WFGY/ProblemMap/GlobalFixMap/Enterprise_Knowledge_Gov/compliance_audit.md

Compliance Audit — Enterprise Knowledge Governance

🧭 Quick Return to Map

You are in a sub-page of Enterprise_Knowledge_Gov.
To reorient, go back here:

• Enterprise_Knowledge_Gov — corporate knowledge management and governance
• WFGY Global Fix Map — main Emergency Room, 300+ structured fixes
• WFGY Problem Map 1.0 — 16 reproducible failure modes

Think of this page as a desk within a ward.
If you need the full triage and all prescriptions, return to the Emergency Room lobby.

Guardrails and patterns to enforce compliance-ready audits in AI pipelines.
Use this page when enterprise policies or regulators require auditability, traceability, and repeatable evidence for AI knowledge usage.

---

When to use this page

• Internal or external auditors require proof of AI outputs.
• You need to show exactly which documents were cited and how they were retrieved.
• Enterprise standards mandate compliance trails (ISO, SOC2, GDPR, HIPAA, etc).
• Users ask "why did the model say this?" and you must replay the answer deterministically.

---

Core acceptance targets

• Every AI output must be linked to retrieval evidence (doc_id, section_id, offsets).
• ΔS(question,retrieved) logged per query, with thresholds verified.
• λ_observe states stored for all runs (paraphrase, rerun, seeds).
• Full audit trail exportable (JSON, CSV, signed logs).

---

Typical audit failures → exact fix

Symptom	Likely cause	Open this
Missing or inconsistent citations	No schema enforcement on retrieval	retrieval-traceability.md
Evidence cannot be reproduced	No deterministic ΔS/λ logs	retrieval-playbook.md
Multiple outputs differ for same input	λ flips or entropy collapse	context-drift.md, entropy-collapse.md
No visibility into expired docs	Missing expiry field in audit logs	knowledge_expiry.md
Incomplete audit trails	Storage not aligned to contracts	data-contracts.md

---

Fix in 60 seconds

1. Enforce snippet schema:
   Each retrieval must return doc_id, section_id, offsets, tokens, expiry_date.

2. Log ΔS and λ per step:
   Store values for retrieval, assembly, reasoning.

3. Export audit logs:
   JSON or CSV export at end of run.
   Example:

   {
     "question": "What is policy X?",
     "ΔS": 0.38,
     "λ": "→",
     "citations": ["doc123#section5"],
     "timestamp": "2025-08-28T12:34:00Z"
   }
   

4. **Replay capability**:
   Store retriever seed + config for deterministic reruns.

---

## Copy-paste compliance probe

```txt
You have TXTOS and WFGY Problem Map loaded.

My compliance audit requirement:
- Audit log must contain {ΔS, λ_state, citations, expiry_flag}
- Logs must be exportable to JSON/CSV

Task:
1. Verify schema presence in retrieval.
2. Re-run with same seed and compare logs.
3. If mismatch, cite the exact WFGY page that explains the fix.
```

---

## Escalate when

* Audit log missing ΔS or λ.
* Same seed replay yields different citations.
* Expired documents appear in logs as valid.

Escalation fix: apply [ops/debug\_playbook.md](https://github.com/onestardao/WFGY/blob/main/ProblemMap/ops/debug_playbook.md) and [bootstrap-ordering.md](https://github.com/onestardao/WFGY/blob/main/ProblemMap/bootstrap-ordering.md) to enforce deterministic ordering.

---

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### Explore More

| Module | Description | Link |
| --- | --- | --- |
| WFGY Core | Canonical framework entry point | [View](https://github.com/onestardao/WFGY/tree/main/core/README.md) |
| Problem Map | Diagnostic map and navigation hub | [View](https://github.com/onestardao/WFGY/tree/main/ProblemMap/README.md) |
| Tension Universe Experiments | MVP experiment field | [View](https://github.com/onestardao/WFGY/tree/main/TensionUniverse/Experiments) |
| Recognition | Where WFGY is referenced or adopted | [View](https://github.com/onestardao/WFGY/blob/main/recognition/README.md) |
| AI Guide | Anti-hallucination reading protocol for tools | [View](https://github.com/onestardao/WFGY/blob/main/AI_GUIDE.md) |

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