🧾 Audit & Compliance Checklist

Design Recovery Control (DRC)

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🎯 Purpose

This checklist is used to audit, certify, or formally review
systems claiming compliance with Design Recovery Control (DRC).

It verifies that:

• 🔒 Control authority boundaries are strictly respected
• 🧠 LLM usage is limited to design supervision only
• 🛡 Safety, determinism, and inspectability are preserved

🚨 Failure to satisfy any MANDATORY item immediately invalidates
a claim of DRC compliance.

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🧱 1. Architectural Separation — MANDATORY

• ⏱ PID performs all real-time control
• 🔄 FSM enforces all state management and safety logic
• 🧠 LLM is fully isolated from real-time execution paths
• 🚫 No direct or indirect data path exists from LLM to actuators
• ⚙ Control execution remains deterministic without LLM presence

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🧠 2. LLM Authority and Scope — MANDATORY

• 📜 LLM role is explicitly defined as Design Supervisor
• 🚫 LLM cannot generate control inputs or commands
• 🚫 LLM cannot access live sensor or actuator streams
• ⏳ LLM operates asynchronously and offline
• 📄 LLM outputs design proposals only

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📐 3. Design Variable Restrictions — MANDATORY

• 📋 All modifiable variables are explicitly listed
• 🎚 PID gains are bounded by predefined limits
• 🔒 FSM topology is immutable by default
• 🛡 Safety-critical states cannot be removed or bypassed
• 🚫 Structural controller changes are prohibited

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🔄 4. Workflow Compliance — MANDATORY

• 🔔 Design Recovery is explicitly triggered
• ⏱ Recovery is event-driven or periodic, not continuous
• 🧾 Invocation events are logged and traceable
• ⚙ Real-time control continues uninterrupted
• 🛡 FSM retains absolute safety authority

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🧪 5. Proposal and Output Validation — MANDATORY

• 📄 LLM outputs are human-readable
• 🧠 All proposals include rationale and risk notes
• 🏷 Outputs are versioned and traceable
• 🚫 Automatic self-deployment is disabled
• 👤 External validation is required before deployment

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🧑‍⚖️ 6. Approval and Governance — MANDATORY

• 👤 Human or system-level approval is enforced
• 🔐 Approval authority is external to the LLM
• 📦 Deployment occurs only at controlled update points
• 🔁 Rollback mechanisms are available and tested

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⚠ 7. Failure Mode Classification — MANDATORY

• 🎯 DRC targets design assumption failures only
• 🧱 Physical failures are handled outside DRC
• 🚨 Safety emergencies bypass DRC entirely
• 📉 Reliability or lifetime optimization is excluded
• 🚫 Online learning or adaptive control is excluded

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🗂 8. Logging, Traceability, and Auditability — MANDATORY

• 🧾 All DRC invocations are logged
• 🔍 Design changes are fully traceable
• 🗃 Historical configurations are archived
• 🔁 Rollback history is preserved
• 🔒 Audit logs are tamper-resistant

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🧠 9. Prompt and LLM Usage Compliance — MANDATORY

• 📜 LLM prompt explicitly declares the DRC role
• 🚫 Absolute prohibitions are included in the prompt
• ❌ Refusal policy is implemented and tested
• 🔍 Prompt modifications are controlled and reviewed

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📚 10. Documentation Integrity — MANDATORY

• README defines scope and prohibitions
• 📘 design_variables.md is present and enforced
• 🔄 recovery_workflow.md is present and enforced
• ⚠ failure_modes.md is present and enforced
• 📊 comparison_rl_llm_control.md is present

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🚨 11. Common Disqualifying Conditions — AUTO-FAIL

If any of the following conditions are true,
the system must NOT be labeled as DRC:

• ❌ LLM directly influences control signals
• ❌ Online self-learning or adaptive control is enabled
• ❌ FSM safety logic can be bypassed
• ❌ LLM auto-deploys its own changes
• ❌ Control authority boundaries are blurred

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✅ Final Compliance Declaration

• All MANDATORY items above are satisfied
• No AUTO-FAIL condition is present

Result:

• 🟢 DRC-Compliant
• 🔴 NOT DRC-Compliant

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🔒 Design Intent Freeze

This checklist fixes the audit and compliance criteria
for Design Recovery Control.

Future revisions may clarify wording or formatting,
but must not relax any mandatory or auto-fail requirement.

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End of document.