OCT Proxy Pre-Validation Sheet v0.1

Date: Prepared by (proxy designer): Audited by (independent auditor): Theorem ID: Claim ID: Claim source (chapter/section): Cycle ID candidate: Status: draft | pass | fail

1) Claim logical type

Select one:

• existential (there exists x such that P(x))
• comparative (E[P_A] > E[P_B] or equivalent)
• taxonomic (coexistence/partition of regimes)
• universal (for all x, P(x))

Expected dominant anti-pattern risk:

• existential -> vacuum-pass structural
• comparative -> level-shift
• taxonomic -> post-hoc rescue
• universal -> trivial confirmation without reachable falsification

1.1) Cycle budget control (anti-p-hacking)

Max independent cycles for this claim: Current cycle sequence index: Budget policy status: within_budget | exhausted_requires_escalation

2) Claim statement and falsifier statement

Claim (verbatim):

Primary falsifier (what would disconfirm it):

Secondary falsifier(s):

3) Concept-to-observable mapping table

Mandatory: every proxy variable must map to a formal concept with rationale.

Rules:

1. No unnamed proxy term is allowed.
2. No concept can be declared as measured if mapping is missing.
3. Labels must follow: O=operational, P=operationalizable, C=conceptual only.

4) Anti-pattern prevention checks (mandatory)

4.1 Comparative claim guard (level-shift test)

If claim type is comparative, show that A/B differs in process, not only output scoring.

Process-level evidence planned:

Output-only fallback present? yes/no

If yes, why it is non-decisive and how it is constrained:

4.2 Taxonomic claim guard (post-hoc rescue lock)

Pre-registered variables:

Pre-registered thresholds:

Policy lock:

• no criterion/threshold change on same data after first fail
• any revision requires new preregistration + new data split or new cycle

Lock accepted: yes/no

4.3 Existential claim guard (vacuum-pass test)

Show at least one concrete, realistic configuration where claim must fail under this proxy if phenomenon is absent.

Concrete fail configuration:

Why reachable:

If not reachable, mark sheet as fail.

4.4 Universal claim guard (trivial confirmation lock)

If claim type is universal, show reachable counterexample strategy.

Concrete reachable counterexample search strategy:

Confirmation is not tautological by construction? yes/no

5) Falsifiability reachability test

Required before run:

1. At least one executable input bundle expected to produce fail.
2. At least one executable input bundle expected to produce pass.
3. Decision boundary is pre-registered and immutable for this cycle.

Pass/fail of reachability test:

Evidence artifact paths:

5.1 Pre-registered context list (mandatory when using multi-context criteria)

6) Validity space coverage declaration (Coh/Phi/Delta)

Declare explicitly what is measured vs not measured:

If any axis is not measured, interpretation limits must be declared here:

7) Evidence class declaration

Select one:

• L1 empirical external
• L1 empirical synthetic (auditable)
• L2 formal pilot
• other (specify)

Accumulation rule reminder:

• evidence classes are not auto-additive
• cross-class accumulation requires explicit matrix logic

8) Role separation confirmation

Proxy designer and proxy auditor must be different.

Designer: Auditor: Confirmed different identities: yes/no Auditor co-authorship with designer in last 24 months: yes/no If yes, list: Auditor school-of-thought affiliation declaration:

9) Preregistration seal

Required fields:

• preregistration artifact path:
• checksum/hash:
• timestamp (UTC):
• immutable storage location:
• seal method:
• contexts hash:
• auditor independence declared (yes/no):
• gate-entry signature:
• gate-entry timestamp (UTC):
• gate-exit signature:
• gate-exit timestamp (UTC):
• gate-exit status: not_executed | executed_no_promotion | executed_promotable | invalidated

Seal valid: yes/no

10) Gate decision

Decision options:

• PASS (cycle execution allowed)
• FAIL (cycle blocked, redesign required)
• HOLD (claim clarification required before proxy design)

Decision:

Decision rationale (short, technical):

Signer (auditor): Date: