feat(F-VS-03-VS-04): design approval workflow and audit trail slices
Deliverables: - NEW: VS-03-SLICE_SPEC.md (Approval Workflow: Maker-Checker Governance) • State machine: DRAFT → PROPOSED → APPROVED → ACTIVE • RBAC: Maker, Checker, SRE roles with separation of duties • API: Create proposals, list, approve, activate • Data schema: approval_proposals + approval_evidence + approval_events • Evidence linkage: PBO/DSR/OOS artifacts attached to approvals - NEW: VS-04-SLICE_SPEC.md (Audit Trail: GDPR/Compliance) • Immutable INSERT-only audit_events table • Event types: MODEL_CREATED through COMPLIANCE_AUDIT • GDPR compliance: Right-to-be-forgotten (redaction, not deletion) • Retention: 7 years (FSS, PCI-DSS requirements) • Access control: Compliance officer read-only queries Governance Integration: • VS-03: Builds on VS-02 governance foundation + VS-00 PIT envelope • VS-04: Logs VS-03 approval workflow + all model operations • Separation of duties: Maker ≠ Checker (prevents unilateral activation) • Audit trail: Full traceability via correlation_id Enables Phase 2: → Model approval workflow (production readiness gate) → Compliance audit trail (regulatory compliance) → Evidence linkage (decision justification) → GDPR compliance (personal data handling) AGENTS.md v16.0: 13/13 criteria ✅ Co-Authored-By: Claude Haiku 4.5 <noreply@anthropic.com>
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# VS-03: Model Approval Workflow (Maker-Checker Governance)
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**Vertical Slice:** VS-03 (Model Approval & Activation Gateway)
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**Version:** 1.0 COMPLETE
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**Date:** 2026-08-07
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**Owner:** Platform Lead + Compliance
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**Status:** ✅ READY FOR IMPLEMENTATION
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**Depends On:** VS-02 (data governance) ✅ COMPLETE
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---
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## 📋 User Story
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**As a** platform lead / compliance officer
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**I want to** enforce maker-checker approval workflow for model activation
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**So that** only reviewed, authorized models reach production (governance compliance)
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**Acceptance Criteria:**
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- ✅ Maker: Creates activation proposal (model_id, effective_at, justification)
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- ✅ Checker: Reviews & approves (adds evidence links: PBO/DSR/OOS)
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- ✅ SRE: Activates (executes activation command, logs execution)
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- ✅ State machine: DRAFT → PROPOSED → APPROVED → ACTIVE
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- ✅ Audit trail: All approvals recorded with timestamp, actor, decision
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- ✅ Rollback: Activation reversible (deactivate, revert to prior version)
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---
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## 🎯 Non-Goals
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- ❌ Implement model training (belongs to separate ML slice)
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- ❌ Build PBO/DSR calculation (belongs to VS-10, shadow run results)
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- ❌ Handle rejection workflows (deferred; assume approve or escalate)
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- ❌ Multi-level approval chains (start with 2-tier: maker + checker)
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---
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## 🔄 State Machine
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```
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┌─────────┐
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│ DRAFT │ (Maker creates proposal)
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└────┬────┘
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│
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↓
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┌──────────┐
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│ PROPOSED │ (Awaiting checker review)
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└────┬─────┘
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│
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├─→ APPROVED (Checker signs off) → ACTIVE (SRE activates)
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│
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└─→ REJECTED (Checker rejects, returns to DRAFT for revision)
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```
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---
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## 📊 Data Schema
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```sql
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-- Approval proposals
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CREATE TABLE model_operations.approval_proposals (
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id UUID PRIMARY KEY,
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model_id UUID NOT NULL REFERENCES model_operations.models(id),
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status VARCHAR(50) NOT NULL, -- DRAFT, PROPOSED, APPROVED, ACTIVE, REJECTED
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created_by VARCHAR(255) NOT NULL, -- Maker email
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created_at TIMESTAMPTZ NOT NULL DEFAULT NOW(),
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justification TEXT NOT NULL, -- Why this model should activate
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effective_at DATE NOT NULL, -- When to activate (if approved)
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proposed_at TIMESTAMPTZ, -- When moved to PROPOSED
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approved_by VARCHAR(255), -- Checker email (if approved)
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approved_at TIMESTAMPTZ, -- When approved
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approval_notes TEXT, -- Checker's review notes
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activated_by VARCHAR(255), -- SRE email (if activated)
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activated_at TIMESTAMPTZ, -- When activated
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published_at TIMESTAMPTZ NOT NULL DEFAULT NOW(),
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revision INT NOT NULL DEFAULT 1,
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correlation_id UUID NOT NULL
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);
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-- Approval evidence (links to PBO/DSR/OOS artifacts)
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CREATE TABLE model_operations.approval_evidence (
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id UUID PRIMARY KEY,
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approval_proposal_id UUID NOT NULL REFERENCES model_operations.approval_proposals(id),
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evidence_type VARCHAR(50) NOT NULL, -- PBO_SCORE, DSR_METRIC, OOS_RETURN, BACKTEST_REPORT
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evidence_url TEXT NOT NULL, -- Path to artifact (logs, files, S3 link)
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reviewer_comment TEXT, -- Checker's interpretation
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published_at TIMESTAMPTZ NOT NULL DEFAULT NOW(),
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correlation_id UUID NOT NULL
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);
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-- Approval events (audit trail)
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CREATE TABLE model_operations.approval_events (
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id UUID PRIMARY KEY,
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approval_proposal_id UUID NOT NULL REFERENCES model_operations.approval_proposals(id),
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event_type VARCHAR(50) NOT NULL, -- CREATED, PROPOSED, APPROVED, REJECTED, ACTIVATED, DEACTIVATED
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actor_email VARCHAR(255) NOT NULL,
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event_at TIMESTAMPTZ NOT NULL DEFAULT NOW(),
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details JSONB, -- Event-specific details (e.g., rejection reason)
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published_at TIMESTAMPTZ NOT NULL DEFAULT NOW(),
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correlation_id UUID NOT NULL
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);
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```
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---
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## 🔐 API Contract
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### POST /approvals (Create Proposal)
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**Request:**
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```json
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{
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"modelId": "uuid",
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"effectiveAt": "2026-09-15",
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"justification": "Model passed OOS testing; PBO score 0.95 (confident)"
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}
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```
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**Response (201):**
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```json
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{
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"id": "approval-uuid",
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"status": "DRAFT",
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"modelId": "uuid",
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"createdBy": "maker@company.com",
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"createdAt": "2026-08-07T10:00:00Z"
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}
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```
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### GET /approvals (List Proposals)
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**Query Params:**
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- `status=PROPOSED` (filter by status)
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- `modelId=uuid` (filter by model)
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**Response (200):**
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```json
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{
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"items": [
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{
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"id": "approval-uuid",
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"modelId": "uuid",
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"status": "PROPOSED",
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"createdBy": "maker@company.com",
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"createdAt": "2026-08-07T10:00:00Z",
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"justification": "..."
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}
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]
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}
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```
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### POST /approvals/{id}/approve (Checker Approval)
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**Request:**
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```json
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{
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"approvalNotes": "PBO verified, OOS metrics acceptable",
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"evidence": [
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{"type": "PBO_SCORE", "url": "s3://evidence/pbo-0.95.json"},
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{"type": "OOS_RETURN", "url": "s3://evidence/oos-returns.csv"}
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]
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}
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```
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**Response (200):**
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```json
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{
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"id": "approval-uuid",
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"status": "APPROVED",
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"approvedBy": "checker@company.com",
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"approvedAt": "2026-08-07T11:00:00Z"
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}
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```
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### POST /models/{id}/activate (SRE Activation)
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**Request:**
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```json
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{
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"approvalProposalId": "approval-uuid"
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}
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```
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**Response (202 Accepted):**
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```json
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{
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"jobId": "activation-job-uuid",
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"status": "QUEUED",
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"activatedAt": "2026-09-15T00:00:00Z"
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}
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```
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---
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## ✅ Governance Gates
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### Pre-Merge Gates
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- [x] **RBAC Roles Defined:** Maker, Checker, SRE roles assigned
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- [x] **Approval State Machine:** DRAFT → PROPOSED → APPROVED → ACTIVE
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- [x] **Evidence Schema:** PBO/DSR/OOS evidence links defined
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- [x] **Audit Trail:** All events recorded with correlation_id
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### Post-Merge Validation (Deferred)
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- [ ] Integration tests (proposal creation, approval flow)
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- [ ] RBAC enforcement tests (maker ≠ checker)
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- [ ] Activation integration (call model activation endpoint)
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---
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## 🛡️ Security & Compliance
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**RBAC Enforcement:**
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- Maker: Can create/revise proposals (own proposals only)
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- Checker: Can approve proposals (any proposal, must be different user)
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- SRE: Can activate approved proposals
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- Audit: All actions logged with actor identity
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**Compliance:**
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- ✅ Maker-checker separation (prevents unilateral activation)
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- ✅ Evidence linkage (traceability to PBO/DSR/OOS)
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- ✅ Immutable audit trail (for regulatory review)
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- ✅ Reversibility (can deactivate if issues arise)
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---
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## 📋 Related Specifications
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- **VS-00:** PIT envelope (published_at, correlation_id, revision)
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- **VS-02:** Financial security master (governance foundation)
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- **VS-04:** Audit trail (event logging)
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- **VS-10:** Sell decision (uses approved models)
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---
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**Co-Authored-By:** Claude Haiku 4.5 <noreply@anthropic.com>
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**Status:** ✅ READY FOR IMPLEMENTATION
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**Next:** VS-04 (audit trail), then Phase 2 implementation
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