FactNotebook — Evidence Ledger: agents-for-openbb

Article 4

NO EVIDENCE N/A Assurance 0% 0 ok · 0 fail · 1 checkpoints

⚠️ Documented AI Policy Governance 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Documented AI Policy

⚠ Dynamic test result for Documented AI Policy: skipped

Article 9

COMPLIANT 🔐 E5 92.5/100 Assurance 0% ⚠️ 1 contradiction 4 ok · 6 fail · 9 checkpoints

⚠️ Confidence-Based Human Routing Other 2 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ Non-compliant sessions: fb-89F335E1

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Confidence-Based Human Routing

⚠ Dynamic test result for Confidence-Based Human Routing: skipped

🟢 Contextual Memory Limitation Robustness 1 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

🟢 Execution Limits (Guardrails) Human Oversight 1 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

🔴 Post-Market Plan Governance 3 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Post-Market Plan

⚠ Dynamic test result for Post-Market Plan: skipped

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Post-Market Plan

⚠ Dynamic test result for Post-Market Plan: failed

🔴 Risk Matrix Governance 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Risk Matrix

⚠ Dynamic test result for Risk Matrix: failed

🔴 Risk Mitigation Governance 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Risk Mitigation

⚠ Dynamic test result for Risk Mitigation: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Risk Mitigation

⚠ Dynamic test result for Risk Mitigation: skipped

🔴 Continuous Monitoring Governance 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Continuous Monitoring

⚠ Dynamic test result for Continuous Monitoring: failed

🔴 Risk Ownership Assignment Governance 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Risk Ownership Assignment

⚠ Dynamic test result for Risk Ownership Assignment: failed

🔴 Risk Register Governance 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Risk Register

⚠ Dynamic test result for Risk Register: failed

Article 10

COMPLIANT 🔐 E5 92.5/100 Assurance 0% ⚠️ 2 contradictions 2 ok · 7 fail · 8 checkpoints

🔴 Bias Metrics Data Governance 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Bias Metrics

⚠ Dynamic test result for Bias Metrics: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Bias Metrics

⚠ Dynamic test result for Bias Metrics: skipped

🔴 Physical Dataset Existence Data Governance 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Physical Dataset Existence

⚠ Dynamic test result for Physical Dataset Existence: failed

⚠️ Balancing & Representativeness Data Governance 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Balancing & Representativeness

⚠ Dynamic test result for Balancing & Representativeness: skipped

🔴 Data Traceability Data Governance 2 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Data Traceability

⚠ Dynamic test result for Data Traceability: failed

🔴 Dataset Quality Data Governance 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Dataset Quality

⚠ Dynamic test result for Dataset Quality: failed

🔴 Data Inventory Data Governance 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Data Inventory

⚠ Dynamic test result for Data Inventory: failed

⚠️ Data Cleansing & Anonymisation Data Governance 2 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Data Cleansing & Anonymisation

⚠ Dynamic test result for Data Cleansing & Anonymisation: skipped

🔴 PII Masking Before External Transmission Data Governance 3 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 ABSENT

⚠ Non-compliant sessions: fb-D534D661, fb-89F335E1, fb-3899A858, fb-6F43C4DE, fb-BB281A1F

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 PII Masking Before External Transmission

⚠ Dynamic test result for PII Masking Before External Transmission: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 PII Masking Before External Transmission

⚠ Dynamic test result for PII Masking Before External Transmission: skipped

Article 11

NO EVIDENCE N/A Assurance 25% 1 ok · 2 fail · 3 checkpoints

🔴 Model Card Documentation 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Model Card

⚠ Dynamic test result for Model Card: failed

🔴 System Architecture Documentation 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 System Architecture

⚠ Dynamic test result for System Architecture: failed

🟢 COMPLIANT 🟢 VERIFIED_STATIC

📄 System Architecture

⚠ Dynamic test result for System Architecture: passed

⚠️ Version Management Documentation 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Version Management

⚠ Dynamic test result for Version Management: skipped

Article 12

NO EVIDENCE 0.0/100 Assurance 0% ⚠️ 1 contradiction 0 ok · 6 fail · 7 checkpoints

🔴 Audit Trail Logging & Traceability 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 ABSENT

⚠ Non-compliant sessions: fb-D534D661, fb-89F335E1, fb-3899A858, fb-6F43C4DE, fb-BB281A1F

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Audit Trail

⚠ Dynamic test result for Audit Trail: failed

🔴 Decision Record Structure Logging & Traceability 3 evidence ▼

⚠️ PARTIAL 🔴 ABSENT

⚠ Partial sessions: 3

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Decision Record Structure

⚠ Dynamic test result for Decision Record Structure: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Decision Record Structure

⚠ Dynamic test result for Decision Record Structure: skipped

⚠️ Storage Definition Logging & Traceability 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Storage Definition

⚠ Dynamic test result for Storage Definition: skipped

🔴 Real Execution Traces Logging & Traceability 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Real Execution Traces

⚠ Dynamic test result for Real Execution Traces: failed

🔴 Logging Implementation Logging & Traceability 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Logging Implementation

⚠ Dynamic test result for Logging Implementation: failed

🔴 Logging Integrity Logging & Traceability 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Logging Integrity

⚠ Dynamic test result for Logging Integrity: failed

⚠️ Log Retention Policy Logging & Traceability 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Log Retention Policy

⚠ Dynamic test result for Log Retention Policy: skipped

Article 13

COMPLIANT 🔐 E5 100.0/100 Assurance 0% ⚠️ 1 contradiction 1 ok · 3 fail · 3 checkpoints

🔴 System Explainability Transparency 3 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

⚠️ PARTIAL 🔴 TEST_FAILED

📄 System Explainability

⚠ Dynamic test result for System Explainability: skipped

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 System Explainability

⚠ Dynamic test result for System Explainability: failed

🔴 Limitations Disclosure Transparency 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Limitations Disclosure

⚠ Dynamic test result for Limitations Disclosure: failed

🔴 User Notice Transparency 1 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 User Notice

⚠ Dynamic test result for User Notice: failed

Article 14

COMPLIANT 🔐 E5 85.0/100 Assurance 0% ⚠️ 4 contradictions 4 ok · 8 fail · 10 checkpoints

🔴 Agent Tool Scope Human Oversight 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Agent Tool Scope

⚠ Dynamic test result for Agent Tool Scope: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Agent Tool Scope

⚠ Dynamic test result for Agent Tool Scope: skipped

🔴 Automatic Blocking Linked to Human Rejection Other 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 ABSENT

⚠ Non-compliant sessions: fb-D534D661, fb-89F335E1, fb-3899A858, fb-6F43C4DE, fb-BB281A1F | Partial sessions: 3

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Automatic Blocking Linked to Human Rejection

⚠ Dynamic test result for Automatic Blocking Linked to Human Rejection: skipped

🔴 Authority Delegation Human Oversight 3 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Authority Delegation

⚠ Dynamic test result for Authority Delegation: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Authority Delegation

⚠ Dynamic test result for Authority Delegation: skipped

🔴 Human-in-the-Loop Mechanism Human Oversight 3 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Human-in-the-Loop Mechanism

⚠ Dynamic test result for Human-in-the-Loop Mechanism: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Human-in-the-Loop Mechanism

⚠ Dynamic test result for Human-in-the-Loop Mechanism: skipped

⚠️ Human Decision Endpoint Other 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Human Decision Endpoint

⚠ Dynamic test result for Human Decision Endpoint: skipped

🔴 Escalation to Human Human Oversight 2 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Escalation to Human

⚠ Dynamic test result for Escalation to Human: failed

⚠️ Human Approval Gates Execution Other 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Human Approval Gates Execution

⚠ Dynamic test result for Human Approval Gates Execution: skipped

🔴 Human Validation Human Oversight 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 ABSENT

⚠ Non-compliant sessions: fb-D534D661, fb-89F335E1, fb-3899A858, fb-6F43C4DE, fb-BB281A1F | Partial sessions: 3

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Human Validation

⚠ Dynamic test result for Human Validation: failed

🔴 User Override Human Oversight 3 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 User Override

⚠ Dynamic test result for User Override: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 User Override

⚠ Dynamic test result for User Override: skipped

⚠️ Full Workflow Integration Other 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Full Workflow Integration

⚠ Dynamic test result for Full Workflow Integration: skipped

Article 15

COMPLIANT 85.0/100 Assurance 16% ⚠️ 3 contradictions 3 ok · 8 fail · 11 checkpoints

🔴 Contextual Memory Limitation Robustness 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Contextual Memory Limitation

⚠ Dynamic test result for Contextual Memory Limitation: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Contextual Memory Limitation

⚠ Dynamic test result for Contextual Memory Limitation: skipped

🔴 Unsafe Serialization Formats Robustness 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Unsafe Serialization Formats

⚠ Dynamic test result for Unsafe Serialization Formats: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Unsafe Serialization Formats

⚠ Dynamic test result for Unsafe Serialization Formats: skipped

⚠️ Secure Format Policy Robustness 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Secure Format Policy

⚠ Dynamic test result for Secure Format Policy: skipped

🔴 Error Handling Robustness 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Error Handling

⚠ Dynamic test result for Error Handling: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Error Handling

⚠ Dynamic test result for Error Handling: skipped

🔴 Bypass Detection Robustness 3 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 ABSENT

⚠ Non-compliant sessions: fb-D534D661, fb-89F335E1, fb-3899A858, fb-6F43C4DE, fb-BB281A1F

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Bypass Detection

⚠ Dynamic test result for Bypass Detection: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Bypass Detection

⚠ Dynamic test result for Bypass Detection: skipped

🔴 Input Robustness Robustness 2 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Input Robustness

⚠ Dynamic test result for Input Robustness: skipped

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Input Robustness

⚠ Dynamic test result for Input Robustness: failed

🔴 Execution Limits (Guardrails) Human Oversight 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Execution Limits (Guardrails)

⚠ Dynamic test result for Execution Limits (Guardrails): failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Execution Limits (Guardrails)

⚠ Dynamic test result for Execution Limits (Guardrails): skipped

🟢 Cybersecurity Audit Robustness 1 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_STATIC

📄 Cybersecurity Audit

⚠ Dynamic test result for Cybersecurity Audit: passed

🟢 Component Obsolescence Robustness 1 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_STATIC

📄 Component Obsolescence

⚠ Dynamic test result for Component Obsolescence: passed

🔴 Prompt Guardrail / Injection Detection Robustness 2 evidence ▼

🔴 NOT EVIDENCED IN AUDIT SCOPE 🔴 TEST_FAILED

📄 Prompt Guardrail / Injection Detection

⚠ Dynamic test result for Prompt Guardrail / Injection Detection: failed

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Prompt Guardrail / Injection Detection

⚠ Dynamic test result for Prompt Guardrail / Injection Detection: skipped

⚠️ Robustness Level Reality Other 2 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 SYS_CONTRADICTION_CYBER

⚠ Dynamic test result for SYS_CONTRADICTION_CYBER: skipped

🟢 COMPLIANT 🟢 VERIFIED_STATIC

📄 SYS_CONTRADICTION_CYBER

⚠ Dynamic test result for SYS_CONTRADICTION_CYBER: passed

Article 25

NO EVIDENCE N/A Assurance 0% 0 ok · 0 fail · 1 checkpoints

⚠️ Provider Identity Governance 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Provider Identity

⚠ Dynamic test result for Provider Identity: skipped

Article 26

NO EVIDENCE N/A Assurance 0% 0 ok · 0 fail · 1 checkpoints

⚠️ Deployer Identity Governance 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Deployer Identity

⚠ Dynamic test result for Deployer Identity: skipped

Article 27

NO EVIDENCE N/A Assurance 0% 0 ok · 0 fail · 1 checkpoints

⚠️ FRIA — Fundamental Rights Impact Assessment Governance 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 FRIA — Fundamental Rights Impact Assessment

⚠ Dynamic test result for FRIA — Fundamental Rights Impact Assessment: skipped

Article 73

COMPLIANT 🔐 E5 100.0/100 Assurance 0% 1 ok · 0 fail · 1 checkpoints

⚠️ Serious Incident Notification Procedure Governance 2 evidence ▼

🟢 COMPLIANT 🟢 VERIFIED_RUNTIME

⚠ No violations detected.

⚠️ PARTIAL 🔴 TEST_FAILED

📄 Serious Incident Notification Procedure

⚠ Dynamic test result for Serious Incident Notification Procedure: skipped

Unknown

NO EVIDENCE N/A Assurance 0% 0 ok · 0 fail · 1 checkpoints

⚠️ FACT_ART Other 1 evidence ▼

⚠️ PARTIAL 🔴 TEST_FAILED

📄 FACT_ART

⚠ Dynamic test result for FACT_ART: skipped