Incomex AI Portal
KB-7D9D

P3D Pack 1 Phase 4B — Legal Alignment Addendum

12 min read Revision 1
p3dpack1phase4blegal-alignmentcompliance-matrixaddendum

P3D Pack 1 Phase 4B — Legal Alignment Addendum

Date: 2026-05-11 Author: Opus 4.7 Status: Addendum to Phase 4B design — law-first, discovery-second Trigger: GPT review rejected Phase 4B for insufficient old-law compliance

A. Law inventory read

Law / Procedure Version Key content for Phase 4B
Điều 0-B v3.1 S111 6 lớp cấu tạo. "Entity này chứa gì bên trong?" determines composition_level. atom = không chứa entity khác.
Điều 0-G v1.0 S157 Birth registry: mọi entity → auto INSERT birth_registry. species_code auto-lookup từ species_collection_map JOIN entity_species. NULL species = audit flag.
Điều 29 v2.0 S160 ONE classification system. Mọi collection: species + birth + đếm. "Thiếu BẤT KỲ thuộc tính nào = KHÔNG TIN CẬY."
QT-001 v3.1 S193 Backfill: entity đã tồn tại chưa có birth record. 5 bước: check mapping → count gap → backfill → verify → inspect.
QT-003R v3.1 S193 Retroactive registration: table đã tạo, 0 rows, chưa registry. Đã áp dụng cho IU/UV → COL-176/COL-177.
QT-005 v3.0 S160 Thăng cấp observed→governed: tạo species riêng → map → backfill QT-001 → update governance_role → verify.
Species Taxonomy v1.2 S157 21 species (doc time, 40 live). Species = meta-entity ngoài 6 lớp. Tree 3 tầng (depth 0/1/2).
Phase 3 report 2026-05-11 IU: 0 species_collection_map, 12 birth_registry NULL species, 0 labels, 0 edges, observed/pilot.
Phase 4 report 2026-05-11 14 vocab keys committed. Planner resolves law_unit=plan_ok. Vocab gate OPEN.

B. Compliance matrix

# Requirement Source law Current IU state Status Phase 4B action
1 Every collection has species mapping Điều 29 §II species_collection_map: 0 rows for IU/UV ❌ MISSING Discovery must list all 40 species + options; seed after GPT decision
2 Every collection has birth trigger Điều 29 §II trg_birth_information_unit active ✅ PRESENT Discovery confirms
3 Every collection has governance_role Điều 29 §II observed (COL-176) ⚠️ PRESENT but NOT governed Decision: promote via QT-005 or keep observed
4 Every collection has purpose description Điều 29 §II description_policy=structured_exempt ⚠️ EXISTS but exempt tier Review adequacy
5 Birth auto-fills species from mapping Điều 0-G §2.2 NULL (no mapping exists) ❌ GAP Create species_collection_map entry → future births auto-fill
6 Birth auto-fills composition from species Điều 0-G §2.2 NULL ❌ GAP Composition decision required before mapping
7 Existing entities without birth → QT-001 backfill QT-001 12 rows with NULL species ❌ NOT BACKFILLED After species mapping, run QT-001-aligned backfill (not ad-hoc UPDATE)
8 Composition determined by containment analysis Điều 0-B §II Not analyzed yet ❓ UNKNOWN Discovery must answer: does IU contain other entities?
9 One classification system, no parallel Điều 29 §I IU outside species universe ❌ VIOLATION IU must JOIN existing system
10 Promotion observed→governed follows QT-005 QT-005 Not applied ⚠️ IF promoting Follow QT-005: species → map → backfill → update role → verify
11 Species gom for non-governed collections Điều 29 §III IU is observed → could use gom species ❓ DEPENDS If kept observed: gom species (e.g., SPE-GOV). If promoted: dedicated species.
12 Retroactive registration done QT-003R COL-176/COL-177 created (precedent) ✅ DONE No action needed

Summary: 4 missing, 3 present-but-incomplete, 2 unknown (need discovery), 2 conditional, 1 done.

C. Old-law constraints on IU birth/migration

From the laws, these constraints are NON-NEGOTIABLE for Phase 4B:

  1. Điều 29: IU MUST have species mapping before it's considered trustworthy. "Thiếu BẤT KỲ thuộc tính nào = KHÔNG TIN CẬY."
  2. Điều 0-G: fn_birth_registry_auto reads species_collection_map. No mapping → NULL species → audit flag. This is working-as-designed (not a bug), but means IU births are flagged.
  3. Điều 0-B: Composition level MUST be determined by "thứ này chứa gì bên trong?" — not by assumption. Must prove via containment evidence.
  4. QT-001: Backfill of 12 existing birth_registry rows requires the 5-step procedure, not ad-hoc SQL.
  5. QT-005: If promoting IU from observed→governed, must follow the promotion procedure: species creation → mapping → backfill → role update → verify.
  6. Điều 29 §I: "Hai hệ thống hành chính song song = vi phạm Assembly First + Điều 28." IU cannot have its own classification scheme outside the species universe.

D. What current IU violates or lacks

Violation / Lack Severity Law
No species_collection_map entry HIGH — invisible to species-based counting/monitoring Điều 29, Điều 0-G
birth_registry species_code=NULL for all 12 rows HIGH — birth records incomplete Điều 0-G
birth_registry composition_level=NULL for all 12 rows HIGH — can't classify by lớp cấu tạo Điều 0-B, Điều 0-G
governance_role=observed, not governed MEDIUM — reduced inspection, adequate for pilot phase Điều 29 §VI
entity_labels: 0 entries LOW — DOT enrichment, post-birth concern Not a birth/registry law requirement
universal_edges: 0 entries LOW — DOT enrichment, post-birth concern Not a birth/registry law requirement

E. What must be metadata-driven, not code-driven

Per Điều 0-G: "KHÔNG SỬA CODE. Thay đổi = thay đổi metadata." Per Điều 29: "Thêm species mới → KHÔNG SỬA QUERY."

Phase 4B executable actions (after design approval) must be METADATA operations only:

  • INSERT into species_collection_map (metadata)
  • INSERT into entity_species IF new species needed (metadata)
  • UPDATE birth_registry per QT-001 procedure (metadata backfill)
  • UPDATE collection_registry.species_code (metadata)
  • Optionally UPDATE collection_registry.governance_role per QT-005 (metadata)

NO function patches. NO trigger patches. NO birth gate changes. NO new queries to maintain.

F. Species decision: law + live registry, not local guess

Phase 4B design v1 recommended "new species E1." This was premature. Per Điều 29:

  • If IU stays observed: must use a species-gom (e.g., SPE-GOV for governance infrastructure). Điều 29 §III explicitly defines gom species for non-governed collections.
  • If IU promoted to governed: must create dedicated species (QT-005 §BƯỚC 1: "tạo species riêng").
  • The decision between gom vs dedicated depends on governance_role promotion decision.
  • The exact species_code depends on live entity_species catalog (40 rows — are there existing species that fit? does a governance-infrastructure species already exist?).

Phase 4B discovery must answer:

  1. What species currently exist in entity_species? (all 40)
  2. Is there an existing species suitable for IU? (e.g., SPE-GOV if IU stays observed)
  3. If promoting to governed, what naming convention do other governed collection species follow?
  4. What tree depth/parent should a new IU species have?

Decision LOCKED = false. Cannot lock until discovery results are reviewed.

G. Composition decision: Điều 0-B criteria + live containment evidence

Phase 4B design v1 recommended "atom F1." This was hypothesis, not conclusion. Per Điều 0-B:

"Câu hỏi duy nhất: Entity này chứa gì bên trong?"

Must answer for IU law_unit:

  1. Does an IU law_unit contain OTHER entities (with IDs)? If yes → molecule or higher. If no → atom.
  2. Is parent_or_container_ref a structural containment (IU contains other IU)? Or just a document-tree reference?
  3. Does the TAC hierarchy (logical_unit parent→child) mean IU law_units CONTAIN each other? Or are they siblings within a publication?
  4. Are sections (article, paragraph, heading) separate entities or sub-atomic field values?

Discovery evidence needed:

  • tac_logical_unit parent/child structure: how many have parent_ref? How deep is nesting?
  • information_unit.parent_or_container_ref: schema exists but 12 rows NULL. Is this containment?
  • Does the IU birth gate or planner treat parent as structural containment?

Decision LOCKED = false. Cannot lock until containment evidence from discovery is reviewed.

H. Birth registry backfill: QT-001 aligned, not ad-hoc

Phase 4B design v1 described backfill as "simple UPDATE SET species_code=..., composition_level=...". This violates QT-001.

QT-001 requires 5 steps:

  1. Check: species_collection_map exists? birth trigger exists? ✅ already exist for IU.
  2. Count: source (information_unit) vs birth_registry. Gap = rows with NULL species (currently 12).
  3. Execute: dot-birth-backfill --collection=information_unit (or equivalent per QT-001 BƯỚC 3). If dot tool unavailable, fallback to governed SQL that follows QT-001 semantics (UPDATE birth_registry SET species_code, composition_level WHERE collection_name='information_unit' AND species_code IS NULL).
  4. Verify: count again. All 12 rows should now have species.
  5. Inspect: if governed, run dot-inspect-pen.

The executable prompt for Phase 4C must implement these 5 steps explicitly, not just "UPDATE 12 rows."

I. Revised Phase 4B recommendation

Original Phase 4B: "design + discovery → GPT decides options E/F/G/H."

Revised Phase 4B (law-aligned):

  1. Discovery first — read-only prompt gathers ALL evidence from live PG.
  2. Evidence informs decisions — species, composition, governance_role decisions are made by GPT/User based on evidence + old-law requirements.
  3. No decision locked before discovery — species and composition are hypotheses.
  4. Phase 4C — executable alignment prompt, follows QT-001/QT-005 procedures explicitly.
  5. Phase 5 — TAC→IU migration design (only after 4B + 4C done).

Changed from v1:

  • Removed all "recommended" labels on species/composition options. Now "hypothesis pending discovery."
  • Added compliance matrix as gating requirement.
  • Birth backfill redesigned per QT-001.
  • Species decision tied to governance_role decision (per Điều 29 §III vs QT-005).

J. Updated migration gates

vocab_gate                   = OPEN (14 keys, planner plan_ok)
species_mapping_gate         = BLOCKED (no species_collection_map for IU)
composition_decision_gate    = BLOCKED (not proven via Điều 0-B containment)
governance_promotion_gate    = OPEN_QUESTION (observed sufficient for migration? or must promote first?)
birth_backfill_gate          = BLOCKED (12 rows NULL, QT-001 not yet executed)
legal_compliance_gate        = BLOCKED (compliance matrix items #1,5,6,7,8 unresolved)
label_gate                   = DEFERRED (DOT enrichment, post-migration)
edge_gate                    = DEFERRED (DOT enrichment, post-migration)
migration_allowed            = false (until species + composition + compliance gates resolved)

Legal Alignment Addendum | Compliance matrix with Điều 0-B, 0-G, 29, QT-001/003R/005 | No decisions locked | 2026-05-11