OCT Proxy Pre-Validation Sheet v0.1

Date: 2026-05-03 Prepared by (proxy designer): Fabio Ghioni Audited by (independent auditor): Solomon Theorem ID: D02 Claim ID: D02 Claim source (chapter/section): Chapter 10 / D02 Cycle ID candidate: CYCLE_5_2026-05-01 Status: pass

1) Claim logical type

Select one:

existential

Expected dominant anti-pattern risk:

existential -> vacuum-pass structural

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

Max independent cycles for this claim: 3 Current cycle sequence index: 1 Budget policy status: within_budget

2) Claim statement and falsifier statement

Claim (verbatim): There exist classically commutative diagrams with Phi=0 under OCT constraints.

Primary falsifier (what would disconfirm it): No reachable disconfirming configuration exists under the proxy design.

Secondary falsifier(s): Commutativity assigned by construction without verification.

3) Concept-to-observable mapping table

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

Proxy element (code variable/formula)	OCT concept target	Mapping rationale (chapter/def)	Observable source	Label (O/P/C)
is_commutative	syntactic commutativity	classical commutative check	diagram checker	O
Phi_proxy	functional emergence axis	Chapter 8 functional axis	execution trace + semantic anchor	P
fail_config_reachable	falsifiability reachability	ex-ante gate requirement	prereg context list	O

Rules:

No unnamed proxy term is allowed.
No concept can be declared as measured if mapping is missing.
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: not applicable

Output-only fallback present? no

If yes, why it is non-decisive and how it is constrained: not applicable

4.2 Taxonomic claim guard (post-hoc rescue lock)

Pre-registered variables: is_commutative, Phi_proxy

Pre-registered thresholds: reachability of both confirming and disconfirming configurations

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

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: explicit non-commutative candidate set under same proxy instrumentation.

Why reachable: included as mandatory context in D02 context set.

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: not applicable (claim type is existential)

Confirmation is not tautological by construction? yes

5) Falsifiability reachability test

Required before run:

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

Pass/fail of reachability test: pass

Evidence artifact paths:

OCT/validation/CYCLE_5_2026-05-01/contexts/D02_contexts_v0_1.md
OCT/validation/CYCLE_5_2026-05-01/CYCLE_5_D02_EVIDENCE_CLASS_SPEC_v0_1.md

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

context_id	Distinguishing features	Expected difficulty	Dataset slice
D02_CTX_01	formal pilot diagrams	low	datasets/cycle3_inputs/d02_formal_a
D02_CTX_02	empirical structured diagrams	medium	datasets/cycle3_inputs/d02_empirical_b
D02_CTX_03	stress diagrams with perturbation	high	datasets/cycle3_inputs/d02_stress_c

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

Declare explicitly what is measured vs not measured:

Axis	Measured? (yes/no)	Operational definition used	Path to code/report
Coh	partial	structural stability proxy in lane-specific checks	CYCLE_5_D02_EVIDENCE_CLASS_SPEC_v0_1.md
PhiHat	partial	Phi proxy via mapped observables	CYCLE_5_D02_EVIDENCE_CLASS_SPEC_v0_1.md
Delta	no	not primary for D02 existential claim	CYCLE_5_D02_EVIDENCE_CLASS_SPEC_v0_1.md

If any axis is not measured, interpretation limits must be declared here: No theorem-level claim expansion beyond D02 existential scope.

7) Evidence class declaration

Select one:

L1 empirical external

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: Fabio Ghioni Auditor: Solomon Confirmed different identities: yes Auditor co-authorship with designer in last 24 months: no If yes, list: none Auditor school-of-thought affiliation declaration: external critical reviewer with independent audit stance

9) Preregistration seal

Required fields:

preregistration artifact path: OCT/validation/CYCLE_5_2026-05-01/seals/D02_PREREG_SEAL_v0_1.json
checksum/hash: declared in seal payload
timestamp (UTC): 2026-05-03T08:40:00Z
immutable storage location: 10.5281/zenodo.19959724
seal method: zenodo_doi
contexts hash: declared in seal payload
auditor independence declared (yes/no): yes
gate-entry signature: declared in seal payload
gate-entry timestamp (UTC): declared in seal payload
gate-exit signature: declared in seal payload
gate-exit timestamp (UTC): declared in seal payload
gate-exit status: declared in seal payload

Seal valid: yes

10) Gate decision

Decision options:

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

Decision: PASS

Decision rationale (short, technical): Existential claim has reachable disconfirming configuration and lane split lock.

Signer (auditor): Solomon Date: 2026-05-03