OCT Proxy Pre-Validation Sheet v0.1

Date: 2026-05-03 Prepared by (proxy designer): Fabio Ghioni Audited by (independent auditor): Solomon Theorem ID: D03 Claim ID: D03 Claim source (chapter/section): Chapter 10 / D03 Cycle ID candidate: CYCLE_5_2026-05-01 Status: pass

1) Claim logical type

Select one:

taxonomic

Expected dominant anti-pattern risk:

taxonomic -> post-hoc rescue

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): Informational loss of forgetful functors is classifiable into preservative vs degenerative regimes.

Primary falsifier (what would disconfirm it): Class partition collapses or requires threshold/formula switch on same data after first fail.

Secondary falsifier(s): One class structurally unreachable under preregistered formula and thresholds.

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)
Delta_Coh	coherence variation under U	Chapter 8 Coh axis	paired pre/post traces	O
Delta_Phi	functional variation under U	Chapter 8 Phi axis	paired pre/post traces	O
Loss_index	class decision proxy	D03 Cycle 5 locked formula	prereg formula lock	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: Delta_Coh, Delta_Phi, Loss_index

Pre-registered thresholds: t_low, t_high, max_ambiguous_rate

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: functor family with induced collapse where only one class remains reachable.

Why reachable: included as high-stress context in prereg list.

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 taxonomic)

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/D03_contexts_v0_1.md
OCT/validation/CYCLE_5_2026-05-01/CYCLE_5_D03_LOCKED_TAXONOMY_SPEC_v0_1.md

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

context_id	Distinguishing features	Expected difficulty	Dataset slice
D03_CTX_01	functor families with low distortion	low	datasets/cycle3_inputs/d03_family_a
D03_CTX_02	mixed families with moderate distortion	medium	datasets/cycle3_inputs/d03_family_b
D03_CTX_03	adversarial families with high distortion	high	datasets/cycle3_inputs/d03_family_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	yes	Delta_Coh	CYCLE_5_D03_LOCKED_TAXONOMY_SPEC_v0_1.md
PhiHat	yes	Delta_Phi	CYCLE_5_D03_LOCKED_TAXONOMY_SPEC_v0_1.md
Delta	partial	derived via Loss_index	CYCLE_5_D03_LOCKED_TAXONOMY_SPEC_v0_1.md

If any axis is not measured, interpretation limits must be declared here: Delta interpretation is limited to D03 class-partition objective.

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/D03_PREREG_SEAL_v0_1.json
checksum/hash: declared in seal payload
timestamp (UTC): 2026-05-03T08:50:00Z
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): Taxonomy uses locked formula/threshold regime with explicit anti-rescue constraints.

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