# Vercy AI instruction - YAML 1.2 (JSON-compatible) { "vercy": "1.0-draft", "publication": { "status": "published", "adjudicationStatus": "reviewable-draft", "publishableCanonical": false, "generatedAt": "2026-09-06T18:12:19Z", "synthesisSha256": "04a5c0ad3b813b9e3b1a9d6d7c8906f012e6be44bb5db919ea299f0ad7ebe38b", "providerMode": "single-provider-waiver", "providers": [ "Codex" ], "waivedProviders": [ "Claude", "Grok" ] }, "metaModel": { "id": "WM-ECO-033", "registryId": "vr.wm-eco-033", "name": "Regulatory Filing / Disclosure", "version": "0.3.0-research.1", "previousVersions": [], "entryKind": "aggregate", "family": "World Models", "category": "Society, people and institutions", "industry": [ "Cross-industry" ], "domain": [ "SOC.ECO.REG" ], "tags": [ "regulatory", "filing", "disclosure", "soc.eco.reg" ], "status": "published" }, "canonicalUrl": "https://ver.cy/models/wm-eco-033-regulatory-filing-disclosure/", "sourceUrl": "https://github.com/ver-cy/world-models/tree/feat/mega-model-registry/research/runs/wm-eco-033", "model": { "registry_id": "vr.wm-eco-033", "model_id": "WM-ECO-033", "name": "Regulatory Filing / Disclosure", "entry_kind": "aggregate", "purpose": "Represent a versioned regulatory declaration or disclosure package, its submission or publication attempts and attributable responses so agents can prepare, validate, approve, sign, deliver, amend and reconcile reporting context without confusing transport or dissemination with regulator acceptance, legal truth, compliance, assessment, sanction or finality.", "scope_statement": "Owns filing and revision identities; periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes; reporting-entity, registration, LEI, account, obligation, period, jurisdiction, preparer, reviewer, approver, signer, transmitter, publisher, repository and regulator bindings; cover metadata, sections, tables, rows, columns, cells, forms, schedules, exhibits, narratives, notes, methodologies and attestations; reported facts, concepts, contexts, dimensions, units, values, decimals, currencies, metrics and nil reasons; source-system, document, dataset, ledger and control evidence; form, schema, taxonomy, entry-point, code-set and validation-rule versions; structural, dimensional, arithmetic, completeness, cross-field and business validation; review, approval, delegation, signature, seal and digest evidence; submission or publication attempts, channels, endpoints, envelopes, packages, payloads, correlations, retries and dissemination events; receipts, acknowledgements, rejection, suspense, errors, warnings and accepted-for-processing or published responses; independent lifecycle axes and deadlines; non-destructive amendment, restatement, replacement and withdrawal lineage; regulator query, review, finding, investigation, decision, sanction, remediation and appeal references; provenance, quality, clocks, confidentiality, privacy, access, retention and loss-aware projections. External reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and generic records masters remain authoritative.", "in_scope": [ "Filing and revision identity, mandate, parties, content structure, assertions, evidence, validation, approval, signature, delivery, dissemination and responses", "Lifecycle, deadlines, amendments, restatements, downstream references, clocks, provenance, confidentiality, access, retention and projections" ], "out_of_scope": [ "Owning Reporting Entity, Person, Organization, Regulator, Obligation, Legal Norm, Domain Data, Permit, Application, Case, Decision, Assessment, Sanction, Payment or generic Records masters", "Treating prepared as approved, submitted as received, schema-valid as accepted, public as regulator-reviewed, or reported assertion as legal truth, compliance, assessment or sanction", "Autonomous legal attestation, approval, signature, external filing, publication, validation override, protected-data disclosure or record destruction" ], "boundary_notes": [ { "neighbor": "WM-REC-002", "distinction": "The unified registry supplies WM-REC-002 as a provisional parent signal only. Generic records remain external and no settled containment edge exists.", "source_refs": [ "SRC-001", "SRC-012", "SRC-021" ] }, { "neighbor": "Reporting entity, regulator, obligation and law", "distinction": "The filing binds external actors, registrations, obligations and versioned legal profiles; it does not own their identity or lifecycle.", "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ] }, { "neighbor": "Disclosure revision, delivery attempt, dissemination and response", "distinction": "A revision states assertions, an attempt delivers a payload, dissemination makes content available and a response records a channel, repository or authority outcome.", "source_refs": [ "SRC-002", "SRC-003", "SRC-006", "SRC-008", "SRC-009", "SRC-012" ] }, { "neighbor": "Reported assertion, regulator finding, decision and sanction", "distinction": "A reported fact or narrative does not become an accepted legal fact, compliance determination, assessment, enforcement decision or sanction merely through validation or acceptance.", "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010" ] }, { "neighbor": "Jurisdiction and interoperability standards", "distinction": "Each regulatory, reporting, identity, signature, privacy or schema source covers a scoped profile; every mapping is version-pinned and loss-declaring.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ] }, "sources": [ { "id": "SRC-001", "title": "EDGAR Filer Manual", "organization": "United States Securities and Exchange Commission", "url": "https://www.sec.gov/submit-filings/edgar-filer-manual", "version_or_date": "Volume I version 43 and Volume II version 77, deployment 16 March 2026", "source_type": "public-authority", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Defines filer access, form construction, transmission, validation messages and submission types." }, { "id": "SRC-002", "title": "Attach and submit a filing through the EDGAR Filing Website", "organization": "United States Securities and Exchange Commission", "url": "https://www.sec.gov/submit-filings/filer-support-resources/how-do-i-guides/attach-submit-filing-through-edgar-filing-website", "version_or_date": "Updated 15 January 2026", "source_type": "public-authority", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Separates document validation, submission, acceptance or suspension and public dissemination." }, { "id": "SRC-003", "title": "Understand messages reported by EDGAR", "organization": "United States Securities and Exchange Commission", "url": "https://www.sec.gov/submit-filings/filer-support-resources/how-do-i-guides/understand-messages-reported-edgar", "version_or_date": "Official guidance accessed 6 September 2026", "source_type": "public-authority", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Describes acceptance, suspense and validation messages correlated to a received submission." }, { "id": "SRC-004", "title": "EDGAR technical specifications", "organization": "United States Securities and Exchange Commission", "url": "https://www.sec.gov/submit-filings/technical-specifications", "version_or_date": "XBRL Guide August 2026 and current XML specifications", "source_type": "schema", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Publishes versioned XBRL and XML structure, content, taxonomy and validation requirements." }, { "id": "SRC-005", "title": "European Single Electronic Format", "organization": "European Union", "url": "https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX%3A02019R0815-20260407", "version_or_date": "Commission Delegated Regulation EU 2019/815, consolidated 7 April 2026", "source_type": "legislation", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Defines XHTML reports, Inline XBRL markup, core and extension taxonomies and filing package rules." }, { "id": "SRC-006", "title": "EBA reporting frameworks", "organization": "European Banking Authority", "url": "https://www.eba.europa.eu/risk-and-data-analysis/reporting/reporting-frameworks", "version_or_date": "Official framework index accessed 6 September 2026", "source_type": "public-authority", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Separates legal requirements, templates, instructions, DPM concepts, XBRL taxonomies and validation-rule releases." }, { "id": "SRC-007", "title": "EBA reporting framework 4.2", "organization": "European Banking Authority", "url": "https://www.eba.europa.eu/risk-and-data-analysis/reporting/reporting-frameworks/reporting-framework-42", "version_or_date": "DPM and taxonomy 4.2.1 uploaded 27 February 2026", "source_type": "schema", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Provides release-pinned DPM, taxonomy, filing rules, samples and validation changes." }, { "id": "SRC-008", "title": "Supervisory reporting DPM and XBRL", "organization": "European Insurance and Occupational Pensions Authority", "url": "https://www.eiopa.europa.eu/tools-and-data/supervisory-reporting-dpm-and-xbrl_en", "version_or_date": "Updated through August 2026", "source_type": "schema", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Publishes reporting deadlines, applicable taxonomy versions, filing rules, known issues and validation artifacts." }, { "id": "SRC-009", "title": "RegData", "organization": "Financial Conduct Authority", "url": "https://www.fca.org.uk/firms/regdata", "version_or_date": "Updated 27 March 2026", "source_type": "public-authority", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Distinguishes scheduled regulatory tasks, due dates, statuses, data submissions, attestations and other application systems." }, { "id": "SRC-010", "title": "SUP 16 Annex 21 reporting fields", "organization": "Financial Conduct Authority", "url": "https://handbook.fca.org.uk/handbook/sup16/sup16s38", "version_or_date": "Current handbook access September 2026", "source_type": "legislation", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Illustrates field-level definitions, identifiers, formats and regulated reporting instructions." }, { "id": "SRC-011", "title": "SDMX explained", "organization": "Eurostat", "url": "https://ec.europa.eu/eurostat/web/sdmx-infospace/sdmx-explained", "version_or_date": "Official guidance accessed 6 September 2026", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Separates observations, data sets, data structures, metadata structures, code lists and exchange modes." }, { "id": "SRC-012", "title": "Reference metadata reporting standards", "organization": "Eurostat", "url": "https://ec.europa.eu/eurostat/web/metadata/reference-metadata-reporting-standards", "version_or_date": "Official guidance accessed 6 September 2026", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Defines standardized reference and quality metadata submission, validation and dissemination." }, { "id": "SRC-013", "title": "XBRL 2.1", "organization": "XBRL International", "url": "https://specifications.xbrl.org/work-product-index-group-base-spec-base-spec.html", "version_or_date": "Recommendation with errata", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Provides facts, contexts, units, taxonomies, linkbases and validation concepts." }, { "id": "SRC-014", "title": "Report Packages 1.0", "organization": "XBRL International", "url": "https://specifications.xbrl.org/work-product-index-taxonomy-packages-report-packages-1.0.html", "version_or_date": "Recommendation 11 March 2025", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Defines packages that assemble reports and supporting artifacts without making the package the logical model." }, { "id": "SRC-015", "title": "Taxonomy Packages 1.0", "organization": "XBRL International", "url": "https://specifications.xbrl.org/work-product-index-taxonomy-packages-taxonomy-packages-1.0.html", "version_or_date": "Recommendation", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Defines portable taxonomy packaging, metadata, identifiers and entry points." }, { "id": "SRC-016", "title": "Open Information Model", "organization": "XBRL International", "url": "https://specifications.xbrl.org/work-product-index-open-information-model-open-information-model.html", "version_or_date": "Recommendation set accessed 6 September 2026", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Provides syntax-independent reporting concepts and JSON and CSV serializations." }, { "id": "SRC-017", "title": "LEI Common Data File supporting documents", "organization": "Global Legal Entity Identifier Foundation", "url": "https://www.gleif.org/en/lei-data/access-and-use-lei-data/supporting-documents", "version_or_date": "LEI-CDF 3.1 and current supporting schemas", "source_type": "schema", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Supports stable reporting-entity identifiers, reference data, validation status and history." }, { "id": "SRC-018", "title": "Electronic identification and trust services regulation", "organization": "European Union", "url": "https://eur-lex.europa.eu/eli/reg/2014/910/oj/eng", "version_or_date": "Regulation EU 910/2014", "source_type": "legislation", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Defines electronic signatures, seals, certificates, validation and trust-service roles." }, { "id": "SRC-019", "title": "General Data Protection Regulation", "organization": "European Union", "url": "https://eur-lex.europa.eu/eli/reg/2016/679/oj", "version_or_date": "Regulation EU 2016/679", "source_type": "legislation", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Requires purpose limitation, minimization, accuracy, security and accountable personal-data processing." }, { "id": "SRC-020", "title": "RFC 3339: Date and Time on the Internet", "organization": "Internet Engineering Task Force", "url": "https://www.rfc-editor.org/rfc/rfc3339.html", "version_or_date": "July 2002", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Provides interoperable timestamps with seconds and explicit UTC offset." }, { "id": "SRC-021", "title": "PROV-O: The PROV Ontology", "organization": "World Wide Web Consortium", "url": "https://www.w3.org/TR/prov-o/", "version_or_date": "Recommendation 30 April 2013", "source_type": "ontology", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Supplies entity, activity, agent, derivation and attribution semantics." }, { "id": "SRC-022", "title": "Data Quality Vocabulary", "organization": "World Wide Web Consortium", "url": "https://www.w3.org/TR/vocab-dqv/", "version_or_date": "Working Group Note 15 December 2016", "source_type": "ontology", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Supports explicit quality measurements, annotations and policies." }, { "id": "SRC-023", "title": "ODRL Information Model 2.2", "organization": "World Wide Web Consortium", "url": "https://www.w3.org/TR/odrl-model/", "version_or_date": "Recommendation 15 February 2018", "source_type": "ontology", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Provides policy, permission, prohibition, duty and constraint semantics." }, { "id": "SRC-024", "title": "OpenAPI Specification 3.1.1", "organization": "OpenAPI Initiative", "url": "https://spec.openapis.org/oas/v3.1.1.html", "version_or_date": "Version 3.1.1", "source_type": "standard", "primary_source": true, "authority_tier": 1, "accessed_at": "2026-09-06T18:10:00Z", "relevance": "Supports discoverable, versioned API contracts for filing services and projections." } ], "structure": { "bundles": [ { "id": "identity-mandate-parties-and-authority", "name": "Identity, mandate, parties and authority", "description": "Identify one regulatory filing or disclosure aggregate, its revisions, mandate and independently mastered participants", "rationale": "Identify one regulatory filing or disclosure aggregate, its revisions, mandate and independently mastered participants", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ], "layers": [ { "id": "filing-identity-and-classification", "name": "Filing identity and classification", "description": "Groups governed filing identity and classification for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-009" ], "findings": [ { "id": "filing-revision-form-report-schema-profile-status-and-master-system", "name": "Filing, revision, form, report, schema, profile, status and master system", "description": "Records filing, revision, form, report, schema, profile, status and master system as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-009" ], "questions": [ { "id": "filing-revision-form-report-schema-profile-status-and-master-system-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish filing, revision, form, report, schema, profile, status and master system?", "kind": "identity", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "filing-revision-form-report-schema-profile-status-and-master-system-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on filing, revision, form, report, schema, profile, status and master system, for which purpose and under what authority?", "kind": "authority", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "filing-revision-form-report-schema-profile-status-and-master-system-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify filing, revision, form, report, schema, profile, status and master system?", "kind": "security", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "filing-revision-form-report-schema-profile-status-and-master-system-data", "name": "Filing, revision, form, report, schema, profile, status and master system data", "description": "Typed regulatory filing or disclosure data for filing, revision, form, report, schema, profile, status and master system, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-009" ] } ], "artifacts": [ { "id": "filing-revision-form-report-schema-profile-status-and-master-system-record", "name": "Filing, revision, form, report, schema, profile, status and master system record", "description": "Immutable or versioned evidence for filing, revision, form, report, schema, profile, status and master system with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-009" ] } ], "inline_only_rationale": null }, { "id": "periodic-event-driven-initial-amended-restated-replacement-withdrawal-and-nil-class", "name": "Periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil class", "description": "Records periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil class as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-009" ], "questions": [ { "id": "periodic-event-driven-initial-amended-restated-replacement-withdrawal-and-nil-class-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil class?", "kind": "classification", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "periodic-event-driven-initial-amended-restated-replacement-withdrawal-and-nil-class-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil class, for which purpose and under what authority?", "kind": "requirement", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "periodic-event-driven-initial-amended-restated-replacement-withdrawal-and-nil-class-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil class?", "kind": "privacy", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "periodic-event-driven-initial-amended-restated-replacement-withdrawal-and-nil-class-data", "name": "Periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil class data", "description": "Typed regulatory filing or disclosure data for periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil class, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-009" ] } ], "artifacts": [ { "id": "periodic-event-driven-initial-amended-restated-replacement-withdrawal-and-nil-class-record", "name": "Periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil class record", "description": "Immutable or versioned evidence for periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil class with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-009" ] } ], "inline_only_rationale": null } ] }, { "id": "reporting-entity-filer-obligation-and-authority", "name": "Reporting entity, filer, obligation and authority", "description": "Groups governed reporting entity, filer, obligation and authority for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ], "findings": [ { "id": "reporting-entity-registration-lei-account-obligation-period-and-jurisdiction-reference", "name": "Reporting entity, registration, LEI, account, obligation, period and jurisdiction reference", "description": "Records reporting entity, registration, lei, account, obligation, period and jurisdiction reference as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ], "questions": [ { "id": "reporting-entity-registration-lei-account-obligation-period-and-jurisdiction-reference-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish reporting entity, registration, lei, account, obligation, period and jurisdiction reference?", "kind": "relationship", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "reporting-entity-registration-lei-account-obligation-period-and-jurisdiction-reference-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on reporting entity, registration, lei, account, obligation, period and jurisdiction reference, for which purpose and under what authority?", "kind": "constraint", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "reporting-entity-registration-lei-account-obligation-period-and-jurisdiction-reference-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify reporting entity, registration, lei, account, obligation, period and jurisdiction reference?", "kind": "retention", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "reporting-entity-registration-lei-account-obligation-period-and-jurisdiction-reference-data", "name": "Reporting entity, registration, LEI, account, obligation, period and jurisdiction reference data", "description": "Typed regulatory filing or disclosure data for reporting entity, registration, lei, account, obligation, period and jurisdiction reference, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ] } ], "artifacts": [ { "id": "reporting-entity-registration-lei-account-obligation-period-and-jurisdiction-reference-record", "name": "Reporting entity, registration, LEI, account, obligation, period and jurisdiction reference record", "description": "Immutable or versioned evidence for reporting entity, registration, lei, account, obligation, period and jurisdiction reference with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ] } ], "inline_only_rationale": null }, { "id": "preparer-reviewer-approver-signer-transmitter-publisher-regulator-and-repository-role", "name": "Preparer, reviewer, approver, signer, transmitter, publisher, regulator and repository role", "description": "Records preparer, reviewer, approver, signer, transmitter, publisher, regulator and repository role as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ], "questions": [ { "id": "preparer-reviewer-approver-signer-transmitter-publisher-regulator-and-repository-role-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish preparer, reviewer, approver, signer, transmitter, publisher, regulator and repository role?", "kind": "authority", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "preparer-reviewer-approver-signer-transmitter-publisher-regulator-and-repository-role-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on preparer, reviewer, approver, signer, transmitter, publisher, regulator and repository role, for which purpose and under what authority?", "kind": "process", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "preparer-reviewer-approver-signer-transmitter-publisher-regulator-and-repository-role-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify preparer, reviewer, approver, signer, transmitter, publisher, regulator and repository role?", "kind": "access", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "preparer-reviewer-approver-signer-transmitter-publisher-regulator-and-repository-role-data", "name": "Preparer, reviewer, approver, signer, transmitter, publisher, regulator and repository role data", "description": "Typed regulatory filing or disclosure data for preparer, reviewer, approver, signer, transmitter, publisher, regulator and repository role, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ] } ], "artifacts": [ { "id": "preparer-reviewer-approver-signer-transmitter-publisher-regulator-and-repository-role-record", "name": "Preparer, reviewer, approver, signer, transmitter, publisher, regulator and repository role record", "description": "Immutable or versioned evidence for preparer, reviewer, approver, signer, transmitter, publisher, regulator and repository role with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "content-structure-assertions-and-evidence", "name": "Content structure, assertions and evidence", "description": "Represent the versioned disclosure package and its domain evidence without absorbing source masters", "rationale": "Represent the versioned disclosure package and its domain evidence without absorbing source masters", "source_refs": [ "SRC-001", "SRC-004", "SRC-005", "SRC-006", "SRC-013", "SRC-014", "SRC-008", "SRC-011", "SRC-012" ], "layers": [ { "id": "sections-tables-schedules-forms-and-exhibits", "name": "Sections, tables, schedules, forms and exhibits", "description": "Groups governed sections, tables, schedules, forms and exhibits for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-001", "SRC-004", "SRC-005", "SRC-006", "SRC-013", "SRC-014" ], "findings": [ { "id": "cover-metadata-section-table-row-column-cell-schedule-form-and-exhibit", "name": "Cover metadata, section, table, row, column, cell, schedule, form and exhibit", "description": "Records cover metadata, section, table, row, column, cell, schedule, form and exhibit as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-004", "SRC-005", "SRC-006", "SRC-013", "SRC-014" ], "questions": [ { "id": "cover-metadata-section-table-row-column-cell-schedule-form-and-exhibit-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish cover metadata, section, table, row, column, cell, schedule, form and exhibit?", "kind": "composition", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "cover-metadata-section-table-row-column-cell-schedule-form-and-exhibit-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on cover metadata, section, table, row, column, cell, schedule, form and exhibit, for which purpose and under what authority?", "kind": "event", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "cover-metadata-section-table-row-column-cell-schedule-form-and-exhibit-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify cover metadata, section, table, row, column, cell, schedule, form and exhibit?", "kind": "exception", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "cover-metadata-section-table-row-column-cell-schedule-form-and-exhibit-data", "name": "Cover metadata, section, table, row, column, cell, schedule, form and exhibit data", "description": "Typed regulatory filing or disclosure data for cover metadata, section, table, row, column, cell, schedule, form and exhibit, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-004", "SRC-005", "SRC-006", "SRC-013", "SRC-014" ] } ], "artifacts": [ { "id": "cover-metadata-section-table-row-column-cell-schedule-form-and-exhibit-record", "name": "Cover metadata, section, table, row, column, cell, schedule, form and exhibit record", "description": "Immutable or versioned evidence for cover metadata, section, table, row, column, cell, schedule, form and exhibit with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-004", "SRC-005", "SRC-006", "SRC-013", "SRC-014" ] } ], "inline_only_rationale": null }, { "id": "narrative-note-policy-methodology-attestation-and-explanatory-disclosure", "name": "Narrative, note, policy, methodology, attestation and explanatory disclosure", "description": "Records narrative, note, policy, methodology, attestation and explanatory disclosure as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-004", "SRC-005", "SRC-006", "SRC-013", "SRC-014" ], "questions": [ { "id": "narrative-note-policy-methodology-attestation-and-explanatory-disclosure-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish narrative, note, policy, methodology, attestation and explanatory disclosure?", "kind": "requirement", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "narrative-note-policy-methodology-attestation-and-explanatory-disclosure-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on narrative, note, policy, methodology, attestation and explanatory disclosure, for which purpose and under what authority?", "kind": "measurement", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "narrative-note-policy-methodology-attestation-and-explanatory-disclosure-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify narrative, note, policy, methodology, attestation and explanatory disclosure?", "kind": "interoperability", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "narrative-note-policy-methodology-attestation-and-explanatory-disclosure-data", "name": "Narrative, note, policy, methodology, attestation and explanatory disclosure data", "description": "Typed regulatory filing or disclosure data for narrative, note, policy, methodology, attestation and explanatory disclosure, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-004", "SRC-005", "SRC-006", "SRC-013", "SRC-014" ] } ], "artifacts": [ { "id": "narrative-note-policy-methodology-attestation-and-explanatory-disclosure-record", "name": "Narrative, note, policy, methodology, attestation and explanatory disclosure record", "description": "Immutable or versioned evidence for narrative, note, policy, methodology, attestation and explanatory disclosure with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-004", "SRC-005", "SRC-006", "SRC-013", "SRC-014" ] } ], "inline_only_rationale": null } ] }, { "id": "reported-facts-metrics-and-source-evidence", "name": "Reported facts, metrics and source evidence", "description": "Groups governed reported facts, metrics and source evidence for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-004", "SRC-006", "SRC-008", "SRC-011", "SRC-012", "SRC-013" ], "findings": [ { "id": "reported-fact-concept-context-dimension-unit-value-decimals-and-metric", "name": "Reported fact, concept, context, dimension, unit, value, decimals and metric", "description": "Records reported fact, concept, context, dimension, unit, value, decimals and metric as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-004", "SRC-006", "SRC-008", "SRC-011", "SRC-012", "SRC-013" ], "questions": [ { "id": "reported-fact-concept-context-dimension-unit-value-decimals-and-metric-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish reported fact, concept, context, dimension, unit, value, decimals and metric?", "kind": "measurement", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "reported-fact-concept-context-dimension-unit-value-decimals-and-metric-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on reported fact, concept, context, dimension, unit, value, decimals and metric, for which purpose and under what authority?", "kind": "evidence", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "reported-fact-concept-context-dimension-unit-value-decimals-and-metric-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify reported fact, concept, context, dimension, unit, value, decimals and metric?", "kind": "decision", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "reported-fact-concept-context-dimension-unit-value-decimals-and-metric-data", "name": "Reported fact, concept, context, dimension, unit, value, decimals and metric data", "description": "Typed regulatory filing or disclosure data for reported fact, concept, context, dimension, unit, value, decimals and metric, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-004", "SRC-006", "SRC-008", "SRC-011", "SRC-012", "SRC-013" ] } ], "artifacts": [ { "id": "reported-fact-concept-context-dimension-unit-value-decimals-and-metric-record", "name": "Reported fact, concept, context, dimension, unit, value, decimals and metric record", "description": "Immutable or versioned evidence for reported fact, concept, context, dimension, unit, value, decimals and metric with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-004", "SRC-006", "SRC-008", "SRC-011", "SRC-012", "SRC-013" ] } ], "inline_only_rationale": null }, { "id": "source-system-document-dataset-ledger-control-and-evidence-reference", "name": "Source system, document, dataset, ledger, control and evidence reference", "description": "Records source system, document, dataset, ledger, control and evidence reference as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-004", "SRC-006", "SRC-008", "SRC-011", "SRC-012", "SRC-013" ], "questions": [ { "id": "source-system-document-dataset-ledger-control-and-evidence-reference-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish source system, document, dataset, ledger, control and evidence reference?", "kind": "evidence", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "source-system-document-dataset-ledger-control-and-evidence-reference-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on source system, document, dataset, ledger, control and evidence reference, for which purpose and under what authority?", "kind": "quality", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "source-system-document-dataset-ledger-control-and-evidence-reference-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify source system, document, dataset, ledger, control and evidence reference?", "kind": "identity", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "source-system-document-dataset-ledger-control-and-evidence-reference-data", "name": "Source system, document, dataset, ledger, control and evidence reference data", "description": "Typed regulatory filing or disclosure data for source system, document, dataset, ledger, control and evidence reference, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-004", "SRC-006", "SRC-008", "SRC-011", "SRC-012", "SRC-013" ] } ], "artifacts": [ { "id": "source-system-document-dataset-ledger-control-and-evidence-reference-record", "name": "Source system, document, dataset, ledger, control and evidence reference record", "description": "Immutable or versioned evidence for source system, document, dataset, ledger, control and evidence reference with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-004", "SRC-006", "SRC-008", "SRC-011", "SRC-012", "SRC-013" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "preparation-validation-approval-and-signature", "name": "Preparation, validation, approval and signature", "description": "Preserve rule versions, validation evidence and accountable approvals before external delivery", "rationale": "Preserve rule versions, validation evidence and accountable approvals before external delivery", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-007", "SRC-008", "SRC-013", "SRC-016", "SRC-002", "SRC-009", "SRC-018" ], "layers": [ { "id": "schema-taxonomy-code-set-and-business-validation", "name": "Schema, taxonomy, code-set and business validation", "description": "Groups governed schema, taxonomy, code-set and business validation for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-007", "SRC-008", "SRC-013", "SRC-016" ], "findings": [ { "id": "form-schema-taxonomy-entry-point-code-set-and-validation-rule-version", "name": "Form, schema, taxonomy, entry point, code-set and validation-rule version", "description": "Records form, schema, taxonomy, entry point, code-set and validation-rule version as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-007", "SRC-008", "SRC-013", "SRC-016" ], "questions": [ { "id": "form-schema-taxonomy-entry-point-code-set-and-validation-rule-version-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish form, schema, taxonomy, entry point, code-set and validation-rule version?", "kind": "validation", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "form-schema-taxonomy-entry-point-code-set-and-validation-rule-version-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on form, schema, taxonomy, entry point, code-set and validation-rule version, for which purpose and under what authority?", "kind": "validation", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "form-schema-taxonomy-entry-point-code-set-and-validation-rule-version-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify form, schema, taxonomy, entry point, code-set and validation-rule version?", "kind": "classification", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "form-schema-taxonomy-entry-point-code-set-and-validation-rule-version-data", "name": "Form, schema, taxonomy, entry point, code-set and validation-rule version data", "description": "Typed regulatory filing or disclosure data for form, schema, taxonomy, entry point, code-set and validation-rule version, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-007", "SRC-008", "SRC-013", "SRC-016" ] } ], "artifacts": [ { "id": "form-schema-taxonomy-entry-point-code-set-and-validation-rule-version-record", "name": "Form, schema, taxonomy, entry point, code-set and validation-rule version record", "description": "Immutable or versioned evidence for form, schema, taxonomy, entry point, code-set and validation-rule version with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-007", "SRC-008", "SRC-013", "SRC-016" ] } ], "inline_only_rationale": null }, { "id": "structural-dimensional-arithmetic-cross-field-completeness-error-warning-and-waiver", "name": "Structural, dimensional, arithmetic, cross-field, completeness, error, warning and waiver", "description": "Records structural, dimensional, arithmetic, cross-field, completeness, error, warning and waiver as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-007", "SRC-008", "SRC-013", "SRC-016" ], "questions": [ { "id": "structural-dimensional-arithmetic-cross-field-completeness-error-warning-and-waiver-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish structural, dimensional, arithmetic, cross-field, completeness, error, warning and waiver?", "kind": "quality", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "structural-dimensional-arithmetic-cross-field-completeness-error-warning-and-waiver-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on structural, dimensional, arithmetic, cross-field, completeness, error, warning and waiver, for which purpose and under what authority?", "kind": "security", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "structural-dimensional-arithmetic-cross-field-completeness-error-warning-and-waiver-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify structural, dimensional, arithmetic, cross-field, completeness, error, warning and waiver?", "kind": "composition", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "structural-dimensional-arithmetic-cross-field-completeness-error-warning-and-waiver-data", "name": "Structural, dimensional, arithmetic, cross-field, completeness, error, warning and waiver data", "description": "Typed regulatory filing or disclosure data for structural, dimensional, arithmetic, cross-field, completeness, error, warning and waiver, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-007", "SRC-008", "SRC-013", "SRC-016" ] } ], "artifacts": [ { "id": "structural-dimensional-arithmetic-cross-field-completeness-error-warning-and-waiver-record", "name": "Structural, dimensional, arithmetic, cross-field, completeness, error, warning and waiver record", "description": "Immutable or versioned evidence for structural, dimensional, arithmetic, cross-field, completeness, error, warning and waiver with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-007", "SRC-008", "SRC-013", "SRC-016" ] } ], "inline_only_rationale": null } ] }, { "id": "review-approval-attestation-signature-and-accountability", "name": "Review, approval, attestation, signature and accountability", "description": "Groups governed review, approval, attestation, signature and accountability for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-001", "SRC-002", "SRC-009", "SRC-018" ], "findings": [ { "id": "review-control-approval-declaration-attestation-signature-seal-digest-and-time", "name": "Review, control, approval, declaration, attestation, signature, seal, digest and time", "description": "Records review, control, approval, declaration, attestation, signature, seal, digest and time as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-009", "SRC-018" ], "questions": [ { "id": "review-control-approval-declaration-attestation-signature-seal-digest-and-time-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish review, control, approval, declaration, attestation, signature, seal, digest and time?", "kind": "provenance", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "review-control-approval-declaration-attestation-signature-seal-digest-and-time-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on review, control, approval, declaration, attestation, signature, seal, digest and time, for which purpose and under what authority?", "kind": "privacy", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "review-control-approval-declaration-attestation-signature-seal-digest-and-time-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify review, control, approval, declaration, attestation, signature, seal, digest and time?", "kind": "relationship", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "review-control-approval-declaration-attestation-signature-seal-digest-and-time-data", "name": "Review, control, approval, declaration, attestation, signature, seal, digest and time data", "description": "Typed regulatory filing or disclosure data for review, control, approval, declaration, attestation, signature, seal, digest and time, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-009", "SRC-018" ] } ], "artifacts": [ { "id": "review-control-approval-declaration-attestation-signature-seal-digest-and-time-record", "name": "Review, control, approval, declaration, attestation, signature, seal, digest and time record", "description": "Immutable or versioned evidence for review, control, approval, declaration, attestation, signature, seal, digest and time with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-009", "SRC-018" ] } ], "inline_only_rationale": null }, { "id": "delegation-mandate-representation-responsibility-segregation-and-exception", "name": "Delegation, mandate, representation, responsibility, segregation and exception", "description": "Records delegation, mandate, representation, responsibility, segregation and exception as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-009", "SRC-018" ], "questions": [ { "id": "delegation-mandate-representation-responsibility-segregation-and-exception-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish delegation, mandate, representation, responsibility, segregation and exception?", "kind": "authority", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "delegation-mandate-representation-responsibility-segregation-and-exception-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on delegation, mandate, representation, responsibility, segregation and exception, for which purpose and under what authority?", "kind": "retention", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "delegation-mandate-representation-responsibility-segregation-and-exception-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify delegation, mandate, representation, responsibility, segregation and exception?", "kind": "state", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "delegation-mandate-representation-responsibility-segregation-and-exception-data", "name": "Delegation, mandate, representation, responsibility, segregation and exception data", "description": "Typed regulatory filing or disclosure data for delegation, mandate, representation, responsibility, segregation and exception, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-009", "SRC-018" ] } ], "artifacts": [ { "id": "delegation-mandate-representation-responsibility-segregation-and-exception-record", "name": "Delegation, mandate, representation, responsibility, segregation and exception record", "description": "Immutable or versioned evidence for delegation, mandate, representation, responsibility, segregation and exception with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-009", "SRC-018" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "delivery-dissemination-receipt-and-response", "name": "Delivery, dissemination, receipt and response", "description": "Track every external attempt and response without turning transport into regulatory acceptance or legal truth", "rationale": "Track every external attempt and response without turning transport into regulatory acceptance or legal truth", "source_refs": [ "SRC-001", "SRC-002", "SRC-004", "SRC-009", "SRC-011", "SRC-014", "SRC-003", "SRC-006", "SRC-008", "SRC-012" ], "layers": [ { "id": "submission-publication-channel-envelope-and-payload", "name": "Submission, publication, channel, envelope and payload", "description": "Groups governed submission, publication, channel, envelope and payload for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-001", "SRC-002", "SRC-004", "SRC-009", "SRC-011", "SRC-014" ], "findings": [ { "id": "attempt-channel-endpoint-envelope-package-payload-digest-correlation-and-idempotency", "name": "Attempt, channel, endpoint, envelope, package, payload, digest, correlation and idempotency", "description": "Records attempt, channel, endpoint, envelope, package, payload, digest, correlation and idempotency as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-004", "SRC-009", "SRC-011", "SRC-014" ], "questions": [ { "id": "attempt-channel-endpoint-envelope-package-payload-digest-correlation-and-idempotency-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish attempt, channel, endpoint, envelope, package, payload, digest, correlation and idempotency?", "kind": "process", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "attempt-channel-endpoint-envelope-package-payload-digest-correlation-and-idempotency-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on attempt, channel, endpoint, envelope, package, payload, digest, correlation and idempotency, for which purpose and under what authority?", "kind": "access", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "attempt-channel-endpoint-envelope-package-payload-digest-correlation-and-idempotency-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify attempt, channel, endpoint, envelope, package, payload, digest, correlation and idempotency?", "kind": "lifecycle", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "attempt-channel-endpoint-envelope-package-payload-digest-correlation-and-idempotency-data", "name": "Attempt, channel, endpoint, envelope, package, payload, digest, correlation and idempotency data", "description": "Typed regulatory filing or disclosure data for attempt, channel, endpoint, envelope, package, payload, digest, correlation and idempotency, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-004", "SRC-009", "SRC-011", "SRC-014" ] } ], "artifacts": [ { "id": "attempt-channel-endpoint-envelope-package-payload-digest-correlation-and-idempotency-record", "name": "Attempt, channel, endpoint, envelope, package, payload, digest, correlation and idempotency record", "description": "Immutable or versioned evidence for attempt, channel, endpoint, envelope, package, payload, digest, correlation and idempotency with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-004", "SRC-009", "SRC-011", "SRC-014" ] } ], "inline_only_rationale": null }, { "id": "transmission-retry-duplicate-replacement-withdrawal-publication-and-dissemination-event", "name": "Transmission, retry, duplicate, replacement, withdrawal, publication and dissemination event", "description": "Records transmission, retry, duplicate, replacement, withdrawal, publication and dissemination event as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-004", "SRC-009", "SRC-011", "SRC-014" ], "questions": [ { "id": "transmission-retry-duplicate-replacement-withdrawal-publication-and-dissemination-event-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish transmission, retry, duplicate, replacement, withdrawal, publication and dissemination event?", "kind": "event", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "transmission-retry-duplicate-replacement-withdrawal-publication-and-dissemination-event-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on transmission, retry, duplicate, replacement, withdrawal, publication and dissemination event, for which purpose and under what authority?", "kind": "exception", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "transmission-retry-duplicate-replacement-withdrawal-publication-and-dissemination-event-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify transmission, retry, duplicate, replacement, withdrawal, publication and dissemination event?", "kind": "temporal", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "transmission-retry-duplicate-replacement-withdrawal-publication-and-dissemination-event-data", "name": "Transmission, retry, duplicate, replacement, withdrawal, publication and dissemination event data", "description": "Typed regulatory filing or disclosure data for transmission, retry, duplicate, replacement, withdrawal, publication and dissemination event, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-004", "SRC-009", "SRC-011", "SRC-014" ] } ], "artifacts": [ { "id": "transmission-retry-duplicate-replacement-withdrawal-publication-and-dissemination-event-record", "name": "Transmission, retry, duplicate, replacement, withdrawal, publication and dissemination event record", "description": "Immutable or versioned evidence for transmission, retry, duplicate, replacement, withdrawal, publication and dissemination event with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-004", "SRC-009", "SRC-011", "SRC-014" ] } ], "inline_only_rationale": null } ] }, { "id": "receipt-validation-acceptance-publication-and-regulator-response", "name": "Receipt, validation, acceptance, publication and regulator response", "description": "Groups governed receipt, validation, acceptance, publication and regulator response for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-002", "SRC-003", "SRC-006", "SRC-008", "SRC-009", "SRC-012" ], "findings": [ { "id": "receipt-confirmation-acknowledgement-rejection-suspense-error-warning-and-correlation", "name": "Receipt confirmation, acknowledgement, rejection, suspense, error, warning and correlation", "description": "Records receipt confirmation, acknowledgement, rejection, suspense, error, warning and correlation as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-002", "SRC-003", "SRC-006", "SRC-008", "SRC-009", "SRC-012" ], "questions": [ { "id": "receipt-confirmation-acknowledgement-rejection-suspense-error-warning-and-correlation-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish receipt confirmation, acknowledgement, rejection, suspense, error, warning and correlation?", "kind": "evidence", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "receipt-confirmation-acknowledgement-rejection-suspense-error-warning-and-correlation-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on receipt confirmation, acknowledgement, rejection, suspense, error, warning and correlation, for which purpose and under what authority?", "kind": "interoperability", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "receipt-confirmation-acknowledgement-rejection-suspense-error-warning-and-correlation-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify receipt confirmation, acknowledgement, rejection, suspense, error, warning and correlation?", "kind": "spatial", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "receipt-confirmation-acknowledgement-rejection-suspense-error-warning-and-correlation-data", "name": "Receipt confirmation, acknowledgement, rejection, suspense, error, warning and correlation data", "description": "Typed regulatory filing or disclosure data for receipt confirmation, acknowledgement, rejection, suspense, error, warning and correlation, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-002", "SRC-003", "SRC-006", "SRC-008", "SRC-009", "SRC-012" ] } ], "artifacts": [ { "id": "receipt-confirmation-acknowledgement-rejection-suspense-error-warning-and-correlation-record", "name": "Receipt confirmation, acknowledgement, rejection, suspense, error, warning and correlation record", "description": "Immutable or versioned evidence for receipt confirmation, acknowledgement, rejection, suspense, error, warning and correlation with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-002", "SRC-003", "SRC-006", "SRC-008", "SRC-009", "SRC-012" ] } ], "inline_only_rationale": null }, { "id": "accepted-for-processing-published-reviewed-query-finding-decision-and-action-reference", "name": "Accepted-for-processing, published, reviewed, query, finding, decision and action reference", "description": "Records accepted-for-processing, published, reviewed, query, finding, decision and action reference as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-002", "SRC-003", "SRC-006", "SRC-008", "SRC-009", "SRC-012" ], "questions": [ { "id": "accepted-for-processing-published-reviewed-query-finding-decision-and-action-reference-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish accepted-for-processing, published, reviewed, query, finding, decision and action reference?", "kind": "lifecycle", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "accepted-for-processing-published-reviewed-query-finding-decision-and-action-reference-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on accepted-for-processing, published, reviewed, query, finding, decision and action reference, for which purpose and under what authority?", "kind": "decision", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "accepted-for-processing-published-reviewed-query-finding-decision-and-action-reference-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify accepted-for-processing, published, reviewed, query, finding, decision and action reference?", "kind": "provenance", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "accepted-for-processing-published-reviewed-query-finding-decision-and-action-reference-data", "name": "Accepted-for-processing, published, reviewed, query, finding, decision and action reference data", "description": "Typed regulatory filing or disclosure data for accepted-for-processing, published, reviewed, query, finding, decision and action reference, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-002", "SRC-003", "SRC-006", "SRC-008", "SRC-009", "SRC-012" ] } ], "artifacts": [ { "id": "accepted-for-processing-published-reviewed-query-finding-decision-and-action-reference-record", "name": "Accepted-for-processing, published, reviewed, query, finding, decision and action reference record", "description": "Immutable or versioned evidence for accepted-for-processing, published, reviewed, query, finding, decision and action reference with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-002", "SRC-003", "SRC-006", "SRC-008", "SRC-009", "SRC-012" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "lifecycle-deadlines-corrections-and-downstream-references", "name": "Lifecycle, deadlines, corrections and downstream references", "description": "Represent independent state axes and immutable amendment, restatement and withdrawal lineage", "rationale": "Represent independent state axes and immutable amendment, restatement and withdrawal lineage", "source_refs": [ "SRC-001", "SRC-002", "SRC-006", "SRC-008", "SRC-009", "SRC-020", "SRC-003" ], "layers": [ { "id": "reporting-period-deadline-extension-and-lifecycle", "name": "Reporting period, deadline, extension and lifecycle", "description": "Groups governed reporting period, deadline, extension and lifecycle for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-001", "SRC-002", "SRC-006", "SRC-008", "SRC-009", "SRC-020" ], "findings": [ { "id": "draft-prepared-reviewed-approved-signed-submitted-received-valid-accepted-published-and-closed-state", "name": "Draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted, published and closed state", "description": "Records draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted, published and closed state as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-006", "SRC-008", "SRC-009", "SRC-020" ], "questions": [ { "id": "draft-prepared-reviewed-approved-signed-submitted-received-valid-accepted-published-and-closed-state-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted, published and closed state?", "kind": "state", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "draft-prepared-reviewed-approved-signed-submitted-received-valid-accepted-published-and-closed-state-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted, published and closed state, for which purpose and under what authority?", "kind": "identity", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "draft-prepared-reviewed-approved-signed-submitted-received-valid-accepted-published-and-closed-state-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted, published and closed state?", "kind": "ownership", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "draft-prepared-reviewed-approved-signed-submitted-received-valid-accepted-published-and-closed-state-data", "name": "Draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted, published and closed state data", "description": "Typed regulatory filing or disclosure data for draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted, published and closed state, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-006", "SRC-008", "SRC-009", "SRC-020" ] } ], "artifacts": [ { "id": "draft-prepared-reviewed-approved-signed-submitted-received-valid-accepted-published-and-closed-state-record", "name": "Draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted, published and closed state record", "description": "Immutable or versioned evidence for draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted, published and closed state with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-006", "SRC-008", "SRC-009", "SRC-020" ] } ], "inline_only_rationale": null }, { "id": "reference-period-due-extension-preparation-approval-signature-submission-receipt-publication-and-knowledge-time", "name": "Reference period, due, extension, preparation, approval, signature, submission, receipt, publication and knowledge time", "description": "Records reference period, due, extension, preparation, approval, signature, submission, receipt, publication and knowledge time as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-006", "SRC-008", "SRC-009", "SRC-020" ], "questions": [ { "id": "reference-period-due-extension-preparation-approval-signature-submission-receipt-publication-and-knowledge-time-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish reference period, due, extension, preparation, approval, signature, submission, receipt, publication and knowledge time?", "kind": "temporal", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "reference-period-due-extension-preparation-approval-signature-submission-receipt-publication-and-knowledge-time-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on reference period, due, extension, preparation, approval, signature, submission, receipt, publication and knowledge time, for which purpose and under what authority?", "kind": "classification", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "reference-period-due-extension-preparation-approval-signature-submission-receipt-publication-and-knowledge-time-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify reference period, due, extension, preparation, approval, signature, submission, receipt, publication and knowledge time?", "kind": "authority", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "reference-period-due-extension-preparation-approval-signature-submission-receipt-publication-and-knowledge-time-data", "name": "Reference period, due, extension, preparation, approval, signature, submission, receipt, publication and knowledge time data", "description": "Typed regulatory filing or disclosure data for reference period, due, extension, preparation, approval, signature, submission, receipt, publication and knowledge time, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-006", "SRC-008", "SRC-009", "SRC-020" ] } ], "artifacts": [ { "id": "reference-period-due-extension-preparation-approval-signature-submission-receipt-publication-and-knowledge-time-record", "name": "Reference period, due, extension, preparation, approval, signature, submission, receipt, publication and knowledge time record", "description": "Immutable or versioned evidence for reference period, due, extension, preparation, approval, signature, submission, receipt, publication and knowledge time with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-006", "SRC-008", "SRC-009", "SRC-020" ] } ], "inline_only_rationale": null } ] }, { "id": "amendment-restatement-withdrawal-and-regulatory-follow-up", "name": "Amendment, restatement, withdrawal and regulatory follow-up", "description": "Groups governed amendment, restatement, withdrawal and regulatory follow-up for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-006", "SRC-008" ], "findings": [ { "id": "amendment-correction-restatement-replacement-withdrawal-predecessor-successor-and-change-set", "name": "Amendment, correction, restatement, replacement, withdrawal, predecessor, successor and change set", "description": "Records amendment, correction, restatement, replacement, withdrawal, predecessor, successor and change set as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-006", "SRC-008" ], "questions": [ { "id": "amendment-correction-restatement-replacement-withdrawal-predecessor-successor-and-change-set-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish amendment, correction, restatement, replacement, withdrawal, predecessor, successor and change set?", "kind": "exception", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "amendment-correction-restatement-replacement-withdrawal-predecessor-successor-and-change-set-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on amendment, correction, restatement, replacement, withdrawal, predecessor, successor and change set, for which purpose and under what authority?", "kind": "composition", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "amendment-correction-restatement-replacement-withdrawal-predecessor-successor-and-change-set-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify amendment, correction, restatement, replacement, withdrawal, predecessor, successor and change set?", "kind": "requirement", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "amendment-correction-restatement-replacement-withdrawal-predecessor-successor-and-change-set-data", "name": "Amendment, correction, restatement, replacement, withdrawal, predecessor, successor and change set data", "description": "Typed regulatory filing or disclosure data for amendment, correction, restatement, replacement, withdrawal, predecessor, successor and change set, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-006", "SRC-008" ] } ], "artifacts": [ { "id": "amendment-correction-restatement-replacement-withdrawal-predecessor-successor-and-change-set-record", "name": "Amendment, correction, restatement, replacement, withdrawal, predecessor, successor and change set record", "description": "Immutable or versioned evidence for amendment, correction, restatement, replacement, withdrawal, predecessor, successor and change set with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-006", "SRC-008" ] } ], "inline_only_rationale": null }, { "id": "regulator-query-review-finding-investigation-decision-sanction-remediation-and-appeal-reference", "name": "Regulator query, review, finding, investigation, decision, sanction, remediation and appeal reference", "description": "Records regulator query, review, finding, investigation, decision, sanction, remediation and appeal reference as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-006", "SRC-008" ], "questions": [ { "id": "regulator-query-review-finding-investigation-decision-sanction-remediation-and-appeal-reference-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish regulator query, review, finding, investigation, decision, sanction, remediation and appeal reference?", "kind": "relationship", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "regulator-query-review-finding-investigation-decision-sanction-remediation-and-appeal-reference-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on regulator query, review, finding, investigation, decision, sanction, remediation and appeal reference, for which purpose and under what authority?", "kind": "relationship", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "regulator-query-review-finding-investigation-decision-sanction-remediation-and-appeal-reference-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify regulator query, review, finding, investigation, decision, sanction, remediation and appeal reference?", "kind": "constraint", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "regulator-query-review-finding-investigation-decision-sanction-remediation-and-appeal-reference-data", "name": "Regulator query, review, finding, investigation, decision, sanction, remediation and appeal reference data", "description": "Typed regulatory filing or disclosure data for regulator query, review, finding, investigation, decision, sanction, remediation and appeal reference, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-006", "SRC-008" ] } ], "artifacts": [ { "id": "regulator-query-review-finding-investigation-decision-sanction-remediation-and-appeal-reference-record", "name": "Regulator query, review, finding, investigation, decision, sanction, remediation and appeal reference record", "description": "Immutable or versioned evidence for regulator query, review, finding, investigation, decision, sanction, remediation and appeal reference with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-006", "SRC-008" ] } ], "inline_only_rationale": null } ] } ] }, { "id": "governance-provenance-confidentiality-retention-and-interoperability", "name": "Governance, provenance, confidentiality, retention and interoperability", "description": "Qualify every assertion, access decision and external projection for agent-safe regulatory use", "rationale": "Qualify every assertion, access decision and external projection for agent-safe regulatory use", "source_refs": [ "SRC-011", "SRC-012", "SRC-020", "SRC-021", "SRC-022", "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-023", "SRC-024" ], "layers": [ { "id": "source-provenance-quality-and-time", "name": "Source, provenance, quality and time", "description": "Groups governed source, provenance, quality and time for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-011", "SRC-012", "SRC-020", "SRC-021", "SRC-022" ], "findings": [ { "id": "source-actor-activity-derivation-conflict-confidence-quality-measure-and-control", "name": "Source, actor, activity, derivation, conflict, confidence, quality measure and control", "description": "Records source, actor, activity, derivation, conflict, confidence, quality measure and control as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-011", "SRC-012", "SRC-020", "SRC-021", "SRC-022" ], "questions": [ { "id": "source-actor-activity-derivation-conflict-confidence-quality-measure-and-control-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish source, actor, activity, derivation, conflict, confidence, quality measure and control?", "kind": "provenance", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "source-actor-activity-derivation-conflict-confidence-quality-measure-and-control-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on source, actor, activity, derivation, conflict, confidence, quality measure and control, for which purpose and under what authority?", "kind": "state", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "source-actor-activity-derivation-conflict-confidence-quality-measure-and-control-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify source, actor, activity, derivation, conflict, confidence, quality measure and control?", "kind": "process", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "source-actor-activity-derivation-conflict-confidence-quality-measure-and-control-data", "name": "Source, actor, activity, derivation, conflict, confidence, quality measure and control data", "description": "Typed regulatory filing or disclosure data for source, actor, activity, derivation, conflict, confidence, quality measure and control, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-011", "SRC-012", "SRC-020", "SRC-021", "SRC-022" ] } ], "artifacts": [ { "id": "source-actor-activity-derivation-conflict-confidence-quality-measure-and-control-record", "name": "Source, actor, activity, derivation, conflict, confidence, quality measure and control record", "description": "Immutable or versioned evidence for source, actor, activity, derivation, conflict, confidence, quality measure and control with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-011", "SRC-012", "SRC-020", "SRC-021", "SRC-022" ] } ], "inline_only_rationale": null }, { "id": "reference-effective-due-approval-signature-submission-receipt-publication-observation-ingestion-and-knowledge-time", "name": "Reference, effective, due, approval, signature, submission, receipt, publication, observation, ingestion and knowledge time", "description": "Records reference, effective, due, approval, signature, submission, receipt, publication, observation, ingestion and knowledge time as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-011", "SRC-012", "SRC-020", "SRC-021", "SRC-022" ], "questions": [ { "id": "reference-effective-due-approval-signature-submission-receipt-publication-observation-ingestion-and-knowledge-time-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish reference, effective, due, approval, signature, submission, receipt, publication, observation, ingestion and knowledge time?", "kind": "temporal", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "reference-effective-due-approval-signature-submission-receipt-publication-observation-ingestion-and-knowledge-time-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on reference, effective, due, approval, signature, submission, receipt, publication, observation, ingestion and knowledge time, for which purpose and under what authority?", "kind": "lifecycle", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "reference-effective-due-approval-signature-submission-receipt-publication-observation-ingestion-and-knowledge-time-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify reference, effective, due, approval, signature, submission, receipt, publication, observation, ingestion and knowledge time?", "kind": "event", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "reference-effective-due-approval-signature-submission-receipt-publication-observation-ingestion-and-knowledge-time-data", "name": "Reference, effective, due, approval, signature, submission, receipt, publication, observation, ingestion and knowledge time data", "description": "Typed regulatory filing or disclosure data for reference, effective, due, approval, signature, submission, receipt, publication, observation, ingestion and knowledge time, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-011", "SRC-012", "SRC-020", "SRC-021", "SRC-022" ] } ], "artifacts": [ { "id": "reference-effective-due-approval-signature-submission-receipt-publication-observation-ingestion-and-knowledge-time-record", "name": "Reference, effective, due, approval, signature, submission, receipt, publication, observation, ingestion and knowledge time record", "description": "Immutable or versioned evidence for reference, effective, due, approval, signature, submission, receipt, publication, observation, ingestion and knowledge time with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-011", "SRC-012", "SRC-020", "SRC-021", "SRC-022" ] } ], "inline_only_rationale": null } ] }, { "id": "ownership-confidentiality-access-retention-and-projection", "name": "Ownership, confidentiality, access, retention and projection", "description": "Groups governed ownership, confidentiality, access, retention and projection for Regulatory Filing / Disclosure.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ], "findings": [ { "id": "owner-steward-public-confidential-restricted-purpose-access-exception-legal-hold-and-tombstone", "name": "Owner, steward, public, confidential, restricted, purpose, access, exception, legal hold and tombstone", "description": "Records owner, steward, public, confidential, restricted, purpose, access, exception, legal hold and tombstone as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ], "questions": [ { "id": "owner-steward-public-confidential-restricted-purpose-access-exception-legal-hold-and-tombstone-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish owner, steward, public, confidential, restricted, purpose, access, exception, legal hold and tombstone?", "kind": "access", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "owner-steward-public-confidential-restricted-purpose-access-exception-legal-hold-and-tombstone-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on owner, steward, public, confidential, restricted, purpose, access, exception, legal hold and tombstone, for which purpose and under what authority?", "kind": "temporal", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "owner-steward-public-confidential-restricted-purpose-access-exception-legal-hold-and-tombstone-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify owner, steward, public, confidential, restricted, purpose, access, exception, legal hold and tombstone?", "kind": "measurement", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "owner-steward-public-confidential-restricted-purpose-access-exception-legal-hold-and-tombstone-data", "name": "Owner, steward, public, confidential, restricted, purpose, access, exception, legal hold and tombstone data", "description": "Typed regulatory filing or disclosure data for owner, steward, public, confidential, restricted, purpose, access, exception, legal hold and tombstone, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "artifacts": [ { "id": "owner-steward-public-confidential-restricted-purpose-access-exception-legal-hold-and-tombstone-record", "name": "Owner, steward, public, confidential, restricted, purpose, access, exception, legal hold and tombstone record", "description": "Immutable or versioned evidence for owner, steward, public, confidential, restricted, purpose, access, exception, legal hold and tombstone with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "inline_only_rationale": null }, { "id": "jurisdiction-form-schema-taxonomy-code-set-language-conformance-and-mapping-loss", "name": "Jurisdiction, form, schema, taxonomy, code-set, language, conformance and mapping loss", "description": "Records jurisdiction, form, schema, taxonomy, code-set, language, conformance and mapping loss as source-qualified Regulatory Filing / Disclosure context while reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment and records masters remain independently identifiable.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ], "questions": [ { "id": "jurisdiction-form-schema-taxonomy-code-set-language-conformance-and-mapping-loss-q01", "text": "Which stable filing, revision, reporting entity, obligation, reference period, jurisdiction, form, schema and external-master identities establish jurisdiction, form, schema, taxonomy, code-set, language, conformance and mapping loss?", "kind": "interoperability", "answer_data": [ "filing, revision, reporting entity, registration, LEI, obligation, period, jurisdiction and master-system identifiers", "periodic, event-driven, initial, amended, corrected, restated, replacement, withdrawal and nil classes", "draft, prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, superseded and closed states" ] }, { "id": "jurisdiction-form-schema-taxonomy-code-set-language-conformance-and-mapping-loss-q02", "text": "Who prepares, reviews, approves, signs, transmits, publishes, receives, validates, investigates or may rely on jurisdiction, form, schema, taxonomy, code-set, language, conformance and mapping loss, for which purpose and under what authority?", "kind": "spatial", "answer_data": [ "reporting entity, preparer, reviewer, approver, signer, representative, transmitter, publisher, repository, regulator and auditor", "law, reporting obligation, form instruction, filing mandate, delegation, signature, policy, jurisdiction and segregation of duties", "purpose, scope, responsibility, deadline, exception, confidentiality, accountability and contestability" ] }, { "id": "jurisdiction-form-schema-taxonomy-code-set-language-conformance-and-mapping-loss-q03", "text": "Which concept, value, unit, rule version, source, evidence, method, event time, knowledge time, uncertainty, successor lineage and projection loss qualify jurisdiction, form, schema, taxonomy, code-set, language, conformance and mapping loss?", "kind": "evidence", "answer_data": [ "reported fact, narrative, metric, context, dimension, unit, currency, precision, nil reason and confidentiality class", "form, schema, taxonomy, code set, validation rule, source evidence, control, signature and regulator response", "reference, due, preparation, approval, signature, submission, receipt, publication, observation, ingestion and knowledge times, predecessor, successor, retention, access and mapping loss" ] } ], "data_elements": [ { "id": "jurisdiction-form-schema-taxonomy-code-set-language-conformance-and-mapping-loss-data", "name": "Jurisdiction, form, schema, taxonomy, code-set, language, conformance and mapping loss data", "description": "Typed regulatory filing or disclosure data for jurisdiction, form, schema, taxonomy, code-set, language, conformance and mapping loss, qualified by source, authority, rule, version, period, time, uncertainty, confidentiality and provenance.", "value_kind": "object", "cardinality": "1", "required": true, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "artifacts": [ { "id": "jurisdiction-form-schema-taxonomy-code-set-language-conformance-and-mapping-loss-record", "name": "Jurisdiction, form, schema, taxonomy, code-set, language, conformance and mapping loss record", "description": "Immutable or versioned evidence for jurisdiction, form, schema, taxonomy, code-set, language, conformance and mapping loss with filing and revision identity, digest, source, profile version, event and knowledge times, access marking and successor lineage.", "media_or_form": [ "application/yaml", "application/json", "application/xml", "text/csv", "text/markdown", "text/html" ], "serial": true, "identity_strategy": "Prefer the authoritative reporting-entity, regulator, filing, repository, acknowledgement or records identifier; otherwise use a governed IRI, then a Dimension UUID or ULID.", "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "inline_only_rationale": null } ] } ] } ] }, "functions": [ { "id": "initialize-filing", "name": "Initialize filing", "description": "Governed operation to initialize filing without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "reporting entity and account references", "obligation, report type and reference period", "jurisdiction, form and schema profiles" ], "outputs": [ "identified draft filing revision" ], "preconditions": [ "namespace, reporting authority, obligation, period, jurisdiction and form version are resolved" ], "effects": [ "creates a draft aggregate only and does not create entity, obligation, law, case, decision or records masters" ], "source_refs": [ "SRC-001", "SRC-006", "SRC-009" ] }, { "id": "bind-obligation-parties-and-authority", "name": "Bind obligation, parties and authority", "description": "Governed operation to bind obligation, parties and authority without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "filing revision", "reporting entity, representative and regulator references", "reporting obligation" ], "outputs": [ "authorized filing binding" ], "preconditions": [ "identities, mandate, report type, period, jurisdiction and due time are known" ], "effects": [ "binds external masters without copying their lifecycle or secret credentials" ], "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017" ] }, { "id": "assemble-disclosure-package", "name": "Assemble disclosure package", "description": "Governed operation to assemble disclosure package without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "filing revision", "sections, tables, facts, narratives and exhibits", "form and taxonomy profile" ], "outputs": [ "versioned disclosure package" ], "preconditions": [ "required structures, concepts, contexts, units, classes and attachment rules are pinned" ], "effects": [ "assembles content without asserting approval, signature, submission, receipt or publication" ], "source_refs": [ "SRC-004", "SRC-005", "SRC-006", "SRC-013", "SRC-014" ] }, { "id": "ingest-source-evidence", "name": "Ingest source evidence", "description": "Governed operation to ingest source evidence without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "filing revision", "source systems, documents, datasets and controls", "evidence policy" ], "outputs": [ "source-qualified evidence bindings" ], "preconditions": [ "source identity, authority, period, freshness, access and correction lineage are known" ], "effects": [ "records evidence and never turns it into an approved disclosure or regulator finding by itself" ], "source_refs": [ "SRC-006", "SRC-011", "SRC-012", "SRC-021", "SRC-022" ] }, { "id": "validate-filing", "name": "Validate filing", "description": "Governed operation to validate filing without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "disclosure package", "schema, taxonomy, code-set and rule versions", "exception policy" ], "outputs": [ "validation findings and review queue" ], "preconditions": [ "structural, dimensional, arithmetic, completeness, cross-field and business controls are resolvable" ], "effects": [ "records pass, fail, warning or waiver evidence without silently changing reported assertions" ], "source_refs": [ "SRC-001", "SRC-004", "SRC-006", "SRC-007", "SRC-008" ] }, { "id": "review-approve-and-sign", "name": "Review, approve and sign", "description": "Governed operation to review, approve and sign without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "validated filing revision", "review and approval evidence", "signature or seal profile" ], "outputs": [ "approved and signed disclosure evidence" ], "preconditions": [ "delegated authority, segregation, declaration text, digest, signer or sealer and event time are confirmed" ], "effects": [ "records accountable decisions and never implies transmission, receipt, publication or regulator acceptance" ], "source_refs": [ "SRC-001", "SRC-002", "SRC-009", "SRC-018" ] }, { "id": "submit-or-disseminate", "name": "Submit or disseminate", "description": "Governed operation to submit or disseminate without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "authorized package", "channel, endpoint or publication venue", "correlation, idempotency and retry policy" ], "outputs": [ "delivery attempt and publication event" ], "preconditions": [ "authority, deadline, payload digest, audience, confidentiality, schema and endpoint versions are valid" ], "effects": [ "records submitted or disseminated evidence without asserting receipt, validation, acceptance, review or compliance" ], "source_refs": [ "SRC-001", "SRC-002", "SRC-004", "SRC-009", "SRC-011" ] }, { "id": "record-response-and-follow-up", "name": "Record response and follow-up", "description": "Governed operation to record response and follow-up without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "delivery attempt", "acknowledgement, validation or regulator message", "correlation policy" ], "outputs": [ "source-qualified response and follow-up binding" ], "preconditions": [ "response source, identifier, correlation, code set, event time, authority and authenticity are known" ], "effects": [ "records receipt, suspense, rejection, acceptance, query or finding independently from legal conclusions" ], "source_refs": [ "SRC-002", "SRC-003", "SRC-006", "SRC-008", "SRC-012" ] }, { "id": "amend-restate-withdraw-and-reconcile", "name": "Amend, restate, withdraw and reconcile", "description": "Governed operation to amend, restate, withdraw and reconcile without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "filed predecessor and downstream responses", "authorized change set and reason", "regulator, case, decision or remediation references" ], "outputs": [ "successor filing, lineage and reconciliation assertions" ], "preconditions": [ "predecessor remains immutable and authority, period, impact, deadlines and downstream obligations are known" ], "effects": [ "preserves history and never infers regulator approval, compliance, investigation closure or sanction outcome" ], "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-006", "SRC-008" ] }, { "id": "validate-project-retain-and-audit", "name": "Validate, project, retain and audit", "description": "Governed operation to validate, project, retain and audit without autonomous legal attestation, external filing, publication, protected-data disclosure or destruction.", "inputs": [ "filing aggregate and revision", "target purpose", "access, retention and conformance policy" ], "outputs": [ "validation report, minimum view, loss declaration, retention result or audit event" ], "preconditions": [ "schema, digest, authority, confidentiality, legal-hold, clock and conformance checks pass" ], "effects": [ "never exposes unnecessary regulated data or cascades deletion into entity, obligation, case, decision, sanction or records masters" ], "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012", "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "composition": [ { "target": "WM-REC-002", "relation": "REFERENCE", "purpose": "Resolve the provisional generic-record parent signal without granting containment or cascade mutation authority.", "required": false, "source_refs": [ "SRC-001", "SRC-012", "SRC-021" ] }, { "target": "Reporting Entity, Person, Organization, Regulator, Obligation, Legal Norm, Domain Data, Permit, Application, Case, Decision, Assessment, Sanction, Payment and Records models", "relation": "REFERENCE", "purpose": "Resolve external identity, rule, source, authority, transaction and governance records without duplicating their lifecycles.", "required": false, "source_refs": [ "SRC-001", "SRC-006", "SRC-009", "SRC-010", "SRC-017", "SRC-021" ] }, { "target": "SEC EDGAR, EU ESEF, EBA, EIOPA, FCA and Eurostat reporting profiles", "relation": "ALIGN", "purpose": "Project version-pinned regulator and sector profiles with declared scope and semantic loss.", "required": false, "source_refs": [ "SRC-001", "SRC-002", "SRC-003", "SRC-004", "SRC-005", "SRC-006", "SRC-007", "SRC-008", "SRC-009", "SRC-010", "SRC-011", "SRC-012" ] }, { "target": "XBRL, GLEIF LEI, eIDAS, GDPR, RFC 3339, PROV-O, DQV, ODRL and OpenAPI 3.1.1", "relation": "ALIGN", "purpose": "Project reporting, identity, trust, privacy, temporal, provenance, quality, policy and API views without claiming universal conformance.", "required": false, "source_refs": [ "SRC-013", "SRC-014", "SRC-015", "SRC-016", "SRC-017", "SRC-018", "SRC-019", "SRC-020", "SRC-021", "SRC-022", "SRC-023", "SRC-024" ] } ], "serviceLayers": { "dimension": { "owner_package_requirements": [ "Dimension owner, namespace authority, reporting entity and delegated regulatory, legal, compliance, finance, privacy, audit and records authorities", "Authoritative Organization, Person, Regulator, Obligation, Legal Norm, Domain Data, Permit, Application, Case, Decision, Assessment, Sanction, Payment and Records registries", "Approved periodic, event-driven, prudential, securities, statistical, operational, public, confidential, amended, restated and withdrawal profiles", "Preparation, validation, approval, signature, filing, publication, amendment, confidentiality, access, retention and agent-operation policies" ], "namespace_guidance": "Mint filing, revision, section, fact, narrative, table, evidence, validation, approval, signature, attempt, acknowledgement, restatement and projection IDs; preserve every external master identifier.", "registry_links": [ "https://ver.cy/models/", "https://ver.cy/model-agent-protocol.md" ] }, "canon_and_patch": { "canonicalization_rules": [ "Canonicalize a filing by authoritative regulator, repository or reporting-entity identifier, report type, obligation, reference period, jurisdiction and revision head, never by filename, submission time, public URL or digest alone.", "Canonicalize each delivery attempt, dissemination event and response separately from the disclosure revision; keep regulator findings, decisions and sanctions distinct." ], "patch_rules": [ "Extensions declare regulator, sector, report class, form, fact, table, taxonomy, validation, channel, confidentiality and interoperability effects.", "Approved, submitted, received or published revisions are immutable; amendment, correction, restatement, replacement and withdrawal create linked successors with reason, authority and downstream impact.", "Never silently change reporting entity, obligation, period, jurisdiction, form, schema, taxonomy, reported assertion, signature, delivery state, confidentiality or external reference." ], "compatibility_rules": [ "Ignore additive fields only when filing and revision identity, entity, obligation, period, jurisdiction, form, assertions, states, clocks, authority, access and provenance survive.", "Every projection pins schema, form, taxonomy, code-set, language and jurisdiction versions and declares loss in validation, lifecycle, confidentiality and authority semantics." ] }, "artifact_rules": { "identity_priority": [ "Authoritative master-system identifier for a regulatory filing, disclosure, submission, acknowledgement, repository or records object, qualified by namespace and record kind.", "Governed globally resolvable filing, attempt or artifact IRI.", "Dimension UUID or ULID when neither preceding identifier exists." ], "timestamp_rule": "Use RFC 3339 timestamps with seconds and explicit offset or Z; distinguish reference-period boundary, due, preparation, review, approval, signature, submission, receipt, validation, acceptance-for-processing, publication, regulator-response, correction, observation, ingestion and knowledge times whenever they differ.", "serial_naming_rule": "Use {filing-id}--{filing-revision-id}--{attempt-or-component-id}--{artifact-kind}--{record-revision-id}.", "integrity_rule": "Store digest, media type, filing and revision IDs, actor, purpose, source, form, schema, taxonomy, code-set, rule and policy versions, unit, currency, precision, event and knowledge times, confidentiality, retention and provenance." }, "policies": [ "This model owns the governed regulatory disclosure package, delivery attempts and acknowledgements, not reporting entity, regulator, obligation, law, domain fact, permit, application, case, decision, assessment, sanction, payment or generic records masters.", "Prepared, reviewed, approved, signed, submitted, received, schema-valid, accepted-for-processing, published, reviewed-by-regulator, compliant, sanctioned and final remain separate assertions.", "Jurisdiction, regulator, sector, reporting entity class, obligation, form, taxonomy, channel, signature, confidentiality and retention rules are versioned profiles rather than universal defaults.", "Agents cannot autonomously make a legal attestation, approve, sign, file, publish, waive validation, disclose protected regulated data or destroy records without explicit delegated authority." ], "crud": { "read": [ "Resolve filing, revisions, obligation, parties, content, evidence, profiles, validations, approvals, signatures, attempts, responses, corrections, downstream references, access and projection loss." ], "create": [ "Bind reporting entity, filing class, obligation, reference period, jurisdiction, form, schema and initial unknown lifecycle states before adding reported assertions." ], "update": [ "Append successor assertions, validations, approvals, signatures, delivery attempts, acknowledgements, amendments, restatements and reconciliation records with reason, authority, source, event time and knowledge time." ], "delete": [ "Apply regulatory, confidentiality, privacy, audit, legal-hold and Dimension retention policy; tombstone only the catalogue view and never cascade deletion to external masters." ] }, "roles": [ { "name": "Reporting entity and accountable filer", "responsibilities": [ "Own reported assertions, declarations, approvals and accountable filing or publication decisions." ] }, { "name": "Preparer and representative", "responsibilities": [ "Prepare authorized disclosures, bind evidence, disclose conflicts and act only within a documented mandate." ] }, { "name": "Filing and disclosure steward", "responsibilities": [ "Own filing identity, versions, validation, packaging, delivery attempts, acknowledgements, corrections and operational reconciliation." ] }, { "name": "Regulator or receiving authority", "responsibilities": [ "Own scoped obligations, forms, schemas, receipt, validation, acceptance, review, finding and official response records." ] }, { "name": "Domain and control steward", "responsibilities": [ "Own source facts, calculation methods, controls and evidence outside the filing aggregate." ] }, { "name": "Privacy, security and audit authority", "responsibilities": [ "Own confidentiality, purpose, access, segregation, monitoring, exception, legal-hold and review controls." ] }, { "name": "Interoperability and records steward", "responsibilities": [ "Own mappings, conformance, projection loss, retention and disposition policy." ] } ], "access": { "default_rule": "Deny confidential reporting-entity, personal, financial, prudential, market, security, operational, investigation and regulator-response data unless purpose-bound policy permits the minimum necessary view.", "scopes": [ "bundle", "layer", "finding", "artifact" ], "exceptions": [ "Declared reporting, legal, regulator, audit, security, incident or public-disclosure access must cite authority, scope, purpose, audience and time limit and be logged." ], "audit_requirements": [ "Log actor, agent, role, purpose, filing and revision IDs, operation, authority, policy, RFC 3339 time, affected assertions, source revision and outcome without duplicating protected values, credentials or destinations." ] }, "agents_bootstrap": { "filename": "AGENTS.md", "required_fields": [ "Name", "Type", "Specification URL", "Storage type URL", "Interface URL", "Processes URL" ], "read_order": [ "Read Dimension namespace, regulatory, legal, compliance, confidentiality, privacy, audit, retention and agent policies.", "Read this filing and linked entity, obligation, law, domain-data, permit, application, case, decision, assessment, sanction, payment and records models before mutation." ] } }, "coverage": { "claim": "WM-ECO-033 covers a governed Regulatory Filing / Disclosure aggregate through separate disclosure-revision, delivery-attempt, dissemination and response identities; mandate, parties, content, facts, evidence, validation, approval, signature, lifecycle, corrections, downstream references, provenance, confidentiality, access and loss-aware projections. Regulator, sector, jurisdiction, report-class, implementation-conformance and independent-review questions remain deferred.", "confidence": "medium", "checklist": [ { "dimension": "identity", "status": "covered", "notes": "Identity is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "classification and direct properties", "status": "covered", "notes": "Classification and direct properties is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "recognition and observation", "status": "covered", "notes": "Recognition and observation is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "capabilities and possible actions", "status": "covered", "notes": "Capabilities and possible actions is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "composition", "status": "covered", "notes": "Composition is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "lifecycle", "status": "covered", "notes": "Lifecycle is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "relationships", "status": "covered", "notes": "Relationships is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "temporal", "status": "covered", "notes": "Temporal is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "spatial", "status": "not-applicable", "notes": "No intrinsic geometry is owned; place and jurisdiction are external references when a reporting profile requires them." }, { "dimension": "provenance", "status": "covered", "notes": "Provenance is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "ownership", "status": "covered", "notes": "Ownership is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "validation", "status": "covered", "notes": "Validation is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "access", "status": "covered", "notes": "Access is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "retention and deletion", "status": "covered", "notes": "Retention and deletion is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "interoperability", "status": "covered", "notes": "Interoperability is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." }, { "dimension": "authority and ethics", "status": "covered", "notes": "Authority and ethics is explicit; regulator, sector, jurisdiction, report-class, implementation and independent-review profiles remain held where applicable." } ], "known_omissions": [ "Claude and Grok each timed out on one bounded attempt; no independent external result was admitted.", "WM-REC-002 is only a provisional parent signal and the frozen relation ledger contains no settled WM-ECO-033 edge.", "Securities, prudential, insurance, statistics, safety, environment, health, data-protection, utilities, transport, customs and other sector profiles need separate validation.", "Reporting-entity identity, obligations, substantive law, domain facts, permits, applications, cases, decisions, assessments, sanctions, payments, investigations and retention remain adopting-Dimension profiles.", "Every SEC, EU, EBA, EIOPA, FCA, Eurostat, XBRL, GLEIF, RFC, PROV, DQV, ODRL and OpenAPI mapping needs exact release pins and conformance tests." ], "conflicts": [ "Disclosure revision, submission attempt, dissemination event, acknowledgement, regulator review, finding, decision and sanction are related but not equivalent identities.", "Initial, periodic, event-driven, amended, corrected, restated, replacement, withdrawal and nil filings require explicit classes and lineage.", "Reported assertion, validated fact, regulator finding, accepted legal fact, compliance status, assessment and sanction are distinct axes.", "Prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, regulator-reviewed and closed are independent states." ], "regional_assumptions": [ "Obligation, form, deadline, signature, delivery effect, public dissemination, confidentiality, amendment and retention depend on jurisdiction, regulator and sector.", "SEC, EU, EBA, EIOPA, FCA and Eurostat sources are scoped profiles and not universal regulatory law." ], "adversarial_checks": [ "Reject a filing record that lacks separate disclosure-revision and delivery-attempt identities.", "Reject a filing that absorbs reporting entity, regulator, obligation, law, domain facts, permit, application, case, decision, sanction or records masters.", "Reject an assertion without concept, context, unit where applicable, rule version, source, period, precision and provenance.", "Reject submission or publication as proof of receipt, validity, acceptance, regulator agreement, compliance or finality.", "Reject a correction or restatement that destructively overwrites the disclosed predecessor.", "Reject autonomous approval, signature, filing, publication, validation waiver, protected-data disclosure or deletion without delegated authority." ] }, "researchAdjudication": { "providerMode": "single-provider-waiver", "activeProviders": [ "codex" ], "waivedProviders": [ "claude", "grok" ], "providerPolicy": { "contract_version": "1.0.0", "mode": "single-provider-waiver", "effective_at": "2026-09-06T00:00:00Z", "scope": "Canonical single-stream subject-model research after the six-workstream consolidation", "active_providers": [ "codex" ], "waived_providers": [ { "provider": "claude", "authorized_by": "repository owner", "authorized_at": "2026-09-06T00:00:00Z", "reason": "Claude produced no result on prior 1800-second and 900-second attempts and again timed out on bounded 600-second Sonnet and 300-second Haiku passes. The owner prioritized completion over provider availability." }, { "provider": "grok", "authorized_by": "repository owner", "authorized_at": "2026-09-06T00:00:00Z", "reason": "The repository owner authorized completion without Grok when Grok is unavailable, slow or schema-invalid. Grok may still be attempted as a bounded supplemental reviewer, but its failure never blocks a valid Claude plus no-tools result." } ], "review_rule": "Codex may complete source-grounded fallback research after bounded Claude and Grok attempts fail. It requires a separate no-tools adversarial audit and remains reviewable-draft with a visible absence-of-external-review hold.", "supplemental_provider_attempts": [ { "provider": "claude", "required": false, "maximum_attempts": 1, "failure_policy": "record-and-continue", "admission_rule": "Use only a locally schema-valid result whose sources and boundaries survive adjudication." }, { "provider": "grok", "required": false, "maximum_attempts": 1, "failure_policy": "record-and-continue", "admission_rule": "Use only a locally schema-valid result whose sources and boundaries survive adjudication." } ] }, "boundaryDecision": { "entry_kind": "aggregate", "status": "accepted", "rationale": "The slash label is resolved as a regulatory declaration or disclosure and delivery aggregate. It owns the versioned reporting package, submission or dissemination attempts and attributable acknowledgements, while reporting entities, obligations, law, domain facts, regulator findings, decisions, sanctions and records remain external masters." }, "decisions": [ { "concept": "Regulatory Filing / Disclosure slash boundary", "disposition": "accepted-as-reporting-package-and-delivery-aggregate", "rationale": "The model owns disclosure revisions, delivery or dissemination attempts and acknowledgements, not every upstream domain fact or downstream regulatory lifecycle." }, { "concept": "WM-REC-002 parent signal", "disposition": "accepted-as-provisional-reference", "rationale": "The registry supplies WM-REC-002 as a parent hint but the frozen relation ledger has no settled WM-ECO-033 edge, so it grants no containment or cascade authority." }, { "concept": "Disclosure revision, delivery attempt, dissemination event and acknowledgement", "disposition": "accepted-as-distinct-aggregate-member-identities", "rationale": "A revision states assertions, an attempt delivers one payload, dissemination makes content available and a response records a correlated outcome." }, { "concept": "Prepared, approved, signed, submitted, received, valid, accepted, published and reviewed", "disposition": "accepted-as-independent-state-axes", "rationale": "No preparation, approval, transport, validation or publication state silently proves regulator agreement, compliance or finality." }, { "concept": "Reported assertion, regulator finding, legal fact, compliance and sanction", "disposition": "accepted-as-distinct-authority-planes", "rationale": "Reported content retains source and authority and does not become a regulator finding or legal conclusion merely through validation or acceptance." }, { "concept": "Periodic, event-driven, initial, amended, restated, replacement, withdrawal and nil filing", "disposition": "accepted-as-explicit-classes", "rationale": "Each class has different triggers, periods, deadlines, legal effects, lineage and downstream processing." }, { "concept": "Amendment, correction, restatement, replacement and withdrawal", "disposition": "accepted-as-append-only-successor-semantics", "rationale": "The disclosed predecessor remains immutable while a successor states the change set, reason, authority and downstream impact." }, { "concept": "Reporting entity, obligation, law, domain data, case, decision and sanction", "disposition": "accepted-as-external-masters-with-bindings", "rationale": "The filing binds or projects these records but does not absorb their identity, authority or lifecycle." }, { "concept": "Regulator, sector, jurisdiction, form, taxonomy, schema and channel", "disposition": "accepted-as-versioned-profiles", "rationale": "Official sources define scoped releases; no form, deadline, validation, signature or delivery effect is universal." }, { "concept": "Confidentiality, public disclosure, privacy and access", "disposition": "accepted-as-mandatory-governance", "rationale": "Public, confidential, restricted and personal assertions require explicit classification, audience, purpose, least privilege and auditable exceptions." }, { "concept": "Format and interface neutrality", "disposition": "accepted-with-loss-aware-projections", "rationale": "XML, XBRL, iXBRL, CSV, JSON, APIs, portals, files and databases are projections of the same logical model and must declare profile versions and loss." }, { "concept": "Single-provider waiver and local no-tools audit", "disposition": "accepted-with-mandatory-hold", "rationale": "One bounded Claude Sonnet and one bounded Grok attempt each timed out after 120 seconds. Codex separately audited the frozen validated result and comparison without new facts, so assurance remains reviewable-draft." } ], "publicationHolds": [ "Absence-of-external-review hold: one Claude Sonnet and one Grok attempt for WM-ECO-033 each timed out after 120 seconds; no external result was admitted.", "Slash-boundary hold: this aggregate covers disclosure revisions, delivery or dissemination attempts and acknowledgements, while upstream domain facts and downstream regulator lifecycles remain external.", "Relation hold: WM-REC-002 is only a provisional parent signal and the frozen relation ledger contains no settled WM-ECO-033 edge.", "Identity hold: reporting entity, obligation, filing revision, attempt, dissemination, acknowledgement, finding, decision, sanction and records objects remain distinct.", "Lifecycle hold: prepared, reviewed, approved, signed, submitted, received, valid, accepted-for-processing, published, regulator-reviewed, compliant and final states do not prove one another.", "Assertion hold: reported content, validation result, regulator finding, accepted legal fact, assessment, compliance state and sanction remain separately sourced and authority-qualified.", "Correction hold: amendments, corrections, restatements, replacements and withdrawals preserve predecessors and declare downstream obligations rather than overwriting history.", "Confidentiality hold: public, confidential, restricted, personal, market-sensitive, security and investigation data require explicit classification, purpose and minimum disclosure.", "Source-access hold: direct automated access to two EBA pages failed; their current official indexed content was used and exact release files still need conformance verification.", "Profile hold: securities, prudential, insurance, statistics, safety, environment, health, data-protection, utilities, transport and customs reporting need separate profiles.", "Interoperability hold: every reporting, identity, signature, privacy, temporal, provenance, quality, policy and API projection needs exact release pins, conformance evidence and loss declarations.", "Review hold: regulatory, legal, sector, compliance, privacy, security, records and independent external review are outstanding.", "Independent external review was explicitly waived by the repository owner; this codex-only result remains a reviewable draft." ], "deferredResearch": [ "Canonically adjudicate the WM-REC-002 parent signal and register relations to reporting entity, regulator, obligation, law, domain data, permit, application, case, decision, assessment, sanction, payment and records models.", "Evaluate separate canonical disclosure-revision, filing-attempt, dissemination-event, acknowledgement, regulator-finding and decision models while preserving this aggregate as an assembly.", "Create securities, prudential, insurance, statistics, safety, environmental, health, data-protection, utilities, transport, customs and other regulator profiles.", "Benchmark and conformance-test forms, schemas, taxonomies, validation rules, signatures, deadlines, channels, acknowledgements, amendments and restatement mappings.", "Validate jurisdiction, regulator, sector, reporting-entity class, obligation, public-disclosure, confidentiality, privacy, investigation, sanction and retention policies.", "Pin exact external releases and obtain independent regulatory, legal, sector, compliance, privacy, security, records and data-governance review before promotion beyond reviewable-draft assurance." ] }, "statistics": { "sources": 24, "bundles": 6, "layers": 12, "findings": 24, "questions": 72, "artifacts": 24, "functions": 10 } }