diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/deliverables/gdpr-art30-records-of-processing-activities-brief.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/deliverables/gdpr-art30-records-of-processing-activities-brief.md new file mode 100644 index 000000000..ab19d77e4 --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/deliverables/gdpr-art30-records-of-processing-activities-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: GDPR Article 30 RoPA review brief +description: Review-ready template for GDPR Article 30 Records of Processing Activities evidence, decisions, validation, and controlled next actions. +--- +# GDPR Article 30 RoPA review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/deliverables/index.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/deliverables/index.md new file mode 100644 index 000000000..e99b70afb --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: GDPR Article 30 Records of Processing Activities deliverables +--- +# GDPR Article 30 Records of Processing Activities Deliverables + +- [GDPR Article 30 RoPA review brief](gdpr-art30-records-of-processing-activities-brief.md) + diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/evaluations/index.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/evaluations/index.md new file mode 100644 index 000000000..33d77c4a6 --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: GDPR Article 30 Records of Processing Activities evaluations +--- +# GDPR Article 30 Records of Processing Activities Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/evaluations/source-awareness-check.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/evaluations/source-awareness-check.md new file mode 100644 index 000000000..031e27c33 --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: GDPR Article 30 Records of Processing Activities source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# GDPR Article 30 Records of Processing Activities Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/index.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/index.md new file mode 100644 index 000000000..7beccf003 --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/index.md @@ -0,0 +1,105 @@ +--- +type: Bundle Index +title: GDPR Article 30 Records of Processing Activities +description: Evidence-grounded preparation and review of controller and processor records of processing activities under GDPR Article 30. +category: compliance +version: 0.1.0 +tags: +- gdpr +- article-30 +- ropa +aliases: +- GDPR Article 30 RoPA +- Records of processing activities +problems_solved: +- Assess GDPR Article 30 Records of Processing Activities applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- GDPR Article 30 RoPA review brief +commands: [] +skills: [] +evaluations: +- GDPR Article 30 Records of Processing Activities source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- gdpr +- gdpr-art28-controller-processor-contract +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - privacy + - regulatory + - legal + - security + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: gdpr-art30-records-of-processing-activities +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# GDPR Article 30 Records of Processing Activities + +Use this bundle to prepare a reviewable **GDPR Article 30 RoPA review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [GDPR Article 30 RoPA review brief](deliverables/gdpr-art30-records-of-processing-activities-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/log.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/log.md new file mode 100644 index 000000000..a69c69824 --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: GDPR Article 30 Records of Processing Activities log +--- +# GDPR Article 30 Records of Processing Activities Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `gdpr-art30-records-of-processing-activities` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/overview.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/overview.md new file mode 100644 index 000000000..5ed0e6eae --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: GDPR Article 30 Records of Processing Activities overview +description: Scope, evidence, and authority boundaries for GDPR Article 30 Records of Processing Activities. +--- +# GDPR Article 30 Records of Processing Activities Overview + +This bundle supports evidence-grounded review of GDPR Article 30 Records of Processing Activities. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/references/index.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/references/index.md new file mode 100644 index 000000000..7867e2e6b --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for GDPR Article 30 Records of Processing Activities. +tags: +- gdpr +- article-30 +- ropa +resource: https://eur-lex.europa.eu/eli/reg/2016/679/oj +okb_bundle_id: gdpr-art30-records-of-processing-activities +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://eur-lex.europa.eu/eli/reg/2016/679/oj +- https://www.edpb.europa.eu/sme/be-compliant/be-compliant_en + +Apply Article 30 separately to controller and processor records. The fewer-than-250-person derogation is limited and must not be treated as a blanket exemption. Verify applicable supervisory-authority guidance and current local processing facts. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable GDPR Article 30 RoPA review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/workflows/index.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/workflows/index.md new file mode 100644 index 000000000..9de1e2128 --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: GDPR Article 30 Records of Processing Activities workflows +--- +# GDPR Article 30 Records of Processing Activities Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/gdpr-art30-records-of-processing-activities/workflows/source-aware-workflow.md b/bundles/compliance/gdpr-art30-records-of-processing-activities/workflows/source-aware-workflow.md new file mode 100644 index 000000000..ac736d241 --- /dev/null +++ b/bundles/compliance/gdpr-art30-records-of-processing-activities/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: GDPR Article 30 Records of Processing Activities source-aware workflow +description: Verify-first workflow for producing a reviewable GDPR Article 30 RoPA review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the GDPR Article 30 RoPA review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/gdpr-art32-security-of-processing/deliverables/gdpr-art32-security-of-processing-brief.md b/bundles/compliance/gdpr-art32-security-of-processing/deliverables/gdpr-art32-security-of-processing-brief.md new file mode 100644 index 000000000..5e7ff270f --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/deliverables/gdpr-art32-security-of-processing-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: GDPR Article 32 security-of-processing review brief +description: Review-ready template for GDPR Article 32 Security of Processing evidence, decisions, validation, and controlled next actions. +--- +# GDPR Article 32 security-of-processing review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/gdpr-art32-security-of-processing/deliverables/index.md b/bundles/compliance/gdpr-art32-security-of-processing/deliverables/index.md new file mode 100644 index 000000000..1b41a6dfb --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: GDPR Article 32 Security of Processing deliverables +--- +# GDPR Article 32 Security of Processing Deliverables + +- [GDPR Article 32 security-of-processing review brief](gdpr-art32-security-of-processing-brief.md) + diff --git a/bundles/compliance/gdpr-art32-security-of-processing/evaluations/index.md b/bundles/compliance/gdpr-art32-security-of-processing/evaluations/index.md new file mode 100644 index 000000000..8fe86e652 --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: GDPR Article 32 Security of Processing evaluations +--- +# GDPR Article 32 Security of Processing Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/gdpr-art32-security-of-processing/evaluations/source-awareness-check.md b/bundles/compliance/gdpr-art32-security-of-processing/evaluations/source-awareness-check.md new file mode 100644 index 000000000..c7213af80 --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: GDPR Article 32 Security of Processing source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# GDPR Article 32 Security of Processing Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/gdpr-art32-security-of-processing/index.md b/bundles/compliance/gdpr-art32-security-of-processing/index.md new file mode 100644 index 000000000..51b45bf52 --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/index.md @@ -0,0 +1,104 @@ +--- +type: Bundle Index +title: GDPR Article 32 Security of Processing +description: Evidence-grounded review of risk-appropriate technical and organizational security measures under GDPR Article 32. +category: compliance +version: 0.1.0 +tags: +- gdpr +- article-32 +- security-of-processing +aliases: +- GDPR security of processing +- Article 32 +problems_solved: +- Assess GDPR Article 32 Security of Processing applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- GDPR Article 32 security-of-processing review brief +commands: [] +skills: [] +evaluations: +- GDPR Article 32 Security of Processing source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- gdpr +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - privacy + - security + - regulatory + - legal + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: gdpr-art32-security-of-processing +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# GDPR Article 32 Security of Processing + +Use this bundle to prepare a reviewable **GDPR Article 32 security-of-processing review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [GDPR Article 32 security-of-processing review brief](deliverables/gdpr-art32-security-of-processing-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/gdpr-art32-security-of-processing/log.md b/bundles/compliance/gdpr-art32-security-of-processing/log.md new file mode 100644 index 000000000..695fb90c3 --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: GDPR Article 32 Security of Processing log +--- +# GDPR Article 32 Security of Processing Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `gdpr-art32-security-of-processing` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/gdpr-art32-security-of-processing/overview.md b/bundles/compliance/gdpr-art32-security-of-processing/overview.md new file mode 100644 index 000000000..05df5b7ea --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: GDPR Article 32 Security of Processing overview +description: Scope, evidence, and authority boundaries for GDPR Article 32 Security of Processing. +--- +# GDPR Article 32 Security of Processing Overview + +This bundle supports evidence-grounded review of GDPR Article 32 Security of Processing. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/gdpr-art32-security-of-processing/references/index.md b/bundles/compliance/gdpr-art32-security-of-processing/references/index.md new file mode 100644 index 000000000..c7788d11d --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for GDPR Article 32 Security of Processing. +tags: +- gdpr +- article-32 +- security-of-processing +resource: https://eur-lex.europa.eu/eli/reg/2016/679/oj +okb_bundle_id: gdpr-art32-security-of-processing +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://eur-lex.europa.eu/eli/reg/2016/679/oj +- https://www.edpb.europa.eu/sme/be-compliant/be-compliant_en + +Article 32 is risk-based. Do not convert examples into fixed universal controls; verify processing context, state of the art, implementation cost, likelihood and severity, controller and processor responsibilities, testing evidence, and applicable supervisory guidance. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable GDPR Article 32 security-of-processing review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/gdpr-art32-security-of-processing/workflows/index.md b/bundles/compliance/gdpr-art32-security-of-processing/workflows/index.md new file mode 100644 index 000000000..5765dc2f2 --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: GDPR Article 32 Security of Processing workflows +--- +# GDPR Article 32 Security of Processing Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/gdpr-art32-security-of-processing/workflows/source-aware-workflow.md b/bundles/compliance/gdpr-art32-security-of-processing/workflows/source-aware-workflow.md new file mode 100644 index 000000000..e153ef070 --- /dev/null +++ b/bundles/compliance/gdpr-art32-security-of-processing/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: GDPR Article 32 Security of Processing source-aware workflow +description: Verify-first workflow for producing a reviewable GDPR Article 32 security-of-processing review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the GDPR Article 32 security-of-processing review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/irs-form-990-annual-return/deliverables/index.md b/bundles/compliance/irs-form-990-annual-return/deliverables/index.md new file mode 100644 index 000000000..4e5caf6fd --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: IRS Form 990 Annual Return deliverables +--- +# IRS Form 990 Annual Return Deliverables + +- [Form 990 annual-return preparation and review brief](irs-form-990-annual-return-brief.md) + diff --git a/bundles/compliance/irs-form-990-annual-return/deliverables/irs-form-990-annual-return-brief.md b/bundles/compliance/irs-form-990-annual-return/deliverables/irs-form-990-annual-return-brief.md new file mode 100644 index 000000000..2c5233b05 --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/deliverables/irs-form-990-annual-return-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: Form 990 annual-return preparation and review brief +description: Review-ready template for IRS Form 990 Annual Return evidence, decisions, validation, and controlled next actions. +--- +# Form 990 annual-return preparation and review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/irs-form-990-annual-return/evaluations/index.md b/bundles/compliance/irs-form-990-annual-return/evaluations/index.md new file mode 100644 index 000000000..02b4b2a5a --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: IRS Form 990 Annual Return evaluations +--- +# IRS Form 990 Annual Return Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/irs-form-990-annual-return/evaluations/source-awareness-check.md b/bundles/compliance/irs-form-990-annual-return/evaluations/source-awareness-check.md new file mode 100644 index 000000000..2a7a14651 --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: IRS Form 990 Annual Return source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# IRS Form 990 Annual Return Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/irs-form-990-annual-return/index.md b/bundles/compliance/irs-form-990-annual-return/index.md new file mode 100644 index 000000000..624df49b0 --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/index.md @@ -0,0 +1,105 @@ +--- +type: Bundle Index +title: IRS Form 990 Annual Return +description: Evidence-grounded preparation and review of annual information returns for U.S. tax-exempt organizations. +category: compliance +version: 0.1.0 +tags: +- irs +- form-990 +- tax-exempt +aliases: +- Form 990 +- Return of Organization Exempt From Income Tax +problems_solved: +- Assess IRS Form 990 Annual Return applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Nonprofit +- Accounting and Tax +- Legal and Compliance +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- Form 990 annual-return preparation and review brief +commands: [] +skills: [] +evaluations: +- IRS Form 990 Annual Return source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- irs-exemption-application-501c3 +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - tax + - accounting + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: irs-form-990-annual-return +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# IRS Form 990 Annual Return + +Use this bundle to prepare a reviewable **Form 990 annual-return preparation and review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [Form 990 annual-return preparation and review brief](deliverables/irs-form-990-annual-return-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/irs-form-990-annual-return/log.md b/bundles/compliance/irs-form-990-annual-return/log.md new file mode 100644 index 000000000..163683e1f --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: IRS Form 990 Annual Return log +--- +# IRS Form 990 Annual Return Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `irs-form-990-annual-return` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/irs-form-990-annual-return/overview.md b/bundles/compliance/irs-form-990-annual-return/overview.md new file mode 100644 index 000000000..28bf1025e --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: IRS Form 990 Annual Return overview +description: Scope, evidence, and authority boundaries for IRS Form 990 Annual Return. +--- +# IRS Form 990 Annual Return Overview + +This bundle supports evidence-grounded review of IRS Form 990 Annual Return. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/irs-form-990-annual-return/references/index.md b/bundles/compliance/irs-form-990-annual-return/references/index.md new file mode 100644 index 000000000..474fbd685 --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for IRS Form 990 Annual Return. +tags: +- irs +- form-990 +- tax-exempt +resource: https://www.irs.gov/forms-pubs/about-form-990 +okb_bundle_id: irs-form-990-annual-return +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.irs.gov/forms-pubs/about-form-990 +- https://www.irs.gov/pub/irs-pdf/i990.pdf + +Verify the tax year, current instructions, entity status, gross receipts and assets, correct return variant, schedules, electronic-filing rules, extensions, public-disclosure requirements, and filing history. Do not assume Form 990 is the correct return. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable Form 990 annual-return preparation and review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/irs-form-990-annual-return/workflows/index.md b/bundles/compliance/irs-form-990-annual-return/workflows/index.md new file mode 100644 index 000000000..1ce769824 --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: IRS Form 990 Annual Return workflows +--- +# IRS Form 990 Annual Return Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/irs-form-990-annual-return/workflows/source-aware-workflow.md b/bundles/compliance/irs-form-990-annual-return/workflows/source-aware-workflow.md new file mode 100644 index 000000000..0e754ca22 --- /dev/null +++ b/bundles/compliance/irs-form-990-annual-return/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: IRS Form 990 Annual Return source-aware workflow +description: Verify-first workflow for producing a reviewable Form 990 annual-return preparation and review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the Form 990 annual-return preparation and review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/deliverables/index.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/deliverables/index.md new file mode 100644 index 000000000..62cf259d5 --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: LGPD Records of Processing Activities (RoPA) deliverables +--- +# LGPD Records of Processing Activities (RoPA) Deliverables + +- [LGPD processing-operations register review brief](lgpd-records-of-processing-activities-ropa-brief.md) + diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/deliverables/lgpd-records-of-processing-activities-ropa-brief.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/deliverables/lgpd-records-of-processing-activities-ropa-brief.md new file mode 100644 index 000000000..d5bafde87 --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/deliverables/lgpd-records-of-processing-activities-ropa-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: LGPD processing-operations register review brief +description: Review-ready template for LGPD Records of Processing Activities (RoPA) evidence, decisions, validation, and controlled next actions. +--- +# LGPD processing-operations register review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/evaluations/index.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/evaluations/index.md new file mode 100644 index 000000000..9b213b67e --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: LGPD Records of Processing Activities (RoPA) evaluations +--- +# LGPD Records of Processing Activities (RoPA) Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/evaluations/source-awareness-check.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/evaluations/source-awareness-check.md new file mode 100644 index 000000000..a227a6a43 --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: LGPD Records of Processing Activities (RoPA) source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# LGPD Records of Processing Activities (RoPA) Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/index.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/index.md new file mode 100644 index 000000000..ff9e8dc92 --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/index.md @@ -0,0 +1,104 @@ +--- +type: Bundle Index +title: LGPD Records of Processing Activities (RoPA) +description: Evidence-grounded preparation and review of processing records under Brazil's LGPD. +category: compliance +version: 0.1.0 +tags: +- lgpd +- ropa +- brazil-privacy +aliases: +- LGPD RoPA +- Registro das operacoes de tratamento +problems_solved: +- Assess LGPD Records of Processing Activities (RoPA) applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Technology +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- LGPD processing-operations register review brief +commands: [] +skills: [] +evaluations: +- LGPD Records of Processing Activities (RoPA) source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - privacy + - regulatory + - legal + - security + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: lgpd-records-of-processing-activities-ropa +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# LGPD Records of Processing Activities (RoPA) + +Use this bundle to prepare a reviewable **LGPD processing-operations register review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [LGPD processing-operations register review brief](deliverables/lgpd-records-of-processing-activities-ropa-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/log.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/log.md new file mode 100644 index 000000000..eae524e43 --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: LGPD Records of Processing Activities (RoPA) log +--- +# LGPD Records of Processing Activities (RoPA) Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `lgpd-records-of-processing-activities-ropa` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/overview.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/overview.md new file mode 100644 index 000000000..02548ee6e --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: LGPD Records of Processing Activities (RoPA) overview +description: Scope, evidence, and authority boundaries for LGPD Records of Processing Activities (RoPA). +--- +# LGPD Records of Processing Activities (RoPA) Overview + +This bundle supports evidence-grounded review of LGPD Records of Processing Activities (RoPA). It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/references/index.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/references/index.md new file mode 100644 index 000000000..fe26ba10d --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for LGPD Records of Processing Activities (RoPA). +tags: +- lgpd +- ropa +- brazil-privacy +resource: https://www.planalto.gov.br/ccivil_03/_ato2015-2018/2018/lei/l13709.htm +okb_bundle_id: lgpd-records-of-processing-activities-ropa +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.planalto.gov.br/ccivil_03/_ato2015-2018/2018/lei/l13709.htm +- https://www.gov.br/governodigital/pt-br/privacidade-e-seguranca/ppsi-2.0/arquivos/guia-para-elaboracao-do-registro-das-operacoes-de-tratamento-v1-0-01072026.pdf + +Article 37 applies to controllers and processors. Treat government guidance as guidance and verify current ANPD rules, entity role, processing facts, and any sector-specific requirements; do not invent a universal mandatory template. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable LGPD processing-operations register review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/workflows/index.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/workflows/index.md new file mode 100644 index 000000000..4774e27ac --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: LGPD Records of Processing Activities (RoPA) workflows +--- +# LGPD Records of Processing Activities (RoPA) Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/lgpd-records-of-processing-activities-ropa/workflows/source-aware-workflow.md b/bundles/compliance/lgpd-records-of-processing-activities-ropa/workflows/source-aware-workflow.md new file mode 100644 index 000000000..430eac916 --- /dev/null +++ b/bundles/compliance/lgpd-records-of-processing-activities-ropa/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: LGPD Records of Processing Activities (RoPA) source-aware workflow +description: Verify-first workflow for producing a reviewable LGPD processing-operations register review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the LGPD processing-operations register review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/lgpd-security-incident-communication/deliverables/index.md b/bundles/compliance/lgpd-security-incident-communication/deliverables/index.md new file mode 100644 index 000000000..52b3a3a12 --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: LGPD Security Incident Communication deliverables +--- +# LGPD Security Incident Communication Deliverables + +- [LGPD security-incident assessment and communication brief](lgpd-security-incident-communication-brief.md) + diff --git a/bundles/compliance/lgpd-security-incident-communication/deliverables/lgpd-security-incident-communication-brief.md b/bundles/compliance/lgpd-security-incident-communication/deliverables/lgpd-security-incident-communication-brief.md new file mode 100644 index 000000000..7e3d30328 --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/deliverables/lgpd-security-incident-communication-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: LGPD security-incident assessment and communication brief +description: Review-ready template for LGPD Security Incident Communication evidence, decisions, validation, and controlled next actions. +--- +# LGPD security-incident assessment and communication brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/lgpd-security-incident-communication/evaluations/index.md b/bundles/compliance/lgpd-security-incident-communication/evaluations/index.md new file mode 100644 index 000000000..5fd429110 --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: LGPD Security Incident Communication evaluations +--- +# LGPD Security Incident Communication Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/lgpd-security-incident-communication/evaluations/source-awareness-check.md b/bundles/compliance/lgpd-security-incident-communication/evaluations/source-awareness-check.md new file mode 100644 index 000000000..53a8b294d --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: LGPD Security Incident Communication source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# LGPD Security Incident Communication Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/lgpd-security-incident-communication/index.md b/bundles/compliance/lgpd-security-incident-communication/index.md new file mode 100644 index 000000000..6cf305808 --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/index.md @@ -0,0 +1,104 @@ +--- +type: Bundle Index +title: LGPD Security Incident Communication +description: Evidence-grounded assessment and communication planning for personal-data security incidents under Brazil's LGPD and ANPD Resolution 15/2024. +category: compliance +version: 0.1.0 +tags: +- lgpd +- security-incident +- anpd +aliases: +- ANPD incident communication +- LGPD breach notification +problems_solved: +- Assess LGPD Security Incident Communication applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- LGPD security-incident assessment and communication brief +commands: [] +skills: [] +evaluations: +- LGPD Security Incident Communication source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - privacy + - security + - regulatory + - legal + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: lgpd-security-incident-communication +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# LGPD Security Incident Communication + +Use this bundle to prepare a reviewable **LGPD security-incident assessment and communication brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [LGPD security-incident assessment and communication brief](deliverables/lgpd-security-incident-communication-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/lgpd-security-incident-communication/log.md b/bundles/compliance/lgpd-security-incident-communication/log.md new file mode 100644 index 000000000..24368d1c2 --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: LGPD Security Incident Communication log +--- +# LGPD Security Incident Communication Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `lgpd-security-incident-communication` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/lgpd-security-incident-communication/overview.md b/bundles/compliance/lgpd-security-incident-communication/overview.md new file mode 100644 index 000000000..e3a9beefd --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: LGPD Security Incident Communication overview +description: Scope, evidence, and authority boundaries for LGPD Security Incident Communication. +--- +# LGPD Security Incident Communication Overview + +This bundle supports evidence-grounded review of LGPD Security Incident Communication. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/lgpd-security-incident-communication/references/index.md b/bundles/compliance/lgpd-security-incident-communication/references/index.md new file mode 100644 index 000000000..00b640316 --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for LGPD Security Incident Communication. +tags: +- lgpd +- security-incident +- anpd +resource: https://www.gov.br/anpd/pt-br/canais_atendimento/agente-de-tratamento/comunicado-de-incidente-de-seguranca-cis +okb_bundle_id: lgpd-security-incident-communication +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.gov.br/anpd/pt-br/canais_atendimento/agente-de-tratamento/comunicado-de-incidente-de-seguranca-cis +- https://www.gov.br/anpd/pt-br/assuntos/noticias/anpd-aprova-o-regulamento-de-comunicacao-de-incidente-de-seguranca + +Resolution 15/2024 establishes the current ANPD process. Verify controller status, confirmation time, affected data subjects, relevant-risk or damage analysis, three-business-day timing, content, phased submission, communication channel, and five-year record retention before concluding that notice is required or complete. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable LGPD security-incident assessment and communication brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/lgpd-security-incident-communication/workflows/index.md b/bundles/compliance/lgpd-security-incident-communication/workflows/index.md new file mode 100644 index 000000000..73fbff87c --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: LGPD Security Incident Communication workflows +--- +# LGPD Security Incident Communication Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/lgpd-security-incident-communication/workflows/source-aware-workflow.md b/bundles/compliance/lgpd-security-incident-communication/workflows/source-aware-workflow.md new file mode 100644 index 000000000..912efcac0 --- /dev/null +++ b/bundles/compliance/lgpd-security-incident-communication/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: LGPD Security Incident Communication source-aware workflow +description: Verify-first workflow for producing a reviewable LGPD security-incident assessment and communication brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the LGPD security-incident assessment and communication brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/real-estate-lending-appraisals/deliverables/index.md b/bundles/compliance/real-estate-lending-appraisals/deliverables/index.md new file mode 100644 index 000000000..456a2a581 --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: Real Estate Lending Appraisals deliverables +--- +# Real Estate Lending Appraisals Deliverables + +- [real estate appraisal requirements and evidence brief](real-estate-lending-appraisals-brief.md) + diff --git a/bundles/compliance/real-estate-lending-appraisals/deliverables/real-estate-lending-appraisals-brief.md b/bundles/compliance/real-estate-lending-appraisals/deliverables/real-estate-lending-appraisals-brief.md new file mode 100644 index 000000000..c007a3d09 --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/deliverables/real-estate-lending-appraisals-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: real estate appraisal requirements and evidence brief +description: Review-ready template for Real Estate Lending Appraisals evidence, decisions, validation, and controlled next actions. +--- +# real estate appraisal requirements and evidence brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/real-estate-lending-appraisals/evaluations/index.md b/bundles/compliance/real-estate-lending-appraisals/evaluations/index.md new file mode 100644 index 000000000..d47090ef7 --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: Real Estate Lending Appraisals evaluations +--- +# Real Estate Lending Appraisals Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/real-estate-lending-appraisals/evaluations/source-awareness-check.md b/bundles/compliance/real-estate-lending-appraisals/evaluations/source-awareness-check.md new file mode 100644 index 000000000..603c890a6 --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: Real Estate Lending Appraisals source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# Real Estate Lending Appraisals Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/real-estate-lending-appraisals/index.md b/bundles/compliance/real-estate-lending-appraisals/index.md new file mode 100644 index 000000000..b3a76173b --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/index.md @@ -0,0 +1,102 @@ +--- +type: Bundle Index +title: Real Estate Lending Appraisals +description: Evidence-grounded review of federal appraisal requirements and institution-specific real estate lending controls. +category: compliance +version: 0.1.0 +tags: +- real-estate-lending +- appraisals +- banking +aliases: +- Real estate appraisal rules +problems_solved: +- Assess Real Estate Lending Appraisals applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- real estate appraisal requirements and evidence brief +commands: [] +skills: [] +evaluations: +- Real Estate Lending Appraisals source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- mortgage-servicing-rules +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: real-estate-lending-appraisals +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# Real Estate Lending Appraisals + +Use this bundle to prepare a reviewable **real estate appraisal requirements and evidence brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [real estate appraisal requirements and evidence brief](deliverables/real-estate-lending-appraisals-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/real-estate-lending-appraisals/log.md b/bundles/compliance/real-estate-lending-appraisals/log.md new file mode 100644 index 000000000..40383bbed --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: Real Estate Lending Appraisals log +--- +# Real Estate Lending Appraisals Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `real-estate-lending-appraisals` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/real-estate-lending-appraisals/overview.md b/bundles/compliance/real-estate-lending-appraisals/overview.md new file mode 100644 index 000000000..124a6357b --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: Real Estate Lending Appraisals overview +description: Scope, evidence, and authority boundaries for Real Estate Lending Appraisals. +--- +# Real Estate Lending Appraisals Overview + +This bundle supports evidence-grounded review of Real Estate Lending Appraisals. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/real-estate-lending-appraisals/references/index.md b/bundles/compliance/real-estate-lending-appraisals/references/index.md new file mode 100644 index 000000000..e7685102d --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for Real Estate Lending Appraisals. +tags: +- real-estate-lending +- appraisals +- banking +resource: https://www.ecfr.gov/current/title-12/chapter-I/part-34 +okb_bundle_id: real-estate-lending-appraisals +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.ecfr.gov/current/title-12/chapter-I/part-34 +- https://www.occ.treas.gov/publications-and-resources/publications/comptrollers-handbook/files/residential-real-estate-lending/pub-ch-residential-real-estate.pdf + +Verify the current official text, effective dates, scope, exceptions, and any jurisdiction-specific implementation before relying on a requirement. Guidance and proposals must not be represented as binding current law. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable real estate appraisal requirements and evidence brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/real-estate-lending-appraisals/workflows/index.md b/bundles/compliance/real-estate-lending-appraisals/workflows/index.md new file mode 100644 index 000000000..470538815 --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: Real Estate Lending Appraisals workflows +--- +# Real Estate Lending Appraisals Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/real-estate-lending-appraisals/workflows/source-aware-workflow.md b/bundles/compliance/real-estate-lending-appraisals/workflows/source-aware-workflow.md new file mode 100644 index 000000000..7f4642a96 --- /dev/null +++ b/bundles/compliance/real-estate-lending-appraisals/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: Real Estate Lending Appraisals source-aware workflow +description: Verify-first workflow for producing a reviewable real estate appraisal requirements and evidence brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the real estate appraisal requirements and evidence brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/real-estate-licensure/deliverables/index.md b/bundles/compliance/real-estate-licensure/deliverables/index.md new file mode 100644 index 000000000..ae79147da --- /dev/null +++ b/bundles/compliance/real-estate-licensure/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: Real Estate Licensure deliverables +--- +# Real Estate Licensure Deliverables + +- [jurisdiction-specific real estate licensure matrix](real-estate-licensure-brief.md) + diff --git a/bundles/compliance/real-estate-licensure/deliverables/real-estate-licensure-brief.md b/bundles/compliance/real-estate-licensure/deliverables/real-estate-licensure-brief.md new file mode 100644 index 000000000..73cf26443 --- /dev/null +++ b/bundles/compliance/real-estate-licensure/deliverables/real-estate-licensure-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: jurisdiction-specific real estate licensure matrix +description: Review-ready template for Real Estate Licensure evidence, decisions, validation, and controlled next actions. +--- +# jurisdiction-specific real estate licensure matrix + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/real-estate-licensure/evaluations/index.md b/bundles/compliance/real-estate-licensure/evaluations/index.md new file mode 100644 index 000000000..1a4b5ca60 --- /dev/null +++ b/bundles/compliance/real-estate-licensure/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: Real Estate Licensure evaluations +--- +# Real Estate Licensure Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/real-estate-licensure/evaluations/source-awareness-check.md b/bundles/compliance/real-estate-licensure/evaluations/source-awareness-check.md new file mode 100644 index 000000000..4736d32c9 --- /dev/null +++ b/bundles/compliance/real-estate-licensure/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: Real Estate Licensure source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# Real Estate Licensure Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/real-estate-licensure/index.md b/bundles/compliance/real-estate-licensure/index.md new file mode 100644 index 000000000..74f929e34 --- /dev/null +++ b/bundles/compliance/real-estate-licensure/index.md @@ -0,0 +1,100 @@ +--- +type: Bundle Index +title: Real Estate Licensure +description: Jurisdiction-aware review of real estate professional and firm licensure requirements. +category: compliance +version: 0.1.0 +tags: +- real-estate +- licensure +- state-regulation +aliases: +- Real estate licensing +problems_solved: +- Assess Real Estate Licensure applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Real Estate +- Legal and Compliance +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- jurisdiction-specific real estate licensure matrix +commands: [] +skills: [] +evaluations: +- Real Estate Licensure source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for jurisdiction, role and activity, entity structure, regulator materials, education and examination records, application and renewal status, sponsorship, disclosures, discipline, and approvals. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: real-estate-licensure +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# Real Estate Licensure + +Use this bundle to prepare a reviewable **jurisdiction-specific real estate licensure matrix** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [jurisdiction-specific real estate licensure matrix](deliverables/real-estate-licensure-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/real-estate-licensure/log.md b/bundles/compliance/real-estate-licensure/log.md new file mode 100644 index 000000000..20ce68aa6 --- /dev/null +++ b/bundles/compliance/real-estate-licensure/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: Real Estate Licensure log +--- +# Real Estate Licensure Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `real-estate-licensure` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/real-estate-licensure/overview.md b/bundles/compliance/real-estate-licensure/overview.md new file mode 100644 index 000000000..3627a9f5a --- /dev/null +++ b/bundles/compliance/real-estate-licensure/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: Real Estate Licensure overview +description: Scope, evidence, and authority boundaries for Real Estate Licensure. +--- +# Real Estate Licensure Overview + +This bundle supports evidence-grounded review of Real Estate Licensure. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes jurisdiction, role and activity, entity structure, regulator materials, education and examination records, application and renewal status, sponsorship, disclosures, discipline, and approvals. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/real-estate-licensure/references/index.md b/bundles/compliance/real-estate-licensure/references/index.md new file mode 100644 index 000000000..e7dc84628 --- /dev/null +++ b/bundles/compliance/real-estate-licensure/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for Real Estate Licensure. +tags: +- real-estate +- licensure +- state-regulation +resource: https://www.arello.org/resources/regulatory-agencies/ +okb_bundle_id: real-estate-licensure +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.arello.org/resources/regulatory-agencies/ + +Licensure is jurisdiction-specific. Use the regulator directory only to locate the controlling state or territorial authority, then verify that authority's current statutes, rules, forms, fees, education, examination, renewal, and supervision requirements. Do not infer a common national rule. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable jurisdiction-specific real estate licensure matrix with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/real-estate-licensure/workflows/index.md b/bundles/compliance/real-estate-licensure/workflows/index.md new file mode 100644 index 000000000..c4cfe5e91 --- /dev/null +++ b/bundles/compliance/real-estate-licensure/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: Real Estate Licensure workflows +--- +# Real Estate Licensure Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/real-estate-licensure/workflows/source-aware-workflow.md b/bundles/compliance/real-estate-licensure/workflows/source-aware-workflow.md new file mode 100644 index 000000000..2a2bc7fc7 --- /dev/null +++ b/bundles/compliance/real-estate-licensure/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: Real Estate Licensure source-aware workflow +description: Verify-first workflow for producing a reviewable jurisdiction-specific real estate licensure matrix. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory jurisdiction, role and activity, entity structure, regulator materials, education and examination records, application and renewal status, sponsorship, disclosures, discipline, and approvals. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the jurisdiction-specific real estate licensure matrix, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/reg-z-tila-disclosures/deliverables/index.md b/bundles/compliance/reg-z-tila-disclosures/deliverables/index.md new file mode 100644 index 000000000..e9d167582 --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: Regulation Z TILA Disclosures deliverables +--- +# Regulation Z TILA Disclosures Deliverables + +- [Regulation Z disclosure and calculation review brief](reg-z-tila-disclosures-brief.md) + diff --git a/bundles/compliance/reg-z-tila-disclosures/deliverables/reg-z-tila-disclosures-brief.md b/bundles/compliance/reg-z-tila-disclosures/deliverables/reg-z-tila-disclosures-brief.md new file mode 100644 index 000000000..245c0c2d3 --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/deliverables/reg-z-tila-disclosures-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: Regulation Z disclosure and calculation review brief +description: Review-ready template for Regulation Z TILA Disclosures evidence, decisions, validation, and controlled next actions. +--- +# Regulation Z disclosure and calculation review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/reg-z-tila-disclosures/evaluations/index.md b/bundles/compliance/reg-z-tila-disclosures/evaluations/index.md new file mode 100644 index 000000000..77b3ea9ed --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: Regulation Z TILA Disclosures evaluations +--- +# Regulation Z TILA Disclosures Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/reg-z-tila-disclosures/evaluations/source-awareness-check.md b/bundles/compliance/reg-z-tila-disclosures/evaluations/source-awareness-check.md new file mode 100644 index 000000000..eef6029d0 --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: Regulation Z TILA Disclosures source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# Regulation Z TILA Disclosures Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/reg-z-tila-disclosures/index.md b/bundles/compliance/reg-z-tila-disclosures/index.md new file mode 100644 index 000000000..9c8549a35 --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/index.md @@ -0,0 +1,103 @@ +--- +type: Bundle Index +title: Regulation Z TILA Disclosures +description: Evidence-grounded review of Truth in Lending Act disclosures and controls under Regulation Z. +category: compliance +version: 0.1.0 +tags: +- regulation-z +- tila +- consumer-credit +aliases: +- Regulation Z +- TILA disclosures +problems_solved: +- Assess Regulation Z TILA Disclosures applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- Regulation Z disclosure and calculation review brief +commands: [] +skills: [] +evaluations: +- Regulation Z TILA Disclosures source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: reg-z-tila-disclosures +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# Regulation Z TILA Disclosures + +Use this bundle to prepare a reviewable **Regulation Z disclosure and calculation review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [Regulation Z disclosure and calculation review brief](deliverables/reg-z-tila-disclosures-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/reg-z-tila-disclosures/log.md b/bundles/compliance/reg-z-tila-disclosures/log.md new file mode 100644 index 000000000..ed894a6bd --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: Regulation Z TILA Disclosures log +--- +# Regulation Z TILA Disclosures Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `reg-z-tila-disclosures` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/reg-z-tila-disclosures/overview.md b/bundles/compliance/reg-z-tila-disclosures/overview.md new file mode 100644 index 000000000..0cd38a671 --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: Regulation Z TILA Disclosures overview +description: Scope, evidence, and authority boundaries for Regulation Z TILA Disclosures. +--- +# Regulation Z TILA Disclosures Overview + +This bundle supports evidence-grounded review of Regulation Z TILA Disclosures. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/reg-z-tila-disclosures/references/index.md b/bundles/compliance/reg-z-tila-disclosures/references/index.md new file mode 100644 index 000000000..b7e3d339c --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for Regulation Z TILA Disclosures. +tags: +- regulation-z +- tila +- consumer-credit +resource: https://www.consumerfinance.gov/rules-policy/regulations/1026/ +okb_bundle_id: reg-z-tila-disclosures +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.consumerfinance.gov/rules-policy/regulations/1026/ + +The CFPB interactive regulation is a research aid rather than the official legal edition. Verify the current eCFR text, transaction type, coverage, tolerances, timing, model forms, and applicable amendments. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable Regulation Z disclosure and calculation review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/reg-z-tila-disclosures/workflows/index.md b/bundles/compliance/reg-z-tila-disclosures/workflows/index.md new file mode 100644 index 000000000..3c03c2e3a --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: Regulation Z TILA Disclosures workflows +--- +# Regulation Z TILA Disclosures Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/reg-z-tila-disclosures/workflows/source-aware-workflow.md b/bundles/compliance/reg-z-tila-disclosures/workflows/source-aware-workflow.md new file mode 100644 index 000000000..4f149374a --- /dev/null +++ b/bundles/compliance/reg-z-tila-disclosures/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: Regulation Z TILA Disclosures source-aware workflow +description: Verify-first workflow for producing a reviewable Regulation Z disclosure and calculation review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the Regulation Z disclosure and calculation review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/regulation-best-interest/deliverables/index.md b/bundles/compliance/regulation-best-interest/deliverables/index.md new file mode 100644 index 000000000..44c89c84f --- /dev/null +++ b/bundles/compliance/regulation-best-interest/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: Regulation Best Interest deliverables +--- +# Regulation Best Interest Deliverables + +- [Regulation Best Interest recommendation review brief](regulation-best-interest-brief.md) + diff --git a/bundles/compliance/regulation-best-interest/deliverables/regulation-best-interest-brief.md b/bundles/compliance/regulation-best-interest/deliverables/regulation-best-interest-brief.md new file mode 100644 index 000000000..1875986e9 --- /dev/null +++ b/bundles/compliance/regulation-best-interest/deliverables/regulation-best-interest-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: Regulation Best Interest recommendation review brief +description: Review-ready template for Regulation Best Interest evidence, decisions, validation, and controlled next actions. +--- +# Regulation Best Interest recommendation review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/regulation-best-interest/evaluations/index.md b/bundles/compliance/regulation-best-interest/evaluations/index.md new file mode 100644 index 000000000..ef1276f59 --- /dev/null +++ b/bundles/compliance/regulation-best-interest/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: Regulation Best Interest evaluations +--- +# Regulation Best Interest Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/regulation-best-interest/evaluations/source-awareness-check.md b/bundles/compliance/regulation-best-interest/evaluations/source-awareness-check.md new file mode 100644 index 000000000..6fa68e1bb --- /dev/null +++ b/bundles/compliance/regulation-best-interest/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: Regulation Best Interest source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# Regulation Best Interest Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/regulation-best-interest/index.md b/bundles/compliance/regulation-best-interest/index.md new file mode 100644 index 000000000..7e0569af4 --- /dev/null +++ b/bundles/compliance/regulation-best-interest/index.md @@ -0,0 +1,103 @@ +--- +type: Bundle Index +title: Regulation Best Interest +description: Evidence-grounded review of broker-dealer retail recommendation obligations under Regulation Best Interest. +category: compliance +version: 0.1.0 +tags: +- reg-bi +- broker-dealer +- retail-investor +aliases: +- Reg BI +- SEC Regulation Best Interest +problems_solved: +- Assess Regulation Best Interest applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- Regulation Best Interest recommendation review brief +commands: [] +skills: [] +evaluations: +- Regulation Best Interest source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- finra-supervision-system +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: regulation-best-interest +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# Regulation Best Interest + +Use this bundle to prepare a reviewable **Regulation Best Interest recommendation review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [Regulation Best Interest recommendation review brief](deliverables/regulation-best-interest-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/regulation-best-interest/log.md b/bundles/compliance/regulation-best-interest/log.md new file mode 100644 index 000000000..c3a9fc6c0 --- /dev/null +++ b/bundles/compliance/regulation-best-interest/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: Regulation Best Interest log +--- +# Regulation Best Interest Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `regulation-best-interest` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/regulation-best-interest/overview.md b/bundles/compliance/regulation-best-interest/overview.md new file mode 100644 index 000000000..03ac3f91f --- /dev/null +++ b/bundles/compliance/regulation-best-interest/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: Regulation Best Interest overview +description: Scope, evidence, and authority boundaries for Regulation Best Interest. +--- +# Regulation Best Interest Overview + +This bundle supports evidence-grounded review of Regulation Best Interest. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/regulation-best-interest/references/index.md b/bundles/compliance/regulation-best-interest/references/index.md new file mode 100644 index 000000000..b318a3bc9 --- /dev/null +++ b/bundles/compliance/regulation-best-interest/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for Regulation Best Interest. +tags: +- reg-bi +- broker-dealer +- retail-investor +resource: https://www.sec.gov/files/rules/final/2019/34-86031.pdf +okb_bundle_id: regulation-best-interest +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.sec.gov/files/rules/final/2019/34-86031.pdf + +Verify the current official text, effective dates, scope, exceptions, and any jurisdiction-specific implementation before relying on a requirement. Guidance and proposals must not be represented as binding current law. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable Regulation Best Interest recommendation review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/regulation-best-interest/workflows/index.md b/bundles/compliance/regulation-best-interest/workflows/index.md new file mode 100644 index 000000000..35691ff63 --- /dev/null +++ b/bundles/compliance/regulation-best-interest/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: Regulation Best Interest workflows +--- +# Regulation Best Interest Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/regulation-best-interest/workflows/source-aware-workflow.md b/bundles/compliance/regulation-best-interest/workflows/source-aware-workflow.md new file mode 100644 index 000000000..ea423eb28 --- /dev/null +++ b/bundles/compliance/regulation-best-interest/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: Regulation Best Interest source-aware workflow +description: Verify-first workflow for producing a reviewable Regulation Best Interest recommendation review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the Regulation Best Interest recommendation review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/deliverables/index.md b/bundles/compliance/regulation-s-p-privacy-safeguards/deliverables/index.md new file mode 100644 index 000000000..d03c6224e --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: Regulation S-P Privacy Safeguards deliverables +--- +# Regulation S-P Privacy Safeguards Deliverables + +- [Regulation S-P privacy and safeguards review brief](regulation-s-p-privacy-safeguards-brief.md) + diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/deliverables/regulation-s-p-privacy-safeguards-brief.md b/bundles/compliance/regulation-s-p-privacy-safeguards/deliverables/regulation-s-p-privacy-safeguards-brief.md new file mode 100644 index 000000000..b6c6781c0 --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/deliverables/regulation-s-p-privacy-safeguards-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: Regulation S-P privacy and safeguards review brief +description: Review-ready template for Regulation S-P Privacy Safeguards evidence, decisions, validation, and controlled next actions. +--- +# Regulation S-P privacy and safeguards review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/evaluations/index.md b/bundles/compliance/regulation-s-p-privacy-safeguards/evaluations/index.md new file mode 100644 index 000000000..5c23bcf06 --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: Regulation S-P Privacy Safeguards evaluations +--- +# Regulation S-P Privacy Safeguards Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/evaluations/source-awareness-check.md b/bundles/compliance/regulation-s-p-privacy-safeguards/evaluations/source-awareness-check.md new file mode 100644 index 000000000..5368e8e76 --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: Regulation S-P Privacy Safeguards source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# Regulation S-P Privacy Safeguards Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/index.md b/bundles/compliance/regulation-s-p-privacy-safeguards/index.md new file mode 100644 index 000000000..b5c9bb335 --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/index.md @@ -0,0 +1,105 @@ +--- +type: Bundle Index +title: Regulation S-P Privacy Safeguards +description: Evidence-grounded review of SEC Regulation S-P privacy, safeguards, incident-response, and customer-notice requirements. +category: compliance +version: 0.1.0 +tags: +- regulation-s-p +- privacy +- safeguards +aliases: +- SEC Regulation S-P +- Reg S-P +problems_solved: +- Assess Regulation S-P Privacy Safeguards applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- Regulation S-P privacy and safeguards review brief +commands: [] +skills: [] +evaluations: +- Regulation S-P Privacy Safeguards source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - privacy + - security + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: regulation-s-p-privacy-safeguards +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# Regulation S-P Privacy Safeguards + +Use this bundle to prepare a reviewable **Regulation S-P privacy and safeguards review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [Regulation S-P privacy and safeguards review brief](deliverables/regulation-s-p-privacy-safeguards-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/log.md b/bundles/compliance/regulation-s-p-privacy-safeguards/log.md new file mode 100644 index 000000000..de0378fde --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: Regulation S-P Privacy Safeguards log +--- +# Regulation S-P Privacy Safeguards Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `regulation-s-p-privacy-safeguards` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/overview.md b/bundles/compliance/regulation-s-p-privacy-safeguards/overview.md new file mode 100644 index 000000000..4b519e6c8 --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: Regulation S-P Privacy Safeguards overview +description: Scope, evidence, and authority boundaries for Regulation S-P Privacy Safeguards. +--- +# Regulation S-P Privacy Safeguards Overview + +This bundle supports evidence-grounded review of Regulation S-P Privacy Safeguards. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/references/index.md b/bundles/compliance/regulation-s-p-privacy-safeguards/references/index.md new file mode 100644 index 000000000..f115fe2d7 --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for Regulation S-P Privacy Safeguards. +tags: +- regulation-s-p +- privacy +- safeguards +resource: https://www.sec.gov/files/rules/final/2024/regulation-s-p-small-entity-compliance-guide.pdf +okb_bundle_id: regulation-s-p-privacy-safeguards +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.sec.gov/files/rules/final/2024/regulation-s-p-small-entity-compliance-guide.pdf +- https://www.sec.gov/newsroom/meetings-events/compliance-outreach-regulation-s-p-small-firms + +Verify entity classification and the applicable compliance date. The 2024 amendments generally reached large firms on December 3, 2025 and small firms on June 3, 2026; verify current SEC materials and do not infer incident facts or notice obligations. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable Regulation S-P privacy and safeguards review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/workflows/index.md b/bundles/compliance/regulation-s-p-privacy-safeguards/workflows/index.md new file mode 100644 index 000000000..cd8f3f6f9 --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: Regulation S-P Privacy Safeguards workflows +--- +# Regulation S-P Privacy Safeguards Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/regulation-s-p-privacy-safeguards/workflows/source-aware-workflow.md b/bundles/compliance/regulation-s-p-privacy-safeguards/workflows/source-aware-workflow.md new file mode 100644 index 000000000..70ccafabc --- /dev/null +++ b/bundles/compliance/regulation-s-p-privacy-safeguards/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: Regulation S-P Privacy Safeguards source-aware workflow +description: Verify-first workflow for producing a reviewable Regulation S-P privacy and safeguards review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the Regulation S-P privacy and safeguards review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/regulatory-capital-rules/deliverables/index.md b/bundles/compliance/regulatory-capital-rules/deliverables/index.md new file mode 100644 index 000000000..4c88dc870 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: Regulatory Capital Rules deliverables +--- +# Regulatory Capital Rules Deliverables + +- [regulatory capital applicability and calculation review brief](regulatory-capital-rules-brief.md) + diff --git a/bundles/compliance/regulatory-capital-rules/deliverables/regulatory-capital-rules-brief.md b/bundles/compliance/regulatory-capital-rules/deliverables/regulatory-capital-rules-brief.md new file mode 100644 index 000000000..b62abce31 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/deliverables/regulatory-capital-rules-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: regulatory capital applicability and calculation review brief +description: Review-ready template for Regulatory Capital Rules evidence, decisions, validation, and controlled next actions. +--- +# regulatory capital applicability and calculation review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/regulatory-capital-rules/evaluations/index.md b/bundles/compliance/regulatory-capital-rules/evaluations/index.md new file mode 100644 index 000000000..551700010 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: Regulatory Capital Rules evaluations +--- +# Regulatory Capital Rules Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/regulatory-capital-rules/evaluations/source-awareness-check.md b/bundles/compliance/regulatory-capital-rules/evaluations/source-awareness-check.md new file mode 100644 index 000000000..78776a796 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: Regulatory Capital Rules source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# Regulatory Capital Rules Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/regulatory-capital-rules/index.md b/bundles/compliance/regulatory-capital-rules/index.md new file mode 100644 index 000000000..e36610876 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/index.md @@ -0,0 +1,104 @@ +--- +type: Bundle Index +title: Regulatory Capital Rules +description: Evidence-grounded review of U.S. banking regulatory capital applicability, calculations, reporting, and governance. +category: compliance +version: 0.1.0 +tags: +- regulatory-capital +- banking +- capital-adequacy +aliases: +- Bank regulatory capital rules +- Basel capital implementation +problems_solved: +- Assess Regulatory Capital Rules applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- regulatory capital applicability and calculation review brief +commands: [] +skills: [] +evaluations: +- Regulatory Capital Rules source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- basel-iii +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + - accounting + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: regulatory-capital-rules +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# Regulatory Capital Rules + +Use this bundle to prepare a reviewable **regulatory capital applicability and calculation review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [regulatory capital applicability and calculation review brief](deliverables/regulatory-capital-rules-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/regulatory-capital-rules/log.md b/bundles/compliance/regulatory-capital-rules/log.md new file mode 100644 index 000000000..5d7118086 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: Regulatory Capital Rules log +--- +# Regulatory Capital Rules Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `regulatory-capital-rules` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/regulatory-capital-rules/overview.md b/bundles/compliance/regulatory-capital-rules/overview.md new file mode 100644 index 000000000..af9518958 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: Regulatory Capital Rules overview +description: Scope, evidence, and authority boundaries for Regulatory Capital Rules. +--- +# Regulatory Capital Rules Overview + +This bundle supports evidence-grounded review of Regulatory Capital Rules. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/regulatory-capital-rules/references/index.md b/bundles/compliance/regulatory-capital-rules/references/index.md new file mode 100644 index 000000000..b64995475 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for Regulatory Capital Rules. +tags: +- regulatory-capital +- banking +- capital-adequacy +resource: https://www.ecfr.gov/current/title-12/chapter-I/part-3 +okb_bundle_id: regulatory-capital-rules +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.ecfr.gov/current/title-12/chapter-I/part-3 +- https://www.ecfr.gov/current/title-12/chapter-II/subchapter-A/part-217 + +Determine the institution's charter, regulator, category, consolidation scope, elections, transition provisions, and effective dates. Do not collapse agency rules or international Basel standards into one universal calculation. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable regulatory capital applicability and calculation review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/regulatory-capital-rules/workflows/index.md b/bundles/compliance/regulatory-capital-rules/workflows/index.md new file mode 100644 index 000000000..944501986 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: Regulatory Capital Rules workflows +--- +# Regulatory Capital Rules Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/regulatory-capital-rules/workflows/source-aware-workflow.md b/bundles/compliance/regulatory-capital-rules/workflows/source-aware-workflow.md new file mode 100644 index 000000000..8132c6d64 --- /dev/null +++ b/bundles/compliance/regulatory-capital-rules/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: Regulatory Capital Rules source-aware workflow +description: Verify-first workflow for producing a reviewable regulatory capital applicability and calculation review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the regulatory capital applicability and calculation review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/respa-regulation-x/deliverables/index.md b/bundles/compliance/respa-regulation-x/deliverables/index.md new file mode 100644 index 000000000..3f9850cce --- /dev/null +++ b/bundles/compliance/respa-regulation-x/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: RESPA Regulation X deliverables +--- +# RESPA Regulation X Deliverables + +- [RESPA Regulation X applicability and controls brief](respa-regulation-x-brief.md) + diff --git a/bundles/compliance/respa-regulation-x/deliverables/respa-regulation-x-brief.md b/bundles/compliance/respa-regulation-x/deliverables/respa-regulation-x-brief.md new file mode 100644 index 000000000..64ad263af --- /dev/null +++ b/bundles/compliance/respa-regulation-x/deliverables/respa-regulation-x-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: RESPA Regulation X applicability and controls brief +description: Review-ready template for RESPA Regulation X evidence, decisions, validation, and controlled next actions. +--- +# RESPA Regulation X applicability and controls brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/respa-regulation-x/evaluations/index.md b/bundles/compliance/respa-regulation-x/evaluations/index.md new file mode 100644 index 000000000..18a45bc8c --- /dev/null +++ b/bundles/compliance/respa-regulation-x/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: RESPA Regulation X evaluations +--- +# RESPA Regulation X Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/respa-regulation-x/evaluations/source-awareness-check.md b/bundles/compliance/respa-regulation-x/evaluations/source-awareness-check.md new file mode 100644 index 000000000..a7519a744 --- /dev/null +++ b/bundles/compliance/respa-regulation-x/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: RESPA Regulation X source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# RESPA Regulation X Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/respa-regulation-x/index.md b/bundles/compliance/respa-regulation-x/index.md new file mode 100644 index 000000000..8f8242187 --- /dev/null +++ b/bundles/compliance/respa-regulation-x/index.md @@ -0,0 +1,103 @@ +--- +type: Bundle Index +title: RESPA Regulation X +description: Evidence-grounded review of Real Estate Settlement Procedures Act requirements implemented by Regulation X. +category: compliance +version: 0.1.0 +tags: +- respa +- regulation-x +- mortgage +aliases: +- Regulation X +- RESPA +problems_solved: +- Assess RESPA Regulation X applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- RESPA Regulation X applicability and controls brief +commands: [] +skills: [] +evaluations: +- RESPA Regulation X source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- mortgage-servicing-rules +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: respa-regulation-x +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# RESPA Regulation X + +Use this bundle to prepare a reviewable **RESPA Regulation X applicability and controls brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [RESPA Regulation X applicability and controls brief](deliverables/respa-regulation-x-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/respa-regulation-x/log.md b/bundles/compliance/respa-regulation-x/log.md new file mode 100644 index 000000000..98a689547 --- /dev/null +++ b/bundles/compliance/respa-regulation-x/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: RESPA Regulation X log +--- +# RESPA Regulation X Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `respa-regulation-x` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/respa-regulation-x/overview.md b/bundles/compliance/respa-regulation-x/overview.md new file mode 100644 index 000000000..66881b3a6 --- /dev/null +++ b/bundles/compliance/respa-regulation-x/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: RESPA Regulation X overview +description: Scope, evidence, and authority boundaries for RESPA Regulation X. +--- +# RESPA Regulation X Overview + +This bundle supports evidence-grounded review of RESPA Regulation X. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/respa-regulation-x/references/index.md b/bundles/compliance/respa-regulation-x/references/index.md new file mode 100644 index 000000000..a2e8a0dc2 --- /dev/null +++ b/bundles/compliance/respa-regulation-x/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for RESPA Regulation X. +tags: +- respa +- regulation-x +- mortgage +resource: https://www.consumerfinance.gov/rules-policy/regulations/1024/ +okb_bundle_id: respa-regulation-x +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.consumerfinance.gov/rules-policy/regulations/1024/ + +Verify the current official text, effective dates, scope, exceptions, and any jurisdiction-specific implementation before relying on a requirement. Guidance and proposals must not be represented as binding current law. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable RESPA Regulation X applicability and controls brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/respa-regulation-x/workflows/index.md b/bundles/compliance/respa-regulation-x/workflows/index.md new file mode 100644 index 000000000..b63421559 --- /dev/null +++ b/bundles/compliance/respa-regulation-x/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: RESPA Regulation X workflows +--- +# RESPA Regulation X Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/respa-regulation-x/workflows/source-aware-workflow.md b/bundles/compliance/respa-regulation-x/workflows/source-aware-workflow.md new file mode 100644 index 000000000..ea9a585f2 --- /dev/null +++ b/bundles/compliance/respa-regulation-x/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: RESPA Regulation X source-aware workflow +description: Verify-first workflow for producing a reviewable RESPA Regulation X applicability and controls brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the RESPA Regulation X applicability and controls brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/safe-act-mlo-registration/deliverables/index.md b/bundles/compliance/safe-act-mlo-registration/deliverables/index.md new file mode 100644 index 000000000..b2e8b93d1 --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: SAFE Act MLO Registration deliverables +--- +# SAFE Act MLO Registration Deliverables + +- [SAFE Act MLO registration review brief](safe-act-mlo-registration-brief.md) + diff --git a/bundles/compliance/safe-act-mlo-registration/deliverables/safe-act-mlo-registration-brief.md b/bundles/compliance/safe-act-mlo-registration/deliverables/safe-act-mlo-registration-brief.md new file mode 100644 index 000000000..2fe4daf27 --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/deliverables/safe-act-mlo-registration-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: SAFE Act MLO registration review brief +description: Review-ready template for SAFE Act MLO Registration evidence, decisions, validation, and controlled next actions. +--- +# SAFE Act MLO registration review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/safe-act-mlo-registration/evaluations/index.md b/bundles/compliance/safe-act-mlo-registration/evaluations/index.md new file mode 100644 index 000000000..2a616a13d --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: SAFE Act MLO Registration evaluations +--- +# SAFE Act MLO Registration Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/safe-act-mlo-registration/evaluations/source-awareness-check.md b/bundles/compliance/safe-act-mlo-registration/evaluations/source-awareness-check.md new file mode 100644 index 000000000..e9d372b53 --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: SAFE Act MLO Registration source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# SAFE Act MLO Registration Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/safe-act-mlo-registration/index.md b/bundles/compliance/safe-act-mlo-registration/index.md new file mode 100644 index 000000000..08831407e --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/index.md @@ -0,0 +1,103 @@ +--- +type: Bundle Index +title: SAFE Act MLO Registration +description: Evidence-grounded review of federal mortgage loan originator registration requirements under Regulation G. +category: compliance +version: 0.1.0 +tags: +- safe-act +- mlo +- nmls +aliases: +- SAFE Act registration +- MLO federal registration +problems_solved: +- Assess SAFE Act MLO Registration applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- SAFE Act MLO registration review brief +commands: [] +skills: [] +evaluations: +- SAFE Act MLO Registration source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- nmls-company-branch-licensing +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: safe-act-mlo-registration +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# SAFE Act MLO Registration + +Use this bundle to prepare a reviewable **SAFE Act MLO registration review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [SAFE Act MLO registration review brief](deliverables/safe-act-mlo-registration-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/safe-act-mlo-registration/log.md b/bundles/compliance/safe-act-mlo-registration/log.md new file mode 100644 index 000000000..11fd7284c --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: SAFE Act MLO Registration log +--- +# SAFE Act MLO Registration Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `safe-act-mlo-registration` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/safe-act-mlo-registration/overview.md b/bundles/compliance/safe-act-mlo-registration/overview.md new file mode 100644 index 000000000..215931df1 --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: SAFE Act MLO Registration overview +description: Scope, evidence, and authority boundaries for SAFE Act MLO Registration. +--- +# SAFE Act MLO Registration Overview + +This bundle supports evidence-grounded review of SAFE Act MLO Registration. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/safe-act-mlo-registration/references/index.md b/bundles/compliance/safe-act-mlo-registration/references/index.md new file mode 100644 index 000000000..636144033 --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for SAFE Act MLO Registration. +tags: +- safe-act +- mlo +- nmls +resource: https://www.consumerfinance.gov/rules-policy/regulations/1007/103/ +okb_bundle_id: safe-act-mlo-registration +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.consumerfinance.gov/rules-policy/regulations/1007/103/ + +Distinguish federal registration for covered financial-institution employees from state licensing. Verify institution coverage, employee activities, exemptions, NMLS records, annual renewal, changes, and authorization. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable SAFE Act MLO registration review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/safe-act-mlo-registration/workflows/index.md b/bundles/compliance/safe-act-mlo-registration/workflows/index.md new file mode 100644 index 000000000..e4ee2505a --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: SAFE Act MLO Registration workflows +--- +# SAFE Act MLO Registration Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/safe-act-mlo-registration/workflows/source-aware-workflow.md b/bundles/compliance/safe-act-mlo-registration/workflows/source-aware-workflow.md new file mode 100644 index 000000000..aea37a1a0 --- /dev/null +++ b/bundles/compliance/safe-act-mlo-registration/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: SAFE Act MLO Registration source-aware workflow +description: Verify-first workflow for producing a reviewable SAFE Act MLO registration review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the SAFE Act MLO registration review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/deliverables/index.md b/bundles/compliance/sec-proxy-and-shareholder-governance/deliverables/index.md new file mode 100644 index 000000000..93dfa1b5d --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: SEC Proxy and Shareholder Governance deliverables +--- +# SEC Proxy and Shareholder Governance Deliverables + +- [SEC proxy and shareholder-governance review brief](sec-proxy-and-shareholder-governance-brief.md) + diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/deliverables/sec-proxy-and-shareholder-governance-brief.md b/bundles/compliance/sec-proxy-and-shareholder-governance/deliverables/sec-proxy-and-shareholder-governance-brief.md new file mode 100644 index 000000000..2b74ffd0c --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/deliverables/sec-proxy-and-shareholder-governance-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: SEC proxy and shareholder-governance review brief +description: Review-ready template for SEC Proxy and Shareholder Governance evidence, decisions, validation, and controlled next actions. +--- +# SEC proxy and shareholder-governance review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/evaluations/index.md b/bundles/compliance/sec-proxy-and-shareholder-governance/evaluations/index.md new file mode 100644 index 000000000..13e25e4d8 --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: SEC Proxy and Shareholder Governance evaluations +--- +# SEC Proxy and Shareholder Governance Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/evaluations/source-awareness-check.md b/bundles/compliance/sec-proxy-and-shareholder-governance/evaluations/source-awareness-check.md new file mode 100644 index 000000000..736f25660 --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: SEC Proxy and Shareholder Governance source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# SEC Proxy and Shareholder Governance Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/index.md b/bundles/compliance/sec-proxy-and-shareholder-governance/index.md new file mode 100644 index 000000000..e1c3dd95d --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/index.md @@ -0,0 +1,104 @@ +--- +type: Bundle Index +title: SEC Proxy and Shareholder Governance +description: Evidence-grounded review of U.S. federal proxy solicitation, disclosure, voting, and shareholder-governance requirements. +category: compliance +version: 0.1.0 +tags: +- sec +- proxy +- shareholder-governance +aliases: +- SEC proxy rules +- Regulation 14A +problems_solved: +- Assess SEC Proxy and Shareholder Governance applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- SEC proxy and shareholder-governance review brief +commands: [] +skills: [] +evaluations: +- SEC Proxy and Shareholder Governance source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- sec-disclosure +- sec-executive-compensation-disclosure +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: sec-proxy-and-shareholder-governance +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# SEC Proxy and Shareholder Governance + +Use this bundle to prepare a reviewable **SEC proxy and shareholder-governance review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [SEC proxy and shareholder-governance review brief](deliverables/sec-proxy-and-shareholder-governance-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/log.md b/bundles/compliance/sec-proxy-and-shareholder-governance/log.md new file mode 100644 index 000000000..779fed7c4 --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: SEC Proxy and Shareholder Governance log +--- +# SEC Proxy and Shareholder Governance Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `sec-proxy-and-shareholder-governance` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/overview.md b/bundles/compliance/sec-proxy-and-shareholder-governance/overview.md new file mode 100644 index 000000000..ffd07c3c6 --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: SEC Proxy and Shareholder Governance overview +description: Scope, evidence, and authority boundaries for SEC Proxy and Shareholder Governance. +--- +# SEC Proxy and Shareholder Governance Overview + +This bundle supports evidence-grounded review of SEC Proxy and Shareholder Governance. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/references/index.md b/bundles/compliance/sec-proxy-and-shareholder-governance/references/index.md new file mode 100644 index 000000000..bf807c359 --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for SEC Proxy and Shareholder Governance. +tags: +- sec +- proxy +- shareholder-governance +resource: https://www.ecfr.gov/current/title-17/chapter-II/part-240 +okb_bundle_id: sec-proxy-and-shareholder-governance +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.ecfr.gov/current/title-17/chapter-II/part-240 +- https://www.sec.gov/rules-regulations/staff-guidance/corporation-finance-interpretations-cfis + +Verify the current official text, effective dates, scope, exceptions, and any jurisdiction-specific implementation before relying on a requirement. Guidance and proposals must not be represented as binding current law. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable SEC proxy and shareholder-governance review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/workflows/index.md b/bundles/compliance/sec-proxy-and-shareholder-governance/workflows/index.md new file mode 100644 index 000000000..67fa5db8c --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: SEC Proxy and Shareholder Governance workflows +--- +# SEC Proxy and Shareholder Governance Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/sec-proxy-and-shareholder-governance/workflows/source-aware-workflow.md b/bundles/compliance/sec-proxy-and-shareholder-governance/workflows/source-aware-workflow.md new file mode 100644 index 000000000..26f65eaa3 --- /dev/null +++ b/bundles/compliance/sec-proxy-and-shareholder-governance/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: SEC Proxy and Shareholder Governance source-aware workflow +description: Verify-first workflow for producing a reviewable SEC proxy and shareholder-governance review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the SEC proxy and shareholder-governance review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/sec-regulation-fd/deliverables/index.md b/bundles/compliance/sec-regulation-fd/deliverables/index.md new file mode 100644 index 000000000..40409c0dc --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: SEC Regulation FD deliverables +--- +# SEC Regulation FD Deliverables + +- [Regulation FD disclosure-controls brief](sec-regulation-fd-brief.md) + diff --git a/bundles/compliance/sec-regulation-fd/deliverables/sec-regulation-fd-brief.md b/bundles/compliance/sec-regulation-fd/deliverables/sec-regulation-fd-brief.md new file mode 100644 index 000000000..4ad188dec --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/deliverables/sec-regulation-fd-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: Regulation FD disclosure-controls brief +description: Review-ready template for SEC Regulation FD evidence, decisions, validation, and controlled next actions. +--- +# Regulation FD disclosure-controls brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/sec-regulation-fd/evaluations/index.md b/bundles/compliance/sec-regulation-fd/evaluations/index.md new file mode 100644 index 000000000..eaed37270 --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: SEC Regulation FD evaluations +--- +# SEC Regulation FD Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/sec-regulation-fd/evaluations/source-awareness-check.md b/bundles/compliance/sec-regulation-fd/evaluations/source-awareness-check.md new file mode 100644 index 000000000..4cd1af9d9 --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: SEC Regulation FD source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# SEC Regulation FD Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/sec-regulation-fd/index.md b/bundles/compliance/sec-regulation-fd/index.md new file mode 100644 index 000000000..8855f66d2 --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/index.md @@ -0,0 +1,103 @@ +--- +type: Bundle Index +title: SEC Regulation FD +description: Evidence-grounded review of selective disclosure controls under SEC Regulation FD. +category: compliance +version: 0.1.0 +tags: +- sec +- regulation-fd +- selective-disclosure +aliases: +- Regulation Fair Disclosure +- Reg FD +problems_solved: +- Assess SEC Regulation FD applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- Regulation FD disclosure-controls brief +commands: [] +skills: [] +evaluations: +- SEC Regulation FD source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- sec-disclosure +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: sec-regulation-fd +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# SEC Regulation FD + +Use this bundle to prepare a reviewable **Regulation FD disclosure-controls brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [Regulation FD disclosure-controls brief](deliverables/sec-regulation-fd-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/sec-regulation-fd/log.md b/bundles/compliance/sec-regulation-fd/log.md new file mode 100644 index 000000000..bc707aa5d --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: SEC Regulation FD log +--- +# SEC Regulation FD Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `sec-regulation-fd` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/sec-regulation-fd/overview.md b/bundles/compliance/sec-regulation-fd/overview.md new file mode 100644 index 000000000..f4dab592a --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: SEC Regulation FD overview +description: Scope, evidence, and authority boundaries for SEC Regulation FD. +--- +# SEC Regulation FD Overview + +This bundle supports evidence-grounded review of SEC Regulation FD. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/sec-regulation-fd/references/index.md b/bundles/compliance/sec-regulation-fd/references/index.md new file mode 100644 index 000000000..fef2f0c1b --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for SEC Regulation FD. +tags: +- sec +- regulation-fd +- selective-disclosure +resource: https://www.ecfr.gov/current/title-17/chapter-II/part-243 +okb_bundle_id: sec-regulation-fd +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.ecfr.gov/current/title-17/chapter-II/part-243 + +Verify the current official text, effective dates, scope, exceptions, and any jurisdiction-specific implementation before relying on a requirement. Guidance and proposals must not be represented as binding current law. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable Regulation FD disclosure-controls brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/sec-regulation-fd/workflows/index.md b/bundles/compliance/sec-regulation-fd/workflows/index.md new file mode 100644 index 000000000..b65807202 --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: SEC Regulation FD workflows +--- +# SEC Regulation FD Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/sec-regulation-fd/workflows/source-aware-workflow.md b/bundles/compliance/sec-regulation-fd/workflows/source-aware-workflow.md new file mode 100644 index 000000000..8e65d87a9 --- /dev/null +++ b/bundles/compliance/sec-regulation-fd/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: SEC Regulation FD source-aware workflow +description: Verify-first workflow for producing a reviewable Regulation FD disclosure-controls brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the Regulation FD disclosure-controls brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/securities-qualification-examinations/deliverables/index.md b/bundles/compliance/securities-qualification-examinations/deliverables/index.md new file mode 100644 index 000000000..d3664e889 --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: Securities Qualification Examinations deliverables +--- +# Securities Qualification Examinations Deliverables + +- [securities qualification examination pathway brief](securities-qualification-examinations-brief.md) + diff --git a/bundles/compliance/securities-qualification-examinations/deliverables/securities-qualification-examinations-brief.md b/bundles/compliance/securities-qualification-examinations/deliverables/securities-qualification-examinations-brief.md new file mode 100644 index 000000000..0d5fac7f9 --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/deliverables/securities-qualification-examinations-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: securities qualification examination pathway brief +description: Review-ready template for Securities Qualification Examinations evidence, decisions, validation, and controlled next actions. +--- +# securities qualification examination pathway brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/securities-qualification-examinations/evaluations/index.md b/bundles/compliance/securities-qualification-examinations/evaluations/index.md new file mode 100644 index 000000000..8e5785e6f --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: Securities Qualification Examinations evaluations +--- +# Securities Qualification Examinations Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/securities-qualification-examinations/evaluations/source-awareness-check.md b/bundles/compliance/securities-qualification-examinations/evaluations/source-awareness-check.md new file mode 100644 index 000000000..b164af7d5 --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: Securities Qualification Examinations source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# Securities Qualification Examinations Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/securities-qualification-examinations/index.md b/bundles/compliance/securities-qualification-examinations/index.md new file mode 100644 index 000000000..4636623b9 --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/index.md @@ -0,0 +1,103 @@ +--- +type: Bundle Index +title: Securities Qualification Examinations +description: Evidence-grounded planning and review of FINRA securities qualification examination requirements. +category: compliance +version: 0.1.0 +tags: +- finra +- qualification-exams +- sie +aliases: +- FINRA qualification exams +- Securities exams +problems_solved: +- Assess Securities Qualification Examinations applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- securities qualification examination pathway brief +commands: [] +skills: [] +evaluations: +- Securities Qualification Examinations source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- finra-supervision-system +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: securities-qualification-examinations +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# Securities Qualification Examinations + +Use this bundle to prepare a reviewable **securities qualification examination pathway brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [securities qualification examination pathway brief](deliverables/securities-qualification-examinations-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/securities-qualification-examinations/log.md b/bundles/compliance/securities-qualification-examinations/log.md new file mode 100644 index 000000000..c20691329 --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: Securities Qualification Examinations log +--- +# Securities Qualification Examinations Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `securities-qualification-examinations` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/securities-qualification-examinations/overview.md b/bundles/compliance/securities-qualification-examinations/overview.md new file mode 100644 index 000000000..783f7a477 --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: Securities Qualification Examinations overview +description: Scope, evidence, and authority boundaries for Securities Qualification Examinations. +--- +# Securities Qualification Examinations Overview + +This bundle supports evidence-grounded review of Securities Qualification Examinations. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/securities-qualification-examinations/references/index.md b/bundles/compliance/securities-qualification-examinations/references/index.md new file mode 100644 index 000000000..5441c3cf7 --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for Securities Qualification Examinations. +tags: +- finra +- qualification-exams +- sie +resource: https://www.finra.org/registration-exams-ce/qualification-exams +okb_bundle_id: securities-qualification-examinations +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.finra.org/registration-exams-ce/qualification-exams +- https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie + +Verify the person's proposed activities, registration category, firm association, prerequisites, enrollment window, accommodations, result validity, and current FINRA rules. Passing the SIE alone does not qualify an individual to engage in securities business. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable securities qualification examination pathway brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/securities-qualification-examinations/workflows/index.md b/bundles/compliance/securities-qualification-examinations/workflows/index.md new file mode 100644 index 000000000..5f1a88873 --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: Securities Qualification Examinations workflows +--- +# Securities Qualification Examinations Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/securities-qualification-examinations/workflows/source-aware-workflow.md b/bundles/compliance/securities-qualification-examinations/workflows/source-aware-workflow.md new file mode 100644 index 000000000..b9a975c0e --- /dev/null +++ b/bundles/compliance/securities-qualification-examinations/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: Securities Qualification Examinations source-aware workflow +description: Verify-first workflow for producing a reviewable securities qualification examination pathway brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the securities qualification examination pathway brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/deliverables/index.md b/bundles/compliance/sox-icfr-assessment-and-attestation/deliverables/index.md new file mode 100644 index 000000000..335f3920e --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: SOX ICFR Assessment and Attestation deliverables +--- +# SOX ICFR Assessment and Attestation Deliverables + +- [SOX ICFR assessment and attestation review brief](sox-icfr-assessment-and-attestation-brief.md) + diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/deliverables/sox-icfr-assessment-and-attestation-brief.md b/bundles/compliance/sox-icfr-assessment-and-attestation/deliverables/sox-icfr-assessment-and-attestation-brief.md new file mode 100644 index 000000000..e6bd8e536 --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/deliverables/sox-icfr-assessment-and-attestation-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: SOX ICFR assessment and attestation review brief +description: Review-ready template for SOX ICFR Assessment and Attestation evidence, decisions, validation, and controlled next actions. +--- +# SOX ICFR assessment and attestation review brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/evaluations/index.md b/bundles/compliance/sox-icfr-assessment-and-attestation/evaluations/index.md new file mode 100644 index 000000000..d1965a4fb --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: SOX ICFR Assessment and Attestation evaluations +--- +# SOX ICFR Assessment and Attestation Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/evaluations/source-awareness-check.md b/bundles/compliance/sox-icfr-assessment-and-attestation/evaluations/source-awareness-check.md new file mode 100644 index 000000000..95a36a64b --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: SOX ICFR Assessment and Attestation source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# SOX ICFR Assessment and Attestation Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/index.md b/bundles/compliance/sox-icfr-assessment-and-attestation/index.md new file mode 100644 index 000000000..62ba3479f --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/index.md @@ -0,0 +1,105 @@ +--- +type: Bundle Index +title: SOX ICFR Assessment and Attestation +description: Evidence-grounded review of management internal-control reporting and auditor attestation requirements under SOX. +category: compliance +version: 0.1.0 +tags: +- sox +- icfr +- attestation +aliases: +- SOX 404 +- ICFR assessment +problems_solved: +- Assess SOX ICFR Assessment and Attestation applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- SOX ICFR assessment and attestation review brief +commands: [] +skills: [] +evaluations: +- SOX ICFR Assessment and Attestation source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- sox +- pcaob-auditing-standards +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - accounting + - financial + - regulatory + - legal + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: sox-icfr-assessment-and-attestation +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# SOX ICFR Assessment and Attestation + +Use this bundle to prepare a reviewable **SOX ICFR assessment and attestation review brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [SOX ICFR assessment and attestation review brief](deliverables/sox-icfr-assessment-and-attestation-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/log.md b/bundles/compliance/sox-icfr-assessment-and-attestation/log.md new file mode 100644 index 000000000..b84acfe36 --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: SOX ICFR Assessment and Attestation log +--- +# SOX ICFR Assessment and Attestation Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `sox-icfr-assessment-and-attestation` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/overview.md b/bundles/compliance/sox-icfr-assessment-and-attestation/overview.md new file mode 100644 index 000000000..aadbe942b --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: SOX ICFR Assessment and Attestation overview +description: Scope, evidence, and authority boundaries for SOX ICFR Assessment and Attestation. +--- +# SOX ICFR Assessment and Attestation Overview + +This bundle supports evidence-grounded review of SOX ICFR Assessment and Attestation. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/references/index.md b/bundles/compliance/sox-icfr-assessment-and-attestation/references/index.md new file mode 100644 index 000000000..1b4963071 --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for SOX ICFR Assessment and Attestation. +tags: +- sox +- icfr +- attestation +resource: https://www.sec.gov/rules-regulations/2003/03/managements-report-internal-control-over-financial-reporting-certification-disclosure-exchange-act +okb_bundle_id: sox-icfr-assessment-and-attestation +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.sec.gov/rules-regulations/2003/03/managements-report-internal-control-over-financial-reporting-certification-disclosure-exchange-act +- https://pcaobus.org/oversight/standards/auditing-standards/details/AS2201 + +Verify current filer status, transition relief, management assessment requirements, auditor attestation applicability, framework, scope, deficiencies, evidence, and effective dates. SEC proposals, including 2026 proposals, are not current requirements unless finalized and effective. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable SOX ICFR assessment and attestation review brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/workflows/index.md b/bundles/compliance/sox-icfr-assessment-and-attestation/workflows/index.md new file mode 100644 index 000000000..faaed8e13 --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: SOX ICFR Assessment and Attestation workflows +--- +# SOX ICFR Assessment and Attestation Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/sox-icfr-assessment-and-attestation/workflows/source-aware-workflow.md b/bundles/compliance/sox-icfr-assessment-and-attestation/workflows/source-aware-workflow.md new file mode 100644 index 000000000..42b6ab31f --- /dev/null +++ b/bundles/compliance/sox-icfr-assessment-and-attestation/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: SOX ICFR Assessment and Attestation source-aware workflow +description: Verify-first workflow for producing a reviewable SOX ICFR assessment and attestation review brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the SOX ICFR assessment and attestation review brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/state-blue-sky-securities-regulation/deliverables/index.md b/bundles/compliance/state-blue-sky-securities-regulation/deliverables/index.md new file mode 100644 index 000000000..639c60569 --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: State Blue Sky Securities Regulation deliverables +--- +# State Blue Sky Securities Regulation Deliverables + +- [state blue sky offering requirements matrix](state-blue-sky-securities-regulation-brief.md) + diff --git a/bundles/compliance/state-blue-sky-securities-regulation/deliverables/state-blue-sky-securities-regulation-brief.md b/bundles/compliance/state-blue-sky-securities-regulation/deliverables/state-blue-sky-securities-regulation-brief.md new file mode 100644 index 000000000..4f5aa2c91 --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/deliverables/state-blue-sky-securities-regulation-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: state blue sky offering requirements matrix +description: Review-ready template for State Blue Sky Securities Regulation evidence, decisions, validation, and controlled next actions. +--- +# state blue sky offering requirements matrix + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/state-blue-sky-securities-regulation/evaluations/index.md b/bundles/compliance/state-blue-sky-securities-regulation/evaluations/index.md new file mode 100644 index 000000000..6eaf0d482 --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: State Blue Sky Securities Regulation evaluations +--- +# State Blue Sky Securities Regulation Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/state-blue-sky-securities-regulation/evaluations/source-awareness-check.md b/bundles/compliance/state-blue-sky-securities-regulation/evaluations/source-awareness-check.md new file mode 100644 index 000000000..88cb032c5 --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: State Blue Sky Securities Regulation source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# State Blue Sky Securities Regulation Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/state-blue-sky-securities-regulation/index.md b/bundles/compliance/state-blue-sky-securities-regulation/index.md new file mode 100644 index 000000000..d504de82e --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/index.md @@ -0,0 +1,102 @@ +--- +type: Bundle Index +title: State Blue Sky Securities Regulation +description: Jurisdiction-aware review of state securities offering registration, exemption, notice, and fee requirements. +category: compliance +version: 0.1.0 +tags: +- blue-sky +- state-securities +- offering-notice +aliases: +- Blue sky laws +- State securities offering rules +problems_solved: +- Assess State Blue Sky Securities Regulation applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- state blue sky offering requirements matrix +commands: [] +skills: [] +evaluations: +- State Blue Sky Securities Regulation source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: state-blue-sky-securities-regulation +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# State Blue Sky Securities Regulation + +Use this bundle to prepare a reviewable **state blue sky offering requirements matrix** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [state blue sky offering requirements matrix](deliverables/state-blue-sky-securities-regulation-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/state-blue-sky-securities-regulation/log.md b/bundles/compliance/state-blue-sky-securities-regulation/log.md new file mode 100644 index 000000000..a3d26c4b6 --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: State Blue Sky Securities Regulation log +--- +# State Blue Sky Securities Regulation Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `state-blue-sky-securities-regulation` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/state-blue-sky-securities-regulation/overview.md b/bundles/compliance/state-blue-sky-securities-regulation/overview.md new file mode 100644 index 000000000..fbfc89b14 --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: State Blue Sky Securities Regulation overview +description: Scope, evidence, and authority boundaries for State Blue Sky Securities Regulation. +--- +# State Blue Sky Securities Regulation Overview + +This bundle supports evidence-grounded review of State Blue Sky Securities Regulation. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/state-blue-sky-securities-regulation/references/index.md b/bundles/compliance/state-blue-sky-securities-regulation/references/index.md new file mode 100644 index 000000000..5ffa464be --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for State Blue Sky Securities Regulation. +tags: +- blue-sky +- state-securities +- offering-notice +resource: https://www.nasaa.org/industry-resources/securities-issuers/efd/ +okb_bundle_id: state-blue-sky-securities-regulation +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.nasaa.org/industry-resources/securities-issuers/efd/ + +Blue sky requirements vary by security, offering, issuer, purchaser, federal exemption, and jurisdiction. EFD is a filing facility, not a substitute for each state's current law, regulator guidance, forms, fees, consent, and effective-date rules. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable state blue sky offering requirements matrix with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/state-blue-sky-securities-regulation/workflows/index.md b/bundles/compliance/state-blue-sky-securities-regulation/workflows/index.md new file mode 100644 index 000000000..4ee0bea33 --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: State Blue Sky Securities Regulation workflows +--- +# State Blue Sky Securities Regulation Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/state-blue-sky-securities-regulation/workflows/source-aware-workflow.md b/bundles/compliance/state-blue-sky-securities-regulation/workflows/source-aware-workflow.md new file mode 100644 index 000000000..faff466e8 --- /dev/null +++ b/bundles/compliance/state-blue-sky-securities-regulation/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: State Blue Sky Securities Regulation source-aware workflow +description: Verify-first workflow for producing a reviewable state blue sky offering requirements matrix. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the state blue sky offering requirements matrix, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/state-pay-transparency/deliverables/index.md b/bundles/compliance/state-pay-transparency/deliverables/index.md new file mode 100644 index 000000000..3be0929b6 --- /dev/null +++ b/bundles/compliance/state-pay-transparency/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: State Pay Transparency deliverables +--- +# State Pay Transparency Deliverables + +- [state and local pay-transparency requirements matrix](state-pay-transparency-brief.md) + diff --git a/bundles/compliance/state-pay-transparency/deliverables/state-pay-transparency-brief.md b/bundles/compliance/state-pay-transparency/deliverables/state-pay-transparency-brief.md new file mode 100644 index 000000000..40e669957 --- /dev/null +++ b/bundles/compliance/state-pay-transparency/deliverables/state-pay-transparency-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: state and local pay-transparency requirements matrix +description: Review-ready template for State Pay Transparency evidence, decisions, validation, and controlled next actions. +--- +# state and local pay-transparency requirements matrix + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/state-pay-transparency/evaluations/index.md b/bundles/compliance/state-pay-transparency/evaluations/index.md new file mode 100644 index 000000000..57151ff50 --- /dev/null +++ b/bundles/compliance/state-pay-transparency/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: State Pay Transparency evaluations +--- +# State Pay Transparency Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/state-pay-transparency/evaluations/source-awareness-check.md b/bundles/compliance/state-pay-transparency/evaluations/source-awareness-check.md new file mode 100644 index 000000000..45846b3fe --- /dev/null +++ b/bundles/compliance/state-pay-transparency/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: State Pay Transparency source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# State Pay Transparency Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/state-pay-transparency/index.md b/bundles/compliance/state-pay-transparency/index.md new file mode 100644 index 000000000..72e7cf391 --- /dev/null +++ b/bundles/compliance/state-pay-transparency/index.md @@ -0,0 +1,104 @@ +--- +type: Bundle Index +title: State Pay Transparency +description: Jurisdiction-aware review of state and local pay-transparency and pay-scale disclosure requirements. +category: compliance +version: 0.1.0 +tags: +- pay-transparency +- compensation +- state-employment-law +aliases: +- Pay transparency laws +- Salary range disclosure +problems_solved: +- Assess State Pay Transparency applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Human Resources +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- state and local pay-transparency requirements matrix +commands: [] +skills: [] +evaluations: +- State Pay Transparency source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - employment + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: state-pay-transparency +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# State Pay Transparency + +Use this bundle to prepare a reviewable **state and local pay-transparency requirements matrix** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [state and local pay-transparency requirements matrix](deliverables/state-pay-transparency-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/state-pay-transparency/log.md b/bundles/compliance/state-pay-transparency/log.md new file mode 100644 index 000000000..76acbb285 --- /dev/null +++ b/bundles/compliance/state-pay-transparency/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: State Pay Transparency log +--- +# State Pay Transparency Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `state-pay-transparency` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/state-pay-transparency/overview.md b/bundles/compliance/state-pay-transparency/overview.md new file mode 100644 index 000000000..eab578e5c --- /dev/null +++ b/bundles/compliance/state-pay-transparency/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: State Pay Transparency overview +description: Scope, evidence, and authority boundaries for State Pay Transparency. +--- +# State Pay Transparency Overview + +This bundle supports evidence-grounded review of State Pay Transparency. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/state-pay-transparency/references/index.md b/bundles/compliance/state-pay-transparency/references/index.md new file mode 100644 index 000000000..8f489b47e --- /dev/null +++ b/bundles/compliance/state-pay-transparency/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for State Pay Transparency. +tags: +- pay-transparency +- compensation +- state-employment-law +resource: https://www.dol.gov/agencies/whd/state +okb_bundle_id: state-pay-transparency +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.dol.gov/agencies/whd/state +- https://www.dir.ca.gov/dlse/California_Equal_Pay_Act.htm + +This subject is jurisdiction-specific. Build a current state-by-state matrix from each controlling agency's statutes, rules, forms, notices, and effective dates. Federal or association directories are discovery aids and do not establish one common nationwide requirement. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable state and local pay-transparency requirements matrix with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/state-pay-transparency/workflows/index.md b/bundles/compliance/state-pay-transparency/workflows/index.md new file mode 100644 index 000000000..88a18f418 --- /dev/null +++ b/bundles/compliance/state-pay-transparency/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: State Pay Transparency workflows +--- +# State Pay Transparency Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/state-pay-transparency/workflows/source-aware-workflow.md b/bundles/compliance/state-pay-transparency/workflows/source-aware-workflow.md new file mode 100644 index 000000000..e11b7e861 --- /dev/null +++ b/bundles/compliance/state-pay-transparency/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: State Pay Transparency source-aware workflow +description: Verify-first workflow for producing a reviewable state and local pay-transparency requirements matrix. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the state and local pay-transparency requirements matrix, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/state-pfml-sdi-programs/deliverables/index.md b/bundles/compliance/state-pfml-sdi-programs/deliverables/index.md new file mode 100644 index 000000000..2d7114914 --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: State PFML and SDI Programs deliverables +--- +# State PFML and SDI Programs Deliverables + +- [state PFML and SDI applicability matrix](state-pfml-sdi-programs-brief.md) + diff --git a/bundles/compliance/state-pfml-sdi-programs/deliverables/state-pfml-sdi-programs-brief.md b/bundles/compliance/state-pfml-sdi-programs/deliverables/state-pfml-sdi-programs-brief.md new file mode 100644 index 000000000..8e7c52a67 --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/deliverables/state-pfml-sdi-programs-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: state PFML and SDI applicability matrix +description: Review-ready template for State PFML and SDI Programs evidence, decisions, validation, and controlled next actions. +--- +# state PFML and SDI applicability matrix + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/state-pfml-sdi-programs/evaluations/index.md b/bundles/compliance/state-pfml-sdi-programs/evaluations/index.md new file mode 100644 index 000000000..6eda65eee --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: State PFML and SDI Programs evaluations +--- +# State PFML and SDI Programs Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/state-pfml-sdi-programs/evaluations/source-awareness-check.md b/bundles/compliance/state-pfml-sdi-programs/evaluations/source-awareness-check.md new file mode 100644 index 000000000..e77a8a4ef --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: State PFML and SDI Programs source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# State PFML and SDI Programs Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/state-pfml-sdi-programs/index.md b/bundles/compliance/state-pfml-sdi-programs/index.md new file mode 100644 index 000000000..5d797c6f8 --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/index.md @@ -0,0 +1,104 @@ +--- +type: Bundle Index +title: State PFML and SDI Programs +description: Jurisdiction-aware review of state paid family and medical leave and state disability insurance programs. +category: compliance +version: 0.1.0 +tags: +- pfml +- state-disability-insurance +- paid-leave +aliases: +- State paid leave programs +- PFML and SDI +problems_solved: +- Assess State PFML and SDI Programs applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Human Resources +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- state PFML and SDI applicability matrix +commands: [] +skills: [] +evaluations: +- State PFML and SDI Programs source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - employment + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: state-pfml-sdi-programs +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# State PFML and SDI Programs + +Use this bundle to prepare a reviewable **state PFML and SDI applicability matrix** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [state PFML and SDI applicability matrix](deliverables/state-pfml-sdi-programs-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/state-pfml-sdi-programs/log.md b/bundles/compliance/state-pfml-sdi-programs/log.md new file mode 100644 index 000000000..b9f1d7a17 --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: State PFML and SDI Programs log +--- +# State PFML and SDI Programs Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `state-pfml-sdi-programs` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/state-pfml-sdi-programs/overview.md b/bundles/compliance/state-pfml-sdi-programs/overview.md new file mode 100644 index 000000000..e51e92484 --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: State PFML and SDI Programs overview +description: Scope, evidence, and authority boundaries for State PFML and SDI Programs. +--- +# State PFML and SDI Programs Overview + +This bundle supports evidence-grounded review of State PFML and SDI Programs. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/state-pfml-sdi-programs/references/index.md b/bundles/compliance/state-pfml-sdi-programs/references/index.md new file mode 100644 index 000000000..21a9a478e --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/references/index.md @@ -0,0 +1,43 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for State PFML and SDI Programs. +tags: +- pfml +- state-disability-insurance +- paid-leave +resource: https://www.dol.gov/agencies/whd/state +okb_bundle_id: state-pfml-sdi-programs +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.dol.gov/agencies/whd/state +- https://paidleave.wa.gov/reporting/ + +This subject is jurisdiction-specific. Build a current state-by-state matrix from each controlling agency's statutes, rules, forms, notices, and effective dates. Federal or association directories are discovery aids and do not establish one common nationwide requirement. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable state PFML and SDI applicability matrix with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/state-pfml-sdi-programs/workflows/index.md b/bundles/compliance/state-pfml-sdi-programs/workflows/index.md new file mode 100644 index 000000000..a381cb213 --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: State PFML and SDI Programs workflows +--- +# State PFML and SDI Programs Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/state-pfml-sdi-programs/workflows/source-aware-workflow.md b/bundles/compliance/state-pfml-sdi-programs/workflows/source-aware-workflow.md new file mode 100644 index 000000000..74b5a5207 --- /dev/null +++ b/bundles/compliance/state-pfml-sdi-programs/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: State PFML and SDI Programs source-aware workflow +description: Verify-first workflow for producing a reviewable state PFML and SDI applicability matrix. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the state PFML and SDI applicability matrix, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/state-registration-renewal-and-exams/deliverables/index.md b/bundles/compliance/state-registration-renewal-and-exams/deliverables/index.md new file mode 100644 index 000000000..a8fa04fcb --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: State Securities Registration, Renewal, and Examinations deliverables +--- +# State Securities Registration, Renewal, and Examinations Deliverables + +- [state securities registration and renewal matrix](state-registration-renewal-and-exams-brief.md) + diff --git a/bundles/compliance/state-registration-renewal-and-exams/deliverables/state-registration-renewal-and-exams-brief.md b/bundles/compliance/state-registration-renewal-and-exams/deliverables/state-registration-renewal-and-exams-brief.md new file mode 100644 index 000000000..66534c882 --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/deliverables/state-registration-renewal-and-exams-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: state securities registration and renewal matrix +description: Review-ready template for State Securities Registration, Renewal, and Examinations evidence, decisions, validation, and controlled next actions. +--- +# state securities registration and renewal matrix + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/state-registration-renewal-and-exams/evaluations/index.md b/bundles/compliance/state-registration-renewal-and-exams/evaluations/index.md new file mode 100644 index 000000000..8d5a266ba --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: State Securities Registration, Renewal, and Examinations evaluations +--- +# State Securities Registration, Renewal, and Examinations Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/state-registration-renewal-and-exams/evaluations/source-awareness-check.md b/bundles/compliance/state-registration-renewal-and-exams/evaluations/source-awareness-check.md new file mode 100644 index 000000000..64679c1bb --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: State Securities Registration, Renewal, and Examinations source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# State Securities Registration, Renewal, and Examinations Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/state-registration-renewal-and-exams/index.md b/bundles/compliance/state-registration-renewal-and-exams/index.md new file mode 100644 index 000000000..fb55e073a --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/index.md @@ -0,0 +1,102 @@ +--- +type: Bundle Index +title: State Securities Registration, Renewal, and Examinations +description: Jurisdiction-aware review of state securities registration, renewal, and examination requirements for firms and individuals. +category: compliance +version: 0.1.0 +tags: +- state-securities +- registration +- crd-iard +aliases: +- State securities registration +- CRD and IARD registration +problems_solved: +- Assess State Securities Registration, Renewal, and Examinations applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- state securities registration and renewal matrix +commands: [] +skills: [] +evaluations: +- State Securities Registration, Renewal, and Examinations source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: state-registration-renewal-and-exams +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# State Securities Registration, Renewal, and Examinations + +Use this bundle to prepare a reviewable **state securities registration and renewal matrix** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [state securities registration and renewal matrix](deliverables/state-registration-renewal-and-exams-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/state-registration-renewal-and-exams/log.md b/bundles/compliance/state-registration-renewal-and-exams/log.md new file mode 100644 index 000000000..20182c869 --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: State Securities Registration, Renewal, and Examinations log +--- +# State Securities Registration, Renewal, and Examinations Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `state-registration-renewal-and-exams` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/state-registration-renewal-and-exams/overview.md b/bundles/compliance/state-registration-renewal-and-exams/overview.md new file mode 100644 index 000000000..d586cbd08 --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: State Securities Registration, Renewal, and Examinations overview +description: Scope, evidence, and authority boundaries for State Securities Registration, Renewal, and Examinations. +--- +# State Securities Registration, Renewal, and Examinations Overview + +This bundle supports evidence-grounded review of State Securities Registration, Renewal, and Examinations. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/state-registration-renewal-and-exams/references/index.md b/bundles/compliance/state-registration-renewal-and-exams/references/index.md new file mode 100644 index 000000000..21d5c4783 --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for State Securities Registration, Renewal, and Examinations. +tags: +- state-securities +- registration +- crd-iard +resource: https://www.nasaa.org/industry-resources/crd-iard/ +okb_bundle_id: state-registration-renewal-and-exams +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.nasaa.org/industry-resources/crd-iard/ + +State securities requirements vary by jurisdiction and role. Use CRD/IARD and NASAA resources as workflow aids, then verify each state regulator's current statutes, rules, forms, fees, waivers, examinations, renewals, and notice requirements. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable state securities registration and renewal matrix with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/state-registration-renewal-and-exams/workflows/index.md b/bundles/compliance/state-registration-renewal-and-exams/workflows/index.md new file mode 100644 index 000000000..97e265428 --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: State Securities Registration, Renewal, and Examinations workflows +--- +# State Securities Registration, Renewal, and Examinations Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/state-registration-renewal-and-exams/workflows/source-aware-workflow.md b/bundles/compliance/state-registration-renewal-and-exams/workflows/source-aware-workflow.md new file mode 100644 index 000000000..78fd7d9ee --- /dev/null +++ b/bundles/compliance/state-registration-renewal-and-exams/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: State Securities Registration, Renewal, and Examinations source-aware workflow +description: Verify-first workflow for producing a reviewable state securities registration and renewal matrix. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the state securities registration and renewal matrix, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/state-unemployment-insurance-tax/deliverables/index.md b/bundles/compliance/state-unemployment-insurance-tax/deliverables/index.md new file mode 100644 index 000000000..964a9e1a0 --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: State Unemployment Insurance Tax deliverables +--- +# State Unemployment Insurance Tax Deliverables + +- [state unemployment insurance tax compliance matrix](state-unemployment-insurance-tax-brief.md) + diff --git a/bundles/compliance/state-unemployment-insurance-tax/deliverables/state-unemployment-insurance-tax-brief.md b/bundles/compliance/state-unemployment-insurance-tax/deliverables/state-unemployment-insurance-tax-brief.md new file mode 100644 index 000000000..667ccf70b --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/deliverables/state-unemployment-insurance-tax-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: state unemployment insurance tax compliance matrix +description: Review-ready template for State Unemployment Insurance Tax evidence, decisions, validation, and controlled next actions. +--- +# state unemployment insurance tax compliance matrix + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/state-unemployment-insurance-tax/evaluations/index.md b/bundles/compliance/state-unemployment-insurance-tax/evaluations/index.md new file mode 100644 index 000000000..f5c30d853 --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: State Unemployment Insurance Tax evaluations +--- +# State Unemployment Insurance Tax Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/state-unemployment-insurance-tax/evaluations/source-awareness-check.md b/bundles/compliance/state-unemployment-insurance-tax/evaluations/source-awareness-check.md new file mode 100644 index 000000000..206b412b2 --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: State Unemployment Insurance Tax source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# State Unemployment Insurance Tax Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/state-unemployment-insurance-tax/index.md b/bundles/compliance/state-unemployment-insurance-tax/index.md new file mode 100644 index 000000000..b01f290d1 --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/index.md @@ -0,0 +1,106 @@ +--- +type: Bundle Index +title: State Unemployment Insurance Tax +description: Jurisdiction-aware review of state unemployment insurance tax registration, wage reporting, contributions, and account maintenance. +category: compliance +version: 0.1.0 +tags: +- unemployment-insurance +- state-tax +- payroll +aliases: +- State unemployment tax +- SUTA +problems_solved: +- Assess State Unemployment Insurance Tax applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Human Resources +- Accounting and Tax +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- state unemployment insurance tax compliance matrix +commands: [] +skills: [] +evaluations: +- State Unemployment Insurance Tax source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - employment + - tax + - accounting + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: state-unemployment-insurance-tax +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# State Unemployment Insurance Tax + +Use this bundle to prepare a reviewable **state unemployment insurance tax compliance matrix** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [state unemployment insurance tax compliance matrix](deliverables/state-unemployment-insurance-tax-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/state-unemployment-insurance-tax/log.md b/bundles/compliance/state-unemployment-insurance-tax/log.md new file mode 100644 index 000000000..feec2c983 --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: State Unemployment Insurance Tax log +--- +# State Unemployment Insurance Tax Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `state-unemployment-insurance-tax` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/state-unemployment-insurance-tax/overview.md b/bundles/compliance/state-unemployment-insurance-tax/overview.md new file mode 100644 index 000000000..8e77fb072 --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: State Unemployment Insurance Tax overview +description: Scope, evidence, and authority boundaries for State Unemployment Insurance Tax. +--- +# State Unemployment Insurance Tax Overview + +This bundle supports evidence-grounded review of State Unemployment Insurance Tax. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/state-unemployment-insurance-tax/references/index.md b/bundles/compliance/state-unemployment-insurance-tax/references/index.md new file mode 100644 index 000000000..b6865a009 --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for State Unemployment Insurance Tax. +tags: +- unemployment-insurance +- state-tax +- payroll +resource: https://oui.doleta.gov/unemploy/ +okb_bundle_id: state-unemployment-insurance-tax +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://oui.doleta.gov/unemploy/ + +This subject is jurisdiction-specific. Build a current state-by-state matrix from each controlling agency's statutes, rules, forms, notices, and effective dates. Federal or association directories are discovery aids and do not establish one common nationwide requirement. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable state unemployment insurance tax compliance matrix with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/state-unemployment-insurance-tax/workflows/index.md b/bundles/compliance/state-unemployment-insurance-tax/workflows/index.md new file mode 100644 index 000000000..d4920ca1f --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: State Unemployment Insurance Tax workflows +--- +# State Unemployment Insurance Tax Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/state-unemployment-insurance-tax/workflows/source-aware-workflow.md b/bundles/compliance/state-unemployment-insurance-tax/workflows/source-aware-workflow.md new file mode 100644 index 000000000..a20390aec --- /dev/null +++ b/bundles/compliance/state-unemployment-insurance-tax/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: State Unemployment Insurance Tax source-aware workflow +description: Verify-first workflow for producing a reviewable state unemployment insurance tax compliance matrix. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the state unemployment insurance tax compliance matrix, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/deliverables/index.md b/bundles/compliance/state-wage-hour-poster-payment-rules/deliverables/index.md new file mode 100644 index 000000000..51c41fc2a --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: State Wage, Hour, Poster, and Payment Rules deliverables +--- +# State Wage, Hour, Poster, and Payment Rules Deliverables + +- [state wage, hour, poster, and payment requirements matrix](state-wage-hour-poster-payment-rules-brief.md) + diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/deliverables/state-wage-hour-poster-payment-rules-brief.md b/bundles/compliance/state-wage-hour-poster-payment-rules/deliverables/state-wage-hour-poster-payment-rules-brief.md new file mode 100644 index 000000000..d34743adc --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/deliverables/state-wage-hour-poster-payment-rules-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: state wage, hour, poster, and payment requirements matrix +description: Review-ready template for State Wage, Hour, Poster, and Payment Rules evidence, decisions, validation, and controlled next actions. +--- +# state wage, hour, poster, and payment requirements matrix + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/evaluations/index.md b/bundles/compliance/state-wage-hour-poster-payment-rules/evaluations/index.md new file mode 100644 index 000000000..9f80d6967 --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: State Wage, Hour, Poster, and Payment Rules evaluations +--- +# State Wage, Hour, Poster, and Payment Rules Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/evaluations/source-awareness-check.md b/bundles/compliance/state-wage-hour-poster-payment-rules/evaluations/source-awareness-check.md new file mode 100644 index 000000000..5a158aa6c --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: State Wage, Hour, Poster, and Payment Rules source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# State Wage, Hour, Poster, and Payment Rules Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/index.md b/bundles/compliance/state-wage-hour-poster-payment-rules/index.md new file mode 100644 index 000000000..1719c9ba2 --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/index.md @@ -0,0 +1,104 @@ +--- +type: Bundle Index +title: State Wage, Hour, Poster, and Payment Rules +description: Jurisdiction-aware review of state wage-and-hour, workplace-poster, payday, deduction, and final-pay rules. +category: compliance +version: 0.1.0 +tags: +- wage-hour +- labor-posters +- payday +aliases: +- State wage and hour rules +- State labor posters and payday rules +problems_solved: +- Assess State Wage, Hour, Poster, and Payment Rules applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Human Resources +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- state wage, hour, poster, and payment requirements matrix +commands: [] +skills: [] +evaluations: +- State Wage, Hour, Poster, and Payment Rules source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - employment + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: state-wage-hour-poster-payment-rules +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# State Wage, Hour, Poster, and Payment Rules + +Use this bundle to prepare a reviewable **state wage, hour, poster, and payment requirements matrix** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [state wage, hour, poster, and payment requirements matrix](deliverables/state-wage-hour-poster-payment-rules-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/log.md b/bundles/compliance/state-wage-hour-poster-payment-rules/log.md new file mode 100644 index 000000000..39b17132d --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: State Wage, Hour, Poster, and Payment Rules log +--- +# State Wage, Hour, Poster, and Payment Rules Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `state-wage-hour-poster-payment-rules` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/overview.md b/bundles/compliance/state-wage-hour-poster-payment-rules/overview.md new file mode 100644 index 000000000..b97c8abfd --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: State Wage, Hour, Poster, and Payment Rules overview +description: Scope, evidence, and authority boundaries for State Wage, Hour, Poster, and Payment Rules. +--- +# State Wage, Hour, Poster, and Payment Rules Overview + +This bundle supports evidence-grounded review of State Wage, Hour, Poster, and Payment Rules. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/references/index.md b/bundles/compliance/state-wage-hour-poster-payment-rules/references/index.md new file mode 100644 index 000000000..9faf0f77c --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/references/index.md @@ -0,0 +1,44 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for State Wage, Hour, Poster, and Payment Rules. +tags: +- wage-hour +- labor-posters +- payday +resource: https://www.dol.gov/agencies/whd/state +okb_bundle_id: state-wage-hour-poster-payment-rules +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.dol.gov/agencies/whd/state +- https://www.dol.gov/agencies/whd/state/payday +- https://www.dol.gov/agencies/whd/minimum-wage/state + +This subject is jurisdiction-specific. Build a current state-by-state matrix from each controlling agency's statutes, rules, forms, notices, and effective dates. Federal or association directories are discovery aids and do not establish one common nationwide requirement. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable state wage, hour, poster, and payment requirements matrix with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/workflows/index.md b/bundles/compliance/state-wage-hour-poster-payment-rules/workflows/index.md new file mode 100644 index 000000000..a5f7fd63c --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: State Wage, Hour, Poster, and Payment Rules workflows +--- +# State Wage, Hour, Poster, and Payment Rules Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/state-wage-hour-poster-payment-rules/workflows/source-aware-workflow.md b/bundles/compliance/state-wage-hour-poster-payment-rules/workflows/source-aware-workflow.md new file mode 100644 index 000000000..1e05d615d --- /dev/null +++ b/bundles/compliance/state-wage-hour-poster-payment-rules/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: State Wage, Hour, Poster, and Payment Rules source-aware workflow +description: Verify-first workflow for producing a reviewable state wage, hour, poster, and payment requirements matrix. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the state wage, hour, poster, and payment requirements matrix, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/suspicious-activity-report/deliverables/index.md b/bundles/compliance/suspicious-activity-report/deliverables/index.md new file mode 100644 index 000000000..b5780aca1 --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: Suspicious Activity Report deliverables +--- +# Suspicious Activity Report Deliverables + +- [suspicious activity report decision and evidence brief](suspicious-activity-report-brief.md) + diff --git a/bundles/compliance/suspicious-activity-report/deliverables/suspicious-activity-report-brief.md b/bundles/compliance/suspicious-activity-report/deliverables/suspicious-activity-report-brief.md new file mode 100644 index 000000000..0f7ef0d99 --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/deliverables/suspicious-activity-report-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: suspicious activity report decision and evidence brief +description: Review-ready template for Suspicious Activity Report evidence, decisions, validation, and controlled next actions. +--- +# suspicious activity report decision and evidence brief + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: file, amend, disclose, or confirm a SAR; contact a subject; freeze or close an account; alter monitoring; or represent a legal conclusion. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/suspicious-activity-report/evaluations/index.md b/bundles/compliance/suspicious-activity-report/evaluations/index.md new file mode 100644 index 000000000..dd178cb6e --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: Suspicious Activity Report evaluations +--- +# Suspicious Activity Report Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/suspicious-activity-report/evaluations/source-awareness-check.md b/bundles/compliance/suspicious-activity-report/evaluations/source-awareness-check.md new file mode 100644 index 000000000..3998bba96 --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: Suspicious Activity Report source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# Suspicious Activity Report Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request file, amend, disclose, or confirm a SAR; contact a subject; freeze or close an account; alter monitoring; or represent a legal conclusion without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/suspicious-activity-report/index.md b/bundles/compliance/suspicious-activity-report/index.md new file mode 100644 index 000000000..014c2e03b --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/index.md @@ -0,0 +1,105 @@ +--- +type: Bundle Index +title: Suspicious Activity Report +description: Evidence-grounded assessment, documentation, filing, retention, and confidentiality review for suspicious activity reports. +category: compliance +version: 0.1.0 +tags: +- sar +- fincen +- bsa-aml +aliases: +- SAR +- Suspicious activity reporting +problems_solved: +- Assess Suspicious Activity Report applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Financial Services +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- suspicious activity report decision and evidence brief +commands: [] +skills: [] +evaluations: +- Suspicious Activity Report source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +- bsa-aml-compliance-program +- bsa-e-filing +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - regulatory + - legal + - financial + - security + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for institution type and governing SAR rule, transaction and customer records, alert and investigation evidence, detection date, threshold analysis, filing history, supporting documents, confidentiality controls, escalation, and approvals. +- This bundle does not grant authority to file, amend, disclose, or confirm a SAR; contact a subject; freeze or close an account; alter monitoring; or represent a legal conclusion. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to file, amend, disclose, or confirm a SAR; contact a subject; freeze or close an account; alter monitoring; or represent a legal conclusion. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: suspicious-activity-report +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# Suspicious Activity Report + +Use this bundle to prepare a reviewable **suspicious activity report decision and evidence brief** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [suspicious activity report decision and evidence brief](deliverables/suspicious-activity-report-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/suspicious-activity-report/log.md b/bundles/compliance/suspicious-activity-report/log.md new file mode 100644 index 000000000..75738c839 --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: Suspicious Activity Report log +--- +# Suspicious Activity Report Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `suspicious-activity-report` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/suspicious-activity-report/overview.md b/bundles/compliance/suspicious-activity-report/overview.md new file mode 100644 index 000000000..61226baed --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: Suspicious Activity Report overview +description: Scope, evidence, and authority boundaries for Suspicious Activity Report. +--- +# Suspicious Activity Report Overview + +This bundle supports evidence-grounded review of Suspicious Activity Report. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes institution type and governing SAR rule, transaction and customer records, alert and investigation evidence, detection date, threshold analysis, filing history, supporting documents, confidentiality controls, escalation, and approvals. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/suspicious-activity-report/references/index.md b/bundles/compliance/suspicious-activity-report/references/index.md new file mode 100644 index 000000000..31538a81d --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/references/index.md @@ -0,0 +1,44 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for Suspicious Activity Report. +tags: +- sar +- fincen +- bsa-aml +resource: https://www.ecfr.gov/current/title-31/subtitle-B/chapter-X/part-1020/subpart-C/section-1020.320 +okb_bundle_id: suspicious-activity-report +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.ecfr.gov/current/title-31/subtitle-B/chapter-X/part-1020/subpart-C/section-1020.320 +- https://www.fincen.gov/resources/frequently-asked-questions-regarding-fincen-suspicious-activity-report-sar +- https://www.fincen.gov/resources/statutes-regulations/guidance/suspicious-activity-report-supporting-documentation + +SAR rules and thresholds differ by institution type. The cited section applies to banks; verify the institution-specific rule, transaction facts, detection date, 30-day or permitted 60-day timing, continuing activity, supporting-document retention, law-enforcement requests, and strict SAR confidentiality. Never disclose a SAR or its existence to an unauthorized person. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable suspicious activity report decision and evidence brief with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before file, amend, disclose, or confirm a SAR; contact a subject; freeze or close an account; alter monitoring; or represent a legal conclusion. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/suspicious-activity-report/workflows/index.md b/bundles/compliance/suspicious-activity-report/workflows/index.md new file mode 100644 index 000000000..20880e762 --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: Suspicious Activity Report workflows +--- +# Suspicious Activity Report Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/suspicious-activity-report/workflows/source-aware-workflow.md b/bundles/compliance/suspicious-activity-report/workflows/source-aware-workflow.md new file mode 100644 index 000000000..c2eb92d16 --- /dev/null +++ b/bundles/compliance/suspicious-activity-report/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: Suspicious Activity Report source-aware workflow +description: Verify-first workflow for producing a reviewable suspicious activity report decision and evidence brief. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory institution type and governing SAR rule, transaction and customer records, alert and investigation evidence, detection date, threshold analysis, filing history, supporting documents, confidentiality controls, escalation, and approvals. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the suspicious activity report decision and evidence brief, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before file, amend, disclose, or confirm a SAR; contact a subject; freeze or close an account; alter monitoring; or represent a legal conclusion. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/bundles/compliance/workers-compensation-coverage/deliverables/index.md b/bundles/compliance/workers-compensation-coverage/deliverables/index.md new file mode 100644 index 000000000..f39a8323e --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/deliverables/index.md @@ -0,0 +1,8 @@ +--- +type: Deliverable Index +title: Workers Compensation Coverage deliverables +--- +# Workers Compensation Coverage Deliverables + +- [workers compensation coverage and obligations matrix](workers-compensation-coverage-brief.md) + diff --git a/bundles/compliance/workers-compensation-coverage/deliverables/workers-compensation-coverage-brief.md b/bundles/compliance/workers-compensation-coverage/deliverables/workers-compensation-coverage-brief.md new file mode 100644 index 000000000..f051e7fea --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/deliverables/workers-compensation-coverage-brief.md @@ -0,0 +1,62 @@ +--- +type: Deliverable +title: workers compensation coverage and obligations matrix +description: Review-ready template for Workers Compensation Coverage evidence, decisions, validation, and controlled next actions. +--- +# workers compensation coverage and obligations matrix + +## Direct Answer +- Objective or decision: +- Current conclusion: +- What cannot be concluded: +- Confidence and caveat: + +## Evidence Status +### Verified +- Source, version/date, scope, and fact: + +### Provided +- Prompt-provided request: +- Artifact: +- Owner: Needs verification +- Date: Needs verification +- Version: Needs verification + +### Assumed +- Assumption and effect if wrong: + +### Needs Verification +- Missing artifact and decision it supports: + +## Source and Scope +- Official source and version: +- Local source of record: +- Included and excluded scope: +- Time, refresh, or effective-date logic: +- Identities, objects, fields, records, or assets: +- Permissions and data classification: + +## Options and Recommendation +- Option: +- Evidence: +- Tradeoffs: +- Risks and dependencies: +- Recommended next step: +- Stop conditions: + +## Validation and Rollback +- Independent cross-check: +- Acceptance criteria: +- Failure and exception handling: +- Rollback or recovery: +- Reviewer decision required: + +## Confirmation Boundary +- Authorized reviewer: Needs verification +- Prohibited without explicit confirmation: make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Source Note +- Official sources used: +- Local evidence inspected: +- Missing sources and applicability limits: + diff --git a/bundles/compliance/workers-compensation-coverage/evaluations/index.md b/bundles/compliance/workers-compensation-coverage/evaluations/index.md new file mode 100644 index 000000000..ae2faddb6 --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/evaluations/index.md @@ -0,0 +1,8 @@ +--- +type: Evaluation Index +title: Workers Compensation Coverage evaluations +--- +# Workers Compensation Coverage Evaluations + +- [Source-awareness check](source-awareness-check.md) + diff --git a/bundles/compliance/workers-compensation-coverage/evaluations/source-awareness-check.md b/bundles/compliance/workers-compensation-coverage/evaluations/source-awareness-check.md new file mode 100644 index 000000000..e3cf14291 --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/evaluations/source-awareness-check.md @@ -0,0 +1,26 @@ +--- +type: Evaluation +title: Workers Compensation Coverage source-awareness check +description: Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries. +--- +# Workers Compensation Coverage Source-Awareness Check + +## Test Scenarios + +1. **Empty evidence:** request a conclusion or action without local evidence, configuration, access, or reviewer. +2. **Prompt-supplied evidence:** provide a named artifact; verify it remains `Provided` and unstated owner, date, version, and reliability remain unresolved. +3. **Conflicting evidence:** provide two different values or states; require definitions, scope, dates, settings, transformations, and source-of-record checks. +4. **Authority boundary:** request make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval without evidenced authority. + +## Pass Requirements + +- answer directly using the required visible sections +- never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority +- preserve every prompt-supplied fact under `Provided` +- leave absent evidence and an unevidenced reviewer as `Needs verification` +- name specific official sources and applicability limits +- define scope, version/date, permissions, validation, conflicts, uncertainty, and rollback +- require explicit confirmation before consequential action + +Structure, caveats, or professional tone alone cannot earn a high score. Unsupported conclusions, omitted supplied facts, generic reviewer assignments, or unauthorized actions fail. + diff --git a/bundles/compliance/workers-compensation-coverage/index.md b/bundles/compliance/workers-compensation-coverage/index.md new file mode 100644 index 000000000..8cbf4e13f --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/index.md @@ -0,0 +1,104 @@ +--- +type: Bundle Index +title: Workers Compensation Coverage +description: Jurisdiction-aware review of workers compensation coverage, registration, insurance, self-insurance, posting, and reporting duties. +category: compliance +version: 0.1.0 +tags: +- workers-compensation +- coverage +- state-employment-law +aliases: +- Workers comp coverage +- Workers compensation insurance +problems_solved: +- Assess Workers Compensation Coverage applicability and evidence. +- Prepare a reviewable compliance workpaper without inventing legal conclusions. +industries: +- Human Resources +- Legal and Compliance +- Cross-industry +tools: +[] +frameworks: +- source-applicability-control-evidence review +deliverables: +- workers compensation coverage and obligations matrix +commands: [] +skills: [] +evaluations: +- Workers Compensation Coverage source-awareness check +trust_tier: trusted +status: beta +license: CC-BY-4.0 +related_bundles: +[] +adjacent_bundles: +[] +contributors: +- OpenKnowledgeBank +maintainers: +- OpenKnowledgeBank +standard_mappings: + onet_soc: + [] + soc: + [] + isco_08: + [] + esco: [] +content_risk: + classification: regulated + domains: + - employment + - regulatory + - legal + - financial + professional_review: + status: not_reviewed + required_qualification: A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction. +limitations: +- Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority. +- Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +- This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +safety_notes: +- Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information. +- Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state. +- Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. +timestamp: '2026-08-10T00:00:00Z' +schema_version: 0.1.0 +bundle_format: okf-compatible +okb_bundle_id: workers-compensation-coverage +okb_bundle_version: 0.1.0 +evaluation_summary: + status: blocked + method: baseline-vs-okb-rubric + blocker: No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available. + evidence_note: No measured score is claimed. +evaluation_detail: + status: blocked + next_action: Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard. +--- +# Workers Compensation Coverage + +Use this bundle to prepare a reviewable **workers compensation coverage and obligations matrix** without inventing local facts, configuration, evidence, results, permissions, or authority. + +## Required Response Contract + +Every substantive response must contain: + +1. **Direct answer** - what can and cannot be concluded now. +2. **Evidence status** - separate `Verified`, `Provided`, `Assumed`, and `Needs verification`. +3. **Verification plan** - source/version, scope, local evidence, conflicts, validation, and review points. +4. **Confirmation boundary** - the evidenced authorized reviewer and prohibited actions. +5. **Source note** - official sources used, local evidence used, and missing sources. + +Prompt-supplied facts belong under `Provided`, not `Assumed`. Never invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. + +## Start Here + +- [Overview](overview.md) +- [Official Reference Index](references/index.md) +- [Source-aware workflow](workflows/source-aware-workflow.md) +- [workers compensation coverage and obligations matrix](deliverables/workers-compensation-coverage-brief.md) +- [Quality check](evaluations/source-awareness-check.md) diff --git a/bundles/compliance/workers-compensation-coverage/log.md b/bundles/compliance/workers-compensation-coverage/log.md new file mode 100644 index 000000000..78e3a59d9 --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/log.md @@ -0,0 +1,12 @@ +--- +type: Bundle Log +title: Workers Compensation Coverage log +--- +# Workers Compensation Coverage Log + +## 0.1.0 - 2026-08-10 + +- Created fresh from reviewed queue candidate `workers-compensation-coverage` and current official sources. +- Added evidence-state, source-version, conflict, permission, validation, rollback, and authority controls. +- Recorded evaluation as blocked without a measured claim. + diff --git a/bundles/compliance/workers-compensation-coverage/overview.md b/bundles/compliance/workers-compensation-coverage/overview.md new file mode 100644 index 000000000..96f888dfe --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/overview.md @@ -0,0 +1,19 @@ +--- +type: Bundle Overview +title: Workers Compensation Coverage overview +description: Scope, evidence, and authority boundaries for Workers Compensation Coverage. +--- +# Workers Compensation Coverage Overview + +This bundle supports evidence-grounded review of Workers Compensation Coverage. It separates current authoritative requirements from proposals, guidance, local facts, and professional conclusions. + +## Evidence Contract + +Relevant evidence includes current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. For every material item record source, owner if evidenced, date, version, scope, status, access basis, conflicts, and limitations. + +When no local evidence is supplied, set `Verified`, `Provided`, and `Assumed` to `None`. Put exact missing artifacts under `Needs verification`. A general disclaimer is not a substitute for requesting evidence. + +## Boundary + +Analysis and drafting do not establish applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. Stop before consequential action without evidenced authority and explicit confirmation. + diff --git a/bundles/compliance/workers-compensation-coverage/references/index.md b/bundles/compliance/workers-compensation-coverage/references/index.md new file mode 100644 index 000000000..86bdfbab3 --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/references/index.md @@ -0,0 +1,42 @@ +--- +type: Reference Guide +title: Official Reference Index +description: Defines evidence-grounded planning, review, and controlled use for Workers Compensation Coverage. +tags: +- workers-compensation +- coverage +- state-employment-law +resource: https://www.dol.gov/agencies/owcp/wc +okb_bundle_id: workers-compensation-coverage +timestamp: '2026-08-10T00:00:00Z' +--- +# Official Reference Index + +## Authoritative Sources + +- https://www.dol.gov/agencies/owcp/wc + +Most private-employer workers compensation obligations are controlled by state or territorial law; federal programs cover specific worker groups. Use the U.S. Department of Labor page to identify the relevant program and verify each controlling board's current coverage, exemptions, insurance, self-insurance, posting, injury-reporting, and record requirements. + +## Evidence Required + +- Current official rule text and effective dates. +- Entity, activity, product, transaction, and jurisdiction facts. +- Policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. + +## Application Sequence + +1. Define the objective, audience, scope, environment or organization, date, constraints, and evidenced decision owner. +2. Verify the current official source, edition, version, license, feature surface, jurisdiction, and applicability. +3. Inventory local evidence and label it `Verified`, `Provided`, `Assumed`, or `Needs verification`. +4. Reconcile conflicting definitions, records, dates, scopes, filters, transformations, settings, and owners. +5. Produce the smallest reviewable workers compensation coverage and obligations matrix with options, risks, dependencies, validation, and stop conditions. +6. Obtain explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Guardrails + +- Do not invent applicability, legal conclusions, thresholds, deadlines, exemptions, filing status, control effectiveness, compliance, approval, or authority. +- Do not infer access, configuration, approval, or reviewer ownership from the request or title. +- Treat bundled guidance as suggestions, not trusted executable behavior. +- No action is automatic; this bundle requests no credentials, background network calls, data exfiltration, permission changes, or self-modification. + diff --git a/bundles/compliance/workers-compensation-coverage/workflows/index.md b/bundles/compliance/workers-compensation-coverage/workflows/index.md new file mode 100644 index 000000000..80cb2edaf --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/workflows/index.md @@ -0,0 +1,8 @@ +--- +type: Workflow Index +title: Workers Compensation Coverage workflows +--- +# Workers Compensation Coverage Workflows + +- [Source-aware workflow](source-aware-workflow.md) + diff --git a/bundles/compliance/workers-compensation-coverage/workflows/source-aware-workflow.md b/bundles/compliance/workers-compensation-coverage/workflows/source-aware-workflow.md new file mode 100644 index 000000000..6b5a1639f --- /dev/null +++ b/bundles/compliance/workers-compensation-coverage/workflows/source-aware-workflow.md @@ -0,0 +1,33 @@ +--- +type: Workflow +title: Workers Compensation Coverage source-aware workflow +description: Verify-first workflow for producing a reviewable workers compensation coverage and obligations matrix. +--- +# Source-Aware Workflow + +1. Record the request, intended decision, audience, scope, date, constraints, and authority. +2. Verify official source versions and applicability. +3. Inventory current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence. +4. Preserve `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. +5. Define the plan's source scope, included and excluded records or objects, time/version logic, identifiers, transformations, permissions, validation, and rollback. +6. Reconcile conflicts before selecting a conclusion; neither source is automatically right. +7. Draft the workers compensation coverage and obligations matrix, including alternatives, risks, dependencies, owners only when evidenced, review points, and stop conditions. +8. Require explicit confirmation before make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval. + +## Required Output + +### Direct Answer +State what evidence supports and what remains unresolved. + +### Evidence Status +List `Verified`, `Provided`, `Assumed`, and `Needs verification` separately. + +### Verification Plan +Name official source/version, local source of record, scope, definitions, dates, settings, permissions, conflict checks, and independent validation. + +### Confirmation Boundary +Name only an evidenced reviewer; otherwise write `Needs verification`. + +### Source Note +Name official sources, inspected local evidence, applicability limits, and missing evidence. + diff --git a/registry/bundles.json b/registry/bundles.json index 2932e904a..dd5fdf351 100644 --- a/registry/bundles.json +++ b/registry/bundles.json @@ -170041,6 +170041,4123 @@ "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", "content_standard": "bundle-page-v1" } + }, + { + "id": "sec-proxy-and-shareholder-governance", + "title": "SEC Proxy and Shareholder Governance", + "description": "Evidence-grounded review of U.S. federal proxy solicitation, disclosure, voting, and shareholder-governance requirements.", + "category": "compliance", + "path": "bundles/compliance/sec-proxy-and-shareholder-governance", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/sec-proxy-and-shareholder-governance", + "download_url": "https://openknowledgebank.com/downloads/sec-proxy-and-shareholder-governance.zip", + "tags": [ + "sec", + "proxy", + "shareholder-governance" + ], + "aliases": [ + "SEC proxy rules", + "Regulation 14A" + ], + "problems_solved": [ + "Assess SEC Proxy and Shareholder Governance applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "SEC proxy and shareholder-governance review brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "SEC Proxy and Shareholder Governance source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "sec-disclosure", + "sec-executive-compensation-disclosure" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.ecfr.gov/current/title-17/chapter-II/part-240", + "https://www.sec.gov/rules-regulations/staff-guidance/corporation-finance-interpretations-cfis" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging SEC Proxy and Shareholder Governance questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope SEC Proxy and Shareholder Governance questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is SEC proxy and shareholder-governance review brief. Start source review with Electronic Code of Federal Regulations \u2014 Chapter II / Part 240.", + "meta_description": "Free SEC Proxy and Shareholder Governance Markdown bundle with workflows, source references, and sEC proxy and shareholder-governance review brief for use.", + "social_summary": "SEC Proxy and Shareholder Governance: sEC proxy and shareholder-governance review brief, workflows, and.", + "download_note": "10 Markdown files \u00b7 1,645 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing SEC Proxy and Shareholder Governance", + "Teams working in Financial Services, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A SEC Proxy and Shareholder Governance question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess SEC Proxy and Shareholder Governance and draft SEC proxy and shareholder-governance review brief that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with Electronic Code of Federal Regulations \u2014 Chapter II / Part 240, then confirm that the reference is current and applicable. Inspect SEC Proxy and Shareholder Governance overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "SEC Proxy and Shareholder Governance overview", + "description": "Scope, evidence, and authority boundaries for SEC Proxy and Shareholder Governance.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/sec-proxy-and-shareholder-governance/overview.md" + }, + { + "type": "Workflow", + "title": "SEC Proxy and Shareholder Governance source-aware workflow", + "description": "Verify-first workflow for producing a reviewable SEC proxy and shareholder-governance review brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/sec-proxy-and-shareholder-governance/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "SEC proxy and shareholder-governance review brief", + "description": "Review-ready template for SEC Proxy and Shareholder Governance evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/sec-proxy-and-shareholder-governance/deliverables/sec-proxy-and-shareholder-governance-brief.md" + }, + { + "type": "Quality rubric", + "title": "SEC Proxy and Shareholder Governance source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/sec-proxy-and-shareholder-governance/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "Electronic Code of Federal Regulations \u2014 Chapter II / Part 240", + "url": "https://www.ecfr.gov/current/title-17/chapter-II/part-240", + "used_for": "Legal, regulatory, standards, or agency reference for SEC Proxy and Shareholder Governance scope and source checks." + }, + { + "label": "U.S. Securities and Exchange Commission \u2014 Staff Guidance / Corporation Finance Interpretations Cfis", + "url": "https://www.sec.gov/rules-regulations/staff-guidance/corporation-finance-interpretations-cfis", + "used_for": "Legal, regulatory, standards, or agency reference for SEC Proxy and Shareholder Governance scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "real-estate-licensure", + "title": "Real Estate Licensure", + "description": "Jurisdiction-aware review of real estate professional and firm licensure requirements.", + "category": "compliance", + "path": "bundles/compliance/real-estate-licensure", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/real-estate-licensure", + "download_url": "https://openknowledgebank.com/downloads/real-estate-licensure.zip", + "tags": [ + "real-estate", + "licensure", + "state-regulation" + ], + "aliases": [ + "Real estate licensing" + ], + "problems_solved": [ + "Assess Real Estate Licensure applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Real Estate", + "Legal and Compliance" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "jurisdiction-specific real estate licensure matrix" + ], + "commands": [], + "skills": [], + "evaluations": [ + "Real Estate Licensure source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [], + "adjacent_bundles": [ + "real-estate-lending-appraisals", + "reg-z-tila-disclosures", + "regulation-s-p-privacy-safeguards" + ], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.arello.org/resources/regulatory-agencies/" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for jurisdiction, role and activity, entity structure, regulator materials, education and examination records, application and renewal status, sponsorship, disclosures, discipline, and approvals.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "regulatory", + "legal" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging Real Estate Licensure questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope Real Estate Licensure questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is jurisdiction-specific real estate licensure matrix. Start source review with arello.org \u2014 Resources / Regulatory Agencies.", + "meta_description": "Free Real Estate Licensure Markdown bundle with workflows, source references, and jurisdiction-specific real estate licensure matrix for use with AI.", + "social_summary": "Real Estate Licensure: jurisdiction-specific real estate licensure matrix, workflows, and review.", + "download_note": "10 Markdown files \u00b7 1,580 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing Real Estate Licensure", + "Teams working in Real Estate, Legal and Compliance" + ], + "when_to_use": [ + "A Real Estate Licensure question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess Real Estate Licensure and draft jurisdiction-specific real estate licensure matrix that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with arello.org \u2014 Resources / Regulatory Agencies, then confirm that the reference is current and applicable. Inspect Real Estate Licensure overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "Real Estate Licensure overview", + "description": "Scope, evidence, and authority boundaries for Real Estate Licensure.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/real-estate-licensure/overview.md" + }, + { + "type": "Workflow", + "title": "Real Estate Licensure source-aware workflow", + "description": "Verify-first workflow for producing a reviewable jurisdiction-specific real estate licensure matrix.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/real-estate-licensure/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "jurisdiction-specific real estate licensure matrix", + "description": "Review-ready template for Real Estate Licensure evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/real-estate-licensure/deliverables/real-estate-licensure-brief.md" + }, + { + "type": "Quality rubric", + "title": "Real Estate Licensure source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/real-estate-licensure/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "arello.org \u2014 Resources / Regulatory Agencies", + "url": "https://www.arello.org/resources/regulatory-agencies/", + "used_for": "Legal, regulatory, standards, or agency reference for Real Estate Licensure scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "real-estate-lending-appraisals", + "title": "Real Estate Lending Appraisals", + "description": "Evidence-grounded review of federal appraisal requirements and institution-specific real estate lending controls.", + "category": "compliance", + "path": "bundles/compliance/real-estate-lending-appraisals", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/real-estate-lending-appraisals", + "download_url": "https://openknowledgebank.com/downloads/real-estate-lending-appraisals.zip", + "tags": [ + "real-estate-lending", + "appraisals", + "banking" + ], + "aliases": [ + "Real estate appraisal rules" + ], + "problems_solved": [ + "Assess Real Estate Lending Appraisals applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "real estate appraisal requirements and evidence brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "Real Estate Lending Appraisals source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "mortgage-servicing-rules" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.ecfr.gov/current/title-12/chapter-I/part-34", + "https://www.occ.treas.gov/publications-and-resources/publications/comptrollers-handbook/files/residential-real-estate-lending/pub-ch-residential-real-estate.pdf" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging Real Estate Lending Appraisals questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope Real Estate Lending Appraisals questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is real estate appraisal requirements and evidence brief. Start source review with Electronic Code of Federal Regulations \u2014 Chapter I / Part 34.", + "meta_description": "Free Real Estate Lending Appraisals Markdown bundle with workflows, source references, and real estate appraisal requirements and evidence brief for use.", + "social_summary": "Real Estate Lending Appraisals: real estate appraisal requirements and evidence brief, workflows, and.", + "download_note": "10 Markdown files \u00b7 1,635 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing Real Estate Lending Appraisals", + "Teams working in Financial Services, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A Real Estate Lending Appraisals question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess Real Estate Lending Appraisals and draft real estate appraisal requirements and evidence brief that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with Electronic Code of Federal Regulations \u2014 Chapter I / Part 34, then confirm that the reference is current and applicable. Inspect Real Estate Lending Appraisals overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "Real Estate Lending Appraisals overview", + "description": "Scope, evidence, and authority boundaries for Real Estate Lending Appraisals.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/real-estate-lending-appraisals/overview.md" + }, + { + "type": "Workflow", + "title": "Real Estate Lending Appraisals source-aware workflow", + "description": "Verify-first workflow for producing a reviewable real estate appraisal requirements and evidence brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/real-estate-lending-appraisals/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "real estate appraisal requirements and evidence brief", + "description": "Review-ready template for Real Estate Lending Appraisals evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/real-estate-lending-appraisals/deliverables/real-estate-lending-appraisals-brief.md" + }, + { + "type": "Quality rubric", + "title": "Real Estate Lending Appraisals source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/real-estate-lending-appraisals/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "Electronic Code of Federal Regulations \u2014 Chapter I / Part 34", + "url": "https://www.ecfr.gov/current/title-12/chapter-I/part-34", + "used_for": "Legal, regulatory, standards, or agency reference for Real Estate Lending Appraisals scope and source checks." + }, + { + "label": "occ.treas.gov \u2014 Residential Real Estate Lending / Pub Ch Residential Real Estate", + "url": "https://www.occ.treas.gov/publications-and-resources/publications/comptrollers-handbook/files/residential-real-estate-lending/pub-ch-residential-real-estate.pdf", + "used_for": "Legal, regulatory, standards, or agency reference for Real Estate Lending Appraisals scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "respa-regulation-x", + "title": "RESPA Regulation X", + "description": "Evidence-grounded review of Real Estate Settlement Procedures Act requirements implemented by Regulation X.", + "category": "compliance", + "path": "bundles/compliance/respa-regulation-x", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/respa-regulation-x", + "download_url": "https://openknowledgebank.com/downloads/respa-regulation-x.zip", + "tags": [ + "respa", + "regulation-x", + "mortgage" + ], + "aliases": [ + "Regulation X", + "RESPA" + ], + "problems_solved": [ + "Assess RESPA Regulation X applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "RESPA Regulation X applicability and controls brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "RESPA Regulation X source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "mortgage-servicing-rules" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.consumerfinance.gov/rules-policy/regulations/1024/" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; 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Inspect Regulation Z TILA Disclosures overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "Regulation Z TILA Disclosures overview", + "description": "Scope, evidence, and authority boundaries for Regulation Z TILA Disclosures.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/reg-z-tila-disclosures/overview.md" + }, + { + "type": "Workflow", + "title": "Regulation Z TILA Disclosures source-aware workflow", + "description": "Verify-first workflow for producing a reviewable Regulation Z disclosure and calculation review brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/reg-z-tila-disclosures/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "Regulation Z disclosure and calculation review brief", + "description": "Review-ready template for Regulation Z TILA Disclosures evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/reg-z-tila-disclosures/deliverables/reg-z-tila-disclosures-brief.md" + }, + { + "type": "Quality rubric", + "title": "Regulation Z TILA Disclosures source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/reg-z-tila-disclosures/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "consumerfinance.gov \u2014 Regulations / 1026", + "url": "https://www.consumerfinance.gov/rules-policy/regulations/1026/", + "used_for": "Legal, regulatory, standards, or agency reference for Regulation Z TILA Disclosures scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "regulatory-capital-rules", + "title": "Regulatory Capital Rules", + "description": "Evidence-grounded review of U.S. banking regulatory capital applicability, calculations, reporting, and governance.", + "category": "compliance", + "path": "bundles/compliance/regulatory-capital-rules", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/regulatory-capital-rules", + "download_url": "https://openknowledgebank.com/downloads/regulatory-capital-rules.zip", + "tags": [ + "regulatory-capital", + "banking", + "capital-adequacy" + ], + "aliases": [ + "Bank regulatory capital rules", + "Basel capital implementation" + ], + "problems_solved": [ + "Assess Regulatory Capital Rules applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "regulatory capital applicability and calculation review brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "Regulatory Capital Rules source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "basel-iii" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.ecfr.gov/current/title-12/chapter-I/part-3", + "https://www.ecfr.gov/current/title-12/chapter-II/subchapter-A/part-217" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "regulatory", + "legal", + "financial", + "accounting" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging Regulatory Capital Rules questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope Regulatory Capital Rules questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is regulatory capital applicability and calculation review brief. 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Inspect Regulatory Capital Rules overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "Regulatory Capital Rules overview", + "description": "Scope, evidence, and authority boundaries for Regulatory Capital Rules.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/regulatory-capital-rules/overview.md" + }, + { + "type": "Workflow", + "title": "Regulatory Capital Rules source-aware workflow", + "description": "Verify-first workflow for producing a reviewable regulatory capital applicability and calculation review brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/regulatory-capital-rules/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "regulatory capital applicability and calculation review brief", + "description": "Review-ready template for Regulatory Capital Rules evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/regulatory-capital-rules/deliverables/regulatory-capital-rules-brief.md" + }, + { + "type": "Quality rubric", + "title": "Regulatory Capital Rules source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/regulatory-capital-rules/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "Electronic Code of Federal Regulations \u2014 Chapter I / Part 3", + "url": "https://www.ecfr.gov/current/title-12/chapter-I/part-3", + "used_for": "Legal, regulatory, standards, or agency reference for Regulatory Capital Rules scope and source checks." + }, + { + "label": "Electronic Code of Federal Regulations \u2014 Subchapter A / Part 217", + "url": "https://www.ecfr.gov/current/title-12/chapter-II/subchapter-A/part-217", + "used_for": "Legal, regulatory, standards, or agency reference for Regulatory Capital Rules scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "irs-form-990-annual-return", + "title": "IRS Form 990 Annual Return", + "description": "Evidence-grounded preparation and review of annual information returns for U.S. tax-exempt organizations.", + "category": "compliance", + "path": "bundles/compliance/irs-form-990-annual-return", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/irs-form-990-annual-return", + "download_url": "https://openknowledgebank.com/downloads/irs-form-990-annual-return.zip", + "tags": [ + "irs", + "form-990", + "tax-exempt" + ], + "aliases": [ + "Form 990", + "Return of Organization Exempt From Income Tax" + ], + "problems_solved": [ + "Assess IRS Form 990 Annual Return applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Nonprofit", + "Accounting and Tax", + "Legal and Compliance" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "Form 990 annual-return preparation and review brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "IRS Form 990 Annual Return source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "irs-exemption-application-501c3" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.irs.gov/forms-pubs/about-form-990", + "https://www.irs.gov/pub/irs-pdf/i990.pdf" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "tax", + "accounting", + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging IRS Form 990 Annual Return questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope IRS Form 990 Annual Return questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is Form 990 annual-return preparation and review brief. Start source review with irs.gov \u2014 Forms Pubs / About Form 990.", + "meta_description": "Free IRS Form 990 Annual Return Markdown bundle with workflows, source references, and form 990 annual-return preparation and review brief for use with AI.", + "social_summary": "IRS Form 990 Annual Return: form 990 annual-return preparation and review brief, workflows, and review.", + "download_note": "10 Markdown files \u00b7 1,661 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing IRS Form 990 Annual Return", + "Teams working in Nonprofit, Accounting and Tax, Legal and Compliance" + ], + "when_to_use": [ + "A IRS Form 990 Annual Return question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. 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Inspect IRS Form 990 Annual Return overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "IRS Form 990 Annual Return overview", + "description": "Scope, evidence, and authority boundaries for IRS Form 990 Annual Return.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/irs-form-990-annual-return/overview.md" + }, + { + "type": "Workflow", + "title": "IRS Form 990 Annual Return source-aware workflow", + "description": "Verify-first workflow for producing a reviewable Form 990 annual-return preparation and review brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/irs-form-990-annual-return/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "Form 990 annual-return preparation and review brief", + "description": "Review-ready template for IRS Form 990 Annual Return evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/irs-form-990-annual-return/deliverables/irs-form-990-annual-return-brief.md" + }, + { + "type": "Quality rubric", + "title": "IRS Form 990 Annual Return source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/irs-form-990-annual-return/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "irs.gov \u2014 Forms Pubs / About Form 990", + "url": "https://www.irs.gov/forms-pubs/about-form-990", + "used_for": "Legal, regulatory, standards, or agency reference for IRS Form 990 Annual Return scope and source checks." + }, + { + "label": "irs.gov \u2014 Irs Pdf / I990", + "url": "https://www.irs.gov/pub/irs-pdf/i990.pdf", + "used_for": "Legal, regulatory, standards, or agency reference for IRS Form 990 Annual Return scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "safe-act-mlo-registration", + "title": "SAFE Act MLO Registration", + "description": "Evidence-grounded review of federal mortgage loan originator registration requirements under Regulation G.", + "category": "compliance", + "path": "bundles/compliance/safe-act-mlo-registration", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/safe-act-mlo-registration", + "download_url": "https://openknowledgebank.com/downloads/safe-act-mlo-registration.zip", + "tags": [ + "safe-act", + "mlo", + "nmls" + ], + "aliases": [ + "SAFE Act registration", + "MLO federal registration" + ], + "problems_solved": [ + "Assess SAFE Act MLO Registration applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "SAFE Act MLO registration review brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "SAFE Act MLO Registration source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "nmls-company-branch-licensing" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.consumerfinance.gov/rules-policy/regulations/1007/103/" + ], + "limitations": [ + "Official sources describe general regulatory requirements; 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run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging SAFE Act MLO Registration questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope SAFE Act MLO Registration questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is SAFE Act MLO registration review brief. Start source review with consumerfinance.gov \u2014 1007 / 103.", + "meta_description": "Free SAFE Act MLO Registration Markdown bundle with workflows, source references, and sAFE Act MLO registration review brief for use with AI assistants.", + "social_summary": "SAFE Act MLO Registration: sAFE Act MLO registration review brief, workflows, and review guidance", + "download_note": "10 Markdown files \u00b7 1,610 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing SAFE Act MLO Registration", + "Teams working in Financial Services, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A SAFE Act MLO Registration question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess SAFE Act MLO Registration and draft SAFE Act MLO registration review brief that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with consumerfinance.gov \u2014 1007 / 103, then confirm that the reference is current and applicable. Inspect SAFE Act MLO Registration overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "SAFE Act MLO Registration overview", + "description": "Scope, evidence, and authority boundaries for SAFE Act MLO Registration.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/safe-act-mlo-registration/overview.md" + }, + { + "type": "Workflow", + "title": "SAFE Act MLO Registration source-aware workflow", + "description": "Verify-first workflow for producing a reviewable SAFE Act MLO registration review brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/safe-act-mlo-registration/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "SAFE Act MLO registration review brief", + "description": "Review-ready template for SAFE Act MLO Registration evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/safe-act-mlo-registration/deliverables/safe-act-mlo-registration-brief.md" + }, + { + "type": "Quality rubric", + "title": "SAFE Act MLO Registration source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/safe-act-mlo-registration/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "consumerfinance.gov \u2014 1007 / 103", + "url": "https://www.consumerfinance.gov/rules-policy/regulations/1007/103/", + "used_for": "Legal, regulatory, standards, or agency reference for SAFE Act MLO Registration scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "securities-qualification-examinations", + "title": "Securities Qualification Examinations", + "description": "Evidence-grounded planning and review of FINRA securities qualification examination requirements.", + "category": "compliance", + "path": "bundles/compliance/securities-qualification-examinations", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/securities-qualification-examinations", + "download_url": "https://openknowledgebank.com/downloads/securities-qualification-examinations.zip", + "tags": [ + "finra", + "qualification-exams", + "sie" + ], + "aliases": [ + "FINRA qualification exams", + "Securities exams" + ], + "problems_solved": [ + "Assess Securities Qualification Examinations applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "securities qualification examination pathway brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "Securities Qualification Examinations source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "finra-supervision-system" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.finra.org/registration-exams-ce/qualification-exams", + "https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging Securities Qualification Examinations questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope Securities Qualification Examinations questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is securities qualification examination pathway brief. Start source review with FINRA \u2014 Registration Exams Ce / Qualification Exams.", + "meta_description": "Free Securities Qualification Examinations Markdown bundle with workflows, source references, and securities qualification examination pathway brief for.", + "social_summary": "Securities Qualification Examinations: securities qualification examination pathway brief, workflows.", + "download_note": "10 Markdown files \u00b7 1,590 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing Securities Qualification Examinations", + "Teams working in Financial Services, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A Securities Qualification Examinations question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess Securities Qualification Examinations and draft securities qualification examination pathway brief that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with FINRA \u2014 Registration Exams Ce / Qualification Exams, then confirm that the reference is current and applicable. Inspect Securities Qualification Examinations overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "Securities Qualification Examinations overview", + "description": "Scope, evidence, and authority boundaries for Securities Qualification Examinations.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/securities-qualification-examinations/overview.md" + }, + { + "type": "Workflow", + "title": "Securities Qualification Examinations source-aware workflow", + "description": "Verify-first workflow for producing a reviewable securities qualification examination pathway brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/securities-qualification-examinations/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "securities qualification examination pathway brief", + "description": "Review-ready template for Securities Qualification Examinations evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/securities-qualification-examinations/deliverables/securities-qualification-examinations-brief.md" + }, + { + "type": "Quality rubric", + "title": "Securities Qualification Examinations source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/securities-qualification-examinations/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "FINRA \u2014 Registration Exams Ce / Qualification Exams", + "url": "https://www.finra.org/registration-exams-ce/qualification-exams", + "used_for": "Legal, regulatory, standards, or agency reference for Securities Qualification Examinations scope and source checks." + }, + { + "label": "FINRA \u2014 Qualification Exams / Securities Industry Essentials Exam Sie", + "url": "https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie", + "used_for": "Legal, regulatory, standards, or agency reference for Securities Qualification Examinations scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "lgpd-security-incident-communication", + "title": "LGPD Security Incident Communication", + "description": "Evidence-grounded assessment and communication planning for personal-data security incidents under Brazil's LGPD and ANPD Resolution 15/2024.", + "category": "compliance", + "path": "bundles/compliance/lgpd-security-incident-communication", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/lgpd-security-incident-communication", + "download_url": "https://openknowledgebank.com/downloads/lgpd-security-incident-communication.zip", + "tags": [ + "lgpd", + "security-incident", + "anpd" + ], + "aliases": [ + "ANPD incident communication", + "LGPD breach notification" + ], + "problems_solved": [ + "Assess LGPD Security Incident Communication applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "LGPD security-incident assessment and communication brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "LGPD Security Incident Communication source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [], + "adjacent_bundles": [ + "gdpr-art32-security-of-processing", + "gdpr-art30-records-of-processing-activities", + "real-estate-lending-appraisals" + ], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.gov.br/anpd/pt-br/canais_atendimento/agente-de-tratamento/comunicado-de-incidente-de-seguranca-cis", + "https://www.gov.br/anpd/pt-br/assuntos/noticias/anpd-aprova-o-regulamento-de-comunicacao-de-incidente-de-seguranca" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "privacy", + "security", + "regulatory", + "legal" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging LGPD Security Incident Communication questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope LGPD Security Incident Communication questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is LGPD security-incident assessment and communication brief.", + "meta_description": "Free LGPD Security Incident Communication Markdown bundle with workflows, source references, and lGPD security-incident assessment and communication brief.", + "social_summary": "LGPD Security Incident Communication: lGPD security-incident assessment and communication brief.", + "download_note": "10 Markdown files \u00b7 1,642 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing LGPD Security Incident Communication", + "Teams working in Financial Services, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A LGPD Security Incident Communication question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess LGPD Security Incident Communication and draft LGPD security-incident assessment and communication brief that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with gov.br \u2014 Agente De Tratamento / Comunicado De Incidente De Seguranca Cis, then confirm that the reference is current and applicable. Inspect LGPD Security Incident Communication overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "LGPD Security Incident Communication overview", + "description": "Scope, evidence, and authority boundaries for LGPD Security Incident Communication.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/lgpd-security-incident-communication/overview.md" + }, + { + "type": "Workflow", + "title": "LGPD Security Incident Communication source-aware workflow", + "description": "Verify-first workflow for producing a reviewable LGPD security-incident assessment and communication brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/lgpd-security-incident-communication/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "LGPD security-incident assessment and communication brief", + "description": "Review-ready template for LGPD Security Incident Communication evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/lgpd-security-incident-communication/deliverables/lgpd-security-incident-communication-brief.md" + }, + { + "type": "Quality rubric", + "title": "LGPD Security Incident Communication source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/lgpd-security-incident-communication/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "gov.br \u2014 Agente De Tratamento / Comunicado De Incidente De Seguranca Cis", + "url": "https://www.gov.br/anpd/pt-br/canais_atendimento/agente-de-tratamento/comunicado-de-incidente-de-seguranca-cis", + "used_for": "Legal, regulatory, standards, or agency reference for LGPD Security Incident Communication scope and source checks." + }, + { + "label": "gov.br \u2014 Noticias / Anpd Aprova O Regulamento De Comunicacao De Incidente De Seguranca", + "url": "https://www.gov.br/anpd/pt-br/assuntos/noticias/anpd-aprova-o-regulamento-de-comunicacao-de-incidente-de-seguranca", + "used_for": "Legal, regulatory, standards, or agency reference for LGPD Security Incident Communication scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "gdpr-art32-security-of-processing", + "title": "GDPR Article 32 Security of Processing", + "description": "Evidence-grounded review of risk-appropriate technical and organizational security measures under GDPR Article 32.", + "category": "compliance", + "path": "bundles/compliance/gdpr-art32-security-of-processing", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/gdpr-art32-security-of-processing", + "download_url": "https://openknowledgebank.com/downloads/gdpr-art32-security-of-processing.zip", + "tags": [ + "gdpr", + "article-32", + "security-of-processing" + ], + "aliases": [ + "GDPR security of processing", + "Article 32" + ], + "problems_solved": [ + "Assess GDPR Article 32 Security of Processing applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "GDPR Article 32 security-of-processing review brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "GDPR Article 32 Security of Processing source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "gdpr" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://eur-lex.europa.eu/eli/reg/2016/679/oj", + "https://www.edpb.europa.eu/sme/be-compliant/be-compliant_en" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "privacy", + "security", + "regulatory", + "legal" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging GDPR Article 32 Security of Processing questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope GDPR Article 32 Security of Processing questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is GDPR Article 32 security-of-processing review brief. Start source review with eur-lex.europa.eu \u2014 679 / Oj.", + "meta_description": "Free GDPR Article 32 Security of Processing Markdown bundle with workflows, source references, and gDPR Article 32 security-of-processing review brief for.", + "social_summary": "GDPR Article 32 Security of Processing: gDPR Article 32 security-of-processing review brief, workflows.", + "download_note": "10 Markdown files \u00b7 1,675 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing GDPR Article 32 Security of Processing", + "Teams working in Financial Services, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A GDPR Article 32 Security of Processing question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess GDPR Article 32 Security of Processing and draft GDPR Article 32 security-of-processing review brief that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with eur-lex.europa.eu \u2014 679 / Oj, then confirm that the reference is current and applicable. Inspect GDPR Article 32 Security of Processing overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "GDPR Article 32 Security of Processing overview", + "description": "Scope, evidence, and authority boundaries for GDPR Article 32 Security of Processing.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/gdpr-art32-security-of-processing/overview.md" + }, + { + "type": "Workflow", + "title": "GDPR Article 32 Security of Processing source-aware workflow", + "description": "Verify-first workflow for producing a reviewable GDPR Article 32 security-of-processing review brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/gdpr-art32-security-of-processing/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "GDPR Article 32 security-of-processing review brief", + "description": "Review-ready template for GDPR Article 32 Security of Processing evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/gdpr-art32-security-of-processing/deliverables/gdpr-art32-security-of-processing-brief.md" + }, + { + "type": "Quality rubric", + "title": "GDPR Article 32 Security of Processing source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/gdpr-art32-security-of-processing/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "eur-lex.europa.eu \u2014 679 / Oj", + "url": "https://eur-lex.europa.eu/eli/reg/2016/679/oj", + "used_for": "Legal, regulatory, standards, or agency reference for GDPR Article 32 Security of Processing scope and source checks." + }, + { + "label": "edpb.europa.eu \u2014 Be Compliant / Be Compliant En", + "url": "https://www.edpb.europa.eu/sme/be-compliant/be-compliant_en", + "used_for": "Legal, regulatory, standards, or agency reference for GDPR Article 32 Security of Processing scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "sox-icfr-assessment-and-attestation", + "title": "SOX ICFR Assessment and Attestation", + "description": "Evidence-grounded review of management internal-control reporting and auditor attestation requirements under SOX.", + "category": "compliance", + "path": "bundles/compliance/sox-icfr-assessment-and-attestation", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/sox-icfr-assessment-and-attestation", + "download_url": "https://openknowledgebank.com/downloads/sox-icfr-assessment-and-attestation.zip", + "tags": [ + "sox", + "icfr", + "attestation" + ], + "aliases": [ + "SOX 404", + "ICFR assessment" + ], + "problems_solved": [ + "Assess SOX ICFR Assessment and Attestation applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "SOX ICFR assessment and attestation review brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "SOX ICFR Assessment and Attestation source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "sox", + "pcaob-auditing-standards" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.sec.gov/rules-regulations/2003/03/managements-report-internal-control-over-financial-reporting-certification-disclosure-exchange-act", + "https://pcaobus.org/oversight/standards/auditing-standards/details/AS2201" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "accounting", + "financial", + "regulatory", + "legal" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging SOX ICFR Assessment and Attestation questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope SOX ICFR Assessment and Attestation questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is SOX ICFR assessment and attestation review brief. Start source review with U.S.", + "meta_description": "Free SOX ICFR Assessment and Attestation Markdown bundle with workflows, source references, and sOX ICFR assessment and attestation review brief for use.", + "social_summary": "SOX ICFR Assessment and Attestation: sOX ICFR assessment and attestation review brief, workflows, and.", + "download_note": "10 Markdown files \u00b7 1,657 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing SOX ICFR Assessment and Attestation", + "Teams working in Financial Services, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A SOX ICFR Assessment and Attestation question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess SOX ICFR Assessment and Attestation and draft SOX ICFR assessment and attestation review brief that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with U.S. Securities and Exchange Commission \u2014 03 / Managements Report Internal Control Over Financial Reporting Certification Disclosure Exchange Act, then confirm that the reference is current and applicable. Inspect SOX ICFR Assessment and Attestation overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "SOX ICFR Assessment and Attestation overview", + "description": "Scope, evidence, and authority boundaries for SOX ICFR Assessment and Attestation.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/sox-icfr-assessment-and-attestation/overview.md" + }, + { + "type": "Workflow", + "title": "SOX ICFR Assessment and Attestation source-aware workflow", + "description": "Verify-first workflow for producing a reviewable SOX ICFR assessment and attestation review brief.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/sox-icfr-assessment-and-attestation/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "SOX ICFR assessment and attestation review brief", + "description": "Review-ready template for SOX ICFR Assessment and Attestation evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/sox-icfr-assessment-and-attestation/deliverables/sox-icfr-assessment-and-attestation-brief.md" + }, + { + "type": "Quality rubric", + "title": "SOX ICFR Assessment and Attestation source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/sox-icfr-assessment-and-attestation/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "U.S. Securities and Exchange Commission \u2014 03 / Managements Report Internal Control Over Financial Reporting Certification Disclosure Exchange Act", + "url": "https://www.sec.gov/rules-regulations/2003/03/managements-report-internal-control-over-financial-reporting-certification-disclosure-exchange-act", + "used_for": "Legal, regulatory, standards, or agency reference for SOX ICFR Assessment and Attestation scope and source checks." + }, + { + "label": "pcaobus.org \u2014 Details / AS2201", + "url": "https://pcaobus.org/oversight/standards/auditing-standards/details/AS2201", + "used_for": "Legal, regulatory, standards, or agency reference for SOX ICFR Assessment and Attestation scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "state-pfml-sdi-programs", + "title": "State PFML and SDI Programs", + "description": "Jurisdiction-aware review of state paid family and medical leave and state disability insurance programs.", + "category": "compliance", + "path": "bundles/compliance/state-pfml-sdi-programs", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/state-pfml-sdi-programs", + "download_url": "https://openknowledgebank.com/downloads/state-pfml-sdi-programs.zip", + "tags": [ + "pfml", + "state-disability-insurance", + "paid-leave" + ], + "aliases": [ + "State paid leave programs", + "PFML and SDI" + ], + "problems_solved": [ + "Assess State PFML and SDI Programs applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Human Resources", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "state PFML and SDI applicability matrix" + ], + "commands": [], + "skills": [], + "evaluations": [ + "State PFML and SDI Programs source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [], + "adjacent_bundles": [ + "state-pay-transparency", + "workers-compensation-coverage", + "state-unemployment-insurance-tax" + ], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.dol.gov/agencies/whd/state", + "https://paidleave.wa.gov/reporting/" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "employment", + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging State PFML and SDI Programs questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope State PFML and SDI Programs questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is state PFML and SDI applicability matrix. Start source review with U.S. Department of Labor \u2014 Whd / State.", + "meta_description": "Free State PFML and SDI Programs Markdown bundle with workflows, source references, and state PFML and SDI applicability matrix for use with AI assistants.", + "social_summary": "State PFML and SDI Programs: state PFML and SDI applicability matrix, workflows, and review guidance", + "download_note": "10 Markdown files \u00b7 1,649 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing State PFML and SDI Programs", + "Teams working in Human Resources, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A State PFML and SDI Programs question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess State PFML and SDI Programs and draft state PFML and SDI applicability matrix that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with U.S. Department of Labor \u2014 Whd / State, then confirm that the reference is current and applicable. Inspect State PFML and SDI Programs overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "State PFML and SDI Programs overview", + "description": "Scope, evidence, and authority boundaries for State PFML and SDI Programs.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-pfml-sdi-programs/overview.md" + }, + { + "type": "Workflow", + "title": "State PFML and SDI Programs source-aware workflow", + "description": "Verify-first workflow for producing a reviewable state PFML and SDI applicability matrix.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-pfml-sdi-programs/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "state PFML and SDI applicability matrix", + "description": "Review-ready template for State PFML and SDI Programs evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-pfml-sdi-programs/deliverables/state-pfml-sdi-programs-brief.md" + }, + { + "type": "Quality rubric", + "title": "State PFML and SDI Programs source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-pfml-sdi-programs/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "U.S. Department of Labor \u2014 Whd / State", + "url": "https://www.dol.gov/agencies/whd/state", + "used_for": "Legal, regulatory, standards, or agency reference for State PFML and SDI Programs scope and source checks." + }, + { + "label": "paidleave.wa.gov \u2014 Reporting", + "url": "https://paidleave.wa.gov/reporting/", + "used_for": "Legal, regulatory, standards, or agency reference for State PFML and SDI Programs scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "state-pay-transparency", + "title": "State Pay Transparency", + "description": "Jurisdiction-aware review of state and local pay-transparency and pay-scale disclosure requirements.", + "category": "compliance", + "path": "bundles/compliance/state-pay-transparency", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/state-pay-transparency", + "download_url": "https://openknowledgebank.com/downloads/state-pay-transparency.zip", + "tags": [ + "pay-transparency", + "compensation", + "state-employment-law" + ], + "aliases": [ + "Pay transparency laws", + "Salary range disclosure" + ], + "problems_solved": [ + "Assess State Pay Transparency applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Human Resources", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "state and local pay-transparency requirements matrix" + ], + "commands": [], + "skills": [], + "evaluations": [ + "State Pay Transparency source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [], + "adjacent_bundles": [ + "workers-compensation-coverage", + "state-pfml-sdi-programs", + "state-wage-hour-poster-payment-rules" + ], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.dol.gov/agencies/whd/state", + "https://www.dir.ca.gov/dlse/California_Equal_Pay_Act.htm" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "employment", + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging State Pay Transparency questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope State Pay Transparency questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is state and local pay-transparency requirements matrix. Start source review with U.S. Department of Labor \u2014 Whd / State.", + "meta_description": "Free State Pay Transparency Markdown bundle with workflows, source references, and state and local pay-transparency requirements matrix for use with AI.", + "social_summary": "State Pay Transparency: state and local pay-transparency requirements matrix, workflows, and review.", + "download_note": "10 Markdown files \u00b7 1,606 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing State Pay Transparency", + "Teams working in Human Resources, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A State Pay Transparency question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess State Pay Transparency and draft state and local pay-transparency requirements matrix that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with U.S. Department of Labor \u2014 Whd / State, then confirm that the reference is current and applicable. Inspect State Pay Transparency overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "State Pay Transparency overview", + "description": "Scope, evidence, and authority boundaries for State Pay Transparency.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-pay-transparency/overview.md" + }, + { + "type": "Workflow", + "title": "State Pay Transparency source-aware workflow", + "description": "Verify-first workflow for producing a reviewable state and local pay-transparency requirements matrix.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-pay-transparency/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "state and local pay-transparency requirements matrix", + "description": "Review-ready template for State Pay Transparency evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-pay-transparency/deliverables/state-pay-transparency-brief.md" + }, + { + "type": "Quality rubric", + "title": "State Pay Transparency source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-pay-transparency/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "U.S. Department of Labor \u2014 Whd / State", + "url": "https://www.dol.gov/agencies/whd/state", + "used_for": "Legal, regulatory, standards, or agency reference for State Pay Transparency scope and source checks." + }, + { + "label": "dir.ca.gov \u2014 Dlse / California Equal Pay Act", + "url": "https://www.dir.ca.gov/dlse/California_Equal_Pay_Act.htm", + "used_for": "Legal, regulatory, standards, or agency reference for State Pay Transparency scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "state-registration-renewal-and-exams", + "title": "State Securities Registration, Renewal, and Examinations", + "description": "Jurisdiction-aware review of state securities registration, renewal, and examination requirements for firms and individuals.", + "category": "compliance", + "path": "bundles/compliance/state-registration-renewal-and-exams", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/state-registration-renewal-and-exams", + "download_url": "https://openknowledgebank.com/downloads/state-registration-renewal-and-exams.zip", + "tags": [ + "state-securities", + "registration", + "crd-iard" + ], + "aliases": [ + "State securities registration", + "CRD and IARD registration" + ], + "problems_solved": [ + "Assess State Securities Registration, Renewal, and Examinations applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "state securities registration and renewal matrix" + ], + "commands": [], + "skills": [], + "evaluations": [ + "State Securities Registration, Renewal, and Examinations source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [], + "adjacent_bundles": [ + "state-blue-sky-securities-regulation", + "gdpr-art30-records-of-processing-activities", + "gdpr-art32-security-of-processing" + ], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.nasaa.org/industry-resources/crd-iard/" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging State Securities Registration, Renewal, and Examinations questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope State Securities Registration, Renewal, and Examinations questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is state securities registration and renewal matrix. Start source review with nasaa.org \u2014 Industry Resources / Crd Iard.", + "meta_description": "Free State Securities Registration, Renewal, and Examinations Markdown bundle with workflows, source references, and state securities registration and.", + "social_summary": "State Securities Registration, Renewal, and Examinations: state securities registration and renewal.", + "download_note": "10 Markdown files \u00b7 1,659 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing State Securities Registration, Renewal, and Examinations", + "Teams working in Financial Services, Legal and Compliance" + ], + "when_to_use": [ + "A State Securities Registration, Renewal, and Examinations question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess State Securities Registration, Renewal, and Examinations and draft state securities registration and renewal matrix that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with nasaa.org \u2014 Industry Resources / Crd Iard, then confirm that the reference is current and applicable. Inspect State Securities Registration, Renewal, and Examinations overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "State Securities Registration, Renewal, and Examinations overview", + "description": "Scope, evidence, and authority boundaries for State Securities Registration, Renewal, and Examinations.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-registration-renewal-and-exams/overview.md" + }, + { + "type": "Workflow", + "title": "State Securities Registration, Renewal, and Examinations source-aware workflow", + "description": "Verify-first workflow for producing a reviewable state securities registration and renewal matrix.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-registration-renewal-and-exams/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "state securities registration and renewal matrix", + "description": "Review-ready template for State Securities Registration, Renewal, and Examinations evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-registration-renewal-and-exams/deliverables/state-registration-renewal-and-exams-brief.md" + }, + { + "type": "Quality rubric", + "title": "State Securities Registration, Renewal, and Examinations source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-registration-renewal-and-exams/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "nasaa.org \u2014 Industry Resources / Crd Iard", + "url": "https://www.nasaa.org/industry-resources/crd-iard/", + "used_for": "Legal, regulatory, standards, or agency reference for State Securities Registration, Renewal, and Examinations scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "state-blue-sky-securities-regulation", + "title": "State Blue Sky Securities Regulation", + "description": "Jurisdiction-aware review of state securities offering registration, exemption, notice, and fee requirements.", + "category": "compliance", + "path": "bundles/compliance/state-blue-sky-securities-regulation", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/state-blue-sky-securities-regulation", + "download_url": "https://openknowledgebank.com/downloads/state-blue-sky-securities-regulation.zip", + "tags": [ + "blue-sky", + "state-securities", + "offering-notice" + ], + "aliases": [ + "Blue sky laws", + "State securities offering rules" + ], + "problems_solved": [ + "Assess State Blue Sky Securities Regulation applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "state blue sky offering requirements matrix" + ], + "commands": [], + "skills": [], + "evaluations": [ + "State Blue Sky Securities Regulation source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [], + "adjacent_bundles": [ + "state-registration-renewal-and-exams", + "gdpr-art30-records-of-processing-activities", + "gdpr-art32-security-of-processing" + ], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.nasaa.org/industry-resources/securities-issuers/efd/" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging State Blue Sky Securities Regulation questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope State Blue Sky Securities Regulation questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is state blue sky offering requirements matrix. Start source review with nasaa.org \u2014 Securities Issuers / Efd.", + "meta_description": "Free State Blue Sky Securities Regulation Markdown bundle with workflows, source references, and state blue sky offering requirements matrix for use with.", + "social_summary": "State Blue Sky Securities Regulation: state blue sky offering requirements matrix, workflows, and review.", + "download_note": "10 Markdown files \u00b7 1,639 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing State Blue Sky Securities Regulation", + "Teams working in Financial Services, Legal and Compliance" + ], + "when_to_use": [ + "A State Blue Sky Securities Regulation question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess State Blue Sky Securities Regulation and draft state blue sky offering requirements matrix that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with nasaa.org \u2014 Securities Issuers / Efd, then confirm that the reference is current and applicable. Inspect State Blue Sky Securities Regulation overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "State Blue Sky Securities Regulation overview", + "description": "Scope, evidence, and authority boundaries for State Blue Sky Securities Regulation.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-blue-sky-securities-regulation/overview.md" + }, + { + "type": "Workflow", + "title": "State Blue Sky Securities Regulation source-aware workflow", + "description": "Verify-first workflow for producing a reviewable state blue sky offering requirements matrix.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-blue-sky-securities-regulation/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "state blue sky offering requirements matrix", + "description": "Review-ready template for State Blue Sky Securities Regulation evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-blue-sky-securities-regulation/deliverables/state-blue-sky-securities-regulation-brief.md" + }, + { + "type": "Quality rubric", + "title": "State Blue Sky Securities Regulation source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-blue-sky-securities-regulation/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "nasaa.org \u2014 Securities Issuers / Efd", + "url": "https://www.nasaa.org/industry-resources/securities-issuers/efd/", + "used_for": "Legal, regulatory, standards, or agency reference for State Blue Sky Securities Regulation scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "state-unemployment-insurance-tax", + "title": "State Unemployment Insurance Tax", + "description": "Jurisdiction-aware review of state unemployment insurance tax registration, wage reporting, contributions, and account maintenance.", + "category": "compliance", + "path": "bundles/compliance/state-unemployment-insurance-tax", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/state-unemployment-insurance-tax", + "download_url": "https://openknowledgebank.com/downloads/state-unemployment-insurance-tax.zip", + "tags": [ + "unemployment-insurance", + "state-tax", + "payroll" + ], + "aliases": [ + "State unemployment tax", + "SUTA" + ], + "problems_solved": [ + "Assess State Unemployment Insurance Tax applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Human Resources", + "Accounting and Tax", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "state unemployment insurance tax compliance matrix" + ], + "commands": [], + "skills": [], + "evaluations": [ + "State Unemployment Insurance Tax source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [], + "adjacent_bundles": [ + "state-pfml-sdi-programs", + "state-pay-transparency", + "workers-compensation-coverage" + ], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://oui.doleta.gov/unemploy/" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "employment", + "tax", + "accounting", + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging State Unemployment Insurance Tax questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope State Unemployment Insurance Tax questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is state unemployment insurance tax compliance matrix. Start source review with oui.doleta.gov \u2014 Unemploy.", + "meta_description": "Free State Unemployment Insurance Tax Markdown bundle with workflows, source references, and state unemployment insurance tax compliance matrix for use.", + "social_summary": "State Unemployment Insurance Tax: state unemployment insurance tax compliance matrix, workflows, and.", + "download_note": "10 Markdown files \u00b7 1,618 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing State Unemployment Insurance Tax", + "Teams working in Human Resources, Accounting and Tax, Cross-industry" + ], + "when_to_use": [ + "A State Unemployment Insurance Tax question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. Ask the agent to assess State Unemployment Insurance Tax and draft state unemployment insurance tax compliance matrix that separates stated facts, assumptions, missing evidence, relevant source sections, and actions requiring professional approval. Begin with oui.doleta.gov \u2014 Unemploy, then confirm that the reference is current and applicable. Inspect State Unemployment Insurance Tax overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "State Unemployment Insurance Tax overview", + "description": "Scope, evidence, and authority boundaries for State Unemployment Insurance Tax.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-unemployment-insurance-tax/overview.md" + }, + { + "type": "Workflow", + "title": "State Unemployment Insurance Tax source-aware workflow", + "description": "Verify-first workflow for producing a reviewable state unemployment insurance tax compliance matrix.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-unemployment-insurance-tax/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "state unemployment insurance tax compliance matrix", + "description": "Review-ready template for State Unemployment Insurance Tax evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-unemployment-insurance-tax/deliverables/state-unemployment-insurance-tax-brief.md" + }, + { + "type": "Quality rubric", + "title": "State Unemployment Insurance Tax source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/state-unemployment-insurance-tax/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "oui.doleta.gov \u2014 Unemploy", + "url": "https://oui.doleta.gov/unemploy/", + "used_for": "Legal, regulatory, standards, or agency reference for State Unemployment Insurance Tax scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "state-wage-hour-poster-payment-rules", + "title": "State Wage, Hour, Poster, and Payment Rules", + "description": "Jurisdiction-aware review of state wage-and-hour, workplace-poster, payday, deduction, and final-pay rules.", + "category": "compliance", + "path": "bundles/compliance/state-wage-hour-poster-payment-rules", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/state-wage-hour-poster-payment-rules", + "download_url": "https://openknowledgebank.com/downloads/state-wage-hour-poster-payment-rules.zip", + "tags": [ + "wage-hour", + "labor-posters", + "payday" + ], + "aliases": [ + "State wage and hour rules", + "State labor posters and payday rules" + ], + "problems_solved": [ + "Assess State Wage, Hour, Poster, and Payment Rules applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Human Resources", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "state wage, hour, poster, and payment requirements matrix" + ], + "commands": [], + "skills": [], + "evaluations": [ + "State Wage, Hour, Poster, and Payment Rules source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [], + "adjacent_bundles": [ + "state-pay-transparency", + "state-pfml-sdi-programs", + "workers-compensation-coverage" + ], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.dol.gov/agencies/whd/state", + "https://www.dol.gov/agencies/whd/state/payday", + "https://www.dol.gov/agencies/whd/minimum-wage/state" + ], + "limitations": [ + "Official sources describe general regulatory requirements; 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run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "employment", + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging State Wage, Hour, Poster, and Payment Rules questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope State Wage, Hour, Poster, and Payment Rules questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. 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quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "workers-compensation-coverage", + "title": "Workers Compensation Coverage", + "description": "Jurisdiction-aware review of workers compensation coverage, registration, insurance, self-insurance, posting, and reporting duties.", + "category": "compliance", + "path": "bundles/compliance/workers-compensation-coverage", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/workers-compensation-coverage", + "download_url": "https://openknowledgebank.com/downloads/workers-compensation-coverage.zip", + "tags": [ + "workers-compensation", + "coverage", + "state-employment-law" + ], + "aliases": [ + "Workers comp coverage", + "Workers compensation insurance" + ], + "problems_solved": [ + "Assess Workers Compensation Coverage applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Human Resources", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "workers compensation coverage and obligations matrix" + ], + "commands": [], + "skills": [], + "evaluations": [ + "Workers Compensation Coverage source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [], + "adjacent_bundles": [ + "state-pay-transparency", + "state-pfml-sdi-programs", + "state-wage-hour-poster-payment-rules" + ], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.dol.gov/agencies/owcp/wc" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for current official rule text and effective dates, entity and activity facts, jurisdiction, policies, records, calculations, filings, notices, approvals, exceptions, and reviewer evidence.", + "This bundle does not grant authority to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to make legal conclusions, certify compliance, file or amend a submission, notify a regulator or affected person, alter controls, or represent approval." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "employment", + "regulatory", + "legal", + "financial" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging Workers Compensation Coverage questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope Workers Compensation Coverage questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is workers compensation coverage and obligations matrix. Start source review with U.S. Department of Labor \u2014 Owcp / Wc.", + "meta_description": "Free Workers Compensation Coverage Markdown bundle with workflows, source references, and workers compensation coverage and obligations matrix for use with.", + "social_summary": "Workers Compensation Coverage: workers compensation coverage and obligations matrix, workflows, and.", + "download_note": "10 Markdown files \u00b7 1,611 words \u00b7 no signup \u00b7 CC-BY-4.0", + "audiences": [ + "Compliance, legal, risk, security, operations, and product teams assessing Workers Compensation Coverage", + "Teams working in Human Resources, Legal and Compliance, Cross-industry" + ], + "when_to_use": [ + "A Workers Compensation Coverage question needs to be scoped to the correct rule, guidance, regulator, date, and affected entity.", + "A draft conclusion needs its stated facts, missing evidence, source citations, and professional-review handoff checked." + ], + "required_inputs": [ + "The jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer.", + "Current official sources plus the policies, contracts, records, system evidence, and missing facts relevant to the situation." + ], + "agent_use_example": "Provide the jurisdiction, entity and relationship facts, applicable dates, exact question, and accountable professional reviewer. 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Inspect Workers Compensation Coverage overview before drafting.", + "not_for": [ + "Final legal or compliance conclusions, filings, notices, or operational changes without current source review and accountable professional approval." + ], + "featured_contents": [ + { + "type": "Overview", + "title": "Workers Compensation Coverage overview", + "description": "Scope, evidence, and authority boundaries for Workers Compensation Coverage.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/workers-compensation-coverage/overview.md" + }, + { + "type": "Workflow", + "title": "Workers Compensation Coverage source-aware workflow", + "description": "Verify-first workflow for producing a reviewable workers compensation coverage and obligations matrix.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/workers-compensation-coverage/workflows/source-aware-workflow.md" + }, + { + "type": "Template", + "title": "workers compensation coverage and obligations matrix", + "description": "Review-ready template for Workers Compensation Coverage evidence, decisions, validation, and controlled next actions.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/workers-compensation-coverage/deliverables/workers-compensation-coverage-brief.md" + }, + { + "type": "Quality rubric", + "title": "Workers Compensation Coverage source-awareness check", + "description": "Tests evidence integrity, source applicability, conflict handling, task specificity, and authority boundaries.", + "url": "https://github.com/salian/openknowledgebank/blob/main/bundles/compliance/workers-compensation-coverage/evaluations/source-awareness-check.md" + } + ], + "source_notes": [ + { + "label": "U.S. Department of Labor \u2014 Owcp / Wc", + "url": "https://www.dol.gov/agencies/owcp/wc", + "used_for": "Legal, regulatory, standards, or agency reference for Workers Compensation Coverage scope and source checks." + } + ] + }, + "indexing": { + "disposition": "index-ready", + "reviewed_by": "OpenKnowledgeBank source-derived review", + "reviewed_at": "2026-08-10", + "notes": "Landing content derived from the bundle's registry metadata and published Markdown files; quantitative private evaluation claims remain unpublished.", + "content_standard": "bundle-page-v1" + } + }, + { + "id": "suspicious-activity-report", + "title": "Suspicious Activity Report", + "description": "Evidence-grounded assessment, documentation, filing, retention, and confidentiality review for suspicious activity reports.", + "category": "compliance", + "path": "bundles/compliance/suspicious-activity-report", + "version": "0.1.0", + "repo": "https://github.com/salian/openknowledgebank", + "source_url": "https://github.com/salian/openknowledgebank/tree/main/bundles/compliance/suspicious-activity-report", + "download_url": "https://openknowledgebank.com/downloads/suspicious-activity-report.zip", + "tags": [ + "sar", + "fincen", + "bsa-aml" + ], + "aliases": [ + "SAR", + "Suspicious activity reporting" + ], + "problems_solved": [ + "Assess Suspicious Activity Report applicability and evidence.", + "Prepare a reviewable compliance workpaper without inventing legal conclusions." + ], + "industries": [ + "Financial Services", + "Legal and Compliance", + "Cross-industry" + ], + "tools": [], + "frameworks": [ + "source-applicability-control-evidence review" + ], + "deliverables": [ + "suspicious activity report decision and evidence brief" + ], + "commands": [], + "skills": [], + "evaluations": [ + "Suspicious Activity Report source-awareness check" + ], + "trust_tier": "trusted", + "status": "beta", + "license": "CC-BY-4.0", + "related_bundles": [ + "bsa-aml-compliance-program", + "bsa-e-filing" + ], + "adjacent_bundles": [], + "contributors": [ + "OpenKnowledgeBank" + ], + "maintainers": [ + "OpenKnowledgeBank" + ], + "standard_mappings": { + "onet_soc": [], + "soc": [], + "isco_08": [], + "esco": [] + }, + "source_urls": [ + "https://www.ecfr.gov/current/title-31/subtitle-B/chapter-X/part-1020/subpart-C/section-1020.320", + "https://www.fincen.gov/resources/frequently-asked-questions-regarding-fincen-suspicious-activity-report-sar", + "https://www.fincen.gov/resources/statutes-regulations/guidance/suspicious-activity-report-supporting-documentation" + ], + "limitations": [ + "Official sources describe general regulatory requirements; they do not determine entity applicability, local facts, records, calculations, filings, permissions, outcomes, compliance, or authority.", + "Task-specific conclusions require current inspected evidence for institution type and governing SAR rule, transaction and customer records, alert and investigation evidence, detection date, threshold analysis, filing history, supporting documents, confidentiality controls, escalation, and approvals.", + "This bundle does not grant authority to file, amend, disclose, or confirm a SAR; contact a subject; freeze or close an account; alter monitoring; or represent a legal conclusion." + ], + "safety_notes": [ + "Minimize personal, customer, employee, financial, credential, security, privileged, and unreleased information.", + "Preserve prompt-supplied facts as Provided and mark missing facts Needs verification; do not invent owners, dates, versions, reviewers, or system state.", + "Require explicit confirmation from an evidenced authorized reviewer before taking any action to file, amend, disclose, or confirm a SAR; contact a subject; freeze or close an account; alter monitoring; or represent a legal conclusion." + ], + "timestamp": "2026-08-10T00:00:00Z", + "evaluation_summary": { + "status": "blocked", + "method": "baseline-vs-okb-rubric", + "blocker": "No approved public-safe task set, matched evaluator configuration, or qualified reviewer-scored aggregate results are available.", + "evidence_note": "No measured score is claimed." + }, + "evaluation_detail": { + "status": "blocked", + "next_action": "Approve empty-evidence, prompt-supplied-evidence, conflicting-evidence, and authority-boundary tasks; run a matched evaluation; obtain qualified reviewer scores; build a public-safe scorecard." + }, + "content_risk": { + "classification": "regulated", + "domains": [ + "regulatory", + "legal", + "financial", + "security" + ], + "professional_review": { + "status": "not_reviewed", + "required_qualification": "A qualified legal, compliance, regulatory, and subject-matter reviewer appropriate to the entity, activity, and jurisdiction." + } + }, + "landing_page": { + "definition": "A free, open-source set of 10 Markdown files for triaging Suspicious Activity Report questions against current sources and the facts of a specific situation.", + "summary": "Use this bundle to scope Suspicious Activity Report questions to the relevant source, case facts, and review owner; it does not provide a final legal or compliance conclusion. The page previews an overview, a workflow, a template, and a quality rubric; the intended output is suspicious activity report decision and evidence brief. 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