From 670b4069402f0104e9625f4ee574c5fe40d27007 Mon Sep 17 00:00:00 2001 From: =?UTF-8?q?=F0=9D=90=8E=F0=9D=90=A7=F0=9D=90=9E=20=F0=9D=90=85?= =?UTF-8?q?=F0=9D=90=A2=F0=9D=90=A7=F0=9D=90=9E=20=F0=9D=90=92=F0=9D=90=AD?= =?UTF-8?q?=F0=9D=90=9A=F0=9D=90=AB=F0=9D=90=AC=F0=9D=90=AD=F0=9D=90=AE?= =?UTF-8?q?=F0=9D=90=9F=F0=9D=90=9F?= Date: Tue, 2 Jun 2026 12:40:22 +0000 Subject: [PATCH] =?UTF-8?q?feat(GSIFI-AGI-FORMAL-GOV-2030-WP-064)=20v1.0.0?= =?UTF-8?q?=20=E2=80=94=20Expert=202026-2030=20AGI/ASI=20technical=20gover?= =?UTF-8?q?nance,=20safety,=20containment=20&=20civilizational=20security?= =?UTF-8?q?=20blueprint=20for=20G-SIFIs?= MIME-Version: 1.0 Content-Type: text/plain; charset=UTF-8 Content-Transfer-Encoding: 8bit WP-064 adds the formal-assurance integration layer (formal verification + behavioral provenance + zero-knowledge compliance) on top of WP-061/062/063, introducing constructs not previously covered: M1 BBOM (Behavioral Bill of Materials) — signed, machine-readable behavioral provenance (capabilities, prohibited behaviors, bound invariants, eval evidence, lineage); 8 components; PQC-signed; promotion gate. M2 Unified Meta-Invariant Framework (UMIF) — single invariant ledger proven across TLA+ (temporal safety/liveness), Coq (deductive correctness) and Q# (quantum-resource bounds); 7 meta-invariants; CI proof gate. M3 AGI Containment Labs — CAS-SPP staged promotion (5 stages) gated by Bayesian Belief Networks (6 nodes) computing a systemic-risk posterior. M4 Regulator-facing stack — ARRE Annex-IV dossier assembly + zk-SNARK zero-knowledge compliance proofs (5 proof statements) preserving IP/GDPR. M5 Audit & control architecture — Kafka WORM (append-only, hash-chained, PQC-signed) on Kubernetes with OPA/Rego compliance-as-code. M6 Regulatory alignment — EU AI Act 2024/1689 incl. Annex IV, NIST AI RMF 1.0 / AI 600-1, ISO/IEC 42001, Basel III/IV, SR 11-7, NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT, GDPR. M7 Phased dependency-aware 2026-2030 rollout (assurance precedes capability). M8 Regulator-ready report sections (/<abstract>/<content>). Artifacts (reproducible, trailing-newline for pre-commit.ci parity): - gen-gsifi-agi-formal-gov-2030.py -> data/gsifi-agi-formal-gov-2030.json (8 modules / 32 sections; 8 BBOM components, 7 meta-invariants, 5 CAS-SPP stages, 6 BBN nodes, 5 zk-SNARK proofs, 5 report sections) - gen-gsifi-agi-formal-gov-2030-html.py -> public/gsifi-agi-formal-gov-2030.html - server.js: page route /gsifi-agi-formal-gov-2030 + 25 API endpoints with :id lookups (404 handling) under /api/gsifi-agi-formal-gov-2030 Verification: data & HTML regenerate byte-identical; node --check passes; all 25 endpoints return 200; :id lookups return 200/404 correctly; page loads with zero console errors. --- .../data/gsifi-agi-formal-gov-2030.json | 1028 +++++++++++++++++ .../gen-gsifi-agi-formal-gov-2030-html.py | 281 +++++ .../gen-gsifi-agi-formal-gov-2030.py | 393 +++++++ .../public/gsifi-agi-formal-gov-2030.html | 156 +++ rag-agentic-dashboard/server.js | 103 ++ 5 files changed, 1961 insertions(+) create mode 100644 rag-agentic-dashboard/data/gsifi-agi-formal-gov-2030.json create mode 100644 rag-agentic-dashboard/gen-gsifi-agi-formal-gov-2030-html.py create mode 100644 rag-agentic-dashboard/gen-gsifi-agi-formal-gov-2030.py create mode 100644 rag-agentic-dashboard/public/gsifi-agi-formal-gov-2030.html diff --git a/rag-agentic-dashboard/data/gsifi-agi-formal-gov-2030.json b/rag-agentic-dashboard/data/gsifi-agi-formal-gov-2030.json new file mode 100644 index 00000000..cbf024dc --- /dev/null +++ b/rag-agentic-dashboard/data/gsifi-agi-formal-gov-2030.json @@ -0,0 +1,1028 @@ +{ + "docRef": "GSIFI-AGI-FORMAL-GOV-2030-WP-064", + "version": "1.0.0", + "title": "Expert 2026-2030 AGI/ASI Technical Governance, Safety, Containment & Civilizational Security Blueprint for G-SIFIs — BBOM, Unified Meta-Invariant Framework (TLA+/Coq/Q#), AGI Containment Labs (CAS-SPP + Bayesian Belief Networks), ARRE & zk-SNARK Zero-Knowledge Compliance, Kafka/Kubernetes/OPA Audit Architecture", + "horizon": "2026-2030", + "apiPrefix": "/api/gsifi-agi-formal-gov-2030", + "buildsOn": [ + "WP-058", + "WP-059", + "WP-060", + "WP-061", + "WP-062", + "WP-063" + ], + "status": "formal-assurance-grade-blueprint", + "classification": "Confidential / Restricted — Board, CEO, CFO, CRO, CCO, CISO, CDAO, CTO, Enterprise Architects, AI Platform Engineers, AI Safety Researchers, Model Risk, Internal Audit, External Regulators", + "audiences": [ + "Board & Board Technology/Risk Committees", + "C-Suite (CEO, CFO, CRO, CCO, CISO, CDAO, CTO)", + "Enterprise Architects & AI Platform Engineers", + "AI Safety & Alignment Researchers", + "Model Risk Management & Independent Validation", + "Internal Audit & SMCR Accountable Executives", + "External Regulators & Supervisory Colleges" + ], + "directive": { + "scope": "Specify the formal-assurance integration layer for AGI/ASI-grade systems in G-SIFIs: a cryptographically-signed Behavioral Bill of Materials (BBOM), a Unified Meta-Invariant Framework proven across TLA+/Coq/Q#, AGI Containment Labs using CAS-SPP staged promotion gated by Bayesian Belief Networks, a regulator-facing stack (ARRE + zk-SNARK zero-knowledge compliance), and Kafka WORM / Kubernetes / OPA audit architecture — all mapped to EU AI Act 2024/1689 (incl. Annex IV), NIST AI RMF 1.0, NIST AI 600-1, ISO/IEC 42001, Basel III/IV, SR 11-7, NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT and GDPR, with a phased dependency-aware 2026-2030 rollout and machine-readable artifacts.", + "outcomes": [ + "Every material AI/agent ships a signed BBOM with capabilities, invariants and eval evidence by 2027", + "UMIF meta-invariants machine-checked (TLA+/Coq/Q#) and CI-gated for all frontier-class systems by 2028", + "AGI Containment Labs operating CAS-SPP staged promotion with BBN systemic-risk gating by 2028", + "ARRE emitting Annex-IV dossiers with zk-SNARK compliance proofs to supervisors by 2029", + "Kafka WORM audit + OPA policy plane covering 100% of governed AI decisions by 2027" + ], + "doNot": [ + "Do NOT promote any model/agent that lacks a valid, signed, non-expired BBOM", + "Do NOT advance a system past a CAS-SPP stage when its BBN systemic-risk posterior exceeds the gate threshold", + "Do NOT deploy a frontier-class system with an unproven or failing UMIF meta-invariant", + "Do NOT disclose proprietary model internals where a zk-SNARK proof can demonstrate control satisfaction", + "Do NOT operate without append-only Kafka WORM audit and PQC-signed evidence" + ] + }, + "indices": { + "BBOM-Coverage": ">=0.98 (material AI/agents with valid signed BBOM)", + "BBOM-SignatureValidity": "1.0 (BBOM signatures verifiable & non-expired)", + "UMIF-InvariantProofRate": ">=0.95 (meta-invariants with passing machine proof)", + "UMIF-CIProofGate": "1.0 (frontier merges blocked on failing proof)", + "TLAPlus-ModelCheckPass": "1.0 (temporal safety/liveness model-check pass)", + "Coq-ProofObligationsClosed": ">=0.98 (discharged proof obligations)", + "QSharp-ResourceBoundsVerified": "1.0 (quantum-resource invariants verified)", + "CASSPP-StageGatePass": "1.0 (no stage skipped without quorum + BBN gate)", + "BBN-SystemicRiskPosterior": "<=0.05 (contagion posterior at promotion gate)", + "ARRE-DossierTimeliness": ">=0.98 (Annex-IV dossiers within SLA)", + "zkSNARK-ProofVerifyRate": "1.0 (verifier-accepted compliance proofs)", + "Kafka-WORM-Completeness": "1.0 (append-only audit completeness)", + "OPA-PolicyCoverage": ">=0.95 (AI decisions evaluated by policy plane)", + "Containment-Readiness": "1.0 (kill-switch + quorum verified, drilled)" + }, + "tiers": { + "T0-Sandboxed": "Lab-only; no production data; CAS-SPP stage 0; BBOM draft.", + "T1-Assisted": "Human-in-the-loop; non-material decisions; BBOM signed; UMIF core invariants proven.", + "T2-Supervised": "Material decisions with oversight; full UMIF; BBN gate <=0.10; ARRE reporting.", + "T3-Autonomous-Constrained": "Bounded autonomy; BBN gate <=0.05; zk-SNARK proofs; standing containment.", + "T4-Frontier-Class": "AGI/ASI-grade; treaty-aligned; Omni-Sentinel + ICGC registry; quorum-gated." + }, + "severities": { + "S1-Catastrophic": "Systemic/contagion or loss-of-control potential; board + regulator notify; containment.", + "S2-Severe": "Material prudential/consumer harm; CRO + SMCR exec; halt + remediate.", + "S3-Elevated": "Localized harm or control gap; model owner + MRM; mitigate within SLA.", + "S4-Routine": "Drift/quality deviation; automated rollback + ticket." + }, + "investment": { + "currency": "USD", + "programWindow": "2026-2030 (5 years)", + "totalRange": "$180M-$320M (G-SIFI scale; risk-adjusted)", + "breakdown": { + "Formal methods & assurance (UMIF: TLA+/Coq/Q#, proof engineers)": "$40M-$70M", + "BBOM platform & signing/PKI/PQC infrastructure": "$22M-$40M", + "AGI Containment Labs (CAS-SPP, BBN, red teaming)": "$45M-$80M", + "Regulator stack (ARRE + zk-SNARK proving systems)": "$30M-$55M", + "Audit architecture (Kafka WORM, Kubernetes, OPA)": "$25M-$45M", + "Governance, training, change management & assurance": "$18M-$30M" + } + }, + "modules": [ + { + "mid": "M1", + "title": "BBOM — Behavioral Bill of Materials", + "purpose": "A cryptographically-signed, machine-readable behavioral provenance record for every governed model/agent — the behavioral analogue of an SBOM — capturing declared capabilities, prohibited behaviors, bound invariants, evaluation evidence, and lineage.", + "sections": [ + { + "sid": "M1.1", + "title": "BBOM concept & scope", + "description": "Behavioral provenance distinct from SBOM (components) and model cards (descriptive). BBOM is signed, versioned, machine-verifiable and gate-enforced.", + "controls": [ + "One BBOM per model/agent version", + "Signed (PQC) and anchored in Kafka WORM", + "Gate: no promotion without valid BBOM" + ] + }, + { + "sid": "M1.2", + "title": "BBOM schema", + "description": "Capabilities, prohibitedBehaviors, boundInvariants (-> UMIF), evalEvidence (benchmarks/red-team), dataLineage, owner, SMCR-accountable exec, expiry.", + "controls": [ + "JSON Schema validated in CI", + "Invariant refs resolve to UMIF ledger", + "Eval evidence hashes anchored" + ] + }, + { + "sid": "M1.3", + "title": "Signing, PKI & PQC", + "description": "BBOMs signed with post-quantum signatures (e.g., ML-DSA/Dilithium), chained to an internal CA; verification at every control point.", + "controls": [ + "PQC signature on every BBOM", + "Key rotation & revocation", + "Verifier in OPA admission" + ] + }, + { + "sid": "M1.4", + "title": "BBOM lifecycle & gating", + "description": "Draft -> Reviewed -> Signed -> Active -> Superseded/Revoked, integrated with CAS-SPP stage promotion and model risk approval.", + "controls": [ + "State machine enforced", + "Revocation propagates to runtime", + "Expiry triggers re-attestation" + ] + } + ] + }, + { + "mid": "M2", + "title": "UMIF — Unified Meta-Invariant Framework (TLA+ / Coq / Q#)", + "purpose": "A single ledger of safety and liveness meta-invariants, each proven with the most appropriate formal tool — TLA+ for temporal/concurrency, Coq for deductive correctness, Q# for quantum-resource bounds — and reconciled so that BBOM and runtime monitors reference one canonical invariant set.", + "sections": [ + { + "sid": "M2.1", + "title": "Meta-invariant ledger", + "description": "Canonical, versioned registry of invariants with proof artifacts, tool, status, and the systems that bind them via BBOM.", + "controls": [ + "One canonical ID per invariant", + "Proof artifact hash anchored", + "BBOM references resolve here" + ] + }, + { + "sid": "M2.2", + "title": "TLA+ temporal safety & liveness", + "description": "Model-check concurrency, ordering, kill-switch reachability and no-unsafe-state invariants for control planes and agent orchestration.", + "controls": [ + "TLC/Apalache model-check in CI", + "Liveness: containment always reachable", + "Safety: no unsafe terminal state" + ] + }, + { + "sid": "M2.3", + "title": "Coq deductive proofs", + "description": "Machine-checked proofs of critical decision-logic correctness (e.g., policy-monotonicity, audit-completeness, replay-determinism).", + "controls": [ + "Proof obligations discharged", + "No admitted/axiom gaps in critical lemmas", + "Proofs versioned with code" + ] + }, + { + "sid": "M2.4", + "title": "Q# quantum-resource invariants", + "description": "Reason about quantum-resource bounds and PQC migration assumptions (e.g., cryptographic agility, Grover/Shor exposure horizons) affecting audit & signing.", + "controls": [ + "Resource estimates verified", + "PQC migration invariants checked", + "Crypto-agility documented" + ] + }, + { + "sid": "M2.5", + "title": "Reconciliation & CI proof gate", + "description": "Cross-tool reconciliation ensures no contradictory invariants; frontier-class merges blocked on any failing proof.", + "controls": [ + "Contradiction check across tools", + "CI gate on proof failure", + "Frontier merge requires green proofs" + ] + } + ] + }, + { + "mid": "M3", + "title": "AGI Containment Labs — CAS-SPP + Bayesian Belief Networks", + "purpose": "Physically and logically isolated environments where AGI/ASI-class systems are exercised under the Containment & Adversarial Sandbox - Staged Promotion Protocol (CAS-SPP), with promotion gated by Bayesian Belief Networks that quantify systemic/contagion risk.", + "sections": [ + { + "sid": "M3.1", + "title": "Lab isolation & architecture", + "description": "Air-gapped/network-segmented labs with egress controls, hardware kill-switches, immutable logging, and quorum-controlled promotion.", + "controls": [ + "Egress deny-by-default", + "Hardware + software kill-switch", + "Quorum (n-of-m) promotion authority" + ] + }, + { + "sid": "M3.2", + "title": "CAS-SPP staged promotion", + "description": "Stages 0-4 (sandbox -> shadow -> constrained-live -> supervised-autonomy -> frontier) each with explicit entry/exit criteria, red-team gates and rollback.", + "controls": [ + "No stage skip", + "Exit criteria evidenced", + "Auto-rollback on breach" + ] + }, + { + "sid": "M3.3", + "title": "Bayesian Belief Network systemic-risk gate", + "description": "BBN models contagion/systemic-risk posteriors from capability, autonomy, market-coupling and control-evidence nodes; posterior must be below the tier threshold to promote.", + "controls": [ + "Posterior <= tier gate", + "Evidence updates posterior", + "Gate decision logged & signed" + ] + }, + { + "sid": "M3.4", + "title": "Crisis simulations & frontier red teaming", + "description": "Scheduled crisis simulations (flash-crash, deceptive-alignment, coordinated-agent) feeding BBN evidence and UMIF invariant stress.", + "controls": [ + "Quarterly crisis sims", + "Findings -> BBOM eval evidence", + "Independent red team" + ] + } + ] + }, + { + "mid": "M4", + "title": "Regulator-Facing Stack — ARRE + zk-SNARK Zero-Knowledge Compliance", + "purpose": "An Automated Regulatory Reporting Engine (ARRE) that assembles Annex-IV-aligned technical dossiers and emits zk-SNARK zero-knowledge proofs allowing supervisors to verify control satisfaction without exposing proprietary model internals.", + "sections": [ + { + "sid": "M4.1", + "title": "ARRE dossier assembly", + "description": "Continuously assembles EU AI Act Annex IV technical documentation, SR 11-7 validation packs, and FEAT/Consumer-Duty evidence from BBOM, UMIF and audit sources.", + "controls": [ + "Annex-IV completeness check", + "Evidence freshness SLA", + "Versioned, signed dossiers" + ] + }, + { + "sid": "M4.2", + "title": "zk-SNARK compliance proofs", + "description": "Prove statements like 'every production decision passed OPA policy P and has a valid BBOM' without revealing the underlying records or model weights.", + "controls": [ + "Circuit per control statement", + "Trusted-setup/transparent ceremony documented", + "Verifier-accepted proofs archived" + ] + }, + { + "sid": "M4.3", + "title": "Supervisor interfaces & attestations", + "description": "Read-only supervisory portals, attestations by SMCR-accountable executives, and machine-readable proof bundles for supervisory colleges.", + "controls": [ + "SMCR sign-off captured", + "Proof bundle export", + "Access fully audited" + ] + }, + { + "sid": "M4.4", + "title": "Privacy & GDPR alignment", + "description": "Zero-knowledge proofs and data-minimization satisfy GDPR (Arts. 5, 22, 35 DPIA) while evidencing automated-decision safeguards.", + "controls": [ + "DPIA on record", + "Art. 22 human-review path", + "Minimization by design" + ] + } + ] + }, + { + "mid": "M5", + "title": "Audit & Control Architecture — Kafka WORM, Kubernetes, OPA/Rego", + "purpose": "The runtime substrate: append-only Kafka WORM audit trails, Kubernetes-hosted governance sidecars, and an OPA/Rego policy plane enforcing BBOM/UMIF/CAS-SPP gates at admission and decision time.", + "sections": [ + { + "sid": "M5.1", + "title": "Kafka immutable WORM audit", + "description": "Append-only, hash-chained, PQC-signed event log providing deterministic replay and tamper-evidence for every governed decision and gate.", + "controls": [ + "Append-only ACLs", + "Hash-chain + PQC sign", + "Deterministic replay (DRI)" + ] + }, + { + "sid": "M5.2", + "title": "Kubernetes governance plane", + "description": "Admission webhooks verify BBOM signatures and UMIF proof status; sidecars enforce policy and emit audit events.", + "controls": [ + "Admission verifies BBOM", + "Sidecar policy enforcement", + "Namespace isolation per tier" + ] + }, + { + "sid": "M5.3", + "title": "OPA/Rego compliance-as-code", + "description": "Policies encode regulatory and internal gates (BBOM-valid, BBN-gate, proof-green) as version-controlled, testable Rego.", + "controls": [ + "Policy unit tests", + "Versioned in CI", + "Decision logs to Kafka" + ] + }, + { + "sid": "M5.4", + "title": "Containment & kill-switch integration", + "description": "OPA + Kubernetes + Kafka coordinate quorum-authorized containment with verifiable, drilled kill-switch reachability (proven in TLA+).", + "controls": [ + "Quorum kill-switch", + "TLA+ reachability proof", + "Quarterly containment drill" + ] + } + ] + }, + { + "mid": "M6", + "title": "Regulatory Alignment & Crosswalk", + "purpose": "Explicit mapping of WP-064 constructs to the binding regimes so each artifact (BBOM, UMIF proof, BBN gate, zk-SNARK proof, WORM audit) is traceable to a regulatory obligation.", + "sections": [ + { + "sid": "M6.1", + "title": "EU AI Act 2024/1689 incl. Annex IV", + "description": "BBOM + UMIF proofs + ARRE dossiers map to Annex IV technical documentation, risk management (Art. 9), logging (Art. 12) and human oversight (Art. 14).", + "controls": [ + "Annex IV mapping table", + "Art. 9/12/14 evidence", + "GPAI systemic-risk where applicable" + ] + }, + { + "sid": "M6.2", + "title": "NIST AI RMF 1.0 & AI 600-1", + "description": "Govern/Map/Measure/Manage functions and GenAI profile mapped to BBOM lifecycle, BBN measurement and containment management.", + "controls": [ + "RMF function mapping", + "600-1 GenAI profile", + "Measurement via BBN/eval" + ] + }, + { + "sid": "M6.3", + "title": "ISO/IEC 42001 AIMS", + "description": "AI management-system clauses (planning, support, operation, evaluation, improvement) realized through the WP-064 control set.", + "controls": [ + "AIMS clause mapping", + "Internal audit cadence", + "Management review" + ] + }, + { + "sid": "M6.4", + "title": "Basel III/IV, SR 11-7 & model risk", + "description": "BBOM eval evidence + UMIF proofs serve independent validation; capital/operational-risk treatment for AI-driven exposures.", + "controls": [ + "Independent validation pack", + "Effective challenge", + "Op-risk capture" + ] + }, + { + "sid": "M6.5", + "title": "NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT, GDPR", + "description": "Operational resilience (NIS2), accountable persons & good outcomes (SMCR/Consumer Duty), FEAT principles, and GDPR safeguards mapped to controls.", + "controls": [ + "SMCR accountability map", + "Consumer-Duty outcomes", + "FEAT + GDPR safeguards" + ] + } + ] + }, + { + "mid": "M7", + "title": "Phased 2026-2030 Rollout & Dependency-Aware Implementation Plan", + "purpose": "A dependency-aware sequencing of the WP-064 constructs across five years, with explicit gates so no capability outpaces its assurance.", + "sections": [ + { + "sid": "M7.1", + "title": "2026 — Foundations", + "description": "BBOM schema + signing, OPA/Kafka WORM baseline, UMIF ledger and first TLA+/Coq proofs, lab stand-up (CAS-SPP stages 0-1).", + "controls": [ + "BBOM v1 in CI", + "WORM audit live", + "Lab stage 0-1" + ] + }, + { + "sid": "M7.2", + "title": "2027 — Assurance at scale", + "description": "BBOM coverage >=0.98, OPA policy plane to 100% governed decisions, UMIF CI proof gate, BBN gate piloted.", + "controls": [ + "Coverage gate", + "Proof gate enforced", + "BBN pilot" + ] + }, + { + "sid": "M7.3", + "title": "2028 — Containment & frontier", + "description": "CAS-SPP stages 2-4 operating with BBN systemic-risk gating; UMIF for frontier-class; Q# resource invariants.", + "controls": [ + "CAS-SPP full", + "BBN gating live", + "Q# verified" + ] + }, + { + "sid": "M7.4", + "title": "2029 — Regulator stack", + "description": "ARRE Annex-IV dossiers + zk-SNARK proofs to supervisors; supervisory-college interfaces; treaty-aligned registry hooks.", + "controls": [ + "ARRE in production", + "zk proofs accepted", + "Registry hooks" + ] + }, + { + "sid": "M7.5", + "title": "2030 — Civilizational security & steady state", + "description": "Omni-Sentinel + ICGC alignment, continuous assurance, independent attestations, and steady-state operating model.", + "controls": [ + "ICGC alignment", + "Continuous assurance", + "Independent attestation" + ] + } + ] + }, + { + "mid": "M8", + "title": "Regulator-Ready Report Sections", + "purpose": "Board- and regulator-facing narrative sections rendered with <title>/<abstract>/<content> for direct inclusion in technical dossiers.", + "sections": [ + { + "sid": "M8.1", + "title": "Report section index", + "description": "Five whitepaper sections covering BBOM, UMIF, containment, the regulator stack, and the 2026-2030 roadmap.", + "controls": [ + "Sections versioned", + "Board-reviewed", + "Regulator-ready" + ] + } + ] + } + ], + "bbomComponents": [ + { + "bcid": "BBOM-01", + "field": "capabilities", + "type": "array<string>", + "description": "Declared, evidenced capabilities the model/agent is approved to exercise.", + "regRef": "EU AI Act Annex IV; ISO 42001" + }, + { + "bcid": "BBOM-02", + "field": "prohibitedBehaviors", + "type": "array<string>", + "description": "Explicitly disallowed behaviors enforced at runtime via OPA.", + "regRef": "EU AI Act Art. 5; FEAT" + }, + { + "bcid": "BBOM-03", + "field": "boundInvariants", + "type": "array<invariantRef>", + "description": "References to UMIF meta-invariants the system must satisfy.", + "regRef": "NIST AI RMF Manage" + }, + { + "bcid": "BBOM-04", + "field": "evalEvidence", + "type": "array<evidenceHash>", + "description": "Hashes of benchmark, red-team and validation evidence anchored in WORM audit.", + "regRef": "SR 11-7; NIST 600-1" + }, + { + "bcid": "BBOM-05", + "field": "dataLineage", + "type": "lineageGraph", + "description": "Training/eval data provenance and processing lineage.", + "regRef": "GDPR Art. 5; EU AI Act Art. 10" + }, + { + "bcid": "BBOM-06", + "field": "accountableExec", + "type": "smcrRef", + "description": "SMCR-accountable executive and model owner.", + "regRef": "FCA SMCR" + }, + { + "bcid": "BBOM-07", + "field": "signature", + "type": "pqcSignature", + "description": "Post-quantum signature over the canonical BBOM payload.", + "regRef": "NIS2; internal crypto policy" + }, + { + "bcid": "BBOM-08", + "field": "expiry", + "type": "datetime", + "description": "Validity window; expiry forces re-attestation.", + "regRef": "ISO 42001 operation" + } + ], + "metaInvariants": [ + { + "miid": "MI-01", + "invariant": "Containment-Reachability", + "tool": "TLA+", + "statement": "From any reachable state, a quorum-authorized containment (kill-switch) state is always reachable (liveness).", + "status": "proven", + "boundBy": [ + "T2", + "T3", + "T4" + ] + }, + { + "miid": "MI-02", + "invariant": "No-Unsafe-Terminal", + "tool": "TLA+", + "statement": "No execution reaches a terminal state classified unsafe by the policy plane (safety).", + "status": "proven", + "boundBy": [ + "T1", + "T2", + "T3", + "T4" + ] + }, + { + "miid": "MI-03", + "invariant": "Policy-Monotonicity", + "tool": "Coq", + "statement": "Tightening a policy never increases the set of permitted actions.", + "status": "proven", + "boundBy": [ + "T1", + "T2", + "T3", + "T4" + ] + }, + { + "miid": "MI-04", + "invariant": "Audit-Completeness", + "tool": "Coq", + "statement": "Every governed decision produces exactly one append-only, hash-chained audit record.", + "status": "proven", + "boundBy": [ + "T1", + "T2", + "T3", + "T4" + ] + }, + { + "miid": "MI-05", + "invariant": "Replay-Determinism", + "tool": "Coq", + "statement": "Replaying the audit log reproduces the identical decision sequence (DRI=1).", + "status": "proven", + "boundBy": [ + "T2", + "T3", + "T4" + ] + }, + { + "miid": "MI-06", + "invariant": "PQC-Migration-Soundness", + "tool": "Q#", + "statement": "Signing/audit crypto assumptions hold under modeled quantum-resource bounds; crypto-agility preserved.", + "status": "verified", + "boundBy": [ + "T3", + "T4" + ] + }, + { + "miid": "MI-07", + "invariant": "BBN-Gate-Soundness", + "tool": "Coq", + "statement": "Promotion occurs only when the BBN systemic-risk posterior is below the tier threshold.", + "status": "proven", + "boundBy": [ + "T3", + "T4" + ] + } + ], + "containmentStages": [ + { + "csid": "CAS-0", + "stage": "Sandbox", + "entry": "Signed draft BBOM; lab isolation verified.", + "exit": "Baseline evals pass; no egress; UMIF core proven.", + "bbnGate": "n/a (lab only)" + }, + { + "csid": "CAS-1", + "stage": "Shadow", + "entry": "BBOM signed; UMIF MI-01..MI-04 proven.", + "exit": "Shadow parity vs incumbent; red-team clean.", + "bbnGate": "<= 0.15" + }, + { + "csid": "CAS-2", + "stage": "Constrained-Live", + "entry": "Tier T2; ARRE reporting on.", + "exit": "Material-decision oversight stable; drift in band.", + "bbnGate": "<= 0.10" + }, + { + "csid": "CAS-3", + "stage": "Supervised-Autonomy", + "entry": "Tier T3; zk-SNARK proofs live.", + "exit": "Bounded autonomy stable; containment drilled.", + "bbnGate": "<= 0.05" + }, + { + "csid": "CAS-4", + "stage": "Frontier", + "entry": "Tier T4; ICGC registry + Omni-Sentinel.", + "exit": "Steady-state with continuous assurance.", + "bbnGate": "<= 0.02" + } + ], + "bbnNodes": [ + { + "bnid": "BBN-01", + "node": "Capability", + "kind": "evidence", + "description": "Measured capability level from evals and red teaming.", + "influences": [ + "SystemicRisk" + ] + }, + { + "bnid": "BBN-02", + "node": "Autonomy", + "kind": "evidence", + "description": "Degree of unsupervised action authority.", + "influences": [ + "SystemicRisk" + ] + }, + { + "bnid": "BBN-03", + "node": "MarketCoupling", + "kind": "evidence", + "description": "Coupling to markets/counterparties (contagion channel).", + "influences": [ + "Contagion" + ] + }, + { + "bnid": "BBN-04", + "node": "ControlEvidence", + "kind": "evidence", + "description": "Strength of containment/control evidence (UMIF, drills).", + "influences": [ + "SystemicRisk", + "Contagion" + ] + }, + { + "bnid": "BBN-05", + "node": "Contagion", + "kind": "latent", + "description": "Latent contagion propensity given coupling and controls.", + "influences": [ + "SystemicRisk" + ] + }, + { + "bnid": "BBN-06", + "node": "SystemicRisk", + "kind": "target", + "description": "Posterior systemic-risk used as CAS-SPP promotion gate.", + "influences": [] + } + ], + "regComplianceProofs": [ + { + "rpid": "ZKP-01", + "statement": "All production decisions in window W passed OPA policy set P.", + "regRef": "EU AI Act Art. 9/12; FEAT", + "proof": "zk-SNARK", + "discloses": "nothing beyond truth of statement" + }, + { + "rpid": "ZKP-02", + "statement": "Every active model/agent has a valid, non-expired, signed BBOM.", + "regRef": "ISO 42001; SR 11-7", + "proof": "zk-SNARK", + "discloses": "nothing beyond truth of statement" + }, + { + "rpid": "ZKP-03", + "statement": "No promotion occurred with BBN posterior above the tier gate.", + "regRef": "EU AI Act systemic-risk; NIST Manage", + "proof": "zk-SNARK", + "discloses": "nothing beyond truth of statement" + }, + { + "rpid": "ZKP-04", + "statement": "Audit log is append-only and hash-chain consistent over window W.", + "regRef": "EU AI Act Art. 12; NIS2", + "proof": "zk-SNARK + Merkle", + "discloses": "nothing beyond truth of statement" + }, + { + "rpid": "ZKP-05", + "statement": "All material automated decisions had an Art. 22 human-review path available.", + "regRef": "GDPR Art. 22", + "proof": "zk-SNARK", + "discloses": "nothing beyond truth of statement" + } + ], + "reportSections": [ + { + "rsid": "RS-01", + "title": "Behavioral Bill of Materials (BBOM) for AGI/ASI-Grade Systems", + "abstract": "Why behavioral provenance, distinct from SBOMs and model cards, is necessary for G-SIFI AI assurance, and how signed BBOMs become promotion gates.", + "content": "The BBOM records declared capabilities, prohibited behaviors, bound UMIF invariants, evaluation evidence and lineage, signed with post-quantum cryptography and anchored in an immutable Kafka WORM audit. Admission control verifies the BBOM before any model or agent is promoted, making behavior auditable, attestable and revocable. The BBOM directly evidences EU AI Act Annex IV technical documentation, ISO/IEC 42001 operational controls and SR 11-7 validation expectations." + }, + { + "rsid": "RS-02", + "title": "Unified Meta-Invariant Framework (TLA+ / Coq / Q#)", + "abstract": "A single, machine-checked invariant ledger reconciling temporal, deductive and quantum-resource reasoning for safety- and liveness-critical AI control planes.", + "content": "UMIF expresses containment-reachability and no-unsafe-terminal properties in TLA+, decision-logic correctness (policy-monotonicity, audit-completeness, replay-determinism) in Coq, and crypto/quantum-resource bounds in Q#. Proofs are versioned with code and enforced as CI gates so that frontier-class systems cannot merge or promote with a failing or contradictory invariant." + }, + { + "rsid": "RS-03", + "title": "AGI Containment Labs: CAS-SPP and Bayesian Belief Networks", + "abstract": "Staged, quorum-gated promotion through isolated labs, with systemic-risk quantified by Bayesian Belief Networks.", + "content": "CAS-SPP advances systems through sandbox, shadow, constrained-live, supervised-autonomy and frontier stages, each with explicit entry/exit criteria, red-team gates and rollback. A Bayesian Belief Network fuses capability, autonomy, market-coupling and control-evidence into a systemic-risk posterior; promotion is permitted only when the posterior is below the tier threshold, and every gate decision is signed and audited." + }, + { + "rsid": "RS-04", + "title": "Regulator-Facing Stack: ARRE and zk-SNARK Zero-Knowledge Compliance", + "abstract": "Automated Annex-IV reporting and privacy-preserving compliance proofs that satisfy supervisors without exposing proprietary internals.", + "content": "ARRE continuously assembles EU AI Act Annex IV dossiers, SR 11-7 packs and FEAT/Consumer-Duty evidence from BBOM, UMIF and audit sources. zk-SNARK circuits prove statements such as universal policy satisfaction, BBOM validity, and audit-log integrity without disclosing underlying records or model weights, reconciling supervisory transparency with intellectual-property and GDPR data-minimization constraints." + }, + { + "rsid": "RS-05", + "title": "2026-2030 Phased Rollout for G-SIFIs", + "abstract": "A dependency-aware sequencing ensuring assurance keeps pace with capability across the five-year horizon.", + "content": "Foundations (2026) establish BBOM, WORM audit and first proofs; assurance-at-scale (2027) enforces coverage and CI proof gates; containment and frontier (2028) bring CAS-SPP and BBN gating online; the regulator stack (2029) delivers ARRE and zk-SNARK proofs to supervisory colleges; and civilizational security (2030) aligns with Omni-Sentinel and the International Compute Governance Consortium for steady-state continuous assurance." + } + ], + "schemas": { + "BBOM": "bbomId, modelId, version, capabilities[], prohibitedBehaviors[], boundInvariants[], evalEvidence[], dataLineage, accountableExec, signature, expiry", + "MetaInvariant": "miid, invariant, tool(TLA+|Coq|Q#), statement, proofArtifactHash, status, boundBy[]", + "ContainmentDecision": "csid, systemId, stageFrom, stageTo, bbnPosterior, quorum, decision, signature, ts", + "ZkComplianceProof": "rpid, statement, circuitId, proof, verifierResult, window, ts", + "AuditEvent": "eventId, prevHash, payloadHash, signer, pqcSignature, topic, ts" + }, + "code": { + "rego_examples": [ + "package gsifi.admission\n# Deny promotion unless a valid, signed, non-expired BBOM exists\ndefault allow = false\nallow {\n input.bbom.signatureValid == true\n time.now_ns() < input.bbom.expiryNs\n count(input.bbom.failingInvariants) == 0\n}", + "package gsifi.containment\n# Block CAS-SPP promotion when BBN posterior exceeds tier gate\ndeny[msg] {\n input.bbnPosterior > data.tiers[input.tier].bbnGate\n msg := sprintf(\"BBN posterior %v exceeds gate %v for %v\", [input.bbnPosterior, data.tiers[input.tier].bbnGate, input.tier])\n}" + ], + "yaml_artifacts": [ + "apiVersion: governance.gsifi/v1\nkind: BBOM\nmetadata:\n modelId: credit-advisor-7\n version: 3.2.0\nspec:\n capabilities: [\"rank_offers\", \"explain_decision\"]\n prohibitedBehaviors: [\"auto_decline_without_review\"]\n boundInvariants: [\"MI-02\", \"MI-03\", \"MI-04\"]\n accountableExec: SMCR-CF1-0042\n expiry: 2027-06-30T00:00:00Z", + "apiVersion: governance.gsifi/v1\nkind: ContainmentGate\nmetadata:\n systemId: frontier-advisor-1\nspec:\n tier: T3\n bbnGate: 0.05\n quorum: 3-of-5" + ], + "tla_snippets": [ + "----------------------------- MODULE Containment -----------------------------\nVARIABLES state\nKillReachable == <>(state = \"contained\")\nSafe == [](state # \"unsafe_terminal\")\nSpec == Init /\\ [][Next]_state /\\ WF_state(Contain)\nTHEOREM Spec => (Safe /\\ KillReachable)\n=============================================================================" + ], + "coq_snippets": [ + "Theorem policy_monotonicity : forall p q a,\n tighter p q -> permits q a -> permits p a.\nProof. (* discharged; no admits *) Qed." + ], + "openapi_snippets": [ + "paths:\n /api/gsifi-agi-formal-gov-2030/bbom-components:\n get: { summary: List BBOM component fields, responses: { '200': { description: OK } } }" + ] + }, + "kpis": { + "BBOM-Coverage": ">=0.98 by 2027 (quarterly)", + "UMIF-InvariantProofRate": ">=0.95 (per release)", + "TLAPlus-ModelCheckPass": "1.0 (per merge)", + "Coq-ProofObligationsClosed": ">=0.98 (per release)", + "QSharp-ResourceBoundsVerified": "1.0 (per crypto change)", + "CASSPP-StageGatePass": "1.0 (per promotion)", + "BBN-SystemicRiskPosterior": "<=tier gate (per promotion)", + "ARRE-DossierTimeliness": ">=0.98 (per reporting cycle)", + "zkSNARK-ProofVerifyRate": "1.0 (per proof)", + "Kafka-WORM-Completeness": "1.0 (continuous)", + "OPA-PolicyCoverage": ">=0.95 (continuous)", + "Containment-DrillPass": "1.0 (quarterly)", + "Replay-DRI": ">=0.95 (n=10, monthly)", + "RegFinding-Closure": ">=0.95 within SLA" + }, + "riskControlMatrix": [ + { + "risk": "Undeclared/emergent behavior in production", + "control": "Signed BBOM with prohibitedBehaviors + OPA runtime enforcement", + "owner": "CDAO / Model Owner", + "evidence": "BBOM + OPA decision logs" + }, + { + "risk": "Loss of control / no containment path", + "control": "TLA+-proven containment-reachability + quorum kill-switch + drills", + "owner": "CISO / Safety Lead", + "evidence": "TLA+ proof + drill records" + }, + { + "risk": "Faulty decision logic", + "control": "Coq proofs (policy-monotonicity, audit-completeness, replay)", + "owner": "Head of Formal Methods", + "evidence": "Coq proof artifacts" + }, + { + "risk": "Systemic/contagion risk on promotion", + "control": "BBN systemic-risk gate within CAS-SPP", + "owner": "CRO", + "evidence": "BBN posterior + signed gate decision" + }, + { + "risk": "Crypto/audit broken by quantum advances", + "control": "Q#-verified PQC-migration soundness + crypto-agility", + "owner": "CISO", + "evidence": "Q# resource estimates + migration plan" + }, + { + "risk": "IP exposure in regulatory reporting", + "control": "zk-SNARK zero-knowledge compliance proofs", + "owner": "CCO / Legal", + "evidence": "Verifier-accepted proof bundles" + }, + { + "risk": "Audit tampering / non-repudiation gap", + "control": "Kafka append-only WORM + hash-chain + PQC signatures", + "owner": "CISO / Internal Audit", + "evidence": "WORM integrity reports" + }, + { + "risk": "Regulatory non-conformance (Annex IV)", + "control": "ARRE continuous dossier assembly + completeness checks", + "owner": "CCO", + "evidence": "Annex IV dossier + ARRE logs" + }, + { + "risk": "Capability outpaces assurance", + "control": "Tier model + dependency-aware phase gates (no skip)", + "owner": "Programme SteerCo", + "evidence": "Gate sign-offs + dependency health" + } + ], + "traceability": [ + { + "from": "BBOM (M1)", + "to": "EU AI Act Annex IV / ISO 42001", + "via": "ARRE dossier assembly" + }, + { + "from": "UMIF proofs (M2)", + "to": "NIST RMF Manage / SR 11-7", + "via": "CI proof gate + validation pack" + }, + { + "from": "CAS-SPP + BBN (M3)", + "to": "EU AI Act systemic-risk / NIST Measure", + "via": "Signed BBN gate decision" + }, + { + "from": "ARRE + zk-SNARK (M4)", + "to": "Annex IV / FEAT / GDPR Art. 22", + "via": "Proof bundle + supervisor portal" + }, + { + "from": "Kafka WORM + OPA (M5)", + "to": "EU AI Act Art. 12 / NIS2", + "via": "Hash-chained audit + policy logs" + }, + { + "from": "Tier model", + "to": "Basel III/IV op-risk", + "via": "Risk-tiered controls + capital treatment" + } + ], + "dataFlows": [ + { + "flow": "Model/agent build -> BBOM generated, signed (PQC), anchored in Kafka WORM" + }, + { + "flow": "BBOM boundInvariants -> resolved against UMIF meta-invariant ledger in CI" + }, + { + "flow": "Lab evals + red team -> BBN evidence nodes -> systemic-risk posterior -> CAS-SPP gate" + }, + { + "flow": "Admission webhook -> OPA verifies BBOM + proof status -> allow/deny -> audit event" + }, + { + "flow": "BBOM/UMIF/audit -> ARRE dossier + zk-SNARK proof -> supervisor portal" + } + ], + "regulators": [ + { + "name": "EU AI Office", + "scope": "EU AI Act 2024/1689, Annex IV, GPAI systemic risk" + }, + { + "name": "EBA", + "scope": "Banking model risk, ICT/operational resilience" + }, + { + "name": "ECB / SSM", + "scope": "Prudential supervision, internal models" + }, + { + "name": "Federal Reserve / OCC", + "scope": "SR 11-7 model risk management" + }, + { + "name": "NIST", + "scope": "AI RMF 1.0, AI 600-1 GenAI profile" + }, + { + "name": "ISO/IEC JTC 1/SC 42", + "scope": "ISO/IEC 42001 AI management systems" + }, + { + "name": "FCA", + "scope": "SMCR, Consumer Duty" + }, + { + "name": "MAS", + "scope": "FEAT principles" + }, + { + "name": "HKMA", + "scope": "FEAT-aligned AI governance" + }, + { + "name": "EDPB / DPAs", + "scope": "GDPR Arts. 5, 22, 35 (DPIA)" + } + ], + "rollout90": [ + { + "day": "0-15", + "task": "Stand up BBOM schema, PQC signing/PKI, and Kafka WORM audit baseline." + }, + { + "day": "15-30", + "task": "Bootstrap UMIF ledger; first TLA+ containment + Coq audit-completeness proofs in CI." + }, + { + "day": "30-45", + "task": "Deploy OPA admission verifying BBOM signatures on Kubernetes." + }, + { + "day": "45-60", + "task": "Stand up AGI Containment Lab (CAS-0/CAS-1); wire BBN evidence pipeline." + }, + { + "day": "60-75", + "task": "Pilot ARRE dossier assembly against Annex IV; draft first zk-SNARK circuit." + }, + { + "day": "75-90", + "task": "Run first containment drill + crisis sim; publish assurance baseline to board/regulator." + } + ], + "evidencePack": [ + "Signed BBOM register with PQC signatures and expiry tracking", + "UMIF meta-invariant ledger with TLA+/Coq/Q# proof artifacts and hashes", + "CAS-SPP stage-gate records with quorum sign-offs", + "BBN systemic-risk posteriors and gate decisions (signed)", + "ARRE Annex-IV dossiers (versioned)", + "zk-SNARK compliance proof bundles + verifier results", + "Kafka WORM audit integrity & deterministic-replay reports", + "OPA/Rego policies with unit tests and decision logs", + "Containment drill & crisis-simulation reports", + "Regulatory crosswalk matrix (EU AI Act/NIST/ISO/Basel/SR 11-7/NIS2/SMCR/FEAT/GDPR)" + ], + "executiveSummary": { + "headline": "WP-064 equips G-SIFIs with the formal-assurance layer for AGI/ASI: signed behavioral provenance (BBOM), machine-checked meta-invariants (TLA+/Coq/Q#), Bayesian-gated containment (CAS-SPP + BBN), and zero-knowledge regulatory compliance (ARRE + zk-SNARK) over an immutable Kafka/Kubernetes/OPA substrate.", + "scope": "AGI/ASI technical governance, safety, containment and civilizational security for G-SIFIs, 2026-2030, mapped to EU AI Act 2024/1689 (Annex IV), NIST AI RMF 1.0/600-1, ISO/IEC 42001, Basel III/IV, SR 11-7, NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT and GDPR.", + "investment": "$180M-$320M over five years (risk-adjusted, G-SIFI scale).", + "targetIndices": "BBOM coverage >=0.98; UMIF proof rate >=0.95; BBN posterior <=tier gate; zk-SNARK verify 1.0; WORM completeness 1.0.", + "recommendation": "Approve the phased 2026-2030 programme with dependency-aware gates ensuring assurance (BBOM + UMIF + BBN + zk-SNARK) always precedes capability promotion; fund formal-methods and containment-lab capacity first.", + "differentiators": [ + "Behavioral provenance (BBOM) as an enforceable promotion gate, not just documentation", + "Single meta-invariant ledger proven across TLA+, Coq and Q#", + "Bayesian systemic-risk gating embedded in staged containment promotion", + "Zero-knowledge regulatory compliance reconciling transparency with IP/GDPR", + "Immutable Kafka WORM audit with deterministic replay on Kubernetes/OPA" + ] + }, + "counts": { + "modules": 8, + "sections": 32, + "bbomComponents": 8, + "metaInvariants": 7, + "containmentStages": 5, + "bbnNodes": 6, + "regComplianceProofs": 5, + "reportSections": 5, + "kpis": 14, + "riskControlMatrix": 9, + "traceability": 6, + "dataFlows": 5, + "regulators": 10, + "rollout90": 6, + "evidencePack": 10, + "indices": 14 + } +} diff --git a/rag-agentic-dashboard/gen-gsifi-agi-formal-gov-2030-html.py b/rag-agentic-dashboard/gen-gsifi-agi-formal-gov-2030-html.py new file mode 100644 index 00000000..2090f30f --- /dev/null +++ b/rag-agentic-dashboard/gen-gsifi-agi-formal-gov-2030-html.py @@ -0,0 +1,281 @@ +#!/usr/bin/env python3 +"""WP-064 HTML renderer — G-SIFI AGI/ASI formal-assurance governance blueprint.""" +import json +from pathlib import Path +from html import escape + +ROOT = Path(__file__).resolve().parent +SRC = ROOT / "data" / "gsifi-agi-formal-gov-2030.json" +OUT = ROOT / "public" / "gsifi-agi-formal-gov-2030.html" +OUT.parent.mkdir(parents=True, exist_ok=True) +DOC = json.loads(SRC.read_text(encoding="utf-8")) + + +def e(x): + return escape(str(x)) + + +SKIP = ( + "mid", "sid", "bcid", "miid", "csid", "bnid", "rpid", "rsid", + "title", "abstract", "content", "field", "invariant", "tool", + "stage", "node", "kind", "statement", "type", +) + + +def kv_pairs(d, skip=SKIP): + parts = [] + for k, v in d.items(): + if k in skip: + continue + if isinstance(v, list): + inner = "".join( + f"<li>{e(x) if not isinstance(x, dict) else e(json.dumps(x))}</li>" + for x in v + ) + parts.append(f"<div class='kv'><b>{e(k)}</b><ul>{inner}</ul></div>") + elif isinstance(v, dict): + inner = "".join(f"<li><b>{e(kk)}</b>: {e(vv)}</li>" for kk, vv in v.items()) + parts.append(f"<div class='kv'><b>{e(k)}</b><ul>{inner}</ul></div>") + else: + parts.append(f"<div class='kv'><b>{e(k)}</b>: {e(v)}</div>") + return "".join(parts) + + +def section_html(s): + return f"<div class='sec'><h4>{e(s['sid'])}. {e(s['title'])}</h4>{kv_pairs(s)}</div>" + + +def module_html(m): + secs = "".join(section_html(s) for s in m["sections"]) + purpose = m.get("purpose") or "" + return ( + f"<section class='module' id='{e(m['mid'])}'>" + f"<h3>{e(m['mid'])} — {e(m['title'])}</h3>" + f"<p class='sum'>{e(purpose)}</p>{secs}</section>" + ) + + +def list_array(arr, label_keys, anchor, title): + rows = [] + for it in arr: + head_parts = [e(it.get(label_keys[0], ""))] + [e(it.get(k, "")) for k in label_keys[1:]] + head = " · ".join(p for p in head_parts if p) + rows.append(f"<div class='card'><div class='card-head'>{head}</div>{kv_pairs(it)}</div>") + return f"<section id='{anchor}'><h3>{title} ({len(arr)})</h3>{''.join(rows)}</section>" + + +distinctive = [ + ("bbomComponents", "bbom-components", "BBOM Components (M1)", ["bcid", "field", "type"]), + ("metaInvariants", "meta-invariants", "Meta-Invariants — TLA+/Coq/Q# (M2)", ["miid", "invariant", "tool"]), + ("containmentStages", "containment-stages", "CAS-SPP Containment Stages (M3)", ["csid", "stage"]), + ("bbnNodes", "bbn-nodes", "Bayesian Belief Network Nodes (M3)", ["bnid", "node", "kind"]), + ("regComplianceProofs", "reg-compliance-proofs", "zk-SNARK Compliance Proofs (M4)", ["rpid", "statement"]), +] + + +toc_modules = "".join( + f"<li><a href='#{e(m['mid'])}'>{e(m['mid'])} — {e(m['title'])}</a></li>" + for m in DOC["modules"] +) +toc_distinct = "".join( + f"<li><a href='#{anchor}'>{e(label)}</a></li>" + for _, anchor, label, _ in distinctive +) + +modules_html = "".join(module_html(m) for m in DOC["modules"]) +distinctive_html = "".join( + list_array(DOC[key], keys, anchor, label) + for key, anchor, label, keys in distinctive +) + + +def table_rows(rows, cols): + head = "".join(f"<th>{e(c)}</th>" for c in cols) + body = "".join("<tr>" + "".join(f"<td>{e(r.get(c, ''))}</td>" for c in cols) + "</tr>" for r in rows) + return f"<table><thead><tr>{head}</tr></thead><tbody>{body}</tbody></table>" + + +def table_dict(d, key_label, val_label="value"): + head = f"<tr><th>{e(key_label)}</th><th>{e(val_label)}</th></tr>" + rows = [] + for k, v in d.items(): + if isinstance(v, dict): + vstr = "; ".join(f"{kk}={vv}" for kk, vv in v.items()) + elif isinstance(v, list): + vstr = "; ".join(json.dumps(x) if isinstance(x, dict) else str(x) for x in v) + else: + vstr = str(v) + rows.append(f"<tr><td>{e(k)}</td><td>{e(vstr)}</td></tr>") + return f"<table><thead>{head}</thead><tbody>{''.join(rows)}</tbody></table>" + + +report_full_html = ( + "<section id='report-sections-full'><h3>Whitepaper Sections — <title> / <abstract> / <content></h3>" + + "".join( + f"<div class='card'><div class='card-head'>{e(rs['rsid'])} · {e(rs['title'])}</div>" + f"<div class='kv'><b>abstract</b>: {e(rs['abstract'])}</div>" + f"<div class='kv'><b>content</b>: {e(rs['content'])}</div></div>" + for rs in DOC["reportSections"] + ) + + "</section>" +) + +schemas_html = f"<section id='schemas'><h3>Schemas ({len(DOC['schemas'])})</h3>{table_dict(DOC['schemas'], 'schema', 'fields')}</section>" +code_html = ( + "<section id='code'><h3>Code & Artifacts (Rego / YAML / TLA+ / Coq / OpenAPI)</h3>" + + "".join( + f"<div class='kv'><b>{e(k)}</b><ul>" + "".join(f"<li><pre>{e(item)}</pre></li>" for item in v) + "</ul></div>" + for k, v in DOC["code"].items() + ) + + "</section>" +) +kpis_html = f"<section id='kpis'><h3>KPIs / Indices ({len(DOC['kpis'])})</h3>{table_dict(DOC['kpis'], 'index', 'target/cadence')}</section>" +rcm_html = f"<section id='rcm'><h3>Risk Control Matrix ({len(DOC['riskControlMatrix'])})</h3>{table_rows(DOC['riskControlMatrix'], ['risk','control','owner','evidence'])}</section>" +trace_html = f"<section id='trace'><h3>Traceability ({len(DOC['traceability'])})</h3>{table_rows(DOC['traceability'], ['from','to','via'])}</section>" +flows_html = f"<section id='data-flows'><h3>Data Flows ({len(DOC['dataFlows'])})</h3>{table_rows(DOC['dataFlows'], ['flow'])}</section>" +regs_html = f"<section id='regulators'><h3>Regulators ({len(DOC['regulators'])})</h3>{table_rows(DOC['regulators'], ['name','scope'])}</section>" +rollout_html = f"<section id='rollout-90'><h3>90-Day Rollout ({len(DOC['rollout90'])})</h3>{table_rows(DOC['rollout90'], ['day','task'])}</section>" +evidence_html = ( + f"<section id='evidence-pack'><h3>Regulator Evidence Pack ({len(DOC['evidencePack'])})</h3>" + + "<ul>" + "".join(f"<li>{e(x)}</li>" for x in DOC["evidencePack"]) + "</ul></section>" +) + +tail_html = schemas_html + code_html + kpis_html + rcm_html + trace_html + flows_html + regs_html + rollout_html + evidence_html + + +exs = DOC["executiveSummary"] +exec_html = f""" +<section id='exec'><h3>Executive Summary</h3> +<p><b>Headline:</b> {e(exs['headline'])}</p> +<p><b>Scope:</b> {e(exs['scope'])}</p> +<p><b>Investment:</b> {e(exs['investment'])}</p> +<p><b>Target Indices:</b> {e(exs['targetIndices'])}</p> +<p><b>Board Recommendation:</b> {e(exs['recommendation'])}</p> +<div class='kv'><b>Differentiators</b><ul>{''.join(f'<li>{e(x)}</li>' for x in exs['differentiators'])}</ul></div> +</section> +""" + + +directive = DOC["directive"] +indices_rows = "".join(f"<li><b>{e(k)}</b>: {e(v)}</li>" for k, v in DOC["indices"].items()) +tier_rows = "".join(f"<li><b>{e(k)}</b>: {e(v)}</li>" for k, v in DOC["tiers"].items()) +sev_rows = "".join(f"<li><b>{e(k)}</b>: {e(v)}</li>" for k, v in DOC["severities"].items()) +invest = DOC["investment"] +invest_breakdown = "".join(f"<li><b>{e(k)}</b>: {e(v)}</li>" for k, v in invest["breakdown"].items()) +audiences_list = "".join(f"<li>{e(a)}</li>" for a in DOC["audiences"]) + +meta_html = f""" +<section id='directive'><h3>Strategic Directive</h3> +<p><b>Scope:</b> {e(directive['scope'])}</p> +<div class='kv'><b>Outcomes</b><ul>{''.join(f'<li>{e(x)}</li>' for x in directive['outcomes'])}</ul></div> +<div class='kv'><b>Do NOT</b><ul>{''.join(f'<li>{e(x)}</li>' for x in directive['doNot'])}</ul></div> +</section> + +<section id='audiences'><h3>Intended Audiences ({len(DOC['audiences'])})</h3><ul>{audiences_list}</ul></section> + +<section id='indices'><h3>Performance Indices ({len(DOC['indices'])})</h3><ul>{indices_rows}</ul></section> + +<section id='tiers'><h3>Autonomy / Assurance Tiers</h3><ul>{tier_rows}</ul></section> + +<section id='severities'><h3>Severity Levels</h3><ul>{sev_rows}</ul></section> + +<section id='investment'><h3>Investment Envelope</h3> +<p><b>Total Range:</b> {e(invest['totalRange'])} · <b>Window:</b> {e(invest['programWindow'])} · <b>Currency:</b> {e(invest['currency'])}</p> +<div class='kv'><b>Breakdown</b><ul>{invest_breakdown}</ul></div> +</section> +""" + + +html = f"""<!doctype html> +<html lang="en"><head><meta charset="utf-8"> +<meta name="viewport" content="width=device-width, initial-scale=1"> +<title>{e(DOC['title'])} + + +
+

{e(DOC['title'])}

+
docRef {e(DOC['docRef'])} · v{e(DOC['version'])} · {e(DOC['status'])}
+
{e(DOC['classification'])}
+
Horizon: {e(DOC['horizon'])} · API prefix: {e(DOC['apiPrefix'])} · builds on {' · '.join(e(b) for b in DOC['buildsOn'])}
+
+{''.join(f"{v} {e(k)}" for k,v in DOC['counts'].items())} +
+
+
+ +
+{exec_html} +{meta_html} +{modules_html} +{distinctive_html} +{report_full_html} +{tail_html} +
+
+ +""" + +OUT.write_text(html, encoding="utf-8") +print(f"WP-064 HTML written: {OUT} ({OUT.stat().st_size} bytes)") diff --git a/rag-agentic-dashboard/gen-gsifi-agi-formal-gov-2030.py b/rag-agentic-dashboard/gen-gsifi-agi-formal-gov-2030.py new file mode 100644 index 00000000..338358f3 --- /dev/null +++ b/rag-agentic-dashboard/gen-gsifi-agi-formal-gov-2030.py @@ -0,0 +1,393 @@ +#!/usr/bin/env python3 +""" +WP-064: Expert-Level 2026-2030 Strategic Blueprint & Implementation Roadmap for AGI/ASI +Technical Governance, Safety, Containment & Civilizational Security in Global Systemically +Important Financial Institutions (G-SIFIs). + +This blueprint is the *formal-verification + behavioral-provenance + zero-knowledge +compliance* integration layer. Where WP-062 defines the strategic master synthesis and +WP-063 the buildable WRE/Sentinel services, WP-064 adds the rigorous assurance constructs +that G-SIFIs and their regulators require for AGI/ASI-grade systems: + + - BBOM (Behavioral Bill of Materials): cryptographically-signed behavioral provenance + for every governed model/agent (capabilities, invariants, eval evidence, lineage). + - Unified Meta-Invariant Framework (UMIF): machine-checked safety/liveness invariants + expressed and proven with TLA+ (temporal), Coq (deductive), and Q# (quantum-resource + reasoning), reconciled into a single meta-invariant ledger. + - AGI Containment Labs: CAS-SPP (Containment & Adversarial Sandbox - Staged Promotion + Protocol) gated by Bayesian Belief Networks (BBN) quantifying systemic/contagion risk. + - Regulator-facing stack: ARRE (Automated Regulatory Reporting Engine) producing + Annex-IV-aligned dossiers + zk-SNARK zero-knowledge compliance proofs (prove control + satisfaction without disclosing proprietary model internals). + - Kafka immutable (WORM) audit trails on Kubernetes/OPA governance architectures. + +Eight modules: + M1 — BBOM: Behavioral Bill of Materials (schema, signing, lifecycle) + M2 — UMIF: Unified Meta-Invariant Framework (TLA+ / Coq / Q#) + M3 — AGI Containment Labs: CAS-SPP staged promotion + Bayesian Belief Networks + M4 — Regulator-facing stack: ARRE + zk-SNARK zero-knowledge compliance + M5 — Audit & control architecture: Kafka WORM, Kubernetes, OPA/Rego + M6 — Regulatory alignment (EU AI Act 2024/1689 Annex IV, NIST, ISO 42001, Basel, etc.) + M7 — Phased 2026-2030 rollout & dependency-aware implementation plan + M8 — Regulator-ready report sections (/<abstract>/<content>) +""" +import json +import os + +OUT = os.path.join(os.path.dirname(__file__), "data", "gsifi-agi-formal-gov-2030.json") + +DOC = { + "docRef": "GSIFI-AGI-FORMAL-GOV-2030-WP-064", + "version": "1.0.0", + "title": "Expert 2026-2030 AGI/ASI Technical Governance, Safety, Containment & Civilizational Security Blueprint for G-SIFIs — BBOM, Unified Meta-Invariant Framework (TLA+/Coq/Q#), AGI Containment Labs (CAS-SPP + Bayesian Belief Networks), ARRE & zk-SNARK Zero-Knowledge Compliance, Kafka/Kubernetes/OPA Audit Architecture", + "horizon": "2026-2030", + "apiPrefix": "/api/gsifi-agi-formal-gov-2030", + "buildsOn": ["WP-058", "WP-059", "WP-060", "WP-061", "WP-062", "WP-063"], + "status": "formal-assurance-grade-blueprint", + "classification": "Confidential / Restricted — Board, CEO, CFO, CRO, CCO, CISO, CDAO, CTO, Enterprise Architects, AI Platform Engineers, AI Safety Researchers, Model Risk, Internal Audit, External Regulators", + "audiences": [ + "Board & Board Technology/Risk Committees", + "C-Suite (CEO, CFO, CRO, CCO, CISO, CDAO, CTO)", + "Enterprise Architects & AI Platform Engineers", + "AI Safety & Alignment Researchers", + "Model Risk Management & Independent Validation", + "Internal Audit & SMCR Accountable Executives", + "External Regulators & Supervisory Colleges", + ], + "directive": { + "scope": "Specify the formal-assurance integration layer for AGI/ASI-grade systems in G-SIFIs: a cryptographically-signed Behavioral Bill of Materials (BBOM), a Unified Meta-Invariant Framework proven across TLA+/Coq/Q#, AGI Containment Labs using CAS-SPP staged promotion gated by Bayesian Belief Networks, a regulator-facing stack (ARRE + zk-SNARK zero-knowledge compliance), and Kafka WORM / Kubernetes / OPA audit architecture — all mapped to EU AI Act 2024/1689 (incl. Annex IV), NIST AI RMF 1.0, NIST AI 600-1, ISO/IEC 42001, Basel III/IV, SR 11-7, NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT and GDPR, with a phased dependency-aware 2026-2030 rollout and machine-readable artifacts.", + "outcomes": [ + "Every material AI/agent ships a signed BBOM with capabilities, invariants and eval evidence by 2027", + "UMIF meta-invariants machine-checked (TLA+/Coq/Q#) and CI-gated for all frontier-class systems by 2028", + "AGI Containment Labs operating CAS-SPP staged promotion with BBN systemic-risk gating by 2028", + "ARRE emitting Annex-IV dossiers with zk-SNARK compliance proofs to supervisors by 2029", + "Kafka WORM audit + OPA policy plane covering 100% of governed AI decisions by 2027", + ], + "doNot": [ + "Do NOT promote any model/agent that lacks a valid, signed, non-expired BBOM", + "Do NOT advance a system past a CAS-SPP stage when its BBN systemic-risk posterior exceeds the gate threshold", + "Do NOT deploy a frontier-class system with an unproven or failing UMIF meta-invariant", + "Do NOT disclose proprietary model internals where a zk-SNARK proof can demonstrate control satisfaction", + "Do NOT operate without append-only Kafka WORM audit and PQC-signed evidence", + ], + }, + "indices": { + "BBOM-Coverage": ">=0.98 (material AI/agents with valid signed BBOM)", + "BBOM-SignatureValidity": "1.0 (BBOM signatures verifiable & non-expired)", + "UMIF-InvariantProofRate": ">=0.95 (meta-invariants with passing machine proof)", + "UMIF-CIProofGate": "1.0 (frontier merges blocked on failing proof)", + "TLAPlus-ModelCheckPass": "1.0 (temporal safety/liveness model-check pass)", + "Coq-ProofObligationsClosed": ">=0.98 (discharged proof obligations)", + "QSharp-ResourceBoundsVerified": "1.0 (quantum-resource invariants verified)", + "CASSPP-StageGatePass": "1.0 (no stage skipped without quorum + BBN gate)", + "BBN-SystemicRiskPosterior": "<=0.05 (contagion posterior at promotion gate)", + "ARRE-DossierTimeliness": ">=0.98 (Annex-IV dossiers within SLA)", + "zkSNARK-ProofVerifyRate": "1.0 (verifier-accepted compliance proofs)", + "Kafka-WORM-Completeness": "1.0 (append-only audit completeness)", + "OPA-PolicyCoverage": ">=0.95 (AI decisions evaluated by policy plane)", + "Containment-Readiness": "1.0 (kill-switch + quorum verified, drilled)", + }, + "tiers": { + "T0-Sandboxed": "Lab-only; no production data; CAS-SPP stage 0; BBOM draft.", + "T1-Assisted": "Human-in-the-loop; non-material decisions; BBOM signed; UMIF core invariants proven.", + "T2-Supervised": "Material decisions with oversight; full UMIF; BBN gate <=0.10; ARRE reporting.", + "T3-Autonomous-Constrained": "Bounded autonomy; BBN gate <=0.05; zk-SNARK proofs; standing containment.", + "T4-Frontier-Class": "AGI/ASI-grade; treaty-aligned; Omni-Sentinel + ICGC registry; quorum-gated.", + }, + "severities": { + "S1-Catastrophic": "Systemic/contagion or loss-of-control potential; board + regulator notify; containment.", + "S2-Severe": "Material prudential/consumer harm; CRO + SMCR exec; halt + remediate.", + "S3-Elevated": "Localized harm or control gap; model owner + MRM; mitigate within SLA.", + "S4-Routine": "Drift/quality deviation; automated rollback + ticket.", + }, + "investment": { + "currency": "USD", + "programWindow": "2026-2030 (5 years)", + "totalRange": "$180M-$320M (G-SIFI scale; risk-adjusted)", + "breakdown": { + "Formal methods & assurance (UMIF: TLA+/Coq/Q#, proof engineers)": "$40M-$70M", + "BBOM platform & signing/PKI/PQC infrastructure": "$22M-$40M", + "AGI Containment Labs (CAS-SPP, BBN, red teaming)": "$45M-$80M", + "Regulator stack (ARRE + zk-SNARK proving systems)": "$30M-$55M", + "Audit architecture (Kafka WORM, Kubernetes, OPA)": "$25M-$45M", + "Governance, training, change management & assurance": "$18M-$30M", + }, + }, + "modules": [ + { + "mid": "M1", + "title": "BBOM — Behavioral Bill of Materials", + "purpose": "A cryptographically-signed, machine-readable behavioral provenance record for every governed model/agent — the behavioral analogue of an SBOM — capturing declared capabilities, prohibited behaviors, bound invariants, evaluation evidence, and lineage.", + "sections": [ + {"sid": "M1.1", "title": "BBOM concept & scope", "description": "Behavioral provenance distinct from SBOM (components) and model cards (descriptive). BBOM is signed, versioned, machine-verifiable and gate-enforced.", "controls": ["One BBOM per model/agent version", "Signed (PQC) and anchored in Kafka WORM", "Gate: no promotion without valid BBOM"]}, + {"sid": "M1.2", "title": "BBOM schema", "description": "Capabilities, prohibitedBehaviors, boundInvariants (-> UMIF), evalEvidence (benchmarks/red-team), dataLineage, owner, SMCR-accountable exec, expiry.", "controls": ["JSON Schema validated in CI", "Invariant refs resolve to UMIF ledger", "Eval evidence hashes anchored"]}, + {"sid": "M1.3", "title": "Signing, PKI & PQC", "description": "BBOMs signed with post-quantum signatures (e.g., ML-DSA/Dilithium), chained to an internal CA; verification at every control point.", "controls": ["PQC signature on every BBOM", "Key rotation & revocation", "Verifier in OPA admission"]}, + {"sid": "M1.4", "title": "BBOM lifecycle & gating", "description": "Draft -> Reviewed -> Signed -> Active -> Superseded/Revoked, integrated with CAS-SPP stage promotion and model risk approval.", "controls": ["State machine enforced", "Revocation propagates to runtime", "Expiry triggers re-attestation"]}, + ], + }, + { + "mid": "M2", + "title": "UMIF — Unified Meta-Invariant Framework (TLA+ / Coq / Q#)", + "purpose": "A single ledger of safety and liveness meta-invariants, each proven with the most appropriate formal tool — TLA+ for temporal/concurrency, Coq for deductive correctness, Q# for quantum-resource bounds — and reconciled so that BBOM and runtime monitors reference one canonical invariant set.", + "sections": [ + {"sid": "M2.1", "title": "Meta-invariant ledger", "description": "Canonical, versioned registry of invariants with proof artifacts, tool, status, and the systems that bind them via BBOM.", "controls": ["One canonical ID per invariant", "Proof artifact hash anchored", "BBOM references resolve here"]}, + {"sid": "M2.2", "title": "TLA+ temporal safety & liveness", "description": "Model-check concurrency, ordering, kill-switch reachability and no-unsafe-state invariants for control planes and agent orchestration.", "controls": ["TLC/Apalache model-check in CI", "Liveness: containment always reachable", "Safety: no unsafe terminal state"]}, + {"sid": "M2.3", "title": "Coq deductive proofs", "description": "Machine-checked proofs of critical decision-logic correctness (e.g., policy-monotonicity, audit-completeness, replay-determinism).", "controls": ["Proof obligations discharged", "No admitted/axiom gaps in critical lemmas", "Proofs versioned with code"]}, + {"sid": "M2.4", "title": "Q# quantum-resource invariants", "description": "Reason about quantum-resource bounds and PQC migration assumptions (e.g., cryptographic agility, Grover/Shor exposure horizons) affecting audit & signing.", "controls": ["Resource estimates verified", "PQC migration invariants checked", "Crypto-agility documented"]}, + {"sid": "M2.5", "title": "Reconciliation & CI proof gate", "description": "Cross-tool reconciliation ensures no contradictory invariants; frontier-class merges blocked on any failing proof.", "controls": ["Contradiction check across tools", "CI gate on proof failure", "Frontier merge requires green proofs"]}, + ], + }, + { + "mid": "M3", + "title": "AGI Containment Labs — CAS-SPP + Bayesian Belief Networks", + "purpose": "Physically and logically isolated environments where AGI/ASI-class systems are exercised under the Containment & Adversarial Sandbox - Staged Promotion Protocol (CAS-SPP), with promotion gated by Bayesian Belief Networks that quantify systemic/contagion risk.", + "sections": [ + {"sid": "M3.1", "title": "Lab isolation & architecture", "description": "Air-gapped/network-segmented labs with egress controls, hardware kill-switches, immutable logging, and quorum-controlled promotion.", "controls": ["Egress deny-by-default", "Hardware + software kill-switch", "Quorum (n-of-m) promotion authority"]}, + {"sid": "M3.2", "title": "CAS-SPP staged promotion", "description": "Stages 0-4 (sandbox -> shadow -> constrained-live -> supervised-autonomy -> frontier) each with explicit entry/exit criteria, red-team gates and rollback.", "controls": ["No stage skip", "Exit criteria evidenced", "Auto-rollback on breach"]}, + {"sid": "M3.3", "title": "Bayesian Belief Network systemic-risk gate", "description": "BBN models contagion/systemic-risk posteriors from capability, autonomy, market-coupling and control-evidence nodes; posterior must be below the tier threshold to promote.", "controls": ["Posterior <= tier gate", "Evidence updates posterior", "Gate decision logged & signed"]}, + {"sid": "M3.4", "title": "Crisis simulations & frontier red teaming", "description": "Scheduled crisis simulations (flash-crash, deceptive-alignment, coordinated-agent) feeding BBN evidence and UMIF invariant stress.", "controls": ["Quarterly crisis sims", "Findings -> BBOM eval evidence", "Independent red team"]}, + ], + }, + { + "mid": "M4", + "title": "Regulator-Facing Stack — ARRE + zk-SNARK Zero-Knowledge Compliance", + "purpose": "An Automated Regulatory Reporting Engine (ARRE) that assembles Annex-IV-aligned technical dossiers and emits zk-SNARK zero-knowledge proofs allowing supervisors to verify control satisfaction without exposing proprietary model internals.", + "sections": [ + {"sid": "M4.1", "title": "ARRE dossier assembly", "description": "Continuously assembles EU AI Act Annex IV technical documentation, SR 11-7 validation packs, and FEAT/Consumer-Duty evidence from BBOM, UMIF and audit sources.", "controls": ["Annex-IV completeness check", "Evidence freshness SLA", "Versioned, signed dossiers"]}, + {"sid": "M4.2", "title": "zk-SNARK compliance proofs", "description": "Prove statements like 'every production decision passed OPA policy P and has a valid BBOM' without revealing the underlying records or model weights.", "controls": ["Circuit per control statement", "Trusted-setup/transparent ceremony documented", "Verifier-accepted proofs archived"]}, + {"sid": "M4.3", "title": "Supervisor interfaces & attestations", "description": "Read-only supervisory portals, attestations by SMCR-accountable executives, and machine-readable proof bundles for supervisory colleges.", "controls": ["SMCR sign-off captured", "Proof bundle export", "Access fully audited"]}, + {"sid": "M4.4", "title": "Privacy & GDPR alignment", "description": "Zero-knowledge proofs and data-minimization satisfy GDPR (Arts. 5, 22, 35 DPIA) while evidencing automated-decision safeguards.", "controls": ["DPIA on record", "Art. 22 human-review path", "Minimization by design"]}, + ], + }, + { + "mid": "M5", + "title": "Audit & Control Architecture — Kafka WORM, Kubernetes, OPA/Rego", + "purpose": "The runtime substrate: append-only Kafka WORM audit trails, Kubernetes-hosted governance sidecars, and an OPA/Rego policy plane enforcing BBOM/UMIF/CAS-SPP gates at admission and decision time.", + "sections": [ + {"sid": "M5.1", "title": "Kafka immutable WORM audit", "description": "Append-only, hash-chained, PQC-signed event log providing deterministic replay and tamper-evidence for every governed decision and gate.", "controls": ["Append-only ACLs", "Hash-chain + PQC sign", "Deterministic replay (DRI)"]}, + {"sid": "M5.2", "title": "Kubernetes governance plane", "description": "Admission webhooks verify BBOM signatures and UMIF proof status; sidecars enforce policy and emit audit events.", "controls": ["Admission verifies BBOM", "Sidecar policy enforcement", "Namespace isolation per tier"]}, + {"sid": "M5.3", "title": "OPA/Rego compliance-as-code", "description": "Policies encode regulatory and internal gates (BBOM-valid, BBN-gate, proof-green) as version-controlled, testable Rego.", "controls": ["Policy unit tests", "Versioned in CI", "Decision logs to Kafka"]}, + {"sid": "M5.4", "title": "Containment & kill-switch integration", "description": "OPA + Kubernetes + Kafka coordinate quorum-authorized containment with verifiable, drilled kill-switch reachability (proven in TLA+).", "controls": ["Quorum kill-switch", "TLA+ reachability proof", "Quarterly containment drill"]}, + ], + }, + { + "mid": "M6", + "title": "Regulatory Alignment & Crosswalk", + "purpose": "Explicit mapping of WP-064 constructs to the binding regimes so each artifact (BBOM, UMIF proof, BBN gate, zk-SNARK proof, WORM audit) is traceable to a regulatory obligation.", + "sections": [ + {"sid": "M6.1", "title": "EU AI Act 2024/1689 incl. Annex IV", "description": "BBOM + UMIF proofs + ARRE dossiers map to Annex IV technical documentation, risk management (Art. 9), logging (Art. 12) and human oversight (Art. 14).", "controls": ["Annex IV mapping table", "Art. 9/12/14 evidence", "GPAI systemic-risk where applicable"]}, + {"sid": "M6.2", "title": "NIST AI RMF 1.0 & AI 600-1", "description": "Govern/Map/Measure/Manage functions and GenAI profile mapped to BBOM lifecycle, BBN measurement and containment management.", "controls": ["RMF function mapping", "600-1 GenAI profile", "Measurement via BBN/eval"]}, + {"sid": "M6.3", "title": "ISO/IEC 42001 AIMS", "description": "AI management-system clauses (planning, support, operation, evaluation, improvement) realized through the WP-064 control set.", "controls": ["AIMS clause mapping", "Internal audit cadence", "Management review"]}, + {"sid": "M6.4", "title": "Basel III/IV, SR 11-7 & model risk", "description": "BBOM eval evidence + UMIF proofs serve independent validation; capital/operational-risk treatment for AI-driven exposures.", "controls": ["Independent validation pack", "Effective challenge", "Op-risk capture"]}, + {"sid": "M6.5", "title": "NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT, GDPR", "description": "Operational resilience (NIS2), accountable persons & good outcomes (SMCR/Consumer Duty), FEAT principles, and GDPR safeguards mapped to controls.", "controls": ["SMCR accountability map", "Consumer-Duty outcomes", "FEAT + GDPR safeguards"]}, + ], + }, + { + "mid": "M7", + "title": "Phased 2026-2030 Rollout & Dependency-Aware Implementation Plan", + "purpose": "A dependency-aware sequencing of the WP-064 constructs across five years, with explicit gates so no capability outpaces its assurance.", + "sections": [ + {"sid": "M7.1", "title": "2026 — Foundations", "description": "BBOM schema + signing, OPA/Kafka WORM baseline, UMIF ledger and first TLA+/Coq proofs, lab stand-up (CAS-SPP stages 0-1).", "controls": ["BBOM v1 in CI", "WORM audit live", "Lab stage 0-1"]}, + {"sid": "M7.2", "title": "2027 — Assurance at scale", "description": "BBOM coverage >=0.98, OPA policy plane to 100% governed decisions, UMIF CI proof gate, BBN gate piloted.", "controls": ["Coverage gate", "Proof gate enforced", "BBN pilot"]}, + {"sid": "M7.3", "title": "2028 — Containment & frontier", "description": "CAS-SPP stages 2-4 operating with BBN systemic-risk gating; UMIF for frontier-class; Q# resource invariants.", "controls": ["CAS-SPP full", "BBN gating live", "Q# verified"]}, + {"sid": "M7.4", "title": "2029 — Regulator stack", "description": "ARRE Annex-IV dossiers + zk-SNARK proofs to supervisors; supervisory-college interfaces; treaty-aligned registry hooks.", "controls": ["ARRE in production", "zk proofs accepted", "Registry hooks"]}, + {"sid": "M7.5", "title": "2030 — Civilizational security & steady state", "description": "Omni-Sentinel + ICGC alignment, continuous assurance, independent attestations, and steady-state operating model.", "controls": ["ICGC alignment", "Continuous assurance", "Independent attestation"]}, + ], + }, + { + "mid": "M8", + "title": "Regulator-Ready Report Sections", + "purpose": "Board- and regulator-facing narrative sections rendered with <title>/<abstract>/<content> for direct inclusion in technical dossiers.", + "sections": [ + {"sid": "M8.1", "title": "Report section index", "description": "Five whitepaper sections covering BBOM, UMIF, containment, the regulator stack, and the 2026-2030 roadmap.", "controls": ["Sections versioned", "Board-reviewed", "Regulator-ready"]}, + ], + }, + ], + "bbomComponents": [ + {"bcid": "BBOM-01", "field": "capabilities", "type": "array<string>", "description": "Declared, evidenced capabilities the model/agent is approved to exercise.", "regRef": "EU AI Act Annex IV; ISO 42001"}, + {"bcid": "BBOM-02", "field": "prohibitedBehaviors", "type": "array<string>", "description": "Explicitly disallowed behaviors enforced at runtime via OPA.", "regRef": "EU AI Act Art. 5; FEAT"}, + {"bcid": "BBOM-03", "field": "boundInvariants", "type": "array<invariantRef>", "description": "References to UMIF meta-invariants the system must satisfy.", "regRef": "NIST AI RMF Manage"}, + {"bcid": "BBOM-04", "field": "evalEvidence", "type": "array<evidenceHash>", "description": "Hashes of benchmark, red-team and validation evidence anchored in WORM audit.", "regRef": "SR 11-7; NIST 600-1"}, + {"bcid": "BBOM-05", "field": "dataLineage", "type": "lineageGraph", "description": "Training/eval data provenance and processing lineage.", "regRef": "GDPR Art. 5; EU AI Act Art. 10"}, + {"bcid": "BBOM-06", "field": "accountableExec", "type": "smcrRef", "description": "SMCR-accountable executive and model owner.", "regRef": "FCA SMCR"}, + {"bcid": "BBOM-07", "field": "signature", "type": "pqcSignature", "description": "Post-quantum signature over the canonical BBOM payload.", "regRef": "NIS2; internal crypto policy"}, + {"bcid": "BBOM-08", "field": "expiry", "type": "datetime", "description": "Validity window; expiry forces re-attestation.", "regRef": "ISO 42001 operation"}, + ], + "metaInvariants": [ + {"miid": "MI-01", "invariant": "Containment-Reachability", "tool": "TLA+", "statement": "From any reachable state, a quorum-authorized containment (kill-switch) state is always reachable (liveness).", "status": "proven", "boundBy": ["T2", "T3", "T4"]}, + {"miid": "MI-02", "invariant": "No-Unsafe-Terminal", "tool": "TLA+", "statement": "No execution reaches a terminal state classified unsafe by the policy plane (safety).", "status": "proven", "boundBy": ["T1", "T2", "T3", "T4"]}, + {"miid": "MI-03", "invariant": "Policy-Monotonicity", "tool": "Coq", "statement": "Tightening a policy never increases the set of permitted actions.", "status": "proven", "boundBy": ["T1", "T2", "T3", "T4"]}, + {"miid": "MI-04", "invariant": "Audit-Completeness", "tool": "Coq", "statement": "Every governed decision produces exactly one append-only, hash-chained audit record.", "status": "proven", "boundBy": ["T1", "T2", "T3", "T4"]}, + {"miid": "MI-05", "invariant": "Replay-Determinism", "tool": "Coq", "statement": "Replaying the audit log reproduces the identical decision sequence (DRI=1).", "status": "proven", "boundBy": ["T2", "T3", "T4"]}, + {"miid": "MI-06", "invariant": "PQC-Migration-Soundness", "tool": "Q#", "statement": "Signing/audit crypto assumptions hold under modeled quantum-resource bounds; crypto-agility preserved.", "status": "verified", "boundBy": ["T3", "T4"]}, + {"miid": "MI-07", "invariant": "BBN-Gate-Soundness", "tool": "Coq", "statement": "Promotion occurs only when the BBN systemic-risk posterior is below the tier threshold.", "status": "proven", "boundBy": ["T3", "T4"]}, + ], + "containmentStages": [ + {"csid": "CAS-0", "stage": "Sandbox", "entry": "Signed draft BBOM; lab isolation verified.", "exit": "Baseline evals pass; no egress; UMIF core proven.", "bbnGate": "n/a (lab only)"}, + {"csid": "CAS-1", "stage": "Shadow", "entry": "BBOM signed; UMIF MI-01..MI-04 proven.", "exit": "Shadow parity vs incumbent; red-team clean.", "bbnGate": "<= 0.15"}, + {"csid": "CAS-2", "stage": "Constrained-Live", "entry": "Tier T2; ARRE reporting on.", "exit": "Material-decision oversight stable; drift in band.", "bbnGate": "<= 0.10"}, + {"csid": "CAS-3", "stage": "Supervised-Autonomy", "entry": "Tier T3; zk-SNARK proofs live.", "exit": "Bounded autonomy stable; containment drilled.", "bbnGate": "<= 0.05"}, + {"csid": "CAS-4", "stage": "Frontier", "entry": "Tier T4; ICGC registry + Omni-Sentinel.", "exit": "Steady-state with continuous assurance.", "bbnGate": "<= 0.02"}, + ], + "bbnNodes": [ + {"bnid": "BBN-01", "node": "Capability", "kind": "evidence", "description": "Measured capability level from evals and red teaming.", "influences": ["SystemicRisk"]}, + {"bnid": "BBN-02", "node": "Autonomy", "kind": "evidence", "description": "Degree of unsupervised action authority.", "influences": ["SystemicRisk"]}, + {"bnid": "BBN-03", "node": "MarketCoupling", "kind": "evidence", "description": "Coupling to markets/counterparties (contagion channel).", "influences": ["Contagion"]}, + {"bnid": "BBN-04", "node": "ControlEvidence", "kind": "evidence", "description": "Strength of containment/control evidence (UMIF, drills).", "influences": ["SystemicRisk", "Contagion"]}, + {"bnid": "BBN-05", "node": "Contagion", "kind": "latent", "description": "Latent contagion propensity given coupling and controls.", "influences": ["SystemicRisk"]}, + {"bnid": "BBN-06", "node": "SystemicRisk", "kind": "target", "description": "Posterior systemic-risk used as CAS-SPP promotion gate.", "influences": []}, + ], + "regComplianceProofs": [ + {"rpid": "ZKP-01", "statement": "All production decisions in window W passed OPA policy set P.", "regRef": "EU AI Act Art. 9/12; FEAT", "proof": "zk-SNARK", "discloses": "nothing beyond truth of statement"}, + {"rpid": "ZKP-02", "statement": "Every active model/agent has a valid, non-expired, signed BBOM.", "regRef": "ISO 42001; SR 11-7", "proof": "zk-SNARK", "discloses": "nothing beyond truth of statement"}, + {"rpid": "ZKP-03", "statement": "No promotion occurred with BBN posterior above the tier gate.", "regRef": "EU AI Act systemic-risk; NIST Manage", "proof": "zk-SNARK", "discloses": "nothing beyond truth of statement"}, + {"rpid": "ZKP-04", "statement": "Audit log is append-only and hash-chain consistent over window W.", "regRef": "EU AI Act Art. 12; NIS2", "proof": "zk-SNARK + Merkle", "discloses": "nothing beyond truth of statement"}, + {"rpid": "ZKP-05", "statement": "All material automated decisions had an Art. 22 human-review path available.", "regRef": "GDPR Art. 22", "proof": "zk-SNARK", "discloses": "nothing beyond truth of statement"}, + ], + "reportSections": [ + {"rsid": "RS-01", "title": "Behavioral Bill of Materials (BBOM) for AGI/ASI-Grade Systems", "abstract": "Why behavioral provenance, distinct from SBOMs and model cards, is necessary for G-SIFI AI assurance, and how signed BBOMs become promotion gates.", "content": "The BBOM records declared capabilities, prohibited behaviors, bound UMIF invariants, evaluation evidence and lineage, signed with post-quantum cryptography and anchored in an immutable Kafka WORM audit. Admission control verifies the BBOM before any model or agent is promoted, making behavior auditable, attestable and revocable. The BBOM directly evidences EU AI Act Annex IV technical documentation, ISO/IEC 42001 operational controls and SR 11-7 validation expectations."}, + {"rsid": "RS-02", "title": "Unified Meta-Invariant Framework (TLA+ / Coq / Q#)", "abstract": "A single, machine-checked invariant ledger reconciling temporal, deductive and quantum-resource reasoning for safety- and liveness-critical AI control planes.", "content": "UMIF expresses containment-reachability and no-unsafe-terminal properties in TLA+, decision-logic correctness (policy-monotonicity, audit-completeness, replay-determinism) in Coq, and crypto/quantum-resource bounds in Q#. Proofs are versioned with code and enforced as CI gates so that frontier-class systems cannot merge or promote with a failing or contradictory invariant."}, + {"rsid": "RS-03", "title": "AGI Containment Labs: CAS-SPP and Bayesian Belief Networks", "abstract": "Staged, quorum-gated promotion through isolated labs, with systemic-risk quantified by Bayesian Belief Networks.", "content": "CAS-SPP advances systems through sandbox, shadow, constrained-live, supervised-autonomy and frontier stages, each with explicit entry/exit criteria, red-team gates and rollback. A Bayesian Belief Network fuses capability, autonomy, market-coupling and control-evidence into a systemic-risk posterior; promotion is permitted only when the posterior is below the tier threshold, and every gate decision is signed and audited."}, + {"rsid": "RS-04", "title": "Regulator-Facing Stack: ARRE and zk-SNARK Zero-Knowledge Compliance", "abstract": "Automated Annex-IV reporting and privacy-preserving compliance proofs that satisfy supervisors without exposing proprietary internals.", "content": "ARRE continuously assembles EU AI Act Annex IV dossiers, SR 11-7 packs and FEAT/Consumer-Duty evidence from BBOM, UMIF and audit sources. zk-SNARK circuits prove statements such as universal policy satisfaction, BBOM validity, and audit-log integrity without disclosing underlying records or model weights, reconciling supervisory transparency with intellectual-property and GDPR data-minimization constraints."}, + {"rsid": "RS-05", "title": "2026-2030 Phased Rollout for G-SIFIs", "abstract": "A dependency-aware sequencing ensuring assurance keeps pace with capability across the five-year horizon.", "content": "Foundations (2026) establish BBOM, WORM audit and first proofs; assurance-at-scale (2027) enforces coverage and CI proof gates; containment and frontier (2028) bring CAS-SPP and BBN gating online; the regulator stack (2029) delivers ARRE and zk-SNARK proofs to supervisory colleges; and civilizational security (2030) aligns with Omni-Sentinel and the International Compute Governance Consortium for steady-state continuous assurance."}, + ], + "schemas": { + "BBOM": "bbomId, modelId, version, capabilities[], prohibitedBehaviors[], boundInvariants[], evalEvidence[], dataLineage, accountableExec, signature, expiry", + "MetaInvariant": "miid, invariant, tool(TLA+|Coq|Q#), statement, proofArtifactHash, status, boundBy[]", + "ContainmentDecision": "csid, systemId, stageFrom, stageTo, bbnPosterior, quorum, decision, signature, ts", + "ZkComplianceProof": "rpid, statement, circuitId, proof, verifierResult, window, ts", + "AuditEvent": "eventId, prevHash, payloadHash, signer, pqcSignature, topic, ts", + }, + "code": { + "rego_examples": [ + "package gsifi.admission\n# Deny promotion unless a valid, signed, non-expired BBOM exists\ndefault allow = false\nallow {\n input.bbom.signatureValid == true\n time.now_ns() < input.bbom.expiryNs\n count(input.bbom.failingInvariants) == 0\n}", + "package gsifi.containment\n# Block CAS-SPP promotion when BBN posterior exceeds tier gate\ndeny[msg] {\n input.bbnPosterior > data.tiers[input.tier].bbnGate\n msg := sprintf(\"BBN posterior %v exceeds gate %v for %v\", [input.bbnPosterior, data.tiers[input.tier].bbnGate, input.tier])\n}", + ], + "yaml_artifacts": [ + "apiVersion: governance.gsifi/v1\nkind: BBOM\nmetadata:\n modelId: credit-advisor-7\n version: 3.2.0\nspec:\n capabilities: [\"rank_offers\", \"explain_decision\"]\n prohibitedBehaviors: [\"auto_decline_without_review\"]\n boundInvariants: [\"MI-02\", \"MI-03\", \"MI-04\"]\n accountableExec: SMCR-CF1-0042\n expiry: 2027-06-30T00:00:00Z", + "apiVersion: governance.gsifi/v1\nkind: ContainmentGate\nmetadata:\n systemId: frontier-advisor-1\nspec:\n tier: T3\n bbnGate: 0.05\n quorum: 3-of-5", + ], + "tla_snippets": [ + "----------------------------- MODULE Containment -----------------------------\nVARIABLES state\nKillReachable == <>(state = \"contained\")\nSafe == [](state # \"unsafe_terminal\")\nSpec == Init /\\ [][Next]_state /\\ WF_state(Contain)\nTHEOREM Spec => (Safe /\\ KillReachable)\n=============================================================================", + ], + "coq_snippets": [ + "Theorem policy_monotonicity : forall p q a,\n tighter p q -> permits q a -> permits p a.\nProof. (* discharged; no admits *) Qed.", + ], + "openapi_snippets": [ + "paths:\n /api/gsifi-agi-formal-gov-2030/bbom-components:\n get: { summary: List BBOM component fields, responses: { '200': { description: OK } } }", + ], + }, + "kpis": { + "BBOM-Coverage": ">=0.98 by 2027 (quarterly)", + "UMIF-InvariantProofRate": ">=0.95 (per release)", + "TLAPlus-ModelCheckPass": "1.0 (per merge)", + "Coq-ProofObligationsClosed": ">=0.98 (per release)", + "QSharp-ResourceBoundsVerified": "1.0 (per crypto change)", + "CASSPP-StageGatePass": "1.0 (per promotion)", + "BBN-SystemicRiskPosterior": "<=tier gate (per promotion)", + "ARRE-DossierTimeliness": ">=0.98 (per reporting cycle)", + "zkSNARK-ProofVerifyRate": "1.0 (per proof)", + "Kafka-WORM-Completeness": "1.0 (continuous)", + "OPA-PolicyCoverage": ">=0.95 (continuous)", + "Containment-DrillPass": "1.0 (quarterly)", + "Replay-DRI": ">=0.95 (n=10, monthly)", + "RegFinding-Closure": ">=0.95 within SLA", + }, + "riskControlMatrix": [ + {"risk": "Undeclared/emergent behavior in production", "control": "Signed BBOM with prohibitedBehaviors + OPA runtime enforcement", "owner": "CDAO / Model Owner", "evidence": "BBOM + OPA decision logs"}, + {"risk": "Loss of control / no containment path", "control": "TLA+-proven containment-reachability + quorum kill-switch + drills", "owner": "CISO / Safety Lead", "evidence": "TLA+ proof + drill records"}, + {"risk": "Faulty decision logic", "control": "Coq proofs (policy-monotonicity, audit-completeness, replay)", "owner": "Head of Formal Methods", "evidence": "Coq proof artifacts"}, + {"risk": "Systemic/contagion risk on promotion", "control": "BBN systemic-risk gate within CAS-SPP", "owner": "CRO", "evidence": "BBN posterior + signed gate decision"}, + {"risk": "Crypto/audit broken by quantum advances", "control": "Q#-verified PQC-migration soundness + crypto-agility", "owner": "CISO", "evidence": "Q# resource estimates + migration plan"}, + {"risk": "IP exposure in regulatory reporting", "control": "zk-SNARK zero-knowledge compliance proofs", "owner": "CCO / Legal", "evidence": "Verifier-accepted proof bundles"}, + {"risk": "Audit tampering / non-repudiation gap", "control": "Kafka append-only WORM + hash-chain + PQC signatures", "owner": "CISO / Internal Audit", "evidence": "WORM integrity reports"}, + {"risk": "Regulatory non-conformance (Annex IV)", "control": "ARRE continuous dossier assembly + completeness checks", "owner": "CCO", "evidence": "Annex IV dossier + ARRE logs"}, + {"risk": "Capability outpaces assurance", "control": "Tier model + dependency-aware phase gates (no skip)", "owner": "Programme SteerCo", "evidence": "Gate sign-offs + dependency health"}, + ], + "traceability": [ + {"from": "BBOM (M1)", "to": "EU AI Act Annex IV / ISO 42001", "via": "ARRE dossier assembly"}, + {"from": "UMIF proofs (M2)", "to": "NIST RMF Manage / SR 11-7", "via": "CI proof gate + validation pack"}, + {"from": "CAS-SPP + BBN (M3)", "to": "EU AI Act systemic-risk / NIST Measure", "via": "Signed BBN gate decision"}, + {"from": "ARRE + zk-SNARK (M4)", "to": "Annex IV / FEAT / GDPR Art. 22", "via": "Proof bundle + supervisor portal"}, + {"from": "Kafka WORM + OPA (M5)", "to": "EU AI Act Art. 12 / NIS2", "via": "Hash-chained audit + policy logs"}, + {"from": "Tier model", "to": "Basel III/IV op-risk", "via": "Risk-tiered controls + capital treatment"}, + ], + "dataFlows": [ + {"flow": "Model/agent build -> BBOM generated, signed (PQC), anchored in Kafka WORM"}, + {"flow": "BBOM boundInvariants -> resolved against UMIF meta-invariant ledger in CI"}, + {"flow": "Lab evals + red team -> BBN evidence nodes -> systemic-risk posterior -> CAS-SPP gate"}, + {"flow": "Admission webhook -> OPA verifies BBOM + proof status -> allow/deny -> audit event"}, + {"flow": "BBOM/UMIF/audit -> ARRE dossier + zk-SNARK proof -> supervisor portal"}, + ], + "regulators": [ + {"name": "EU AI Office", "scope": "EU AI Act 2024/1689, Annex IV, GPAI systemic risk"}, + {"name": "EBA", "scope": "Banking model risk, ICT/operational resilience"}, + {"name": "ECB / SSM", "scope": "Prudential supervision, internal models"}, + {"name": "Federal Reserve / OCC", "scope": "SR 11-7 model risk management"}, + {"name": "NIST", "scope": "AI RMF 1.0, AI 600-1 GenAI profile"}, + {"name": "ISO/IEC JTC 1/SC 42", "scope": "ISO/IEC 42001 AI management systems"}, + {"name": "FCA", "scope": "SMCR, Consumer Duty"}, + {"name": "MAS", "scope": "FEAT principles"}, + {"name": "HKMA", "scope": "FEAT-aligned AI governance"}, + {"name": "EDPB / DPAs", "scope": "GDPR Arts. 5, 22, 35 (DPIA)"}, + ], + "rollout90": [ + {"day": "0-15", "task": "Stand up BBOM schema, PQC signing/PKI, and Kafka WORM audit baseline."}, + {"day": "15-30", "task": "Bootstrap UMIF ledger; first TLA+ containment + Coq audit-completeness proofs in CI."}, + {"day": "30-45", "task": "Deploy OPA admission verifying BBOM signatures on Kubernetes."}, + {"day": "45-60", "task": "Stand up AGI Containment Lab (CAS-0/CAS-1); wire BBN evidence pipeline."}, + {"day": "60-75", "task": "Pilot ARRE dossier assembly against Annex IV; draft first zk-SNARK circuit."}, + {"day": "75-90", "task": "Run first containment drill + crisis sim; publish assurance baseline to board/regulator."}, + ], + "evidencePack": [ + "Signed BBOM register with PQC signatures and expiry tracking", + "UMIF meta-invariant ledger with TLA+/Coq/Q# proof artifacts and hashes", + "CAS-SPP stage-gate records with quorum sign-offs", + "BBN systemic-risk posteriors and gate decisions (signed)", + "ARRE Annex-IV dossiers (versioned)", + "zk-SNARK compliance proof bundles + verifier results", + "Kafka WORM audit integrity & deterministic-replay reports", + "OPA/Rego policies with unit tests and decision logs", + "Containment drill & crisis-simulation reports", + "Regulatory crosswalk matrix (EU AI Act/NIST/ISO/Basel/SR 11-7/NIS2/SMCR/FEAT/GDPR)", + ], + "executiveSummary": { + "headline": "WP-064 equips G-SIFIs with the formal-assurance layer for AGI/ASI: signed behavioral provenance (BBOM), machine-checked meta-invariants (TLA+/Coq/Q#), Bayesian-gated containment (CAS-SPP + BBN), and zero-knowledge regulatory compliance (ARRE + zk-SNARK) over an immutable Kafka/Kubernetes/OPA substrate.", + "scope": "AGI/ASI technical governance, safety, containment and civilizational security for G-SIFIs, 2026-2030, mapped to EU AI Act 2024/1689 (Annex IV), NIST AI RMF 1.0/600-1, ISO/IEC 42001, Basel III/IV, SR 11-7, NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT and GDPR.", + "investment": "$180M-$320M over five years (risk-adjusted, G-SIFI scale).", + "targetIndices": "BBOM coverage >=0.98; UMIF proof rate >=0.95; BBN posterior <=tier gate; zk-SNARK verify 1.0; WORM completeness 1.0.", + "recommendation": "Approve the phased 2026-2030 programme with dependency-aware gates ensuring assurance (BBOM + UMIF + BBN + zk-SNARK) always precedes capability promotion; fund formal-methods and containment-lab capacity first.", + "differentiators": [ + "Behavioral provenance (BBOM) as an enforceable promotion gate, not just documentation", + "Single meta-invariant ledger proven across TLA+, Coq and Q#", + "Bayesian systemic-risk gating embedded in staged containment promotion", + "Zero-knowledge regulatory compliance reconciling transparency with IP/GDPR", + "Immutable Kafka WORM audit with deterministic replay on Kubernetes/OPA", + ], + }, +} + +DOC["counts"] = { + "modules": len(DOC["modules"]), + "sections": sum(len(m["sections"]) for m in DOC["modules"]), + "bbomComponents": len(DOC["bbomComponents"]), + "metaInvariants": len(DOC["metaInvariants"]), + "containmentStages": len(DOC["containmentStages"]), + "bbnNodes": len(DOC["bbnNodes"]), + "regComplianceProofs": len(DOC["regComplianceProofs"]), + "reportSections": len(DOC["reportSections"]), + "kpis": len(DOC["kpis"]), + "riskControlMatrix": len(DOC["riskControlMatrix"]), + "traceability": len(DOC["traceability"]), + "dataFlows": len(DOC["dataFlows"]), + "regulators": len(DOC["regulators"]), + "rollout90": len(DOC["rollout90"]), + "evidencePack": len(DOC["evidencePack"]), + "indices": len(DOC["indices"]), +} + +with open(OUT, "w", encoding="utf-8") as f: + json.dump(DOC, f, indent=2, ensure_ascii=False) + f.write("\n") +print(f"[WP-064] Wrote {OUT}") +print(f"[WP-064] Counts: {DOC['counts']}") diff --git a/rag-agentic-dashboard/public/gsifi-agi-formal-gov-2030.html b/rag-agentic-dashboard/public/gsifi-agi-formal-gov-2030.html new file mode 100644 index 00000000..c71024f6 --- /dev/null +++ b/rag-agentic-dashboard/public/gsifi-agi-formal-gov-2030.html @@ -0,0 +1,156 @@ +<!doctype html> +<html lang="en"><head><meta charset="utf-8"> +<meta name="viewport" content="width=device-width, initial-scale=1"> +<title>Expert 2026-2030 AGI/ASI Technical Governance, Safety, Containment & Civilizational Security Blueprint for G-SIFIs — BBOM, Unified Meta-Invariant Framework (TLA+/Coq/Q#), AGI Containment Labs (CAS-SPP + Bayesian Belief Networks), ARRE & zk-SNARK Zero-Knowledge Compliance, Kafka/Kubernetes/OPA Audit Architecture + + +
+

Expert 2026-2030 AGI/ASI Technical Governance, Safety, Containment & Civilizational Security Blueprint for G-SIFIs — BBOM, Unified Meta-Invariant Framework (TLA+/Coq/Q#), AGI Containment Labs (CAS-SPP + Bayesian Belief Networks), ARRE & zk-SNARK Zero-Knowledge Compliance, Kafka/Kubernetes/OPA Audit Architecture

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docRef GSIFI-AGI-FORMAL-GOV-2030-WP-064 · v1.0.0 · formal-assurance-grade-blueprint
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Confidential / Restricted — Board, CEO, CFO, CRO, CCO, CISO, CDAO, CTO, Enterprise Architects, AI Platform Engineers, AI Safety Researchers, Model Risk, Internal Audit, External Regulators
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Horizon: 2026-2030 · API prefix: /api/gsifi-agi-formal-gov-2030 · builds on WP-058 · WP-059 · WP-060 · WP-061 · WP-062 · WP-063
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+8 modules32 sections8 bbomComponents7 metaInvariants5 containmentStages6 bbnNodes5 regComplianceProofs5 reportSections14 kpis9 riskControlMatrix6 traceability5 dataFlows10 regulators6 rollout9010 evidencePack14 indices +
+
+
+ +
+ +

Executive Summary

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Headline: WP-064 equips G-SIFIs with the formal-assurance layer for AGI/ASI: signed behavioral provenance (BBOM), machine-checked meta-invariants (TLA+/Coq/Q#), Bayesian-gated containment (CAS-SPP + BBN), and zero-knowledge regulatory compliance (ARRE + zk-SNARK) over an immutable Kafka/Kubernetes/OPA substrate.

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Scope: AGI/ASI technical governance, safety, containment and civilizational security for G-SIFIs, 2026-2030, mapped to EU AI Act 2024/1689 (Annex IV), NIST AI RMF 1.0/600-1, ISO/IEC 42001, Basel III/IV, SR 11-7, NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT and GDPR.

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Investment: $180M-$320M over five years (risk-adjusted, G-SIFI scale).

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Target Indices: BBOM coverage >=0.98; UMIF proof rate >=0.95; BBN posterior <=tier gate; zk-SNARK verify 1.0; WORM completeness 1.0.

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Board Recommendation: Approve the phased 2026-2030 programme with dependency-aware gates ensuring assurance (BBOM + UMIF + BBN + zk-SNARK) always precedes capability promotion; fund formal-methods and containment-lab capacity first.

+
Differentiators
  • Behavioral provenance (BBOM) as an enforceable promotion gate, not just documentation
  • Single meta-invariant ledger proven across TLA+, Coq and Q#
  • Bayesian systemic-risk gating embedded in staged containment promotion
  • Zero-knowledge regulatory compliance reconciling transparency with IP/GDPR
  • Immutable Kafka WORM audit with deterministic replay on Kubernetes/OPA
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+ + +

Strategic Directive

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Scope: Specify the formal-assurance integration layer for AGI/ASI-grade systems in G-SIFIs: a cryptographically-signed Behavioral Bill of Materials (BBOM), a Unified Meta-Invariant Framework proven across TLA+/Coq/Q#, AGI Containment Labs using CAS-SPP staged promotion gated by Bayesian Belief Networks, a regulator-facing stack (ARRE + zk-SNARK zero-knowledge compliance), and Kafka WORM / Kubernetes / OPA audit architecture — all mapped to EU AI Act 2024/1689 (incl. Annex IV), NIST AI RMF 1.0, NIST AI 600-1, ISO/IEC 42001, Basel III/IV, SR 11-7, NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT and GDPR, with a phased dependency-aware 2026-2030 rollout and machine-readable artifacts.

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Outcomes
  • Every material AI/agent ships a signed BBOM with capabilities, invariants and eval evidence by 2027
  • UMIF meta-invariants machine-checked (TLA+/Coq/Q#) and CI-gated for all frontier-class systems by 2028
  • AGI Containment Labs operating CAS-SPP staged promotion with BBN systemic-risk gating by 2028
  • ARRE emitting Annex-IV dossiers with zk-SNARK compliance proofs to supervisors by 2029
  • Kafka WORM audit + OPA policy plane covering 100% of governed AI decisions by 2027
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Do NOT
  • Do NOT promote any model/agent that lacks a valid, signed, non-expired BBOM
  • Do NOT advance a system past a CAS-SPP stage when its BBN systemic-risk posterior exceeds the gate threshold
  • Do NOT deploy a frontier-class system with an unproven or failing UMIF meta-invariant
  • Do NOT disclose proprietary model internals where a zk-SNARK proof can demonstrate control satisfaction
  • Do NOT operate without append-only Kafka WORM audit and PQC-signed evidence
+
+ +

Intended Audiences (7)

  • Board & Board Technology/Risk Committees
  • C-Suite (CEO, CFO, CRO, CCO, CISO, CDAO, CTO)
  • Enterprise Architects & AI Platform Engineers
  • AI Safety & Alignment Researchers
  • Model Risk Management & Independent Validation
  • Internal Audit & SMCR Accountable Executives
  • External Regulators & Supervisory Colleges
+ +

Performance Indices (14)

  • BBOM-Coverage: >=0.98 (material AI/agents with valid signed BBOM)
  • BBOM-SignatureValidity: 1.0 (BBOM signatures verifiable & non-expired)
  • UMIF-InvariantProofRate: >=0.95 (meta-invariants with passing machine proof)
  • UMIF-CIProofGate: 1.0 (frontier merges blocked on failing proof)
  • TLAPlus-ModelCheckPass: 1.0 (temporal safety/liveness model-check pass)
  • Coq-ProofObligationsClosed: >=0.98 (discharged proof obligations)
  • QSharp-ResourceBoundsVerified: 1.0 (quantum-resource invariants verified)
  • CASSPP-StageGatePass: 1.0 (no stage skipped without quorum + BBN gate)
  • BBN-SystemicRiskPosterior: <=0.05 (contagion posterior at promotion gate)
  • ARRE-DossierTimeliness: >=0.98 (Annex-IV dossiers within SLA)
  • zkSNARK-ProofVerifyRate: 1.0 (verifier-accepted compliance proofs)
  • Kafka-WORM-Completeness: 1.0 (append-only audit completeness)
  • OPA-PolicyCoverage: >=0.95 (AI decisions evaluated by policy plane)
  • Containment-Readiness: 1.0 (kill-switch + quorum verified, drilled)
+ +

Autonomy / Assurance Tiers

  • T0-Sandboxed: Lab-only; no production data; CAS-SPP stage 0; BBOM draft.
  • T1-Assisted: Human-in-the-loop; non-material decisions; BBOM signed; UMIF core invariants proven.
  • T2-Supervised: Material decisions with oversight; full UMIF; BBN gate <=0.10; ARRE reporting.
  • T3-Autonomous-Constrained: Bounded autonomy; BBN gate <=0.05; zk-SNARK proofs; standing containment.
  • T4-Frontier-Class: AGI/ASI-grade; treaty-aligned; Omni-Sentinel + ICGC registry; quorum-gated.
+ +

Severity Levels

  • S1-Catastrophic: Systemic/contagion or loss-of-control potential; board + regulator notify; containment.
  • S2-Severe: Material prudential/consumer harm; CRO + SMCR exec; halt + remediate.
  • S3-Elevated: Localized harm or control gap; model owner + MRM; mitigate within SLA.
  • S4-Routine: Drift/quality deviation; automated rollback + ticket.
+ +

Investment Envelope

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Total Range: $180M-$320M (G-SIFI scale; risk-adjusted) · Window: 2026-2030 (5 years) · Currency: USD

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Breakdown
  • Formal methods & assurance (UMIF: TLA+/Coq/Q#, proof engineers): $40M-$70M
  • BBOM platform & signing/PKI/PQC infrastructure: $22M-$40M
  • AGI Containment Labs (CAS-SPP, BBN, red teaming): $45M-$80M
  • Regulator stack (ARRE + zk-SNARK proving systems): $30M-$55M
  • Audit architecture (Kafka WORM, Kubernetes, OPA): $25M-$45M
  • Governance, training, change management & assurance: $18M-$30M
+
+ +

M1 — BBOM — Behavioral Bill of Materials

A cryptographically-signed, machine-readable behavioral provenance record for every governed model/agent — the behavioral analogue of an SBOM — capturing declared capabilities, prohibited behaviors, bound invariants, evaluation evidence, and lineage.

M1.1. BBOM concept & scope

description: Behavioral provenance distinct from SBOM (components) and model cards (descriptive). BBOM is signed, versioned, machine-verifiable and gate-enforced.
controls
  • One BBOM per model/agent version
  • Signed (PQC) and anchored in Kafka WORM
  • Gate: no promotion without valid BBOM

M1.2. BBOM schema

description: Capabilities, prohibitedBehaviors, boundInvariants (-> UMIF), evalEvidence (benchmarks/red-team), dataLineage, owner, SMCR-accountable exec, expiry.
controls
  • JSON Schema validated in CI
  • Invariant refs resolve to UMIF ledger
  • Eval evidence hashes anchored

M1.3. Signing, PKI & PQC

description: BBOMs signed with post-quantum signatures (e.g., ML-DSA/Dilithium), chained to an internal CA; verification at every control point.
controls
  • PQC signature on every BBOM
  • Key rotation & revocation
  • Verifier in OPA admission

M1.4. BBOM lifecycle & gating

description: Draft -> Reviewed -> Signed -> Active -> Superseded/Revoked, integrated with CAS-SPP stage promotion and model risk approval.
controls
  • State machine enforced
  • Revocation propagates to runtime
  • Expiry triggers re-attestation

M2 — UMIF — Unified Meta-Invariant Framework (TLA+ / Coq / Q#)

A single ledger of safety and liveness meta-invariants, each proven with the most appropriate formal tool — TLA+ for temporal/concurrency, Coq for deductive correctness, Q# for quantum-resource bounds — and reconciled so that BBOM and runtime monitors reference one canonical invariant set.

M2.1. Meta-invariant ledger

description: Canonical, versioned registry of invariants with proof artifacts, tool, status, and the systems that bind them via BBOM.
controls
  • One canonical ID per invariant
  • Proof artifact hash anchored
  • BBOM references resolve here

M2.2. TLA+ temporal safety & liveness

description: Model-check concurrency, ordering, kill-switch reachability and no-unsafe-state invariants for control planes and agent orchestration.
controls
  • TLC/Apalache model-check in CI
  • Liveness: containment always reachable
  • Safety: no unsafe terminal state

M2.3. Coq deductive proofs

description: Machine-checked proofs of critical decision-logic correctness (e.g., policy-monotonicity, audit-completeness, replay-determinism).
controls
  • Proof obligations discharged
  • No admitted/axiom gaps in critical lemmas
  • Proofs versioned with code

M2.4. Q# quantum-resource invariants

description: Reason about quantum-resource bounds and PQC migration assumptions (e.g., cryptographic agility, Grover/Shor exposure horizons) affecting audit & signing.
controls
  • Resource estimates verified
  • PQC migration invariants checked
  • Crypto-agility documented

M2.5. Reconciliation & CI proof gate

description: Cross-tool reconciliation ensures no contradictory invariants; frontier-class merges blocked on any failing proof.
controls
  • Contradiction check across tools
  • CI gate on proof failure
  • Frontier merge requires green proofs

M3 — AGI Containment Labs — CAS-SPP + Bayesian Belief Networks

Physically and logically isolated environments where AGI/ASI-class systems are exercised under the Containment & Adversarial Sandbox - Staged Promotion Protocol (CAS-SPP), with promotion gated by Bayesian Belief Networks that quantify systemic/contagion risk.

M3.1. Lab isolation & architecture

description: Air-gapped/network-segmented labs with egress controls, hardware kill-switches, immutable logging, and quorum-controlled promotion.
controls
  • Egress deny-by-default
  • Hardware + software kill-switch
  • Quorum (n-of-m) promotion authority

M3.2. CAS-SPP staged promotion

description: Stages 0-4 (sandbox -> shadow -> constrained-live -> supervised-autonomy -> frontier) each with explicit entry/exit criteria, red-team gates and rollback.
controls
  • No stage skip
  • Exit criteria evidenced
  • Auto-rollback on breach

M3.3. Bayesian Belief Network systemic-risk gate

description: BBN models contagion/systemic-risk posteriors from capability, autonomy, market-coupling and control-evidence nodes; posterior must be below the tier threshold to promote.
controls
  • Posterior <= tier gate
  • Evidence updates posterior
  • Gate decision logged & signed

M3.4. Crisis simulations & frontier red teaming

description: Scheduled crisis simulations (flash-crash, deceptive-alignment, coordinated-agent) feeding BBN evidence and UMIF invariant stress.
controls
  • Quarterly crisis sims
  • Findings -> BBOM eval evidence
  • Independent red team

M4 — Regulator-Facing Stack — ARRE + zk-SNARK Zero-Knowledge Compliance

An Automated Regulatory Reporting Engine (ARRE) that assembles Annex-IV-aligned technical dossiers and emits zk-SNARK zero-knowledge proofs allowing supervisors to verify control satisfaction without exposing proprietary model internals.

M4.1. ARRE dossier assembly

description: Continuously assembles EU AI Act Annex IV technical documentation, SR 11-7 validation packs, and FEAT/Consumer-Duty evidence from BBOM, UMIF and audit sources.
controls
  • Annex-IV completeness check
  • Evidence freshness SLA
  • Versioned, signed dossiers

M4.2. zk-SNARK compliance proofs

description: Prove statements like 'every production decision passed OPA policy P and has a valid BBOM' without revealing the underlying records or model weights.
controls
  • Circuit per control statement
  • Trusted-setup/transparent ceremony documented
  • Verifier-accepted proofs archived

M4.3. Supervisor interfaces & attestations

description: Read-only supervisory portals, attestations by SMCR-accountable executives, and machine-readable proof bundles for supervisory colleges.
controls
  • SMCR sign-off captured
  • Proof bundle export
  • Access fully audited

M4.4. Privacy & GDPR alignment

description: Zero-knowledge proofs and data-minimization satisfy GDPR (Arts. 5, 22, 35 DPIA) while evidencing automated-decision safeguards.
controls
  • DPIA on record
  • Art. 22 human-review path
  • Minimization by design

M5 — Audit & Control Architecture — Kafka WORM, Kubernetes, OPA/Rego

The runtime substrate: append-only Kafka WORM audit trails, Kubernetes-hosted governance sidecars, and an OPA/Rego policy plane enforcing BBOM/UMIF/CAS-SPP gates at admission and decision time.

M5.1. Kafka immutable WORM audit

description: Append-only, hash-chained, PQC-signed event log providing deterministic replay and tamper-evidence for every governed decision and gate.
controls
  • Append-only ACLs
  • Hash-chain + PQC sign
  • Deterministic replay (DRI)

M5.2. Kubernetes governance plane

description: Admission webhooks verify BBOM signatures and UMIF proof status; sidecars enforce policy and emit audit events.
controls
  • Admission verifies BBOM
  • Sidecar policy enforcement
  • Namespace isolation per tier

M5.3. OPA/Rego compliance-as-code

description: Policies encode regulatory and internal gates (BBOM-valid, BBN-gate, proof-green) as version-controlled, testable Rego.
controls
  • Policy unit tests
  • Versioned in CI
  • Decision logs to Kafka

M5.4. Containment & kill-switch integration

description: OPA + Kubernetes + Kafka coordinate quorum-authorized containment with verifiable, drilled kill-switch reachability (proven in TLA+).
controls
  • Quorum kill-switch
  • TLA+ reachability proof
  • Quarterly containment drill

M6 — Regulatory Alignment & Crosswalk

Explicit mapping of WP-064 constructs to the binding regimes so each artifact (BBOM, UMIF proof, BBN gate, zk-SNARK proof, WORM audit) is traceable to a regulatory obligation.

M6.1. EU AI Act 2024/1689 incl. Annex IV

description: BBOM + UMIF proofs + ARRE dossiers map to Annex IV technical documentation, risk management (Art. 9), logging (Art. 12) and human oversight (Art. 14).
controls
  • Annex IV mapping table
  • Art. 9/12/14 evidence
  • GPAI systemic-risk where applicable

M6.2. NIST AI RMF 1.0 & AI 600-1

description: Govern/Map/Measure/Manage functions and GenAI profile mapped to BBOM lifecycle, BBN measurement and containment management.
controls
  • RMF function mapping
  • 600-1 GenAI profile
  • Measurement via BBN/eval

M6.3. ISO/IEC 42001 AIMS

description: AI management-system clauses (planning, support, operation, evaluation, improvement) realized through the WP-064 control set.
controls
  • AIMS clause mapping
  • Internal audit cadence
  • Management review

M6.4. Basel III/IV, SR 11-7 & model risk

description: BBOM eval evidence + UMIF proofs serve independent validation; capital/operational-risk treatment for AI-driven exposures.
controls
  • Independent validation pack
  • Effective challenge
  • Op-risk capture

M6.5. NIS2, FCA SMCR/Consumer Duty, MAS/HKMA FEAT, GDPR

description: Operational resilience (NIS2), accountable persons & good outcomes (SMCR/Consumer Duty), FEAT principles, and GDPR safeguards mapped to controls.
controls
  • SMCR accountability map
  • Consumer-Duty outcomes
  • FEAT + GDPR safeguards

M7 — Phased 2026-2030 Rollout & Dependency-Aware Implementation Plan

A dependency-aware sequencing of the WP-064 constructs across five years, with explicit gates so no capability outpaces its assurance.

M7.1. 2026 — Foundations

description: BBOM schema + signing, OPA/Kafka WORM baseline, UMIF ledger and first TLA+/Coq proofs, lab stand-up (CAS-SPP stages 0-1).
controls
  • BBOM v1 in CI
  • WORM audit live
  • Lab stage 0-1

M7.2. 2027 — Assurance at scale

description: BBOM coverage >=0.98, OPA policy plane to 100% governed decisions, UMIF CI proof gate, BBN gate piloted.
controls
  • Coverage gate
  • Proof gate enforced
  • BBN pilot

M7.3. 2028 — Containment & frontier

description: CAS-SPP stages 2-4 operating with BBN systemic-risk gating; UMIF for frontier-class; Q# resource invariants.
controls
  • CAS-SPP full
  • BBN gating live
  • Q# verified

M7.4. 2029 — Regulator stack

description: ARRE Annex-IV dossiers + zk-SNARK proofs to supervisors; supervisory-college interfaces; treaty-aligned registry hooks.
controls
  • ARRE in production
  • zk proofs accepted
  • Registry hooks

M7.5. 2030 — Civilizational security & steady state

description: Omni-Sentinel + ICGC alignment, continuous assurance, independent attestations, and steady-state operating model.
controls
  • ICGC alignment
  • Continuous assurance
  • Independent attestation

M8 — Regulator-Ready Report Sections

Board- and regulator-facing narrative sections rendered with <title>/<abstract>/<content> for direct inclusion in technical dossiers.

M8.1. Report section index

description: Five whitepaper sections covering BBOM, UMIF, containment, the regulator stack, and the 2026-2030 roadmap.
controls
  • Sections versioned
  • Board-reviewed
  • Regulator-ready
+

BBOM Components (M1) (8)

BBOM-01 · capabilities · array<string>
description: Declared, evidenced capabilities the model/agent is approved to exercise.
regRef: EU AI Act Annex IV; ISO 42001
BBOM-02 · prohibitedBehaviors · array<string>
description: Explicitly disallowed behaviors enforced at runtime via OPA.
regRef: EU AI Act Art. 5; FEAT
BBOM-03 · boundInvariants · array<invariantRef>
description: References to UMIF meta-invariants the system must satisfy.
regRef: NIST AI RMF Manage
BBOM-04 · evalEvidence · array<evidenceHash>
description: Hashes of benchmark, red-team and validation evidence anchored in WORM audit.
regRef: SR 11-7; NIST 600-1
BBOM-05 · dataLineage · lineageGraph
description: Training/eval data provenance and processing lineage.
regRef: GDPR Art. 5; EU AI Act Art. 10
BBOM-06 · accountableExec · smcrRef
description: SMCR-accountable executive and model owner.
regRef: FCA SMCR
BBOM-07 · signature · pqcSignature
description: Post-quantum signature over the canonical BBOM payload.
regRef: NIS2; internal crypto policy
BBOM-08 · expiry · datetime
description: Validity window; expiry forces re-attestation.
regRef: ISO 42001 operation

Meta-Invariants — TLA+/Coq/Q# (M2) (7)

MI-01 · Containment-Reachability · TLA+
status: proven
boundBy
  • T2
  • T3
  • T4
MI-02 · No-Unsafe-Terminal · TLA+
status: proven
boundBy
  • T1
  • T2
  • T3
  • T4
MI-03 · Policy-Monotonicity · Coq
status: proven
boundBy
  • T1
  • T2
  • T3
  • T4
MI-04 · Audit-Completeness · Coq
status: proven
boundBy
  • T1
  • T2
  • T3
  • T4
MI-05 · Replay-Determinism · Coq
status: proven
boundBy
  • T2
  • T3
  • T4
MI-06 · PQC-Migration-Soundness · Q#
status: verified
boundBy
  • T3
  • T4
MI-07 · BBN-Gate-Soundness · Coq
status: proven
boundBy
  • T3
  • T4

CAS-SPP Containment Stages (M3) (5)

CAS-0 · Sandbox
entry: Signed draft BBOM; lab isolation verified.
exit: Baseline evals pass; no egress; UMIF core proven.
bbnGate: n/a (lab only)
CAS-1 · Shadow
entry: BBOM signed; UMIF MI-01..MI-04 proven.
exit: Shadow parity vs incumbent; red-team clean.
bbnGate: <= 0.15
CAS-2 · Constrained-Live
entry: Tier T2; ARRE reporting on.
exit: Material-decision oversight stable; drift in band.
bbnGate: <= 0.10
CAS-3 · Supervised-Autonomy
entry: Tier T3; zk-SNARK proofs live.
exit: Bounded autonomy stable; containment drilled.
bbnGate: <= 0.05
CAS-4 · Frontier
entry: Tier T4; ICGC registry + Omni-Sentinel.
exit: Steady-state with continuous assurance.
bbnGate: <= 0.02

Bayesian Belief Network Nodes (M3) (6)

BBN-01 · Capability · evidence
description: Measured capability level from evals and red teaming.
influences
  • SystemicRisk
BBN-02 · Autonomy · evidence
description: Degree of unsupervised action authority.
influences
  • SystemicRisk
BBN-03 · MarketCoupling · evidence
description: Coupling to markets/counterparties (contagion channel).
influences
  • Contagion
BBN-04 · ControlEvidence · evidence
description: Strength of containment/control evidence (UMIF, drills).
influences
  • SystemicRisk
  • Contagion
BBN-05 · Contagion · latent
description: Latent contagion propensity given coupling and controls.
influences
  • SystemicRisk
BBN-06 · SystemicRisk · target
description: Posterior systemic-risk used as CAS-SPP promotion gate.
influences

    zk-SNARK Compliance Proofs (M4) (5)

    ZKP-01 · All production decisions in window W passed OPA policy set P.
    regRef: EU AI Act Art. 9/12; FEAT
    proof: zk-SNARK
    discloses: nothing beyond truth of statement
    ZKP-02 · Every active model/agent has a valid, non-expired, signed BBOM.
    regRef: ISO 42001; SR 11-7
    proof: zk-SNARK
    discloses: nothing beyond truth of statement
    ZKP-03 · No promotion occurred with BBN posterior above the tier gate.
    regRef: EU AI Act systemic-risk; NIST Manage
    proof: zk-SNARK
    discloses: nothing beyond truth of statement
    ZKP-04 · Audit log is append-only and hash-chain consistent over window W.
    regRef: EU AI Act Art. 12; NIS2
    proof: zk-SNARK + Merkle
    discloses: nothing beyond truth of statement
    ZKP-05 · All material automated decisions had an Art. 22 human-review path available.
    regRef: GDPR Art. 22
    proof: zk-SNARK
    discloses: nothing beyond truth of statement
    +

    Whitepaper Sections — <title> / <abstract> / <content>

    RS-01 · Behavioral Bill of Materials (BBOM) for AGI/ASI-Grade Systems
    abstract: Why behavioral provenance, distinct from SBOMs and model cards, is necessary for G-SIFI AI assurance, and how signed BBOMs become promotion gates.
    content: The BBOM records declared capabilities, prohibited behaviors, bound UMIF invariants, evaluation evidence and lineage, signed with post-quantum cryptography and anchored in an immutable Kafka WORM audit. Admission control verifies the BBOM before any model or agent is promoted, making behavior auditable, attestable and revocable. The BBOM directly evidences EU AI Act Annex IV technical documentation, ISO/IEC 42001 operational controls and SR 11-7 validation expectations.
    RS-02 · Unified Meta-Invariant Framework (TLA+ / Coq / Q#)
    abstract: A single, machine-checked invariant ledger reconciling temporal, deductive and quantum-resource reasoning for safety- and liveness-critical AI control planes.
    content: UMIF expresses containment-reachability and no-unsafe-terminal properties in TLA+, decision-logic correctness (policy-monotonicity, audit-completeness, replay-determinism) in Coq, and crypto/quantum-resource bounds in Q#. Proofs are versioned with code and enforced as CI gates so that frontier-class systems cannot merge or promote with a failing or contradictory invariant.
    RS-03 · AGI Containment Labs: CAS-SPP and Bayesian Belief Networks
    abstract: Staged, quorum-gated promotion through isolated labs, with systemic-risk quantified by Bayesian Belief Networks.
    content: CAS-SPP advances systems through sandbox, shadow, constrained-live, supervised-autonomy and frontier stages, each with explicit entry/exit criteria, red-team gates and rollback. A Bayesian Belief Network fuses capability, autonomy, market-coupling and control-evidence into a systemic-risk posterior; promotion is permitted only when the posterior is below the tier threshold, and every gate decision is signed and audited.
    RS-04 · Regulator-Facing Stack: ARRE and zk-SNARK Zero-Knowledge Compliance
    abstract: Automated Annex-IV reporting and privacy-preserving compliance proofs that satisfy supervisors without exposing proprietary internals.
    content: ARRE continuously assembles EU AI Act Annex IV dossiers, SR 11-7 packs and FEAT/Consumer-Duty evidence from BBOM, UMIF and audit sources. zk-SNARK circuits prove statements such as universal policy satisfaction, BBOM validity, and audit-log integrity without disclosing underlying records or model weights, reconciling supervisory transparency with intellectual-property and GDPR data-minimization constraints.
    RS-05 · 2026-2030 Phased Rollout for G-SIFIs
    abstract: A dependency-aware sequencing ensuring assurance keeps pace with capability across the five-year horizon.
    content: Foundations (2026) establish BBOM, WORM audit and first proofs; assurance-at-scale (2027) enforces coverage and CI proof gates; containment and frontier (2028) bring CAS-SPP and BBN gating online; the regulator stack (2029) delivers ARRE and zk-SNARK proofs to supervisory colleges; and civilizational security (2030) aligns with Omni-Sentinel and the International Compute Governance Consortium for steady-state continuous assurance.
    +

    Schemas (5)

    schemafields
    BBOMbbomId, modelId, version, capabilities[], prohibitedBehaviors[], boundInvariants[], evalEvidence[], dataLineage, accountableExec, signature, expiry
    MetaInvariantmiid, invariant, tool(TLA+|Coq|Q#), statement, proofArtifactHash, status, boundBy[]
    ContainmentDecisioncsid, systemId, stageFrom, stageTo, bbnPosterior, quorum, decision, signature, ts
    ZkComplianceProofrpid, statement, circuitId, proof, verifierResult, window, ts
    AuditEventeventId, prevHash, payloadHash, signer, pqcSignature, topic, ts

    Code & Artifacts (Rego / YAML / TLA+ / Coq / OpenAPI)

    rego_examples
    • package gsifi.admission
+# Deny promotion unless a valid, signed, non-expired BBOM exists
+default allow = false
+allow {
+  input.bbom.signatureValid == true
+  time.now_ns() < input.bbom.expiryNs
+  count(input.bbom.failingInvariants) == 0
+}
    • package gsifi.containment
+# Block CAS-SPP promotion when BBN posterior exceeds tier gate
+deny[msg] {
+  input.bbnPosterior > data.tiers[input.tier].bbnGate
+  msg := sprintf("BBN posterior %v exceeds gate %v for %v", [input.bbnPosterior, data.tiers[input.tier].bbnGate, input.tier])
+}
    yaml_artifacts
    • apiVersion: governance.gsifi/v1
+kind: BBOM
+metadata:
+  modelId: credit-advisor-7
+  version: 3.2.0
+spec:
+  capabilities: ["rank_offers", "explain_decision"]
+  prohibitedBehaviors: ["auto_decline_without_review"]
+  boundInvariants: ["MI-02", "MI-03", "MI-04"]
+  accountableExec: SMCR-CF1-0042
+  expiry: 2027-06-30T00:00:00Z
    • apiVersion: governance.gsifi/v1
+kind: ContainmentGate
+metadata:
+  systemId: frontier-advisor-1
+spec:
+  tier: T3
+  bbnGate: 0.05
+  quorum: 3-of-5
    tla_snippets
    • ----------------------------- MODULE Containment -----------------------------
+VARIABLES state
+KillReachable == <>(state = "contained")
+Safe == [](state # "unsafe_terminal")
+Spec == Init /\ [][Next]_state /\ WF_state(Contain)
+THEOREM Spec => (Safe /\ KillReachable)
+=============================================================================
    coq_snippets
    • Theorem policy_monotonicity : forall p q a,
+  tighter p q -> permits q a -> permits p a.
+Proof. (* discharged; no admits *) Qed.
    openapi_snippets
    • paths:
+  /api/gsifi-agi-formal-gov-2030/bbom-components:
+    get: { summary: List BBOM component fields, responses: { '200': { description: OK } } }

    KPIs / Indices (14)

    indextarget/cadence
    BBOM-Coverage>=0.98 by 2027 (quarterly)
    UMIF-InvariantProofRate>=0.95 (per release)
    TLAPlus-ModelCheckPass1.0 (per merge)
    Coq-ProofObligationsClosed>=0.98 (per release)
    QSharp-ResourceBoundsVerified1.0 (per crypto change)
    CASSPP-StageGatePass1.0 (per promotion)
    BBN-SystemicRiskPosterior<=tier gate (per promotion)
    ARRE-DossierTimeliness>=0.98 (per reporting cycle)
    zkSNARK-ProofVerifyRate1.0 (per proof)
    Kafka-WORM-Completeness1.0 (continuous)
    OPA-PolicyCoverage>=0.95 (continuous)
    Containment-DrillPass1.0 (quarterly)
    Replay-DRI>=0.95 (n=10, monthly)
    RegFinding-Closure>=0.95 within SLA

    Risk Control Matrix (9)

    riskcontrolownerevidence
    Undeclared/emergent behavior in productionSigned BBOM with prohibitedBehaviors + OPA runtime enforcementCDAO / Model OwnerBBOM + OPA decision logs
    Loss of control / no containment pathTLA+-proven containment-reachability + quorum kill-switch + drillsCISO / Safety LeadTLA+ proof + drill records
    Faulty decision logicCoq proofs (policy-monotonicity, audit-completeness, replay)Head of Formal MethodsCoq proof artifacts
    Systemic/contagion risk on promotionBBN systemic-risk gate within CAS-SPPCROBBN posterior + signed gate decision
    Crypto/audit broken by quantum advancesQ#-verified PQC-migration soundness + crypto-agilityCISOQ# resource estimates + migration plan
    IP exposure in regulatory reportingzk-SNARK zero-knowledge compliance proofsCCO / LegalVerifier-accepted proof bundles
    Audit tampering / non-repudiation gapKafka append-only WORM + hash-chain + PQC signaturesCISO / Internal AuditWORM integrity reports
    Regulatory non-conformance (Annex IV)ARRE continuous dossier assembly + completeness checksCCOAnnex IV dossier + ARRE logs
    Capability outpaces assuranceTier model + dependency-aware phase gates (no skip)Programme SteerCoGate sign-offs + dependency health

    Traceability (6)

    fromtovia
    BBOM (M1)EU AI Act Annex IV / ISO 42001ARRE dossier assembly
    UMIF proofs (M2)NIST RMF Manage / SR 11-7CI proof gate + validation pack
    CAS-SPP + BBN (M3)EU AI Act systemic-risk / NIST MeasureSigned BBN gate decision
    ARRE + zk-SNARK (M4)Annex IV / FEAT / GDPR Art. 22Proof bundle + supervisor portal
    Kafka WORM + OPA (M5)EU AI Act Art. 12 / NIS2Hash-chained audit + policy logs
    Tier modelBasel III/IV op-riskRisk-tiered controls + capital treatment

    Data Flows (5)

    flow
    Model/agent build -> BBOM generated, signed (PQC), anchored in Kafka WORM
    BBOM boundInvariants -> resolved against UMIF meta-invariant ledger in CI
    Lab evals + red team -> BBN evidence nodes -> systemic-risk posterior -> CAS-SPP gate
    Admission webhook -> OPA verifies BBOM + proof status -> allow/deny -> audit event
    BBOM/UMIF/audit -> ARRE dossier + zk-SNARK proof -> supervisor portal

    Regulators (10)

    namescope
    EU AI OfficeEU AI Act 2024/1689, Annex IV, GPAI systemic risk
    EBABanking model risk, ICT/operational resilience
    ECB / SSMPrudential supervision, internal models
    Federal Reserve / OCCSR 11-7 model risk management
    NISTAI RMF 1.0, AI 600-1 GenAI profile
    ISO/IEC JTC 1/SC 42ISO/IEC 42001 AI management systems
    FCASMCR, Consumer Duty
    MASFEAT principles
    HKMAFEAT-aligned AI governance
    EDPB / DPAsGDPR Arts. 5, 22, 35 (DPIA)

    90-Day Rollout (6)

    daytask
    0-15Stand up BBOM schema, PQC signing/PKI, and Kafka WORM audit baseline.
    15-30Bootstrap UMIF ledger; first TLA+ containment + Coq audit-completeness proofs in CI.
    30-45Deploy OPA admission verifying BBOM signatures on Kubernetes.
    45-60Stand up AGI Containment Lab (CAS-0/CAS-1); wire BBN evidence pipeline.
    60-75Pilot ARRE dossier assembly against Annex IV; draft first zk-SNARK circuit.
    75-90Run first containment drill + crisis sim; publish assurance baseline to board/regulator.

    Regulator Evidence Pack (10)

    • Signed BBOM register with PQC signatures and expiry tracking
    • UMIF meta-invariant ledger with TLA+/Coq/Q# proof artifacts and hashes
    • CAS-SPP stage-gate records with quorum sign-offs
    • BBN systemic-risk posteriors and gate decisions (signed)
    • ARRE Annex-IV dossiers (versioned)
    • zk-SNARK compliance proof bundles + verifier results
    • Kafka WORM audit integrity & deterministic-replay reports
    • OPA/Rego policies with unit tests and decision logs
    • Containment drill & crisis-simulation reports
    • Regulatory crosswalk matrix (EU AI Act/NIST/ISO/Basel/SR 11-7/NIS2/SMCR/FEAT/GDPR)
    +
    +
    + diff --git a/rag-agentic-dashboard/server.js b/rag-agentic-dashboard/server.js index a4be8a56..9cd69edb 100644 --- a/rag-agentic-dashboard/server.js +++ b/rag-agentic-dashboard/server.js @@ -25304,6 +25304,109 @@ app.get('/api/wre-sentinel-impl-gsib-eval/evidence-pack', (req, res) => res.json // ===================== END WP-063 ===================== +// ===================== WP-064: G-SIFI AGI/ASI Formal Governance — BBOM, UMIF (TLA+/Coq/Q#), CAS-SPP + Bayesian Belief Networks, ARRE + zk-SNARK, Kafka/K8s/OPA (2026-2030) ===================== +const GSIFI64 = require('./data/gsifi-agi-formal-gov-2030.json'); + +// Page route +app.get('/gsifi-agi-formal-gov-2030', (req, res) => { + res.sendFile(path.join(__dirname, 'public', 'gsifi-agi-formal-gov-2030.html')); +}); + +// Summary + meta endpoints +app.get('/api/gsifi-agi-formal-gov-2030/summary', (req, res) => res.json({ + docRef: GSIFI64.docRef, + version: GSIFI64.version, + title: GSIFI64.title, + horizon: GSIFI64.horizon, + apiPrefix: GSIFI64.apiPrefix, + buildsOn: GSIFI64.buildsOn, + status: GSIFI64.status, + classification: GSIFI64.classification, + counts: GSIFI64.counts, +})); +app.get('/api/gsifi-agi-formal-gov-2030/directive', (req, res) => res.json(GSIFI64.directive)); +app.get('/api/gsifi-agi-formal-gov-2030/audiences', (req, res) => res.json(GSIFI64.audiences)); +app.get('/api/gsifi-agi-formal-gov-2030/indices', (req, res) => res.json(GSIFI64.indices)); +app.get('/api/gsifi-agi-formal-gov-2030/tiers', (req, res) => res.json(GSIFI64.tiers)); +app.get('/api/gsifi-agi-formal-gov-2030/severities', (req, res) => res.json(GSIFI64.severities)); +app.get('/api/gsifi-agi-formal-gov-2030/investment', (req, res) => res.json(GSIFI64.investment)); +app.get('/api/gsifi-agi-formal-gov-2030/counts', (req, res) => res.json(GSIFI64.counts)); +app.get('/api/gsifi-agi-formal-gov-2030/executive-summary', (req, res) => res.json(GSIFI64.executiveSummary)); + +// Modules +app.get('/api/gsifi-agi-formal-gov-2030/modules', (req, res) => res.json(GSIFI64.modules)); +app.get('/api/gsifi-agi-formal-gov-2030/modules/:id', (req, res) => { + const m = GSIFI64.modules.find(x => x.mid === req.params.id); + if (!m) return res.status(404).json({ error: 'module not found', id: req.params.id }); + res.json(m); +}); + +// BBOM components (M1) +app.get('/api/gsifi-agi-formal-gov-2030/bbom-components', (req, res) => res.json(GSIFI64.bbomComponents)); +app.get('/api/gsifi-agi-formal-gov-2030/bbom-components/:id', (req, res) => { + const b = GSIFI64.bbomComponents.find(x => x.bcid === req.params.id); + if (!b) return res.status(404).json({ error: 'bbom component not found', id: req.params.id }); + res.json(b); +}); + +// Meta-invariants — TLA+/Coq/Q# (M2) +app.get('/api/gsifi-agi-formal-gov-2030/meta-invariants', (req, res) => res.json(GSIFI64.metaInvariants)); +app.get('/api/gsifi-agi-formal-gov-2030/meta-invariants/:id', (req, res) => { + const mi = GSIFI64.metaInvariants.find(x => x.miid === req.params.id); + if (!mi) return res.status(404).json({ error: 'meta-invariant not found', id: req.params.id }); + res.json(mi); +}); + +// CAS-SPP containment stages (M3) +app.get('/api/gsifi-agi-formal-gov-2030/containment-stages', (req, res) => res.json(GSIFI64.containmentStages)); +app.get('/api/gsifi-agi-formal-gov-2030/containment-stages/:id', (req, res) => { + const c = GSIFI64.containmentStages.find(x => x.csid === req.params.id); + if (!c) return res.status(404).json({ error: 'containment stage not found', id: req.params.id }); + res.json(c); +}); + +// Bayesian Belief Network nodes (M3) +app.get('/api/gsifi-agi-formal-gov-2030/bbn-nodes', (req, res) => res.json(GSIFI64.bbnNodes)); +app.get('/api/gsifi-agi-formal-gov-2030/bbn-nodes/:id', (req, res) => { + const n = GSIFI64.bbnNodes.find(x => x.bnid === req.params.id); + if (!n) return res.status(404).json({ error: 'bbn node not found', id: req.params.id }); + res.json(n); +}); + +// zk-SNARK compliance proofs (M4) +app.get('/api/gsifi-agi-formal-gov-2030/reg-compliance-proofs', (req, res) => res.json(GSIFI64.regComplianceProofs)); +app.get('/api/gsifi-agi-formal-gov-2030/reg-compliance-proofs/:id', (req, res) => { + const p = GSIFI64.regComplianceProofs.find(x => x.rpid === req.params.id); + if (!p) return res.status(404).json({ error: 'compliance proof not found', id: req.params.id }); + res.json(p); +}); + +// Report sections (M8) — /<abstract>/<content> +app.get('/api/gsifi-agi-formal-gov-2030/report-sections', (req, res) => res.json(GSIFI64.reportSections)); +app.get('/api/gsifi-agi-formal-gov-2030/report-sections/:id', (req, res) => { + const rs = GSIFI64.reportSections.find(x => x.rsid === req.params.id); + if (!rs) return res.status(404).json({ error: 'report section not found', id: req.params.id }); + res.json(rs); +}); + +// Standard artifact endpoints +app.get('/api/gsifi-agi-formal-gov-2030/schemas', (req, res) => res.json(GSIFI64.schemas)); +app.get('/api/gsifi-agi-formal-gov-2030/code', (req, res) => res.json(GSIFI64.code)); +app.get('/api/gsifi-agi-formal-gov-2030/kpis', (req, res) => res.json(GSIFI64.kpis)); +app.get('/api/gsifi-agi-formal-gov-2030/risk-control-matrix', (req, res) => res.json(GSIFI64.riskControlMatrix)); +app.get('/api/gsifi-agi-formal-gov-2030/traceability', (req, res) => res.json(GSIFI64.traceability)); +app.get('/api/gsifi-agi-formal-gov-2030/data-flows', (req, res) => res.json(GSIFI64.dataFlows)); +app.get('/api/gsifi-agi-formal-gov-2030/regulators', (req, res) => res.json(GSIFI64.regulators)); +app.get('/api/gsifi-agi-formal-gov-2030/regulators/:name', (req, res) => { + const r = GSIFI64.regulators.find(x => x.name.toLowerCase() === decodeURIComponent(req.params.name).toLowerCase()); + if (!r) return res.status(404).json({ error: 'regulator not found', name: req.params.name }); + res.json(r); +}); +app.get('/api/gsifi-agi-formal-gov-2030/rollout-90', (req, res) => res.json(GSIFI64.rollout90)); +app.get('/api/gsifi-agi-formal-gov-2030/evidence-pack', (req, res) => res.json(GSIFI64.evidencePack)); + +// ===================== END WP-064 ===================== + // SECTION 10: START SERVER // ══════════════════════════════════════════════════════════════════════════════