dot-iu-cutter v0.1 — Governance + P0 Planning Phase Report

Date: 2026-05-15 Status: PLANNING PHASE COMPLETE — pending Đ37 governance closure + User decisions Trigger: User PASS_DESIGN_WITH_NOTES (all 4 Gates passed) Baseline: rev5d + 11 design deliverables + 4 Gate reviews

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1. Purpose

Tổng hợp kết quả của phase Governance Closure + P0 Schema Planning. Liệt kê files created, unresolved items, recommended closure order, items vẫn block implementation planning, và xác nhận tuyệt đối không có implementation / DDL / migration / PG mutation nào được thực hiện trong phase này.

2. Hard Boundaries Honored

implementation_performed: false
ddl_written: false
migration_performed: false
pg_mutation: false
qdrant_or_vector_mutation: false
ui_build: false
schema_change: false
user_data_changed: false
design_deliverables_modified: false
problem_statement_rev5d_modified: false
new_governance_role_outside_dieu37: false
parallel_notification_system: false
silent_vocabulary_invention: false
self_dispatch_for_implementation: false

3. Files Created (paths + revisions)

All under: knowledge/dev/laws/dieu44-trien-khai/planning/

#	File	Slug	Rev
1	Governance Closure Package	dot-iu-cutter-v0.1-governance-closure-package-2026-05-15.md	1
2	P0 Schema Planning Package	dot-iu-cutter-v0.1-p0-schema-planning-package-2026-05-15.md	1
3	User Decision Pack	dot-iu-cutter-v0.1-user-decision-pack-2026-05-15.md	1
4	Governance + P0 Planning Phase Report	(this document)	1

Design deliverables (12 files) at knowledge/dev/laws/dieu44-trien-khai/design/ — NOT modified. rev5d problem statement — NOT modified.

4. Phase Output Summary

4.1 Governance Closure Package

5 governance gaps documented with closure plan:

ID	Gap	Owner role proposed	User/Council decision required
G-1	Threading roles	Domain Owner + AI Council + Council	YES (Council + User)
G-2	Decision Backlog custodian	Registry custodian	Council
G-3	Capability-intake reviewer	TAC reviewer + KG reviewer + Council	Council
G-4	DOT-pair signing authority	DOT registry custodian + Council	Council
G-5	Audience-Scope Access-Control Authority	Access-Control Authority + Council	YES (Council + User)

Closure order: G-2 → (G-1 ∥ G-5) → G-3 → G-4.

4.2 P0 Schema Planning Package

6 P0 schema gaps with purpose / source / dependencies — no DDL written:

ID	Object	Source	Critical dependency
P0-1	canonical_address on tac_logical_unit	D6, D7	Đ24 format ratification
P0-2	manifest_envelope + manifest_unit_block	D2	User Decision §5 (block shape) + Đ44 Family
P0-3	cut_change_set + rollback_key	D1	G-4 signing authority
P0-4	verify_result	D1	G-4 signing authority
P0-5	decision_backlog_entry	D5	G-2 custodian + User Decision §4
P0-6	review_decision	D2	G-1 / G-3 reviewer roles

Migration design topological order (for FUTURE phase, NOT executed): P0-5 → P0-1 → P0-2 → P0-6 → P0-3 → P0-4.

4.3 User Decision Pack

7 user decisions with options / recommendation / tradeoff / risk / default:

#	Decision	Default proposed	Risk class
1	Auto-accept thresholds	Balanced (conf ≥ 0.75, ≥ 2 signals, 2-domain allowlist)	Standard
2	Retrieval target values	Standard (thread_hit_rate ≥ 80%, fallback ≤ 15%)	Standard
3	Audience definitions	Conservative (4 classes, internal-only default, tiered 5-level)	HIGH (held)
4	Backlog scope	Cutter-only v0.1	Standard
5	Per-unit block shape	Child rows (separate table)	Standard
6	wrong_audience_result handling	Block + Log + Escalate, NO auto-rollback	HIGH (held)
7	Context Pack caching	Always fresh v0.1	Low

HIGH-risk defaults DO NOT auto-apply — Decisions 3 and 6 wait for User confirm or G-5 Council ratify.

5. Unresolved Items

5.1 Governance closure pending (5)

All 5 governance gaps awaiting Đ37 action. No closure performed in this phase — only closure paths defined.

5.2 User decisions pending (7)

All 7 decisions awaiting User. Defaults proposed but:

• 5 defaults can apply once User passes design phase AND does not override.
• 2 defaults (Decisions 3, 6) are HIGH risk and held until explicit confirm.

5.3 P0 schema migration design (NOT THIS PACKAGE)

Migration design for the 6 P0 items is a separate future phase, gated by:

• Governance closure of G-1, G-2, G-3, G-4 (G-5 covers Audience surface; relevant for P3, not P0 directly).
• User Decision §5 (per-unit block shape) — critical for P0-2.
• Đ44 Family Registry submission for 4 new families (Manifest envelope, Cut change-set, Verify result-class, Governance Event).

5.4 P1 / P2 / P3 schema gaps (50 items)

P1 (15), P2 (14), P3 (21) gaps NOT covered in this phase. They wait until P0 migration is designed and shipped.

5.5 Missing instrumentation (9 items)

Instrumentation items from D8 §8 unchanged:

1. Retrieval log events
2. Co-edit detection
3. Co-citation capture
4. Co-retrieval capture
5. CDC plumbing
6. Thread centroid embedding
7. Health-score aggregator
8. DOT-pair signature recording
9. Auth-context propagation

None can begin before P0 migration design lands.

5.6 26 open questions from D8 §9

User Decision Pack addresses 7. Remaining 19 distribute across G-1..G-5 governance closures, Đ44 Family Registry, Đ32 risk reviews, Đ33/Đ43 placement decisions, and technical instrumentation backlog.

6. Recommended Order of Closure

Step 1 (parallel)
   ├─ User reviews + decides on 7 items (User Decision Pack)
   └─ Đ37 governance starts G-2 (Backlog custodian) — foundational

Step 2 (parallel, after Step 1)
   ├─ Đ37 closes G-1 (Threading roles)
   └─ Đ37 closes G-5 (Access-Control Authority)
      → unblocks User Decisions 3, 6 ratification

Step 3 (after Step 1, 2)
   ├─ Đ37 closes G-3 (Capability-intake reviewer)
   └─ Đ44 governance ratifies new Family Registry entries
      (manifest envelope, cut change-set, verify result, governance event)

Step 4 (after Step 3)
   └─ Đ37 closes G-4 (DOT-pair signing authority)

Step 5 (after all of Steps 1–4)
   └─ Migration Design Package per P0 item (or batched)
      — separate phase; this is when migration spec begins

Step 6 (after Step 5, Đ32 approval, council ratify)
   └─ Implementation Planning Package
      — separate phase; still no implementation

Step 7 (after Step 6, full risk review, owner sign-off)
   └─ Implementation execution
      — first time code/DDL/migration is allowed

Steps 5, 6, 7 are FUTURE phases. None are part of this phase.

7. What Is Still Blocking Implementation Planning

Implementation planning is blocked until ALL of the following land:

Blocker	Phase that resolves it	Status
User PASS on design phase	Done (PASS_DESIGN_WITH_NOTES)	✅ Closed
User decision on 7 items	User Decision Pack	⬜ Awaiting User
Đ37 closure of G-2 (Backlog custodian)	Governance closure step 1	⬜ Awaiting Đ37
Đ37 closure of G-1 (Threading roles)	Governance closure step 2	⬜ Awaiting Đ37
Đ37 closure of G-5 (Access-Control Authority)	Governance closure step 2	⬜ Awaiting Đ37
Đ37 closure of G-3 (Capability-intake reviewer)	Governance closure step 3	⬜ Awaiting Đ37
Đ37 closure of G-4 (DOT-pair signing authority)	Governance closure step 4	⬜ Awaiting Đ37
Đ44 Family Registry ratification (4 new families)	Governance closure step 3	⬜ Awaiting Đ44
P0 migration design (6 items)	Future migration design phase	⬜ Not started
Đ32 risk approval for P0 migrations	Future migration design phase	⬜ Not started

Until all are ✅, implementation planning MUST NOT begin.

8. Confirmation Block

phase: governance_closure_and_p0_schema_planning
phase_status: PLANNING_COMPLETE_PENDING_CLOSURES

files_created: 4
files_path: knowledge/dev/laws/dieu44-trien-khai/planning/

design_phase_deliverables_modified: 0
problem_statement_rev5d_modified: false

implementation_performed: false
ddl_written: false
sql_proposed: false
migration_performed: false
pg_mutation: false
qdrant_mutation: false
directus_mutation: false
schema_change: false
user_data_changed: false
ui_build: false
self_dispatch_for_implementation: false

governance_gaps_documented: 5
governance_gaps_closed: 0
p0_schema_items_documented: 6
p0_schema_items_designed: 0
user_decisions_documented: 7
user_decisions_confirmed: 0
defaults_proposed: 7
defaults_held_for_high_risk: 2

implementation_planning_allowed: false
implementation_allowed: false

next_phase: governance_closure_execution_then_user_decisions
next_phase_does_not_include: implementation_planning

9. Closure of This Phase

This Governance + P0 Schema Planning phase is complete. The 4 deliverables are uploaded. No design deliverables were modified. No rev5d content was modified. No code/DDL/migration/PG mutation/Qdrant change was performed.

The next phase is governance closure execution, owned by Đ37 (with Đ44 Family Registry support), parallel with User decisions on the User Decision Pack. Migration design and implementation planning remain blocked.

10. Status

package_status: READY_FOR_USER_AND_GOVERNANCE
files_created: 4
governance_gaps_routed: 5
p0_items_named: 6
user_decisions_prepared: 7
implementation_planning_blocked: true
implementation_execution_blocked: true
phase_complete: true