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SHIP-RECEIPT.md — v1.1.0 export classification

Status: v1.1.0 · Last reviewed: 2026-05-28.

Every public name in finserv_agent_audit.governance.__all__, finserv_agent_audit.agents.__all__, and finserv_agent_audit.schemas.__all__ is classified below as one of:

  • shipped — real implementation, tested, exercised by the CI suite (273 tests in v1.1; 287+ in v1.2 with the closeout tranche)
  • stub-with-tracking — NotImplementedError raise with ADR pointer; reserved API surface (v1.2 closed the last instance of this status — see ProtectedClassProxyDetector row below)
  • deferred-with-tracking — planned, not yet in __all__; placeholder for ADR ledger

Schema names in the ledger that resolve via a __getattr__ shim (the v1.0 → v1.1 AuditChain import-path preservation) are noted in the row.

Companion to FAILURE-MODES.md, LIMITATIONS.md.

finserv_agent_audit.governance exports

Name Status Module Notes
AuditChain shipped governance.audit_chain Extracted from schemas/ in v1.1; v1.0 import path preserved via schemas/__init__.py __getattr__
AuditChainTamperError shipped governance.audit_chain Raised by verify / verify_strict on hash-chain mismatch
DEFCON shipped governance.defcon Enum: NORMAL → MONITOR → ALERT → CRITICAL → HALT
DEFCONMachine shipped governance.defcon Hysteresis-controlled state machine (ADR-0001)
RiskMetrics shipped governance.defcon Input dataclass for DEFCON evaluation
SovereignVeto shipped governance.sovereign_veto Human-only kill switch (ADR-0002)
VetoBlockedError shipped governance.sovereign_veto Raised on action attempt while vetoed
VetoReason shipped governance.sovereign_veto Enum: HUMAN_OVERRIDE / RISK_STATE / POLICY / PEER_AGENT
VetoRecord shipped governance.sovereign_veto Veto event dataclass
InMemoryLedgerStore shipped governance.ledger_store Default in-process backend; test fixture
LedgerStore shipped governance.ledger_store Protocol (ADR-0014 Seam 1)
JsonlLedgerStore shipped governance.ledger_store_jsonl Append-only JSONL backend
SqliteLedgerStore shipped governance.ledger_store_sqlite SQLite backend with unique-constraint conditional write
WORMLedgerStore shipped governance.ledger_store_worm SEC 17a-4 best-effort WORM (ADR-0013); pair with S3 Object Lock COMPLIANCE for production
WORMViolationError shipped governance.ledger_store_worm Raised on append-to-finalized attempts
LocalClock shipped governance.timestamp_source Default TimestampSource; time.time_ns()
RFC3161Source shipped governance.timestamp_source RFC 3161 TSA client; fallback_to_local_on_failure default True
TimestampSource shipped governance.timestamp_source Protocol (ADR-0014 Seam 2)
build_timestamp_request shipped governance.rfc3161_codec RFC 3161 ASN.1 request encoder (stdlib only)
parse_timestamp_response shipped governance.rfc3161_codec RFC 3161 ASN.1 response decoder; verify-side cross-check against TSA cert is NOT YET IMPLEMENTED · tracking ADR-0014-A1
OpenTimestampsWitness shipped governance.witness_anchor OTS calendar client (ADR-0014 Seam 3)
RekorWitness shipped governance.witness_anchor Sigstore Rekor client (ADR-0014 Seam 3)
WitnessRegister shipped governance.witness_anchor Protocol (ADR-0014 Seam 3)
anchor_to_witness shipped governance.witness_anchor Helper: anchor chain head + write WITNESS_ANCHOR chain entry
IntegrityVerificationError shipped governance.mi_proxy Raised by enforce_attestation on attestation failure
LocalMIProxy shipped governance.mi_proxy HMAC-SHA256 stdlib backend (ADR-0015)
MIProxy shipped governance.mi_proxy Protocol (ADR-0014 Seam 4)
enforce_attestation shipped governance.mi_proxy Verify-side helper; raises on attestation failure
InMemoryVendorScoreGate shipped governance.vendor_score_gate Default vendor-drift backend (ADR-0016)
VendorClass shipped governance.vendor_score_gate Five FSI vendor categories pre-registered
VendorScoreDriftDetected shipped governance.vendor_score_gate Raised on (vendor_id, input_hash, model_version) collision with diff score
VendorScoreEntry shipped governance.vendor_score_gate Vendor-score record dataclass
VendorScoreGate shipped governance.vendor_score_gate Protocol (ADR-0016)
AdverseActionGate shipped governance.adverse_action_gate FCRA § 615 + CFPB Circular 2022-03 (ADR-0009)
AdverseActionViolation shipped governance.adverse_action_gate Raised when reason codes are generic / lack traceability
BestInterestCheck shipped governance.best_interest_check SEC Reg-BI care obligation (ADR-0007 family)
BestInterestViolation shipped governance.best_interest_check Raised on Reg-BI care-obligation failure
RecommendationProfile shipped governance.best_interest_check Investor / recommendation input dataclass
EquityAudit shipped governance.equity_audit ECOA / Reg-B fair-lending pre-flight (ADR-0010)
EquityAuditViolation shipped governance.equity_audit Raised on fair-lending gate failure
ProtectedClass shipped governance.equity_audit Enum: protected-class categories for Reg-B
ImplementationStatus shipped governance.model_inventory SR 11-7 model-status state machine
Model shipped governance.model_inventory Model record dataclass
ModelInventory shipped governance.model_inventory SR 11-7 second-line recordkeeping surface
ProtectedClassProxyDetector shipped governance.protected_class_proxy_detector Mutual-information arm of ADR-0019; replaces the v1.1 stub. Discrete MI estimator (stdlib math.log + collections.Counter); continuous features must be discretized by the caller. SHAP / conditional-demographic-disparity arms remain on the v1.3 roadmap.
SARWorkflowAudit shipped governance.sar_workflow_audit BSA/AML § 5318(g)/(h) workflow recordkeeping (ADR-0011)
AutonomyTier shipped governance.autonomy_ladder Enum: A0 / A1 / A2 / A3 / A4
PromotionGateNotMet shipped governance.autonomy_ladder Raised on A2→A3 promotion failure
PromotionGateReport shipped governance.autonomy_ladder Promotion-gate outcome dataclass
PromotionRequirements shipped governance.autonomy_ladder A2→A3 requirements config
check_a2_to_a3_promotion shipped governance.autonomy_ladder Promotion-gate evaluation helper (ADR-0004 + 0007)
DecisionClass shipped governance.shadow_mode Shadow-mode decision-category enum
DecisionOutcome shipped governance.shadow_mode Shadow vs live outcome dataclass
PromotionVerdict shipped governance.shadow_mode Shadow→live promotion verdict
ShadowRouter shipped governance.shadow_mode SR 11-7 pre-promotion parallel-run router (ADR-0006)
VetoDirection shipped governance.shadow_mode Shadow-mode veto direction enum

finserv_agent_audit.agents exports

Name Status Module Notes
Agent shipped agents.base Reference base; production deployers subclass
AgentResult shipped agents.base Agent-call result dataclass
AuditAgent shipped agents.audit Reference agent demonstrating AuditConsumer wiring
AuditChainTamperError shipped agents.base Re-export from governance.audit_chain for agent-side convenience
AuditConsumer shipped agents.base One-injection-contract base for the 4 Protocol seams + optional VendorScoreGate
MonitorAgent shipped (reference stub body) agents.monitor Class shipped; method body is a reference stub — production deployers fill in the chain-scan logic
OrchestratorAgent shipped (reference stub body) agents.orchestrator Class shipped; method body is a reference stub — production deployers wire routing

finserv_agent_audit.schemas exports

Name Status Module Notes
AuditChain shipped (re-export) schemas → governance.audit_chain v1.0 import-path preservation via __getattr__ shim
AuditEvent shipped schemas.audit_event Core event dataclass; SHA-256 hashed in AuditChain
AuditEventType shipped schemas.audit_event Extended in v1.1: VENDOR_SCORE_RECORDED, VENDOR_SCORE_DRIFT_DETECTED, WITNESS_ANCHOR, MODEL_VALIDATED, ADVERSE_ACTION_TAKEN, SAR_FILED, BEST_INTEREST_CHECKED
AutonomyLevel shipped schemas.audit_event Maps to A0–A4

Classification counts

Status Count
shipped 65
stub-with-tracking 0 (v1.2 closed the ProtectedClassProxyDetector deferral per ADR-0019 § "v1.2 ship reconciliation")
deferred-with-tracking 0
reference-stub-body (class ships; method body is a reference) 2 (MonitorAgent, OrchestratorAgent)
Total 67

Two RFC 3161 verify-side cross-checks (TSA cert chain validation, witness re-verification on read) are tracked as NOT YET IMPLEMENTED · ADR-0014-A1 / A2 inside callable bodies, not as separate __all__ entries.

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