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122 lines
5 KiB
Markdown
122 lines
5 KiB
Markdown
# Compliance Audit — Enterprise Knowledge Governance
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<details>
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<summary><strong>🧭 Quick Return to Map</strong></summary>
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<br>
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> You are in a sub-page of **Enterprise_Knowledge_Gov**.
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> To reorient, go back here:
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>
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> - [**Enterprise_Knowledge_Gov** — corporate knowledge management and governance](./README.md)
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> - [**WFGY Global Fix Map** — main Emergency Room, 300+ structured fixes](../README.md)
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> - [**WFGY Problem Map 1.0** — 16 reproducible failure modes](../../README.md)
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>
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> Think of this page as a desk within a ward.
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> If you need the full triage and all prescriptions, return to the Emergency Room lobby.
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</details>
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Guardrails and patterns to enforce **compliance-ready audits** in AI pipelines.
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Use this page when enterprise policies or regulators require **auditability, traceability, and repeatable evidence** for AI knowledge usage.
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---
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## When to use this page
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- Internal or external auditors require proof of AI outputs.
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- You need to show exactly which documents were cited and how they were retrieved.
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- Enterprise standards mandate **compliance trails** (ISO, SOC2, GDPR, HIPAA, etc).
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- Users ask "why did the model say this?" and you must replay the answer deterministically.
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---
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## Core acceptance targets
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- Every AI output must be linked to **retrieval evidence** (doc_id, section_id, offsets).
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- **ΔS(question,retrieved)** logged per query, with thresholds verified.
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- **λ_observe** states stored for all runs (paraphrase, rerun, seeds).
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- Full **audit trail exportable** (JSON, CSV, signed logs).
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---
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## Typical audit failures → exact fix
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| Symptom | Likely cause | Open this |
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|---------|--------------|-----------|
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| Missing or inconsistent citations | No schema enforcement on retrieval | [retrieval-traceability.md](https://github.com/onestardao/WFGY/blob/main/ProblemMap/retrieval-traceability.md) |
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| Evidence cannot be reproduced | No deterministic ΔS/λ logs | [retrieval-playbook.md](https://github.com/onestardao/WFGY/blob/main/ProblemMap/retrieval-playbook.md) |
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| Multiple outputs differ for same input | λ flips or entropy collapse | [context-drift.md](https://github.com/onestardao/WFGY/blob/main/ProblemMap/context-drift.md), [entropy-collapse.md](https://github.com/onestardao/WFGY/blob/main/ProblemMap/entropy-collapse.md) |
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| No visibility into expired docs | Missing expiry field in audit logs | [knowledge_expiry.md](https://github.com/onestardao/WFGY/blob/main/ProblemMap/GlobalFixMap/Enterprise_Knowledge_Gov/knowledge_expiry.md) |
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| Incomplete audit trails | Storage not aligned to contracts | [data-contracts.md](https://github.com/onestardao/WFGY/blob/main/ProblemMap/data-contracts.md) |
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---
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## Fix in 60 seconds
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1. **Enforce snippet schema**:
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Each retrieval must return `doc_id`, `section_id`, `offsets`, `tokens`, `expiry_date`.
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2. **Log ΔS and λ** per step:
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Store values for retrieval, assembly, reasoning.
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3. **Export audit logs**:
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JSON or CSV export at end of run.
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Example:
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```json
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{
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"question": "What is policy X?",
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"ΔS": 0.38,
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"λ": "→",
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"citations": ["doc123#section5"],
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"timestamp": "2025-08-28T12:34:00Z"
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}
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````
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4. **Replay capability**:
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Store retriever seed + config for deterministic reruns.
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---
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## Copy-paste compliance probe
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```txt
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You have TXTOS and WFGY Problem Map loaded.
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My compliance audit requirement:
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- Audit log must contain {ΔS, λ_state, citations, expiry_flag}
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- Logs must be exportable to JSON/CSV
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Task:
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1. Verify schema presence in retrieval.
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2. Re-run with same seed and compare logs.
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3. If mismatch, cite the exact WFGY page that explains the fix.
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```
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---
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## Escalate when
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* Audit log missing ΔS or λ.
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* Same seed replay yields different citations.
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* Expired documents appear in logs as valid.
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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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---
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<!-- WFGY_FOOTER_START -->
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### Explore More
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| Module | Description | Link |
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| --- | --- | --- |
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| WFGY Core | Canonical framework entry point | [View](https://github.com/onestardao/WFGY/tree/main/core/README.md) |
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| Problem Map | Diagnostic map and navigation hub | [View](https://github.com/onestardao/WFGY/tree/main/ProblemMap/README.md) |
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| Tension Universe Experiments | MVP experiment field | [View](https://github.com/onestardao/WFGY/tree/main/TensionUniverse/Experiments) |
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| Recognition | Where WFGY is referenced or adopted | [View](https://github.com/onestardao/WFGY/blob/main/recognition/README.md) |
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| AI Guide | Anti-hallucination reading protocol for tools | [View](https://github.com/onestardao/WFGY/blob/main/AI_GUIDE.md) |
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> If this repository helps, starring it improves discovery for other builders.
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> [](https://github.com/onestardao/WFGY)
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<!-- WFGY_FOOTER_END -->
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要繼續幫你生嗎？
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