Phase 6 — Pre-Execution Readiness Closure

PHASE 5: ACCEPT WITH CONTROLLED CONDITIONSHOLD — PILOT EXECUTION NOT AUTHORIZEDCONDITIONS CLOSED 0/11

Phase 5 is formally accepted with controlled conditions and becomes the governing Technical Architecture Baseline for Option C. Phase 6 execution remains on HOLD. This record opens the PHASE 6 PRE-EXECUTION READINESS CLOSURE: five binding gate conditions and six pilot release conditions, all currently OPEN with no closure evidence produced. No condition is presented as closed, and no evidence is inferred from the existence of a technical design.

Do not execute pilot journeys yet.

1 · Phase 5 Formal Disposition

Phase 5 is the governing TECHNICAL ARCHITECTURE BASELINE for OPTION C — HYBRID / FEDERATED ENTERPRISE MODEL, subordinate to and consistent with the Enterprise Capability Baseline and the Phase 4 Option C Enterprise Decision Baseline.

Confirms Design sufficiency only. Escape test: OPTION_C_TECHNICALLY_CONFIRMED — no Enterprise Option Reopen Request required.

Does not authorize

· Phase 6 Pilot execution
· Live enterprise integrations
· Production write-back
· Procurement
· Deployment
· Production authorization workflows

Acceptance basis

· Zero frozen-invariant violations
· Preservation of no-compensation
· Deterministic fail-closed behaviour
· Bounded ownership
· Human authorization
· Source / projection separation
· INHERIT CONTEXT — NEVER INHERIT AUTHORIZATION
· Pairwise SIMOPS PASS does not imply Location-level PASS
· SEMANTIC_PROPOSAL remains non-authoritative
· Offline authorization remains prohibited
· No silent ADR closure
· No invented enterprise interface capability

Phase 6 Pilot Definition Baseline remains FROZEN. Pilot execution disposition remains HOLD. Phase 5 acceptance alone does not lift that HOLD.

2 · Traceability Reconciliation (denominator only)

The reported 18 PASS + 5 PASS_WITH_CONDITION are ACCEPTANCE ITEMS, not section dispositions. The Technical Acceptance Gate assessed 21 sections (A–U) and, separately, the 13 conditions of the §22 acceptance register. Results are unchanged; only the denominator is clarified.

SectionCount 21

15 PASS · 6 PASS_WITH_CONDITION · 0 FAIL

Sections A–U. PASS_WITH_CONDITION at §B (interfaces NOT_YET_VALIDATED), §C (ADR-15/ADR-17 unresolved), §F (enterprise IAM unconfirmed), §Q (stewardship staffing), §S (two High risks OPEN), §U (§22 register carries two conditioned items).

AcceptanceItemCount 23

18 PASS · 5 PASS_WITH_CONDITION · 0 FAIL

23 acceptance items = 21 section-level acceptance criteria + 2 conditioned items carried from the §22 register (IAM enforcement; stewardship/support ownership). No result is altered by this reconciliation.

Invariant violations: 0. No result altered.

3 · Gate Condition Closure Register — GC-01…GC-05

GC-01 — Enterprise Interface ValidationOPENMANDATORY_FOR_PILOT

Origin: Phase 5 §B — all 12 enterprise interfaces classified NOT_YET_VALIDATED

Each interface required by the pilot scope must move from NOT_YET_VALIDATED to an evidence-backed participation state. No API or integration capability may be assumed; absence of evidence is treated as absence of capability.

Attribute	Required evidence	State
Source	Named enterprise system and owning organisation.	NOT_YET_EVIDENCED
Object	Object classes exchanged, mapped to the §C authority matrix.	NOT_YET_EVIDENCED
Authority	Which side is master for each object; readiness layer never assumes mastership.	NOT_YET_EVIDENCED
AvailableInterfaceMechanism	Demonstrated mechanism (API, export, controlled snapshot, governed manual federation) — evidenced, not asserted.	NOT_YET_EVIDENCED
Read / Write Boundary	Explicit permitted operations; AUTHORITATIVE_WRITE to enterprise sources remains prohibited for the pilot.	NOT_YET_EVIDENCED
VersionBehaviour	How source version/state is identified and pinned to a decision.	NOT_YET_EVIDENCED
FailureBehaviour	Behaviour on unavailability, staleness, or unmapped state — must be fail-closed for decision-bearing objects.	NOT_YET_EVIDENCED
EvidenceOfValidation	Dated artefact from the source system owner confirming the above was exercised, not designed.	NOT_YET_EVIDENCED

Closure authority: Enterprise system owners (per source) + Integration governance

Fail-closed: Any decision depending on an unvalidated interface is DISABLED_SAFE; the affected pilot journey cannot be executed as evidence.

Blocks: All journeys with a mandatory-decision source dependency.

GC-02 — Enterprise IAM / IdentityOPENMANDATORY_FOR_PILOT

Origin: Phase 5 §F — 7-dimension ABAC model; enterprise IAM support unconfirmed

Enterprise identity and authority enforcement must be sufficiently validated for the pilot scope. No real authorization transaction may be exercised without resolved identity.

Attribute	Required evidence	State
ResolvedIdentity	Authenticated enterprise identity resolvable to a single accountable person for every pilot actor.	NOT_YET_EVIDENCED
RoleResolution	Roles resolved server-side from an authoritative source, not self-declared in the UI.	NOT_YET_EVIDENCED
Scope	Authority scoped to Location / discipline / object class as designed.	NOT_YET_EVIDENCED
Delegation	Delegation issued, bounded, recorded and revocable.	NOT_YET_EVIDENCED
AuthorityExpiry	Expiry enforced at decision time; expired authority denies, never degrades silently.	NOT_YET_EVIDENCED
DeniedAction	Denials produce evidence; hidden UI is never the control.	NOT_YET_EVIDENCED
AuditEvidence	Reconstructable who/what/when/on-what-basis for every authorization event.	NOT_YET_EVIDENCED

Closure authority: Enterprise IAM owner + ES&H / Work Control authority

Fail-closed: UNRESOLVED identity ⇒ AuthorityResolutionState = UNRESOLVED ⇒ no authorization action offered; system remains DISABLED_SAFE.

Blocks: All journeys containing a human authorization step.

GC-03 — ADR-15 / ADR-17 Authority & LifecycleOPENMANDATORY_IF_IN_SCOPE

Origin: Phase 5 §C / §S P5-R-08 — JobCard and TemporaryModification authority UNRESOLVED

Resolve the authority/lifecycle decisions required by the selected pilot scope only. Broader enterprise questions must not be closed unnecessarily; unresolved-and-in-scope objects must be formally excluded instead of assumed.

Attribute	Required evidence	State
LifecycleOwner	Who owns the relevant Job Card / operational lifecycle.	NOT_YET_EVIDENCED
StateChangeAuthority	Who may change state, at which transition, within which scope.	NOT_YET_EVIDENCED
ValidTransition	What constitutes a valid transition (preconditions, applicability, validity).	NOT_YET_EVIDENCED
TransitionEvidence	What evidence accompanies each transition and how it is pinned.	NOT_YET_EVIDENCED
AuthorityUnavailable	Defined behaviour when the authority is unavailable — fail-closed, never auto-advance.	NOT_YET_EVIDENCED

Closure authority: Enterprise Work Control authority (with Operations and ES&H)

Fail-closed: Unresolved and in-scope ⇒ the object cannot bear a pilot decision; scope must be formally reduced in writing.

Blocks: Journeys whose decision context depends on JobCard or TemporaryModification state.

GC-04 — ADR-14 Stewardship Staffing + P3-TRN-01OPENMANDATORY_FOR_PILOT

Origin: Phase 5 §Q / §S P5-R-07 — stewardship unstaffed; organizational change unfunded

Staff the mandatory stewardship roles required by the pilot and fund the corresponding organizational-change workstream. Pilot readiness cannot be achieved by assigning governance functions informally to the design team.

Attribute	Required evidence	State
NamedLocationSteward	A named, accountable steward per pilot Location, with backup and coverage across shifts.	NOT_YET_EVIDENCED
MandateAndTime	Formal mandate and released time — not an added duty on an already-loaded role.	NOT_YET_EVIDENCED
EscalationPath	Defined escalation when a steward is unavailable or the role falls vacant.	NOT_YET_EVIDENCED
P3-TRN-01Funding	Funded and scheduled organizational-change/training workstream for pilot participants.	NOT_YET_EVIDENCED
CompetencyEvidence	Evidence that stewards are competent in Location governance and SIMOPS semantics.	NOT_YET_EVIDENCED

Closure authority: Project / site leadership (resourcing) + ADR-14 governance owner

Fail-closed: Vacant mandatory stewardship ⇒ the Location remains DISABLED_SAFE; no readiness decision is issued for that Location.

Blocks: All Location-scoped and SIMOPS journeys in the pilot corridor.

GC-05 — CA-04 Retention / Governed ClassificationOPENMANDATORY_FOR_PILOT

Origin: Phase 5 §R — CA-04 statutory evidence-retention scope CONTROLLED_OPEN

Close the pilot-relevant CA-04 classification/retention dependency with competent governance evidence. Compensability and retention behaviour must not be inferred from technical defaults.

Attribute	Required evidence	State
GovernedClassification	Approved classification of which controls are non-compensable, issued by competent authority under ADR-16.	NOT_YET_EVIDENCED
RetentionScope	Statutory/contractual retention period per evidence class for the pilot jurisdiction.	NOT_YET_EVIDENCED
ReconstructionObligation	Required audit-reconstruction horizon for pilot decisions.	NOT_YET_EVIDENCED
DisposalAuthority	Who may authorize disposal, and prohibition of disposal within an open decision chain.	NOT_YET_EVIDENCED

Closure authority: Legal / records governance + ES&H authority

Fail-closed: Unresolved and material ⇒ fail closed: the affected classification is treated as non-compensable and the evidence is retained.

Blocks: All Life-Critical journeys and any journey generating retained authorization evidence.

4 · Pilot Release Conditions

ID	Condition	Evidence required	Depends on	State
PRC-01	GC-01 through GC-05 closed to the extent required by the pilot scope.	Signed closure entry per condition, referencing the evidence set above.	GC-01…GC-05	OPEN
PRC-02	Required enterprise interfaces validated.	Per-interface EvidenceOfValidation artefact from the source system owner.	GC-01	OPEN
PRC-03	Critical Control participation is real rather than SIMULATED_ONLY, or the affected pilot journey is formally rescoped by competent authority.	Evidenced participation class for the Critical Control source, or a written rescope decision naming the excluded journeys.	GC-01, Phase 6 §Source Participation	OPEN
PRC-04	Mandatory stewardship roles staffed.	Named stewards with mandate, coverage and escalation per pilot Location.	GC-04	OPEN
PRC-05	Field-access and operational prerequisites established.	Site access, device provisioning, connectivity profile, shift integration and observation permissions confirmed.	Site leadership	OPEN
PRC-06	BEFORE measurement can begin without retrospective reconstruction.	Instrumented baseline capture running under the documented Phase 6 method prior to pilot activation.	Phase 6 §Baseline	OPEN

5 · Closure Rules (binding)

· No condition may be declared closed merely because Phase 5 architecture provides a technical solution for it.
· Closure is evidence-based and attributable: each closure entry names the competent authority, the artefact and the date.
· Partial closure is recorded as PARTIALLY_EVIDENCED and never counted as closed for release purposes.
· Closure conditions are non-compensable: strong evidence on one condition never offsets an open condition.
· The frozen Phase 6 Pilot Definition Baseline must not be rewritten to improve PASS likelihood; any change requires a logged change-control entry referencing the motivating gate condition.
· Pilot journeys must not be executed while this register carries any MANDATORY_FOR_PILOT condition in an unclosed state.

6 · Architecture Drift Triggers

Any future implementation proposal that changes the following must be treated as ARCHITECTURE DRIFT, not routine implementation configuration:

Object authorityMastershipOffline authorizationNo-compensationLocation governanceSIMOPS semanticsSource / write boundariesEvidence reconstruction