239 lines
12 KiB
Markdown
239 lines
12 KiB
Markdown
# Policy Lifecycle & Approvals
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> **Audience:** Policy authors, reviewers, security approvers, release engineers.
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> **Scope:** End-to-end flow for `stella-dsl@1` policies from draft through archival, including CLI/Console touch-points, Authority scopes, audit artefacts, and offline considerations.
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This guide explains how a policy progresses through Stella Ops, which roles are involved, and the artefacts produced at every step. Pair it with the [Policy Engine Overview](overview.md), [DSL reference](dsl.md), and upcoming run documentation to ensure consistent authoring and rollout.
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---
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## 1 · Protocol Summary
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- Policies are **immutable versions** attached to a stable `policy_id`.
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- Lifecycle states: `draft → submitted → approved → active → archived`.
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- Every transition requires explicit Authority scopes and produces structured events + storage artefacts (`policies`, `policy_runs`, audit log collections).
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- Simulation and CI gating happen **before** approvals can be granted.
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- Activation triggers (runs, bundle exports, CLI `promote`) operate on the **latest approved** version per tenant.
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```mermaid
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stateDiagram-v2
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[*] --> Draft
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Draft --> Draft: edit/save (policy:author)
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Draft --> Submitted: submit(reviewers) (policy:author)
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Submitted --> Draft: requestChanges (policy:review)
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Submitted --> Approved: approve (policy:approve)
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Approved --> Active: activate/run (policy:operate)
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Active --> Archived: archive (policy:operate)
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Approved --> Archived: superseded/explicit archive
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Archived --> [*]
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```
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---
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## 2 · Roles & Authority Scopes
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| Role (suggested) | Required scopes | Responsibilities |
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|------------------|-----------------|------------------|
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| **Policy Author** | `policy:author`, `policy:simulate`, `findings:read` | Draft DSL, run local/CI simulations, submit for review. |
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| **Policy Reviewer** | `policy:review`, `policy:simulate`, `findings:read` | Comment on submissions, demand additional simulations, request changes. |
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| **Policy Approver** | `policy:approve`, `policy:audit`, `findings:read` | Grant final approval, ensure sign-off evidence captured. |
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| **Policy Operator** | `policy:operate`, `policy:run`, `policy:activate`, `findings:read` | Trigger full/incremental runs, monitor results, roll back to previous version. |
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| **Policy Auditor** | `policy:audit`, `findings:read` | Review past versions, verify attestations, respond to compliance requests. |
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| **Policy Engine Service** | `effective:write`, `findings:read` | Materialise effective findings during runs; no approval capabilities. |
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> Scopes are issued by Authority (`AUTH-POLICY-20-001`). Tenants may map organisational roles (e.g., `secops.approver`) to these scopes via issuer policy.
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---
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## 3 · Lifecycle Stages in Detail
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### 3.1 Draft
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- **Who:** Authors (`policy:author`).
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- **Tools:** Console editor, `stella policy edit`, policy DSL files.
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- **Actions:**
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- Author DSL leveraging [stella-dsl@1](dsl.md).
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- Run `stella policy lint` and `stella policy simulate --sbom <fixtures>` locally.
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- Attach rationale metadata (`metadata.description`, tags).
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- **Artefacts:**
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- `policies` document with `status=draft`, `version=n`, `provenance.created_by`.
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- Local IR cache (`.stella.ir.json`) generated by CLI compile.
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- **Guards:**
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- Draft versions never run in production.
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- CI must lint drafts before allowing submission PRs (see `DEVOPS-POLICY-20-001`).
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### 3.2 Submission
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- **Who:** Authors (`policy:author`).
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- **Tools:** Console “Submit for review” button, `stella policy submit <policyId> --reviewers ...`.
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- **Actions:**
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- Provide review notes and required simulations (CLI uploads attachments).
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- Choose reviewer groups; Authority records them in submission metadata.
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- **Artefacts:**
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- Policy document transitions to `status=submitted`, capturing `submitted_by`, `submitted_at`, reviewer list, simulation digest references.
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- Audit event `policy.submitted` (Authority timeline / Notifier integration).
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- **Guards:**
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- Submission blocked unless latest lint + compile succeed (<24 h freshness).
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- Must reference at least one simulation artefact (CLI enforces via `--attach`).
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### 3.3 Review (Submitted)
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- **Who:** Reviewers (`policy:review`), optionally authors responding.
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- **Tools:** Console review pane (line comments, overall verdict), `stella policy review`.
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- **Actions:**
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- Inspect DSL diff vs previous approved version.
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- Run additional `simulate` jobs (UI button or CLI).
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- Request changes → policy returns to `draft` with comment log.
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- **Artefacts:**
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- Comments stored in `policy_reviews` collection with timestamps, resolved flag.
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- Additional simulation run records appended to submission metadata.
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- **Guards:**
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- Approval cannot proceed until all blocking comments resolved.
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- Required reviewers (Authority rule) must vote before approver sees “Approve” button.
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### 3.4 Approval
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- **Who:** Approvers (`policy:approve`).
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- **Tools:** Console “Approve”, CLI `stella policy approve <id> --version n --note "rationale"`.
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- **Actions:**
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- Confirm compliance checks (see §6) all green.
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- Provide approval note (mandatory string captured in audit trail).
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- **Artefacts:**
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- Policy `status=approved`, `approved_by`, `approved_at`, `approval_note`.
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- Audit event `policy.approved` plus optional Notifier broadcast.
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- Immutable approval record stored in `policy_history`.
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- **Guards:**
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- Approver cannot be same identity as author (enforced by Authority config).
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- Approver must attest to successful simulation diff review (`--attach diff.json`).
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### 3.5 Activation & Runs
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- **Who:** Operators (`policy:operate`, `policy:run`, `policy:activate`).
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- **Tools:** Console “Promote to active”, CLI `stella policy activate <id> --version n`, `stella policy run`.
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- **Actions:**
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- Mark approved version as tenant’s active policy.
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- Trigger full run or rely on orchestrator for incremental runs.
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- Monitor results via Console dashboards or CLI run logs.
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- **Artefacts:**
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- `policy_runs` entries with `mode=full|incremental`, `policy_version=n`.
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- Effective findings collections updated; explain traces stored.
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- Activation event `policy.activated` with `runId`.
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- **Guards:**
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- Activation blocked if previous full run <24 h old failed or is pending.
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- Selection of SBOM/advisory snapshots uses consistent cursors recorded for reproducibility.
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### 3.6 Archival / Rollback
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- **Who:** Approvers or Operators with `policy:archive`.
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- **Tools:** Console menu, CLI `stella policy archive <id> --version n --reason`.
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- **Actions:**
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- Retire policies superseded by newer versions or revert to older approved version (`stella policy activate <id> --version n-1`).
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- Export archived version for audit bundles (Offline Kit integration).
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- **Artefacts:**
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- Policy `status=archived`, `archived_by`, `archived_at`, reason.
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- Audit event `policy.archived`.
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- Exported DSSE-signed policy pack stored if requested.
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- **Guards:**
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- Archival cannot proceed while runs using that version are in-flight.
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- Rollback requires documented incident reference.
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---
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## 4 · Tooling Touchpoints
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| Stage | Console | CLI | API |
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|-------|---------|-----|-----|
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| Draft | Inline linting, simulation panel | `stella policy lint`, `edit`, `simulate` | `POST /policies`, `PUT /policies/{id}/versions/{v}` |
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| Submit | Submit modal (attach simulations) | `stella policy submit` | `POST /policies/{id}/submit` |
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| Review | Comment threads, diff viewer | `stella policy review --approve/--request-changes` | `POST /policies/{id}/reviews` |
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| Approve | Approve dialog | `stella policy approve` | `POST /policies/{id}/approve` |
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| Activate | Promote button, run scheduler | `stella policy activate`, `run`, `simulate` | `POST /policies/{id}/run`, `POST /policies/{id}/activate` |
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| Archive | Archive / rollback menu | `stella policy archive` | `POST /policies/{id}/archive` |
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All CLI commands emit structured JSON by default; use `--format table` for human review.
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---
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## 5 · Audit & Observability
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- **Storage:**
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- `policies` retains all versions with provenance metadata.
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- `policy_reviews` stores reviewer comments, timestamps, attachments.
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- `policy_history` summarises transitions (state, actor, note, diff digest).
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- `policy_runs` retains input cursors and determinism hash per run.
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- **Events:**
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- `policy.submitted`, `policy.review.requested`, `policy.approved`, `policy.activated`, `policy.archived`, `policy.rollback`.
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- Routed to Notifier + Timeline Indexer; offline deployments log to local event store.
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- **Logs & metrics:**
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- Policy Engine logs include `policyId`, `policyVersion`, `runId`, `approvalNote`.
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- Observability dashboards (see forthcoming `/docs/observability/policy.md`) highlight pending approvals, run SLA, VEX overrides.
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- **Reproducibility:**
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- Each state transition stores IR checksum and simulation diff digests, enabling offline audit replay.
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---
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## 6 · Compliance Gates
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| Gate | Stage | Enforced by | Requirement |
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|------|-------|-------------|-------------|
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| **DSL lint** | Draft → Submit | CLI/CI | `stella policy lint` successful within 24 h. |
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| **Simulation evidence** | Submit | CLI/Console | Attach diff from `stella policy simulate` covering baseline SBOM set. |
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| **Reviewer quorum** | Submit → Approve | Authority | Minimum approver/reviewer count configurable per tenant. |
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| **Determinism CI** | Approve | DevOps job | Twin run diff passes (`DEVOPS-POLICY-20-003`). |
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| **Activation health** | Approve → Activate | Policy Engine | Last run status succeeded; orchestrator queue healthy. |
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| **Export validation** | Archive | Offline Kit | DSSE-signed policy pack generated for long-term retention. |
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Failure of any gate emits a `policy.lifecycle.violation` event and blocks transition until resolved.
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---
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## 7 · Offline / Air-Gap Considerations
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- Offline Kit bundles include:
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- Approved policy packs (`.policy.bundle` + DSSE signatures).
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- Submission/approval audit logs.
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- Simulation diff JSON for reproducibility.
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- Air-gapped sites operate with the same lifecycle:
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- Approvals happen locally; Authority runs in enclave.
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- Rollout requires manual import of policy packs from connected environment via signed bundles.
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- `stella policy simulate --sealed` ensures no outbound calls; required before approval in sealed mode.
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---
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## 8 · Incident Response & Rollback
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- Incident mode (triggered via `policy incident activate`) forces:
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- Immediate incremental run to evaluate mitigation policies.
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- Expanded trace retention for affected runs.
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- Automatic snapshot of currently active policies for evidence locker.
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- Rollback path:
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1. `stella policy activate <id> --version <previous>` with incident note.
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2. Orchestrator schedules full run to ensure findings align.
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3. Archive problematic version with reason referencing incident ticket.
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- Post-incident review must confirm new version passes gates before re-activation.
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---
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## 9 · CI/CD Integration (Reference)
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- **Pre-merge:** run lint + simulation jobs against golden SBOM fixtures.
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- **Post-merge (main):** compile, compute IR checksum, stage for Offline Kit.
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- **Nightly:** determinism replay, `policy simulate` diff drift alerts, backlog of pending approvals.
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- **Notifications:** Slack/Email via Notifier when submissions await review > SLA or approvals succeed.
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---
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## 10 · Compliance Checklist
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- [ ] **Role mapping validated:** Authority issuer config maps organisational roles to required `policy:*` scopes (per tenant).
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- [ ] **Submission evidence attached:** Latest simulation diff and lint artefacts linked to submission.
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- [ ] **Reviewer quorum met:** All required reviewers approved or acknowledged; no unresolved blocking comments.
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- [ ] **Approval note logged:** Approver justification recorded in audit trail alongside IR checksum.
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- [ ] **Activation guard passed:** Latest run status success, orchestrator queue healthy, determinism job green.
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- [ ] **Archive bundles produced:** When archiving, DSSE-signed policy pack exported and stored for offline retention.
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- [ ] **Offline parity proven:** For sealed deployments, `--sealed` simulations executed and logged before approval.
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---
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*Last updated: 2025-10-26 (Sprint 20).*
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