KB-3840
dot-iu-cutter v0.1 — Legal Alignment & Governance Compatibility Report
11 min read Revision 1
dot-iu-cutterdesignlegal-alignmentgovernancecompatibilityrev5d
dot-iu-cutter v0.1 — Legal Alignment & Governance Compatibility Report (D10)
Date: 2026-05-15 Status: DESIGN DRAFT Baseline: rev5d §3, §13.2 Scope: DESIGN ONLY.
1. Purpose
Audit the cutter design (D1–D9, D11) against the binding laws: Đ24, Đ32, Đ33, Đ37, Đ38, Đ39, Đ43, Đ44 (DRAFT), Đ0-G, and C1A. Report on alignment, identified governance gaps, and any law conflicts. If a conflict cannot be resolved by flagging / deferring, the design phase halts.
2. Scope
- Per-law alignment assessment
- Governance role mapping (Đ37)
- High-risk path identification (Đ32)
- PG placement compliance (Đ33/Đ43)
- Vocabulary discipline (Đ24)
- universal_edges first compliance (Đ39)
- Birth Gate distinction (Đ0-G)
- UOSL draft status discipline (Đ44)
- DOT-pair / human escalation paths
Out of scope: enacting laws; proposing law amendments; DDL.
3. Dependencies
- rev5d §3 (Canonical Foundations), §13.2 (Legal Alignment), §13.3 (PG-first)
- C1A (Đ38-trien-khai)
- Đ0-G, Đ24, Đ32, Đ33, Đ37, Đ38, Đ39, Đ43, Đ44
- D1–D9, D11 (all design surfaces)
4. Per-Law Alignment
4.1 C1A — Canonical Segmentation Law
| Cutter Surface | Compliance | Notes |
|---|---|---|
| Boundary determination (D2 §4.3) | PASS | Inherits 3-question test, SR, OD-PILOT, NL, CI |
| MARK rule citation (D2) | PASS | Manifest carries C1A_rule_refs per unit |
| No mechanical splitting (D1, D2, D6) | PASS | Repeated guardrail |
| Post-action verify (D3) | PASS | C1A re-checked after Split/Merge |
| One canonical parent (D2) | PASS | REVIEW enforces |
Status: aligned. No conflict.
4.2 Đ24 — Label Law / Vocabulary
| Cutter Surface | Compliance | Notes |
|---|---|---|
| section_type / unit_kind (D2 §4.4) | PASS | Đ24 only; gaps → backlog |
| classification_labels (D6) | PASS | Đ24-controlled |
| semantic_role (D6, D9) | PASS | Đ24-controlled |
| Threading vocabulary (D9) | PASS | SKOS conceptual; Đ24 operational |
| Health signal kinds (D3) | PASS | Defined catalog; new signals route through Đ24 |
| Retrieval gap signal kinds (D11) | PASS | Defined catalog |
Status: aligned. Guardrail enforced: no parallel taxonomy. Vocabulary gaps route to Đ24 governance via D5 backlog.
4.3 Đ32 — Risk / Approval
| Cutter Surface | Compliance | Notes |
|---|---|---|
| Risk-classed manifest (D2 §4.8) | PASS | risk_class field; high-risk → human |
| Auto-accept gate (D9 §4.4) | PASS | Risk-gated, multi-signal, policy-permitted |
| Backlog routing (D5 §4.5) | PASS | Risk-class drives routing |
| Capability intake authority (D4 §4.5) | PASS | Risk-class drives authority |
| Audience access (D11 §4.10) | PASS | wrong_audience_result is security event |
| Tool revision change (D4) | PASS | Always at least Standard risk |
Status: aligned. Đ32 risk gating is consistent across deliverables.
4.4 Đ33 / Đ43 — PG Location
| Cutter Surface | Compliance | Notes |
|---|---|---|
| Manifest envelope (D2) | PASS | directus / TAC schema / Kho |
| Health signals (D3) | PASS | directus / Não |
| Decision Backlog (D5) | PASS | directus / Lớp KHO |
| Threading objects (D9) | NEEDS_CLOSURE | Final table-vs-universal_edges decision deferred; recorded as gap |
| Retrieval metrics (D11) | PASS | directus / Não |
| Capability intake (D4) | PASS | directus / Kho |
Status: largely aligned. One open closure: D9 thread family final placement. NOT a conflict — a placement decision deferred to governance.
4.5 Đ37 — Governance Organization Law
| Cutter Surface | Compliance | Notes |
|---|---|---|
| Operator roles (D2 §4.10) | PASS | Owner, Reviewer, Council, Executor, Verifier all from Đ37 |
| Escalation queue (D1, D3, D5, D9, D11) | PASS | Existing Đ37 channel |
| No parallel notification (criterion 38) | PASS | All routing reuses Đ37 |
| Threading roles (D9 §4.10) | PASS | Mapped to Đ37 |
| Capability intake review (D4 §4.5) | PASS | Đ37 authority by risk |
| Backlog ownership (D5) | PASS | Đ37 owners |
Status: aligned. Governance gap if any role unmapped → routed to backlog, not invented.
4.6 Đ38 — Text-as-Code
| Cutter Surface | Compliance | Notes |
|---|---|---|
| Manifest-as-code (D2 §4.1) | PASS | Versioned, diffable |
| Review decisions versioned | PASS | D2 §4.6 |
| Reports versioned | PASS | D1 §4.9, D3 §4.12 |
| Capability intake versioned (D4 §4.8) | PASS | |
| Backlog entries versioned (D5 §4.7) | PASS | |
| Dogfooding (P8) | PASS | Cutter operates on Text-as-Code principles |
Status: aligned. Cutter dogfoods TAC.
4.7 Đ39 — Universal Edges
| Cutter Surface | Compliance | Notes |
|---|---|---|
| candidate_edges via universal_edges (D6, D9) | PASS | Reuse preferred |
| Thread membership (D9 §4.2) | PASS | universal_edges first; separate table only if proven insufficient |
| Edge reassignment in Split/Merge (D3 §4.7, §4.8) | PASS | Via universal_edges |
| No parallel graph authority (rev5d §13.2.5) | PASS | Guardrail enforced |
Status: aligned. universal_edges-first rule is repeated and binding.
4.8 Đ44 — UOSL (DRAFT)
| Cutter Surface | Compliance | Notes |
|---|---|---|
| Compatibility mapping (D7) | PASS | Conceptual mapping done; gaps named |
| No treating draft as enacted (rev5d §3.5) | PASS | uosl_compat_status='draft' policy |
| New families flagged (D7 §4.4–§4.6) | PASS | Multiple gaps recorded |
| Maturity declared per family (D7 §4.7) | PASS | M0–M2 hints |
Status: aligned. Đ44 guardrail honored — draft treated as draft.
4.9 Đ0-G — Birth Gate
| Cutter Surface | Compliance | Notes |
|---|---|---|
| Birth gate readiness per unit (D2 §4.6) | PASS | REVIEW enforces |
| Distinguish base/draft/runtime (D7) | PASS | authority field hint; current absence is a schema gap |
| Visibility / readiness filters (D11) | PASS | Tied to authority |
Status: aligned, pending schema gap (authority field).
5. Cross-Cutting Guardrails Audit
| Guardrail | Source | Compliance | Where enforced |
|---|---|---|---|
| Thread ≠ Edge | rev5d §13.1.1 | PASS | D9 §4.1 |
| SKOS conceptual only | rev5d §13.1.2 | PASS | D9 §4.13 |
| W3C PROV evidence | rev5d §13.1.3 | PASS | D9 §4.13 |
| User-directed = intent, not auto-truth | rev5d §13.1.4 | PASS | D9 §4.12 |
| Auto-accept risk-gated | rev5d §13.1.5 | PASS | D9 §4.4 |
| Expected chain hook | rev5d §13.1.6 | PASS | D9 §4.9 |
| PG + Qdrant + universal_edges first | rev5d §13.1.7 | PASS | D9 §4.2, §4.13 |
| Negative knowledge persists | rev5d §13.1.8 | PASS | D9 §4.7 |
| Health signals minimum set | rev5d §13.1.9 | PASS | D3 §4.2, D9 §4.8 |
| Split/merge preserves provenance | rev5d §13.1.10 | PASS | D3 §4.7, §4.8, D9 §4.11 |
| Access control = security | rev5d §14.2 / §13.2 | PASS | D11 §4.10 |
| DOT pair / dual-engine | rev5d criterion 28 | PASS | D1 §4.14 |
| No mechanical splitting | C1A | PASS | D1, D2, D6 |
| Manifest before cut | rev5d P2 | PASS | D1 §4.2 |
Status: all guardrails honored.
6. High-Risk Paths Identified
Paths that always require Standard or High risk approval (Đ32):
- CUT execution on enacted-law sources.
- Manifest schema changes (D4 §4.5).
- REVIEW checklist changes.
- Đ24 vocabulary additions/changes.
- Audience filter policy changes (D11).
- Auto-accept gate threshold changes (D9).
- Tool revision upgrades (D4).
- Any
wrong_audience_resultevent (security path).
7. Governance Gaps Identified
- Threading roles — verify Đ37 has explicit mapping for thread owner / reviewer / council. If not → governance gap; route to Đ37 governance.
- Decision Backlog custodian — confirm Đ37 role for backlog ownership.
- Capability intake reviewer — confirm Đ37 role for TAC/KG intake.
- DOT-pair signing authority — both executor and verifier signatures required; current Đ37 mapping unclear.
- Access control authority for audience scope — confirm Đ37 mapping; if absent, route to Đ37 governance.
These are gaps, not conflicts. They are recorded in D5 backlog for Đ37 resolution.
8. Law Conflicts Status
Conflict watchlist (Checkpoint 0 §8):
| Watch item | Status |
|---|---|
| Đ24 vs SKOS-style taxonomy | RESOLVED — D9 §4.13 explicit (SKOS conceptual only) |
| Đ32 vs auto-accept | RESOLVED — D9 §4.4 risk-gated |
| Đ33/Đ43 vs cross-DB temptation | DEFERRED — single placement per object recorded; final closure for some threading objects pending |
| Đ37 vs new notification systems | RESOLVED — no new notification path; all reuse Đ37 |
| Đ44 draft treated as enacted | RESOLVED — D7 explicit uosl_compat_status='draft' |
| Đ39 universal_edges vs parallel thread graph | RESOLVED — universal_edges-first rule repeated |
| Birth Gate (Đ0-G) base/draft/runtime distinction | DEFERRED — authority field as schema gap |
No unresolved law conflict. Design phase MAY proceed.
9. Recommendation
- Ratify the mapping table (D7) at Đ44 governance to firm up Family Registry placements.
- Open Đ37 entries for the unmapped governance roles (§7).
- Close the threading PG placement question via Đ33/Đ43 review (§4.4 row D9).
- Add
authorityand other G5 fields to Đ0-G enforcement schema (D7 §4.3 row). - After implementation begins, audit auto-accept rates against rejection rates; tune via D4 capability intake.
10. Coverage
Questions covered (primary): Q35, Q36, Q45. Questions covered (secondary): Q21, Q39.
Acceptance criteria covered:
- 21 (human escalation for authority boundaries)
- 37 (governance role mapping to Đ37)
- 38 (no parallel notification system)
Schema gaps: referenced from D1–D9, D11; not re-numbered here.
Law dependencies: all primary laws.
Open questions: Đ44 family decisions; Đ37 role closures (see §7, §9).
Law conflicts encountered: none unresolved. Design phase continues.