<!-- Moved from docs/archive/phase-1/Reference/codex_audit_report.md to docs/working/archive/legacy/phase-1/Reference/codex_audit_report.md on 2026-06-16 (docs reorg Phase 2) -->
# StarForth Governance – Fresh Audit Report

**Auditor:** Codex (independent reviewer)  
**Audit Date:** $(date +%Y-%m-%d)  
**Scope:** StarForth-Governance repository – governance controls, validation evidence, and release gating artifacts.

## Methodology

- Read core governance statements (`GOVERNANCE.md`, `README.md`, `VALIDATION_BOOK.adoc`).
- Sampled Tier I and Tier II validation artifacts, evidence logs, and signature registers.
- Verified claimed evidence by inspecting referenced files and checking for required outputs.
- Logged every gap found (no legacy findings reused) until 34 distinct nonconformities were captured.

## Findings

| ID   | Severity | Requirement / Reference                                                                                                                               | Evidence Gap                                                                                                                                                           |
|------|----------|-------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| F-01 | Major    | `GOVERNANCE.md:30-34`                                                                                                                                 | Release gate requires `ANSI_C99_COMPLIANCE_MATRIX.adoc`; repository contains no such artifact (full-text search returns none).                                         |
| F-02 | Major    | `FORTH-79_COMPLIANCE_MATRIX.adoc:35-43`                                                                                                               | Compliance matrix lists only five words then notes the “complete matrix” would follow; the remaining 65 FORTH-79 core words are absent, so traceability is incomplete. |
| F-03 | Major    | `GOVERNANCE.md:21-26`, `Validation/TIER_I_FOUNDATION/TEST_RESULTS/TEST_RESULTS_LOG.adoc:62-83`                                                        | Governance demands Linux ARM64 validation, but the cited ARM64 log (`starforth-test-arm64-[date].log`) is not present anywhere in the repo.                            |
| F-04 | Major    | `GOVERNANCE.md:21-26`                                                                                                                                 | Embedded platform validation is required alongside x86_64/ARM64; no embedded build or test evidence exists in `Reference/` or validation logs.                         |
| F-05 | Major    | `GOVERNANCE.md:21-24`                                                                                                                                 | Continuous validation (“tests run on every commit”) lacks objective evidence: the repository has no CI workflow outputs or scheduler records.                          |
| F-06 | Major    | `Reference/run.log:1-20`, `Validation/TIER_I_FOUNDATION/PROTOCOLS/PROTOCOL_FORTH79_COMPLIANCE.adoc:70-93`                                             | The sole test log is raw numbers with no header, platform, commit, or pass/fail summary, violating the protocol’s required evidence format.                            |
| F-07 | Major    | `Validation/TIER_I_FOUNDATION/TEST_RESULTS/TEST_RESULTS_LOG.adoc:96-103`                                                                              | Line/branch/function coverage fields remain `__%`, so Tier I coverage metrics were never recorded.                                                                     |
| F-08 | Major    | `Validation/TIER_I_FOUNDATION/TEST_RESULTS/TEST_RESULTS_LOG.adoc:115-168`                                                                             | Mandatory completion checkboxes for compliance matrix, RTM, architecture, and test methodology stay unchecked despite the status being marked “✓ COMPLETE”.            |
| F-09 | Major    | `Validation/TIER_I_FOUNDATION/TEST_RESULTS/TEST_RESULTS_LOG.adoc:78-80`                                                                               | Log references `starforth-test-arm64-[date].log (ARCHIVED)`, but no such file exists, leaving the multi-platform pass claim unsupported.                               |
| F-10 | Medium   | `Validation/TIER_I_FOUNDATION/TEST_RESULTS/TEST_RESULTS_LOG.adoc:173-179`                                                                             | Deficiency totals remain `[N]` placeholders, so the validated deficiency count is unknown.                                                                             |
| F-11 | Minor    | `Validation/TIER_I_FOUNDATION/TEST_RESULTS/TEST_RESULTS_LOG.adoc:83`                                                                                  | Entry notes field still reads “[Any observations]”, indicating the record was never reviewed or finalized.                                                             |
| F-12 | Major    | `Validation/TIER_I_FOUNDATION/FINAL_REPORT_TIER_I.adoc:112-116`                                                                                       | Final report reuses `__%` placeholders for coverage metrics, so Tier I exit criteria were not actually verified.                                                       |
| F-13 | Major    | `Validation/TIER_I_FOUNDATION/FINAL_REPORT_TIER_I.adoc:41-56`                                                                                         | Report certifies ARM64 success, contradicting the absence of ARM64 evidence (see F-03/F-09).                                                                           |
| F-14 | Medium   | `Validation/TIER_I_FOUNDATION/FINAL_REPORT_TIER_I.adoc:187-194`, `Validation/SHARED/DEFICIENCY_LOG.adoc:17-34`                                        | Report cites a deficiency log as proof of “zero critical deficiencies”, yet the referenced log is an empty template.                                                   |
| F-15 | Major    | `Validation/TIER_I_FOUNDATION/FINAL_REPORT_TIER_I.adoc:176-179`                                                                                       | Validation engineer sign-off is blank, so Tier I protocol execution is unsanctioned.                                                                                   |
| F-16 | Major    | `Validation/TIER_I_FOUNDATION/FINAL_REPORT_TIER_I.adoc:183-186`                                                                                       | Review authority signature missing; independent verification not documented.                                                                                           |
| F-17 | Major    | `Validation/TIER_I_FOUNDATION/FINAL_REPORT_TIER_I.adoc:190-193`                                                                                       | Maintainer approval absent, blocking promotion to Tier II.                                                                                                             |
| F-18 | Major    | `Validation/TIER_I_FOUNDATION/TEST_RESULTS/TEST_RESULTS_LOG.adoc:105`                                                                                 | Coverage evidence points to `coverage-report/index.html`, but no such artifact exists in the repository.                                                               |
| F-19 | Major    | `Validation/TIER_II_QUALITY/DETERMINISM_SPECIFICATION.adoc:81-88`                                                                                     | Determinism spec leaves execution-time variance table with placeholder “X” values, so timing analysis was never recorded.                                              |
| F-20 | Major    | `Validation/TIER_II_QUALITY/DETERMINISM_SPECIFICATION.adoc:65-76`                                                                                     | Document claims 100 identical test runs without attaching logs or data, leaving determinism verification unsubstantiated.                                              |
| F-21 | Major    | `Validation/TIER_II_QUALITY/DETERMINISM_SPECIFICATION.adoc:93-103`                                                                                    | ARM64 section is labeled “Ready for testing” rather than completed, conflicting with Tier II pass status.                                                              |
| F-22 | Major    | `Validation/TIER_II_QUALITY/DETERMINISM_SPECIFICATION.adoc:120-138`                                                                                   | Determinism specification approval block is blank, leaving the protocol unsigned.                                                                                      |
| F-23 | Major    | `Reference/Foundation/GOVERNANCE_REFERENCE_MANUAL.adoc:644-652`, `SIGNATURE_TRACKING.adoc:23`                                                         | Master governance manual lacks required signatures, so policy baseline is unofficial.                                                                                  |
| F-24 | Major    | `Reference/Foundation/QUALITY_POLICY.adoc:365-373`, `SIGNATURE_TRACKING.adoc:24`                                                                      | Quality policy signature block empty, leaving quality objectives unenforced.                                                                                           |
| F-25 | Major    | `Reference/Foundation/SECURITY_POLICY.adoc:475-484`, `SIGNATURE_TRACKING.adoc:25`                                                                     | Security policy not signed; incident response obligations lack approval.                                                                                               |
| F-26 | Major    | `Reference/Foundation/TEST_STRATEGY.adoc:560-568`, `SIGNATURE_TRACKING.adoc:26`                                                                       | Test strategy unsigned, so QA coverage requirements are not authorized.                                                                                                |
| F-27 | Major    | `Reference/Processes/Chapters/01-ECR_PROCESS.adoc:451-459`, `SIGNATURE_TRACKING.adoc:27`                                                              | ECR process missing signatures, invalidating change-intake control.                                                                                                    |
| F-28 | Major    | `Reference/Processes/Chapters/02-ECO_PROCESS.adoc:420-438`, `SIGNATURE_TRACKING.adoc:28`                                                              | ECO process unsigned; release/change control lacks approval.                                                                                                           |
| F-29 | Major    | `Reference/Processes/Chapters/03-CAPA_PROCESS.adoc:540-556`, `SIGNATURE_TRACKING.adoc:29`                                                             | CAPA process signature block empty, so corrective action workflow is not ratified.                                                                                     |
| F-30 | Major    | `Reference/Processes/Chapters/04-FMEA_PROCESS.adoc:276-284`, `SIGNATURE_TRACKING.adoc:30`                                                             | FMEA process unsigned, leaving risk analysis procedure unofficial.                                                                                                     |
| F-31 | Major    | `Reference/Processes/Chapters/09-THEORY_JUSTIFICATION_GUIDE.adoc:360-368`, `SIGNATURE_TRACKING.adoc:31`                                               | Theory justification guide lacks approval, weakening formal verification governance.                                                                                   |
| F-32 | Major    | `Validation/SHARED/DEFECT_LOG/COMPREHENSIVE_DEFECTS_MASTER.adoc:740-748`, `SIGNATURE_TRACKING.adoc:32`                                                | Comprehensive defects master inventory is unsigned, so defect baseline is uncertified.                                                                                 |
| F-33 | Major    | `Validation/SHARED/DEFECT_LOG/Phase_1_2_Initial_Assessment.adoc:188-198`, `SIGNATURE_TRACKING.adoc:33`                                                | Historical Phase 1/2 defect assessment missing required signatures.                                                                                                    |
| F-34 | Major    | `Reference/FormalVerification/REFINEMENT_CAPA.adoc:66-118`, `Reference/FormalVerification/REFINEMENT_CAPA.adoc:108-129`, `SIGNATURE_TRACKING.adoc:34` | Refinement CAPA register carries unchecked tasks and an empty approval block, leaving formal verification CAPAs uncontrolled.                                          |

## Overall Assessment

Major release gates (platform validation, coverage proof, and process approvals) remain unsatisfied. With 34 open
nonconformities spanning evidence, validation records, and governance sign-offs, **StarForth-Governance is not
audit-ready**. Remediation must close each finding with objective evidence and documented approvals before a follow-up
audit.

## Addendum – Governance Self-Conflict Findings

| ID   | Severity | Requirement / Reference                                                                                                                                                         | Observation                                                                                                                                                                                                                          |
|------|----------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| F-35 | Major    | `Validation/OVERVIEW/ACCEPTANCE_CRITERIA_ALL_TIERS.adoc:82-148`; `Validation/TIER_I_FOUNDATION/FINAL_REPORT_TIER_I.adoc:49-128`                                                 | Tier I final report certifies multi-platform tests, coverage, and deficiency closure despite the evidence fields remaining placeholders, breaching the “No partial compliance / evidence required” rule inside the governance model. |
| F-36 | Major    | `Validation/TIER_I_FOUNDATION/PROTOCOLS/PROTOCOL_FORTH79_COMPLIANCE.adoc:60-125`; `Validation/TIER_I_FOUNDATION/TEST_RESULTS/TEST_RESULTS_LOG.adoc:62-105`                      | Protocol demands archived x86_64 and ARM64 logs, but the ledger cites `starforth-test-arm64-[date].log (ARCHIVED)` without the file existing, so the governance pack simultaneously requires and lacks the proof.                    |
| F-37 | Major    | `Validation/OVERVIEW/ACCEPTANCE_CRITERIA_ALL_TIERS.adoc:70-90`; `Reference/run.log:1`                                                                                           | Reproducibility requires detailed test logs, yet the only archived run log contains raw numbers with no metadata, preventing any third party from following the documented rule.                                                     |
| F-38 | Major    | `Validation/OVERVIEW/ACCEPTANCE_CRITERIA_ALL_TIERS.adoc:95-117`; `Validation/TIER_I_FOUNDATION/FINAL_REPORT_TIER_I.adoc:104-128`; `Validation/SHARED/DEFICIENCY_LOG.adoc:17-43` | Governance mandates transparent deficiency logging, but the Tier I report cites an empty template as evidence of “zero critical deficiencies,” creating a governance loop where the required log simultaneously exists and doesn’t.  |
| F-39 | Major    | `Reference/Processes/Chapters/*.adoc` (signature blocks); `SIGNATURE_TRACKING.adoc:20-198`                                                                                      | Policies and process chapters mark themselves “Status: Active” while the signature tracker records every one as “[SIGNATURE REQUIRED]”, leaving foundational procedures both asserted and unsigned.                                  |
| F-40 | Major    | `Validation/OVERVIEW/VALIDATION_ROADMAP.adoc:440-463`; `Validation/SHARED/DEFECT_LOG.adoc:17-43`; `Reference/FormalVerification/REFINEMENT_CAPA.adoc:360-418`                   | Governance references named Review Authorities, defect inventories, and refinement CAPA status, yet keeps them at `[TBD]`/blank states, producing unresolved circular dependencies between the plan and the recorded evidence.       |
| F-41 | Major    | `GOVERNANCE.md:21-26`; repository CI evidence                                                                                                                                   | Continuous validation is a core policy, but no CI schedules, outputs, or archival evidence are present, so the governance model prescribes a control it cannot demonstrate.                                                          |
| F-42 | Major    | `Validation/TIER_II_QUALITY/CODE_QUALITY_BASELINE_REPORT.adoc:33-148`; `Validation/OVERVIEW/STANDARDS_SUMMARY.md:85-112`                                                        | Governance targets ISO 5055 / automated quality, yet Tier II relies solely on GCC compilation with no SonarQube or equivalent static-analysis evidence, leaving the quality gate unenforced.                                         |
