{
  "tool_id": "art-670-examination-readiness-pack",
  "tool_version": "1.0.0",
  "display_name": "Examination Readiness Pack",
  "mcp_name": "assess_exam_readiness_pack",
  "mandate_type": "compliance_control",
  "wave": 113,
  "gpu": false,
  "url": "https://ainumbers.co/chaingraph/art-670-examination-readiness-pack.html",
  "description": "One pack, two selectable regime modules, five stages of regulatory exam management over an institution's own supplied request list (EXAM-READINESS-BUILD-SPEC.md; the AMLA and SEC exam ideas are modules of this ONE pack by the red-team merge ruling, never a second pack). Stage 1 validates intake with a DECLARED as_of date: no runtime clock, so the same inputs always grade the same regardless of when the run happens (the deadline-wall lesson). Stage 2 rolls up delivered/open/overdue counts and overdue ids (a request is overdue only if it is still open past its due date as of the declared date). Stage 3 scores readiness as the one-decimal delivered share and grades overall READY (all delivered, zero overdue), NOT_READY (nothing delivered), or AT_RISK (between); this band mapping is a design choice of the pack itself, pinned by the spec's two worked vectors rather than by any regulator. Stage 4 (optional input) grades a module-specific checklist: the sec-2026 module's items are AI-use supervision, channel-neutral records preservation, and controls-operate evidence, per the SEC Division of Examinations FY2026 priorities sections I.B and VII.B and the 2022 electronic-recordkeeping amendments to Rule 17a-4 (audit-trail or WORM, whichever channel the records live on); the amla module's items track the EU AML Authority's direct-supervision selection (six-Member-State activity, high-risk-profile selection, and the selection-window timeline whose first selection concludes by 2028-01-01, with direct supervision commencing six months after the selection list is published, per Regulation (EU) 2024/1620 Articles 12-13 and recital 86). Before that boundary the annex carries an explicit pre-effective marker instead of pretending the regime is already live. Stage 5 (optional input) emits only a POINTER SET to the existing binder chain (T574 casefile-binder-composer, T575 casefile-binder-verifier, T576 evidence-handover-bundle): composition, never a rebuilt binder. Request lists are synthetic identifiers; nothing here is legal advice or a prediction of what an examiner will ask.",
  "input_schema_ref": "chaingraph/art-670-examination-readiness-pack.html#manifest",
  "consumes": [],
  "feeds": [],
  "status": "live",
  "conformance_fixtures": true,
  "compute_capability": "server",
  "compute_images": [
    {
      "system": "sha256-source",
      "image_id": "sha256:ebb4a56e64e94981a36d1f81ec90fd68bda94fa0312501ef282bed7568615cb8",
      "valid_from": "2026-09-03"
    },
    {
      "system": "risc0",
      "image_id": "sha256:a1a0bc89b5b1febaeda3519f6dbade0fa5ac16beeb143c4e1b01689573567bc6",
      "valid_from": "2026-09-12"
    }
  ],
  "export_capability": [
    "json"
  ],
  "standards_basis": "implements_standard",
  "cited_clause_digest": [
    {
      "digest": "sha256:1fd3eba33a35a06be2f7a6dce59e8ddbee5dd068eb140525339db7e289760168",
      "clause_path": "SEC Division of Examinations, Examination Priorities: Fiscal Year 2026 (staff statement, published Nov. 17, 2025): Sec. I.B Effectiveness of Advisers' Compliance Programs (incl. annual reviews of effectiveness; whether policies and procedures are implemented and enforced) and Sec. VII.B Emerging Financial Technology (four-point assessment incl. operations and controls consistent with disclosures; the AI passage: adequate policies and procedures to monitor and/or supervise AI use; accuracy of AI representations)",
      "source_url": "https://www.sec.gov/files/2026-exam-priorities.pdf",
      "retrieved_at": "2026-09-03",
      "scheme": "sec-exam-priorities",
      "id": "SEC DivExamination FY2026 Priorities secs I.B, VII.B"
    },
    {
      "digest": "sha256:5c1a798a27e925939890526b1df566ac85d2b672c877173972583423b0d6c5ea",
      "clause_path": "SEC final rule Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants, Release 34-101082, 87 FR 66412 (Nov. 3, 2022): SUMMARY; DATES (effective Jan. 3, 2023; 17a-4 compliance May 3, 2023); Sec. II.C audit-trail alternative to the WORM requirement (electronic recordkeeping system that permits recreation of an original record if modified or deleted); Sec. II.C technology-neutral undertakings",
      "source_url": "https://www.federalregister.gov/documents/full_text/text/2022/11/03/2022-22670.txt",
      "retrieved_at": "2026-09-03",
      "scheme": "fedreg",
      "id": "87 FR 66412 (SEC electronic recordkeeping amendments, Rule 17a-4)"
    },
    {
      "digest": "sha256:5b1c5f6f594afe0f0f20ed3c9100fadadb26480fac43253fd158522743242e63",
      "clause_path": "Regulation (EU) 2024/1620 (AMLAR): Art. 2(1)(1) definition of selected obliged entity (direct supervision pursuant to Art. 13); Art. 12(1) six-Member-State assessment scope (establishments or freedom to provide services); Art. 13(1) high residual risk profile qualifies as selected obliged entity; Art. 13(4) first selection process commences by 1 July 2027, concluded within six months, list published without undue delay, direct supervision commences six months after publication; recital (86) direct supervision should commence as of 2028; Art. 108 application from 1 July 2025",
      "source_url": "https://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32024R1620",
      "retrieved_at": "2026-09-03",
      "scheme": "eu",
      "id": "Regulation (EU) 2024/1620 (AMLAR) Arts 2(1)(1), 12(1), 13(1), 13(4), recital 86, Art 108"
    }
  ],
  "compute_proof_ready": "ready",
  "compute_proof": {
    "type": "ZkVmReceipt",
    "system": "risc0",
    "receiptFormat": "groth16-bn254",
    "imageId": "sha256:a1a0bc89b5b1febaeda3519f6dbade0fa5ac16beeb143c4e1b01689573567bc6",
    "seal": "IHo0BwuK3tl+uzsLqTnbb2D4yw4uLS6RmpVtGUwkw8IhtasxCf2fdLFJx+UV0mt1PAjuaD5Hb4t3GVsbfy8+PSRivnmhSZP/HjjdbDRCgixvIGMciWu+X7SqBGnuMcxoDmW8KvVGCxCmaX8s5/uUQjzUjc8z2T8ISnsowdE9AzYc28xQWM4npLAtrq7vp96fwjT3IOh6uf4PnLh06MsRYCmRY+/AEtUKA4NwS6RDNu/3ky7jA9ybBJxa5ynhmZCmH1O51glXD3zKHuR0nXOise3BEHrfV6SLkANMH7/KdTYV58ivPzYAy0BscAOuww1YxVrrexnXDpmstWyg1oOEDA==",
    "journal": {
      "chaingraph_version": "0.4.0",
      "kernel_digest": "sha256:ebb4a56e64e94981a36d1f81ec90fd68bda94fa0312501ef282bed7568615cb8",
      "output": {
        "delivered": 1,
        "findings": [
          {
            "check": "overdue_requests",
            "detail": "1 of 3 requests overdue",
            "status": "FAIL"
          }
        ],
        "open": 2,
        "overall": "AT_RISK",
        "overdue_count": 1,
        "overdue_ids": [
          "R-03"
        ],
        "readiness_pct": 33.3,
        "total": 3
      }
    }
  }
}