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dot-iu-cutter v0.1 — Đ32 P0 Risk Review Report

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dot-iu-cutter v0.1 — Đ32 P0 Risk Review Report

Date: 2026-05-15 Status: Đ32 P0 RISK REVIEW PHASE — REPORT (FINAL OF THIS PHASE) Scope: RISK REVIEW ONLY. No DDL, no SQL, no migration, no PG mutation, no implementation planning, no implementation execution. Master: risk-review/dot-iu-cutter-v0.1-dieu32-p0-risk-review-master-2026-05-15.md

1. Purpose

Final report for the Đ32 P0 Risk Review phase. Lists files created, records Lane A and Lane B verdicts, summarizes per-item risk results and cross-cutting decisions, lists remaining blockers classified by gate, and emits the explicit implementation-planning gate status and implementation-execution gate status.

2. Files Created in This Phase

All under knowledge/dev/laws/dieu44-trien-khai/risk-review/:

# Slug Purpose Revision
1 dot-iu-cutter-v0.1-dieu32-p0-risk-review-master-2026-05-15.md Đ32 risk-review phase master (scope, boundaries, method, lanes, approval surfaces) 1
2 dot-iu-cutter-v0.1-dieu32-p0-standard-items-risk-review-2026-05-15.md Lane A — Standard items (P0-5, P0-1, P0-2, P0-6) 1
3 dot-iu-cutter-v0.1-dieu32-p0-high-risk-joint-review-p0-3-p0-4-2026-05-15.md Lane B — HIGH-risk joint review (P0-3 + P0-4) 1
4 dot-iu-cutter-v0.1-p0-cross-cutting-decision-register-2026-05-15.md 8-decision cross-cutting register (X-A, X-1, X-2, X-3, X-4, X-6, X-7, X-8) 1
5 dot-iu-cutter-v0.1-dieu32-p0-risk-review-report-2026-05-15.md this report 1

Total: 5 files (master + Lane A + Lane B + cross-cutting register + this report).

No migration-design file modified. No prior design / planning / closure / ratification / review file modified.

3. Lane A Result (Standard Items)

lane_a_items_reviewed: 4
lane_a_aggregate_verdict: approve_with_notes
per_item_results:
  P0_5_decision_backlog_entry:
    risk_class: Standard
    recommendation: approve_with_notes
    design_level_blockers: 0
    residual_risk_level: low
  P0_1_canonical_address:
    risk_class: Standard
    recommendation: approve_with_notes
    design_level_blockers: 0
    residual_risk_level: low
  P0_2_manifest_envelope_unit_block:
    risk_class: Standard
    recommendation: approve_with_notes
    design_level_blockers: 1 (X-A — source_span ↔ axis_1_drift_unit; joint with P0-4)
    residual_risk_level: low-to-medium
  P0_6_review_decision:
    risk_class: Standard
    recommendation: approve_with_notes
    design_level_blockers: 0
    residual_risk_level: low
lane_a_design_level_blockers_total: 1 (X-A; recorded jointly in Lane B)
lane_a_implementation_planning_signal: conditional_open (condition = X-A closed via cross-cutting register)

4. Lane B Result (HIGH-Risk Joint Review P0-3 + P0-4)

lane_b_items_reviewed: 2 (joint)
lane_b_joint_verdict: approve_with_notes
per_item_results:
  P0_3_cut_change_set_rollback_key:
    risk_class: HIGH
    recommendation: approve_with_notes (covered by joint verdict)
    design_level_blockers: 0 (cascade default ERROR confirmed; signing scheme v0.1 posture explicitly accepted with FUTURE D4 commitment)
    residual_risk_level: medium-high
  P0_4_verify_result:
    risk_class: HIGH
    recommendation: approve_with_notes (covered by joint verdict)
    design_level_blockers: 1 (X-A — axis_1_drift_unit ↔ source_span)
    residual_risk_level: medium-high
lane_b_design_level_blockers_total: 1 (X-A — joint with P0-2)
lane_b_implementation_planning_signal: conditional_open (condition = X-A closed via cross-cutting register)
lane_b_clean_approve_unavailable_because:
  - PG-constraint enforcement of dual-signature rule is FUTURE (v0.1 application-layer)
  - cryptographic signing scheme is FUTURE (v0.1 hash-based placeholder)
  - canonicalization rule v0.1 prose deferred to Đ24 ratification
  - DOT-pair separate execution context deferred to G-3 D4 capability intake
  - rollback test plan dry-run is FUTURE (execution precondition)

5. Per-Item Risk Result Summary

P0 item Risk class Recommendation Design-level blockers Residual risk
P0-5 decision_backlog_entry Standard approve_with_notes 0 low
P0-1 canonical_address Standard approve_with_notes 0 low
P0-2 manifest_envelope + unit_block Standard approve_with_notes 1 (X-A) low-to-medium
P0-6 review_decision Standard approve_with_notes 0 low
P0-3 cut_change_set + rollback_key HIGH approve_with_notes (joint) 0 medium-high
P0-4 verify_result HIGH approve_with_notes (joint) 1 (X-A) medium-high 
distribution_by_recommendation:
  approve: 0
  approve_with_notes: 6
  reject: 0
distribution_by_risk_class:
  Standard: 4
  HIGH: 2

6. Cross-Cutting Decision Status

ID Title Gate classification Status
X-A source_span unit ↔ axis_1_drift_unit design-level blocker for planning OPEN; recommendation recorded
X-1 schema placement planning-level OPEN; recommendation recorded
X-2 primary ID form planning-level OPEN; recommendation recorded
X-3 JSONB validation policy planning-level OPEN; recommendation recorded
X-4 enum implementation strategy planning-level OPEN; recommendation recorded
X-6 dot_pair_signature shape final polish planning-level OPEN; shape designed; polish pending
X-7 canonicalization rule v0.1 planning-level (placeholder) + execution-level (prose ratification) OPEN; placeholder accepted
X-8 rollback test plan documented + dry-run planning-level (authoring) + execution-level (dry-run) OPEN; recommendation = author at planning, dry-run before execution 
cross_cutting_decisions_total: 8
design_level_blockers_count: 1 (X-A)
planning_level_blockers_count: 7 (X-1, X-2, X-3, X-4, X-6, X-7, X-8)
execution_level_blockers_subset: X-7 (prose), X-8 (dry-run), plus operational preconditions

7. Remaining Blockers (Classified by Gate)

7.1 Design-level blockers (gate the opening of implementation planning)

design_level_blockers_for_planning_opening:
  count: 1
  entries:
    - id: X-A
      name: source_span unit ↔ axis_1_drift_unit alignment
      affected_items: [P0-2, P0-4]
      owners: Đ24 vocab owner + Đ44 family registry custodian (joint)
      recommended_close_action: ratify recommendation = byte source_span + canonical_token drift with canonicalization conversion (per cross-cutting register §3.1)
      close_form: Đ24 + Đ44 joint ratification entry; recorded in a follow-up file outside this risk-review phase

7.2 Planning-level blockers (do NOT gate opening of implementation planning; carried into the planning phase plate)

planning_level_blockers:
  cross_cutting:
    - X-1 schema placement
    - X-2 primary ID form
    - X-3 JSONB validation policy
    - X-4 enum implementation strategy
    - X-6 dot_pair_signature shape final polish
    - X-7 canonicalization rule v0.1 (logical placeholder accepted; prose ratification at Đ24 path)
    - X-8 rollback test plan authoring
  per_item_carryover:
    P0-5:
      - history granularity strategy
      - re_opened state distinctness field expansion
    P0-1:
      - backfill plan documented + reviewed
      - uniqueness scope finalized
      - alias table lifecycle finalized
      - NOT NULL constraint timing post-backfill
    P0-2:
      - composite identity enforcement strategy
      - manifest diff materialization choice
      - cut_reason_tags shape ratification
    P0-6:
      - prior_review_decision_id field added
      - escalation cardinality finalized
      - findings checklist enforcement strategy
    P0-3:
      - idempotency key strategy
      - signature revocation cascade workflow
      - before_state_snapshot granularity policy
    P0-4:
      - signature timeout policy per risk_class
      - verdict_rationale enforcement strategy
      - prior_verify_result_id field added
      - axis_2_coverage_score formula

7.3 Execution-level blockers (do NOT gate planning; do gate migration execution)

execution_level_blockers:
  - X-7 canonicalization rule v0.1 prose ratified by Đ24
  - X-8 rollback test plan dry-run executed with synthetic data
  - operational seat naming for G-1, G-2, G-3, G-4, G-5
  - G-3 D4 capability intake (executor/verifier boundary policy)
  - DOT-pair (dot-iu-cutter + dot-iu-cutter-verify) registered via G-4 Custodian
  - signing scheme implementation (v0.1 hash-based; FUTURE cryptographic)
  - dot_pair_drift / signature_failure signal routing wired to G-2 backlog
  - canonicalization rule library scaffolding (v0.1)
  - directus backup before migration
  - final risk review signature (post implementation planning + dry-run)

8. Implementation Planning Gate Status

implementation_planning_gate_status: closed_pending_X-A_closure
gate_open_condition:
  - X-A closed via Đ24 + Đ44 joint ratification of source_span unit ↔ axis_1_drift_unit alignment
  - explicit prompt approval from user to open implementation planning (separate prompt, similar to P0 Migration Design phase prompt)
gate_open_does_NOT_require (planning-level items are carried INTO planning rather than blocking its opening):
  - X-1, X-2, X-3, X-4, X-6, X-7 (logical placeholder), X-8 (authoring)
  - per-item planning-level carryover items
  - operational seat naming
  - DOT-pair registration

9. Implementation Execution Gate Status

implementation_execution_gate_status: blocked
gate_open_condition (none of these apply yet):
  - implementation planning phase complete
  - all 8 cross-cutting decisions closed
  - all per-item planning-level decisions closed
  - canonicalization rule v0.1 prose Đ24-ratified
  - rollback test plan dry-run executed
  - DOT-pair registered via G-4 Custodian
  - signing scheme implementation in place (v0.1 hash-based acceptable)
  - operational seat naming for G-1..G-5
  - directus backup taken
  - final risk review signature

10. Explicit Gate Statements

implementation_planning_allowed: false
implementation_planning_conditionally_openable_after: X-A closure + explicit prompt approval
implementation_allowed: false
implementation_execution_remains_blocked: true

The condition for opening implementation planning is one design-level closure (X-A) plus an explicit user prompt to open the planning phase. Implementation execution remains blocked under all circumstances reachable from this phase.

11. Lane A Verdict / Lane B Verdict / Cross-Cutting Summary (Compact)

lane_a_verdict: approve_with_notes (4 of 4 items)
lane_b_verdict: approve_with_notes (joint; 2 of 2 items)
cross_cutting_decisions_summary:
  total: 8
  design_level_blocker: 1 (X-A)
  planning_level: 7 (X-1, X-2, X-3, X-4, X-6, X-7, X-8)
  recommendations_recorded_for_all: true
overall_phase_verdict: approve_with_notes
phase_status: COMPLETE (no migration design file modified; no prior phase file modified)
ready_for_next_phase: conditional_open_pending_X-A_closure

12. Explicit Confirmation — No Executable Artifacts Produced

no_code_written: true
no_ddl_written: true
no_sql_written: true
no_create_table_statements_written: true
no_alter_table_statements_written: true
no_column_ddl_written: true
no_index_ddl_written: true
no_constraint_ddl_written: true
no_trigger_function_or_rls_policy_written: true
no_cryptographic_scheme_specified: true
no_canonicalization_rule_prose_written: true
no_migration_executed: true
no_pg_mutation: true
no_qdrant_mutation: true
no_directus_mutation: true
no_data_writes: true
no_implementation_planning: true
no_implementation_execution: true
no_migration_design_file_modified: true (8 migration-design files unchanged)
no_design_file_modified: true (12 design deliverables unchanged)
no_planning_file_modified: true (4 planning files unchanged)
no_closure_file_modified: true (10 closure files unchanged)
no_ratification_file_modified: true (3 ratification files unchanged)
no_review_file_modified: true (review files unchanged)
output_form: risk_review_documentation_in_markdown_only
phase_complete: true (risk review only)
implementation_planning_allowed: false
implementation_allowed: false
  1. Close X-A via joint Đ24 + Đ44 ratification of source_span unit ↔ axis_1_drift_unit alignment (recommendation = byte source_span + canonical_token drift with canonicalization rule conversion).
  2. GPT review of this Đ32 P0 Risk Review Package (5 files) if user routes that way.
  3. If X-A closed + GPT/User confirms → explicit prompt approval to open implementation planning phase (separate prompt; similar pattern to the P0 Migration Design phase prompt).
  4. Implementation Planning Package authoring with the 7 planning-level cross-cutting decisions and per-item planning-level carryover items on its plate.
  5. G-3 D4 capability intake for executor/verifier boundary policy (parallel operational phase).
  6. Operational seat naming for G-1..G-5 (parallel operational phase).
  7. Đ24 ratification of canonicalization rule v0.1 prose (parallel operational phase; before execution).
  8. Rollback test plan dry-run with synthetic data (execution precondition; after planning).
  9. Final risk review signature (post planning + dry-run; before execution authorization).
  10. Migration execution authorization (separate, future, post all of the above).

Each numbered step above is a separate phase or session, not part of this Đ32 risk-review package.

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