Exception Record v1

Source schema: doc/schemas/exception-record.v1.schema.json

Machine-readable schema for a first-class audit record describing one bounded operational or constitutional exception. This contract follows the minimum exception data model from EXCEPTION-POLICY and stays general enough for ordinary, emergency, and injunction cases. Emergency-specific activation fields belong in a later extension artifact rather than in this base record.

Governing Basis

• doc/normative/50-constitutional-ops/EXCEPTION-POLICY.md
• doc/normative/50-constitutional-ops/EMERGENCY-ACTIVATION-CRITERIA.md
• doc/project/20-memos/exception-record-v1-invariants.md
• doc/project/40-proposals/017-organization-subjects-and-org-did-key.md
• doc/project/50-requirements/requirements-008.md

Project Lineage

Requirements

• doc/project/50-requirements/requirements-006.md
• doc/project/50-requirements/requirements-008.md

Stories

• doc/project/30-stories/story-001.md
• doc/project/30-stories/story-004.md

Fields

Field	Required	Shape	Description
schema/v	yes	const: 1	Schema version.
policy/id	yes	const: DIA-EXC-001	Normative policy anchor for this exception record family.
exception/id	yes	string	Stable exception identifier, e.g. EXC-[federation]-[timestamp]-[nonce].
exception/type	yes	enum: ordinary, emergency, injunction	Exception family as defined by EXCEPTION-POLICY.
owner/kind	yes	enum: node, participant, org, council, panel, system, role	Actor class that owns responsibility for the exception effects.
owner/id	yes	string	Identifier of the responsible owner. Canonical DID forms are used where available.
requester/kind	yes	enum: node, participant, org, council, panel, system, role	Actor class that requested or initiated the exception.
requester/id	yes	string	Identifier of the initiator. Canonical DID forms are used where available.
scope/summary	yes	string	What roles, resources, procedures, or data are covered by the exception.
reason/summary	yes	string	Business, ethical, safety, or constitutional rationale for the exception.
risk/level	yes	enum: low, medium, high, critical	Risk class of the exception. High and critical records require non-empty approvals, monitoring metrics, and rollback conditions.
constitutional/basis	yes	array	References to constitutional or normative clauses justifying the exception.
created/at	yes	string	Timestamp when the exception record was created.
expires/at	yes	string	Expiry timestamp. Consumers SHOULD enforce expires/at > created/at.
fail-closed/target	yes	string	Return state the system must enter when the exception ends or is revoked.
trigger/refs	no	array	Optional references to triggering signals, incidents, or cases that caused the exception to be opened.
approvals	yes	array	Approval entries for the exception. High and critical records require at least one approval entry.
monitoring/metrics	yes	array	Side-effect indicators or health metrics to watch while the exception remains active.
monitoring/review-at	yes	string	Next mandatory review checkpoint. Consumers SHOULD enforce monitoring/review-at >= created/at.
rollback/conditions	yes	array	Conditions under which the exception must be suspended or rolled back.
status	yes	enum: proposed, active, suspended, expired, rolled_back	Lifecycle state of the exception record.
notes	no	string	Optional human-readable notes.

Definitions

Definition	Shape	Description
approval	object

Conditional Rules

Rule 1

When:

{
  "properties": {
    "owner/kind": {
      "const": "node"
    }
  },
  "required": [
    "owner/kind"
  ]
}

Then:

{
  "properties": {
    "owner/id": {
      "pattern": "^node:did:key:z[1-9A-HJ-NP-Za-km-z]+$"
    }
  }
}

Rule 2

When:

{
  "properties": {
    "owner/kind": {
      "const": "participant"
    }
  },
  "required": [
    "owner/kind"
  ]
}

Then:

{
  "properties": {
    "owner/id": {
      "pattern": "^participant:did:key:z[1-9A-HJ-NP-Za-km-z]+$"
    }
  }
}

Rule 3

When:

{
  "properties": {
    "owner/kind": {
      "const": "org"
    }
  },
  "required": [
    "owner/kind"
  ]
}

Then:

{
  "properties": {
    "owner/id": {
      "pattern": "^org:did:key:z[1-9A-HJ-NP-Za-km-z]+$"
    }
  }
}

Rule 4

When:

{
  "properties": {
    "owner/kind": {
      "const": "council"
    }
  },
  "required": [
    "owner/kind"
  ]
}

Then:

{
  "properties": {
    "owner/id": {
      "pattern": "^council:did:key:z[1-9A-HJ-NP-Za-km-z]+$"
    }
  }
}

Rule 5

When:

{
  "properties": {
    "owner/kind": {
      "const": "system"
    }
  },
  "required": [
    "owner/kind"
  ]
}

Then:

{
  "properties": {
    "owner/id": {
      "const": "system"
    }
  }
}

Rule 6

When:

{
  "properties": {
    "requester/kind": {
      "const": "node"
    }
  },
  "required": [
    "requester/kind"
  ]
}

Then:

{
  "properties": {
    "requester/id": {
      "pattern": "^node:did:key:z[1-9A-HJ-NP-Za-km-z]+$"
    }
  }
}

Rule 7

When:

{
  "properties": {
    "requester/kind": {
      "const": "participant"
    }
  },
  "required": [
    "requester/kind"
  ]
}

Then:

{
  "properties": {
    "requester/id": {
      "pattern": "^participant:did:key:z[1-9A-HJ-NP-Za-km-z]+$"
    }
  }
}

Rule 8

When:

{
  "properties": {
    "requester/kind": {
      "const": "org"
    }
  },
  "required": [
    "requester/kind"
  ]
}

Then:

{
  "properties": {
    "requester/id": {
      "pattern": "^org:did:key:z[1-9A-HJ-NP-Za-km-z]+$"
    }
  }
}

Rule 9

When:

{
  "properties": {
    "requester/kind": {
      "const": "council"
    }
  },
  "required": [
    "requester/kind"
  ]
}

Then:

{
  "properties": {
    "requester/id": {
      "pattern": "^council:did:key:z[1-9A-HJ-NP-Za-km-z]+$"
    }
  }
}

Rule 10

When:

{
  "properties": {
    "requester/kind": {
      "const": "system"
    }
  },
  "required": [
    "requester/kind"
  ]
}

Then:

{
  "properties": {
    "requester/id": {
      "const": "system"
    }
  }
}

Rule 11

When:

{
  "properties": {
    "risk/level": {
      "enum": [
        "high",
        "critical"
      ]
    }
  },
  "required": [
    "risk/level"
  ]
}

Then:

{
  "properties": {
    "approvals": {
      "minItems": 1
    },
    "monitoring/metrics": {
      "minItems": 1
    },
    "rollback/conditions": {
      "minItems": 1
    }
  }
}

Field Semantics

schema/v

• Required: yes
• Shape: const: 1

Schema version.

policy/id

• Required: yes
• Shape: const: DIA-EXC-001

Normative policy anchor for this exception record family.

exception/id

• Required: yes
• Shape: string

Stable exception identifier, e.g. EXC-[federation]-[timestamp]-[nonce].

exception/type

• Required: yes
• Shape: enum: ordinary, emergency, injunction

Exception family as defined by EXCEPTION-POLICY.

owner/kind

• Required: yes
• Shape: enum: node, participant, org, council, panel, system, role

Actor class that owns responsibility for the exception effects.

owner/id

• Required: yes
• Shape: string

Identifier of the responsible owner. Canonical DID forms are used where available.

requester/kind

• Required: yes
• Shape: enum: node, participant, org, council, panel, system, role

Actor class that requested or initiated the exception.

requester/id

• Required: yes
• Shape: string

Identifier of the initiator. Canonical DID forms are used where available.

scope/summary

• Required: yes
• Shape: string

What roles, resources, procedures, or data are covered by the exception.

reason/summary

• Required: yes
• Shape: string

Business, ethical, safety, or constitutional rationale for the exception.

risk/level

• Required: yes
• Shape: enum: low, medium, high, critical

Risk class of the exception. High and critical records require non-empty approvals, monitoring metrics, and rollback conditions.

constitutional/basis

• Required: yes
• Shape: array

References to constitutional or normative clauses justifying the exception.

created/at

• Required: yes
• Shape: string

Timestamp when the exception record was created.

expires/at

• Required: yes
• Shape: string

Expiry timestamp. Consumers SHOULD enforce expires/at > created/at.

fail-closed/target

• Required: yes
• Shape: string

Return state the system must enter when the exception ends or is revoked.

trigger/refs

• Required: no
• Shape: array

Optional references to triggering signals, incidents, or cases that caused the exception to be opened.

approvals

• Required: yes
• Shape: array

Approval entries for the exception. High and critical records require at least one approval entry.

monitoring/metrics

• Required: yes
• Shape: array

Side-effect indicators or health metrics to watch while the exception remains active.

monitoring/review-at

• Required: yes
• Shape: string

Next mandatory review checkpoint. Consumers SHOULD enforce monitoring/review-at >= created/at.

rollback/conditions

• Required: yes
• Shape: array

Conditions under which the exception must be suspended or rolled back.

status

• Required: yes
• Shape: enum: proposed, active, suspended, expired, rolled_back

Lifecycle state of the exception record.

notes

• Required: no
• Shape: string

Optional human-readable notes.

Definition Semantics

$defs.approval

• Shape: object