KArtSell.Aegis/docs/CURRENT/PHASE-1_READINESS_VALIDATION_CHECKLIST.md

Phase 1 Readiness Validation Checklist

Date: 2026-08-07
Purpose: Pre-execution validation of all prerequisites before Phase 1 shadow run activation
Audience: SRE, Platform Lead, Business Owner
Status: TEMPLATE (ready to execute)

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🎯 Overview

Phase 1 Shadow Run: 252+ trading days autonomous market simulation with auditable evidence
Setup Time: ~2 hours (pre-checks + tool validation)
Execution Time: 50-90 calendar days (automatic, no manual intervention)
Success Criteria: All checks PASS before proceeding to activation

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📋 SECTION A: Governance & Approvals

A.1 — DEC-037: Source/License/SLA Approved

Owner: Law + Data Governance
Deadline: 2026-08-10
Blocking: YES (blocks P2-P6 automation)

• Source Approved: KRX/OpenDart/Consensus data sources confirmed

  • Evidence: docs/CURRENT/AEG-X-009_DECISION_PACKAGE.md signed-off
  • Confirm: Which sources are approved for ingestion?

• License Verified: All sources have compliant license terms

  • Evidence: License agreement file path: ___________
  • Confirm: No GPL/AGPL (incompatible with commercial products)?

• Retention SLA Confirmed: Data retention period defined (1yr/3yr/perpetual)

  • Evidence: SLA document: ___________
  • Confirm: Complies with GDPR/PCI-DSS?

• Update Freshness SLA Confirmed: Daily/weekly/monthly refresh rate

  • Evidence: SLA document: ___________
  • Confirm: Shadow run can consume data at this frequency?

Sign-off: ___________ (Law Lead) / ___________ (DataGov Lead)

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A.2 — DEC-038: Market Calendar Source & Operator Assigned

Owner: Data Governance + Ops Lead
Deadline: 2026-08-12
Blocking: YES (blocks market simulation accuracy)

• Calendar Source Approved: KRX official holidays/trading calendar

  • Evidence: Data source URI: ___________
  • Confirm: 3rd-party aggregator or direct KRX API?

• Owner Assigned: Named operator responsible for calendar data

  • Owner Name: ___________
  • Email: ___________
  • Confirm: On-call rotation configured?

• Secondary Assigned: Backup operator for calendar updates

  • Secondary Name: ___________
  • Email: ___________
  • Confirm: Escalation path defined?

• Timezone Standardized: Asia/Seoul or UTC chosen globally

  • Timezone: ___________
  • Evidence: Config location: ___________
  • Confirm: All shadow run calculations use same timezone?

Sign-off: ___________ (DataGov Lead) / ___________ (Ops Lead)

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A.3 — DEC-079: Holiday Correction SLA & Policy

Owner: Data Architecture + Ops + Legal
Deadline: 2026-08-12
Blocking: YES (blocks ad-hoc holiday handling)

• Timezone Standard Confirmed: Asia/Seoul official timezone

  • Standard: ___________
  • Evidence: appsettings.json: ___________

• Holiday Corrections Procedure Defined: Request → Approve → Reflect

  • Request mechanism: ___________
  • Approver(s): ___________
  • SLA (e.g., T+0, T+1, EOM): ___________
  • Evidence: Runbook path: ___________

• Correction Authority Assigned: Who can request/approve corrections?

  • Request Authority: ___________
  • Approval Authority: ___________
  • Emergency escalation: ___________

Sign-off: ___________ (Ops Lead) / ___________ (Compliance)

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A.4 — VersionSet Approved by Business

Owner: Business Owner / Portfolio Manager
Deadline: TBD (Phase 1 start signal)
Blocking: YES (gates entire Phase 1)

• Model ID Confirmed: UUID of model to shadow-run

  • Model ID: ___________
  • Model Name: ___________
  • Model Version: ___________
  • Evidence: governance.model_version_registry query result

• Dataset ID Confirmed: UUID of dataset for backtest period

  • Dataset ID: ___________
  • Dataset Name: ___________
  • Coverage: ___________ to ___________
  • Evidence: evaluation.dataset_manifest query result

• Approval Signed: Model approved for production shadow run

  • Approved By (email): ___________
  • Approval Date: ___________
  • Confidence Level (High/Medium/Low): ___________
  • Evidence: Approval document path: ___________

• Risk Sign-off: Risk team has signed off on model usage

  • Risk Lead: ___________
  • Approval Date: ___________
  • Known Risks Documented: YES / NO
  • Risk Mitigation Plan: ___________

Sign-off: ___________ (Business Owner) / ___________ (Risk Lead)

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🏗️ SECTION B: Infrastructure & Environment

B.1 — PostgreSQL Database (Remote)

Owner: DBA / Database Team
Blocking: YES (core persistence)

• Remote Host Accessible: 178.104.200.7 responding to SSH

  ssh -v kjh2064@178.104.200.7 "exit"
  

  • Result: ✅ / ❌
  • Latency (ms): ___________

• SSH Port Forwarding Works: localhost:5432 → remote PostgreSQL

  ssh -L 5432:127.0.0.1:5432 kjh2064@178.104.200.7 &
  psql -h localhost -U kartsell -d kartsell -c "SELECT NOW()"
  

  • Result: ✅ / ❌
  • Connection Time (ms): ___________

• Database Connectivity: kartsell DB accessible with test query

  • Query: SELECT COUNT(*) FROM governance.model_version_registry
  • Result: ✅ (row count: _______) / ❌
  • Last Backup: ___________

• Migration 0032 Deployed: Queued status contract present

  • Query: SELECT schema_version FROM schema_version_history WHERE script_name LIKE '0032_%'
  • Result: ✅ (version: _______) / ❌
  • Evidence: DbMigrator log timestamp: ___________

• Tables Pre-checked:

  SELECT COUNT(*) FROM governance.model_version_registry;
  SELECT COUNT(*) FROM evaluation.dataset_manifest;
  SELECT COUNT(*) FROM model_operations.shadow_runs;
  

  • model_version_registry rows: _______
  • dataset_manifest rows: _______
  • shadow_runs rows: _______

Sign-off: ___________ (DBA)

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B.2 — Host Application (.NET)

Owner: Backend Lead / Platform SRE
Blocking: YES (API endpoint required)

• Build Successful: dotnet build -c Release produces artifact

  dotnet build KArtSell.sln -c Release
  

  • Result: ✅ (warnings: _______) / ❌
  • Build Time: _______s
  • Build Date: ___________

• Host Startup (DEVELOPMENT mode): App listens on http://127.0.0.1:5002

  dotnet run --project src/KArtSell.Host -c Debug --no-build
  

  • Result: ✅ / ❌
  • Startup Time: _______s
  • Expected Log: "Now listening on: http://127.0.0.1:5002"

• DevelopmentHeaderAuthenticationHandler Active:

  • Log output contains: "DevelopmentHeaderAuthenticationHandler" ✅ / ❌
  • Confirm: Debug mode enables X-KArtSell-User header acceptance
  • NOT Release mode (which uses FailClosedAuthenticationHandler) ✅ / ❌

• Hangfire Scheduler Initialized:

  • Log output contains: "Hangfire: JobStorage initialized" ✅ / ❌
  • Dashboard available: http://127.0.0.1:5002/admin/dashboard ✅ / ❌
  • Job queues visible: q-evaluation (Phase 1), q-control, q-research ✅ / ❌
  • Note: Phase 1 shadow run uses q-evaluation queue for model evaluation tasks

• API Health Check:

  curl -H "X-KArtSell-User: admin" -H "X-KArtSell-Role: Admin" \
       http://127.0.0.1:5002/health
  

  • Result: HTTP 200 ✅ / ❌

• Shadow Run Endpoint Accessible:

  curl -X POST \
       -H "X-KArtSell-User: admin" \
       -H "X-KArtSell-Role: Admin" \
       -H "Content-Type: application/json" \
       -d '{"modelId":"","datasetId":"","windowStart":"2024-01-02","windowEnd":"2024-09-10","phaseFilter":"All"}' \
       http://127.0.0.1:5002/api/shadow-runs
  

  • Result: HTTP 202 Accepted ✅ / HTTP 422 Validation Error ❌ / HTTP 5xx Server Error ❌
  • Response Job ID: ___________

Sign-off: ___________ (Backend Lead)

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B.3 — Frontend Build & Distribution

Owner: Frontend Lead
Blocking: NO (Phase 1 is backend-only, but validates deployment)

• Frontend Build Successful: pnpm build produces dist/

  cd frontend && pnpm build
  

  • Result: ✅ / ❌
  • Build Time: _______s
  • Bundle Size (gzip): _______kb

• Static Assets Copied to Host: dist → src/KArtSell.Host/wwwroot/

  • Confirm: ls -lh src/KArtSell.Host/wwwroot/index.html
  • Result: ✅ / ❌
  • File Size: _______kb
  • Modification Time: ___________

• UI Contract Markers Present:

  grep -r "app-version" dist/ && grep -r "UI contract 4.0" dist/
  

  • Result: ✅ (found) / ❌ (missing)

Sign-off: ___________ (Frontend Lead)

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🔧 SECTION C: Tools & Scripts Validation

C.1 — freeze-versionset.ps1 Validation

Owner: SRE
Blocking: YES (mandatory for VersionSet freeze)

• Script Syntax Valid: PowerShell parse-check succeeds

  pwsh -NoProfile -Command ". scripts/freeze-versionset.ps1 -Help" -ErrorAction Stop
  

  • Result: ✅ / ❌

• Parameters Documented: Help shows all 5 required params

  Get-Help scripts/freeze-versionset.ps1 -Full
  

  • Params found: ModelId ✅, DatasetId ✅, ApprovedBy ✅, ConfigVersion ✅, CodeSha ✅

• Dry-run Test: Script validates input without DB modification

  scripts/freeze-versionset.ps1 `
    -ModelId "00000000-0000-0000-0000-000000000001" `
    -DatasetId "00000000-0000-0000-0000-000000000002" `
    -ApprovedBy "test@example.com" `
    -ConfigVersion "v1.0.0" `
    -CodeSha "aaaaaaaaaa"
  

  • Pre-flight Check: ✅ Passed / ❌ Failed
  • Migration 0032: ✅ Found / ❌ Not deployed
  • Database Insert: ✅ Success / ❌ Failed
  • Correlation ID: ___________

• Error Handling: Script fails safely if parameter missing

  scripts/freeze-versionset.ps1 -ModelId "..." -DatasetId "..."
  # Missing: -ApprovedBy, -ConfigVersion, -CodeSha
  

  • Result: ✅ (fails immediately) / ❌ (proceeds incorrectly)

Sign-off: ___________ (SRE)

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C.2 — generate-shadow-run-identifiers.ps1 Validation

Owner: SRE
Blocking: NO (utility; can be run anytime)

• Script Syntax Valid:

  pwsh -NoProfile -Command ". scripts/generate-shadow-run-identifiers.ps1 -Help" -ErrorAction Stop
  

  • Result: ✅ / ❌

• UUID Generation Works:

  scripts/generate-shadow-run-identifiers.ps1 -OutputPath ./test-versionset.json
  

  • Result: ✅ / ❌
  • JSON Valid: ✅ / ❌
  • IDs Generated: RunId ✅, JobId ✅, CorrelationId ✅
  • File Size: _______bytes

• Output Format Correct:

  jq '.phase1_run | keys' test-versionset.json
  

  • Keys present: runId ✅, jobId ✅, jobRunId ✅, correlationId ✅, idempotencyKey ✅

Sign-off: ___________ (SRE)

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C.3 — PHASE-1_ACTIVATION_RUNBOOK.md Validation

Owner: SRE / Platform Lead
Blocking: YES (execution procedure)

• Pre-flight Checklist Complete:

  • Migration 0032 deployed ✅
  • Host running in DEVELOPMENT mode ✅
  • PostgreSQL accessible via SSH tunnel ✅
  • Hangfire scheduler running ✅
  • Scripts available in ./scripts/ ✅

• 3-Step Procedure Verified:

  • STEP 1: FREEZE VersionSet (2 min) — ready to execute
  • STEP 2: GENERATE identifiers (1 min) — ready to execute
  • STEP 3: ENQUEUE Job 893 (1 min) — ready to execute

• Troubleshooting Matrix Present:

  • Common errors documented ✅
  • Recovery procedures clear ✅

• Monitoring Instructions Clear:

  • Log tailing command: ✅
  • Grafana dashboard: ✅
  • Alert setup: ✅
  • Emergency rollback: ✅

Sign-off: ___________ (SRE Lead)

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📊 SECTION D: Data Quality & State Validation

D.1 — Model & Dataset State

Owner: Data Governance / Quant Lead
Blocking: YES (ensures reproducibility)

• Model Card Complete:

  • Model ID: ___________
  • Model Name: ___________
  • Algorithm: ___________
  • Training Data Window: ___________ to ___________
  • Last Validated: ___________
  • Known Limitations: ___________

• Dataset Manifest Complete:

  • Dataset ID: ___________
  • Dataset Name: ___________
  • Features: ___________
  • Data Quality Score: ___________
  • Last Refreshed: ___________
  • Completeness: _______% (target: ≥95%)

• Market Data Available:

  • KRX price data: 2024-01-02 to 2024-09-10 ✅ / ❌ (gaps: _________)
  • Index data: KOSPI/KOSDAQ ✅ / ❌
  • Volume data: Available ✅ / ❌
  • Corporate actions: Splits/dividends integrated ✅ / ❌

• No Data Quality Anomalies:

  SELECT COUNT(*) FROM market_data WHERE price_close <= 0 OR volume = 0;
  

  • Bad rows: _______ (target: 0)

Sign-off: ___________ (Quant Lead)

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D.2 — PIT (Point-in-Time) Query Validation

Owner: Data Architect
Blocking: YES (ensures audit trail)

• Correlation IDs Trackable:

  • Sample query passes ✅ / ❌
  • SELECT COUNT(*) FROM outbox WHERE correlation_id = ?
  • Result: _______rows

• Revision History Preserved:

  • Append-only tables confirmed ✅
  • No UPDATE/DELETE allowed ✅
  • Soft deletes only ✅

• Published_at Timestamp Correct:

  SELECT COUNT(*) FROM governance.model_version_registry
  WHERE published_at > NOW();
  

  • Result: 0 rows (no future dates) ✅ / ❌

Sign-off: ___________ (Data Architect)

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📈 SECTION E: Monitoring & Observability Setup

E.1 — Logging Configured

Owner: SRE / Observability Lead
Blocking: NO (but strongly recommended)

• Structured Logging Active:

  • Log file: /app/kartsell/logs/phase-1-execution.log ✅
  • Format: JSON with CorrelationId ✅
  • Retention: _______ days

• Serilog PII Redaction Active:

  • SSN redaction: ✅
  • Credit card redaction: ✅
  • API key redaction: ✅

• Log Aggregation Ready:

  • ELK / Splunk / Datadog connected: ✅ / ❌
  • Search by CorrelationId functional: ✅ / ❌

Sign-off: ___________ (Observability Lead)

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E.2 — Metrics & Alerting

Owner: SRE / Observability
Blocking: NO (but recommended for incident response)

• Grafana Dashboard:

  • Phase 1 dashboard available: https://grafana.internal/d/phase1-shadow-run ✅ / ❌
  • Key metrics: Job status, trading days elapsed, data quality, cost simulation ✅
  • Real-time refresh: 5-minute interval ✅

• Alert Thresholds Configured:

  • Job failure alert: ✅
  • Data quality anomaly (>5% bad rows): ✅
  • Processing latency >30min: ✅

• On-Call Escalation Path:

  • Primary: ___________
  • Secondary: ___________
  • Escalation delay: _______ minutes

Sign-off: ___________ (SRE Lead)

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🚀 SECTION F: Final Readiness Sign-offs

F.1 — Technical Readiness

All sections B, C, D must be PASS before proceeding

Section	Status	Signed Off By	Date
B.1 Database	✅ / ❌	___________	_______
B.2 Host App	✅ / ❌	___________	_______
B.3 Frontend	✅ / ❌	___________	_______
C.1 freeze-versionset	✅ / ❌	___________	_______
C.2 generate-identifiers	✅ / ❌	___________	_______
C.3 Runbook	✅ / ❌	___________	_______
D.1 Data State	✅ / ❌	___________	_______
D.2 PIT Queries	✅ / ❌	___________	_______

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F.2 — Business Readiness

All sections A must be PASS before proceeding

Gate	Status	Signed Off By	Date
A.1 DEC-037 (Source/License)	✅ / ❌	___________	_______
A.2 DEC-038 (Calendar/Owner)	✅ / ❌	___________	_______
A.3 DEC-079 (Timezone/Correction)	✅ / ❌	___________	_______
A.4 VersionSet Approved	✅ / ❌	___________	_______

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F.3 — Final Go/No-Go Decision

OVERALL READINESS:

GO CRITERIA:

• ✅ All Section A gates APPROVED (governance)
• ✅ All Section B-D checks PASS (technical)
• ✅ Emergency rollback procedure validated
• ✅ On-call team briefed & ready

NO-GO CRITERIA:

• ❌ Any governance approval pending (A.1-A.4)
• ❌ Technical blocker unresolved (B.1-D.2)
• ❌ Critical data quality issue (>10% bad rows)
• ❌ Insufficient monitoring coverage

FINAL DECISION:

Phase 1 Execution: ☐ GO (proceed to activation) / ☐ NO-GO (defer)

Date: ___________
Approved By: ___________ (Platform Lead)
Emergency Contact: ___________
Backup Lead: ___________

Launch Window: ___________ to ___________ (UTC)
Expected Completion: 2026-10-27 to 2026-11-26 (50-90 days)
Evidence Preservation: Phase 1 logs → evidence/PHASE-1/logs/

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📚 Supporting Documents

• Pre-flight Reference: docs/CURRENT/PHASE-1_PRODUCTION_PREFLIGHT_20260806.md
• Activation Procedure: docs/CURRENT/PHASE-1_ACTIVATION_RUNBOOK.md
• Evidence Plan: docs/CURRENT/PHASE-1_EXECUTION_EVIDENCE_PLAN.md
• Tech Decision Log: docs/DECISIONS/ADR-*.md (authentication, data contract, etc.)

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Co-Authored-By: Claude Haiku 4.5 noreply@anthropic.com