Eou Audit

EOU Audit

Audit an EOU spec at $target, or all specs in foundry/eous/ and foundry/meta-eous/ when no target is given.

Optional input (ECP-0017 / Rule 96)

Auto-discover any foundry/captured-workflows/cw-*.yml with all four human_approval gates populated. When found AND the audited spec's target_object is not in engine/governance.yml rule_96_exempt_target_objects, Step 9 (Value Operationalization Test) runs.

Required reading

1. foundry/constitution.yml
2. foundry/governance.yml
3. foundry/failure-taxonomy.yml
4. schemas/eou.schema.yml
5. Target EOU spec(s)

Stop conditions

Stop and record a critical finding before proceeding if:

• schemas/eou.schema.yml does not exist — cannot validate spec completeness.
• $target is provided but does not resolve to any spec file in foundry/eous/ or foundry/meta-eous/.

Procedure

Step 1 — Deterministic validation

python3 scripts/validate_foundry.py

Record any schema errors as critical findings before proceeding.

Step 2 — Faceted classification (per EOU)

Verify all six classification facets are present and use schema-allowed values:

Finding: any missing or out-of-vocabulary value → severity high.

Step 3 — Authority and blast-radius consistency

• mutate_active or higher requires risk_level: high or critical.
• blast_radius.forbidden_scope must be declared for mutate_active or higher.
• authority_level must not exceed what the EOU's function requires.

Finding: mismatched authority/risk → severity high.

Step 4 — Required structural fields

Each EOU must declare: purpose (with non_goals), inputs (with forbidden_assumptions), context_manifest, execution (with stop_conditions), outputs, success_criteria, failure_modes (with repair_actions), escalation, responsibility, versioning, blast_radius.

Finding: any missing field → severity medium. Placeholder text (e.g. "Perform bounded operation", "target artifact") → severity high.

Step 5 — Separation of concerns

• deterministic work must not be mixed with LLM_assisted judgment steps in a single EOU step.
• Self-approval: responsibility.executor must not equal responsibility.approver.

Finding: violation → severity high.

Step 6 — Trace preservation

• outputs must include trace: foundry/runs/{eou_id}/{run_id}.yml.
• execution.steps must be specific enough to reconstruct what ran.

Finding: absent trace output → severity medium.

Step 7 — Generating-EOU additional checks

For every EOU with function: generate:

• generation_envelope.forbidden_outputs must include active_eou, approved_eou, constitution_change.
• generation_envelope.default_status must be candidate.
• generation_budget.max_candidates must be declared.
• minimality_test and operational_value_test must be declared.
• counter_generation.required must be true.

Finding: any violation → severity high.

Step 8 — Human-approval escalation

• Any EOU that affects publication, finance, health, legal, safety, or constitution must declare escalation.require_human_when.
• responsibility.cannot_delegate must list at least one item for EOUs with authority_level: mutate_active or higher.

Finding: absent escalation on high-stakes EOU → severity high.

Step 9 — Value Operationalization Test (ECP-0017 / Rule 96)

Skip if no captured_workflow exists with complete human_approval, OR if the spec's target_object is in rule_96_exempt_target_objects.

Verify that success_criteria.must_pass contains at least one entry whose text references at least one domain_value.id of priority ≤ 3 from the loaded captured_workflow.

Severity by lifecycle_stage:

• active, monitored, stable → blocking
• pilot → high
• draft or candidate → medium

Record operationalized domain_value.id entries in the audit report under operationalized_values so future audits can detect drift. The test is string-match based; reviewers should spot-check value invocations for citation theater per the deferred counterfactual-swap defense (dev-docs/07-agentic-judgment-proposal.md).

Output

Write one file per audited EOU to foundry/audits/eou-audits/{eou_id}.audit.yml:

audit_date:
eou_id:
eou_version:
checks:
  - check_name:        # faceted_classification | authority_blast_radius | structural_fields | separation_of_concerns | trace | generating_eou | escalation
    status:            # pass | fail | skip
    findings:
      - severity:      # critical | high | medium | low
        field:         # YAML field path where the violation occurs
        description:
        required_fix:
summary:
  total_findings:
  by_severity: {critical: 0, high: 0, medium: 0, low: 0}
  verdict:             # PASS | FAIL | CONDITIONAL_PASS

When auditing the whole foundry/ directory, write one file per EOU. Do not merge findings across specs.

Constraints

• Do not modify any EOU spec — produce the audit report only.
• Treat missing required fields as failures, not warnings.
• Run validate_foundry.py before manual checks — its output is authoritative for schema errors.