry)	enactment
H-2	OP-B owner-binding ratification	human	sovereign ratifies the C-3 assignment into live governance_registry	IU owner-binding (live)

3.4 Law-drift blockers (content-only; GOV-NRM-SYS; block a law patch, not this concept patch)

ID	Blocker	Evidence	Holds
L-1	Enacted-law drift	Đ45 ban_hanh=false leftover lines; Đ36 v4.0 (index) vs v5.0 (file) ambiguity; enacted Đ37 v3.3 text vs live columns (gov_type/created_by_law/relation_type/enforcement_role + capability JSON not in the law)	law-file patch
L-2	Law-registration gap	normative_registry (47 rows) lacks Đ20, Đ23, Đ44, Đ45 — yet IU runs under Đ44 (draft), events under Đ45, design-before-impl under Đ20, DOT-scan under Đ23	law-file patch + clauses referencing these laws
L-3	Phantom definition wording	per-source-model phantom (model-A stale-actual write-race ≠ phantom; model-B genuine record>actual) drafted but un-ratified	law-tier wording

Concept design may cite Đ20/23/44/45 as "draft / KB-only, registration pending." It must not write to normative_registry, law_catalog, or governance_docs.

3.5 Other substrate observations (not hard apply-blockers)

ID	State	Disposition
SB-4	No governance/coverage/axis/orphan/anarchy/island/exception event-type domain (event_type_registry); mother.* rows active=false; system_issues.issue_type is free-text (no CHECK)	register-before-emit under a GOV-SIV governance/integrity domain; reuse thiếu_quan_hệ/sai_lệch_dữ_liệu for orphan/drift — scanner tier
SB-5	amend_law / enact_nrm handlers unimplemented; enact-via-APR id 204–210 all rejected	enactment = human phase (H-1)
SB-6	os_proposal_approvals = 0; apr_approvals = 42 all S178 DOT-repair; no governance/IU/axis/coverage approval ever	COMMIT_FORBIDDEN — human phase (H-1)
SB-7	governance_audit_log = 1 stale row	activate the Đ37 §5.5 audit loop (reuse table + registry_changelog/event_outbox), do not replace — implementation tier
SB-8	dot_coverage_required = 11 (birth/collection/governance.approval/monitoring.dot only)	add coverage rows for governance.coverage/classification/pivot/axis/iu — scanner tier
SB-9	law_catalog(5) stale; governance_docs(12) drifted UI index	content-only (L-1/L-2)

3.6 Concept-tier GO vs later-tier NO-GO (the readiness boundary)

Track	Decision	Gate
Concept / principle canonical design (this canon + the surface/foundation concept-patch sections)	GO — done in this round	carry M-DEF-1..10 + §0-GOV + flag blockers
Apply / remediation-binding design (the DOT writing owner edges)	NO-GO	until SB-1 + SB-2 + SB-3
IU surface / owner-binding design	NO-GO	until OP-B (C-3) + C-4
IU axis-envelope generalization (substrate)	NO-GO	IU technical design after OP-B (SB-3)
Law-file patch (Đ37/31/32/35/44/45 text)	NO-GO	content-only L-1 + L-2 first, then a separate law-patch macro
Law enactment	NO-GO	separate human phase: SB-5 + SB-6 + H-1

3.7 Deferred-technical declaration

This canon designs no technology. The following are explicitly DEFERRED to later tiers behind the blockers above, and must not be inferred from any concept card here:

• PG schema (tables, columns, CHECK changes, the object-ownership edge, the iu_axis_value store).
• DOTs (scan / propose / apply / audit coverage DOT family; paired_dot; handlers).
• Scanner SQL / views / functions; inventory-completeness reconciliation.
• Issue / event registration (event_type_registry, dot_coverage_required rows).
• Apply / remediation binding (any code that writes an owner/axis edge or grants an exception).
• IU surface / owner-binding / axis-envelope generalization.
• Production UI / API / route / Directus / Qdrant / Nuxt change.
• Law enactment / version bump / normative_registry / law_catalog / governance_docs write / approval creation.

Readiness verdict for the next tier: the concept layer is tight (closed open-question ledger, all-domain proof, count>1 rule, 100%-caught Red-Team v3). The apply/IU-surface/law/enactment tiers remain NO-GO behind the 3 substrate deltas (SB-1/2/3) and the 8-item council/human surface. No condition here may be satisfied by self-approval.