@delorenj/pjangler 1.2.25 → 1.3.0

package/templates/commonproject/_bmad/bmm/testarch/knowledge/risk-governance.md

@@ -1,615 +0,0 @@
-# Risk Governance and Gatekeeping
-
-## Principle
-
-Risk governance transforms subjective "should we ship?" debates into objective, data-driven decisions. By scoring risk (probability × impact), classifying by category (TECH, SEC, PERF, etc.), and tracking mitigation ownership, teams create transparent quality gates that balance speed with safety.
-
-## Rationale
-
-**The Problem**: Without formal risk governance, releases become political—loud voices win, quiet risks hide, and teams discover critical issues in production. "We thought it was fine" isn't a release strategy.
-
-**The Solution**: Risk scoring (1-3 scale for probability and impact, total 1-9) creates shared language. Scores ≥6 demand documented mitigation. Scores = 9 mandate gate failure. Every acceptance criterion maps to a test, and gaps require explicit waivers with owners and expiry dates.
-
-**Why This Matters**:
-
-- Removes ambiguity from release decisions (objective scores vs subjective opinions)
-- Creates audit trail for compliance (FDA, SOC2, ISO require documented risk management)
-- Identifies true blockers early (prevents last-minute production fires)
-- Distributes responsibility (owners, mitigation plans, deadlines for every risk >4)
-
-## Pattern Examples
-
-### Example 1: Risk Scoring Matrix with Automated Classification (TypeScript)
-
-**Context**: Calculate risk scores automatically from test results and categorize by risk type
-
-**Implementation**:
-
-```typescript
-// risk-scoring.ts - Risk classification and scoring system
-export const RISK_CATEGORIES = {
-  TECH: 'TECH', // Technical debt, architecture fragility
-  SEC: 'SEC', // Security vulnerabilities
-  PERF: 'PERF', // Performance degradation
-  DATA: 'DATA', // Data integrity, corruption
-  BUS: 'BUS', // Business logic errors
-  OPS: 'OPS', // Operational issues (deployment, monitoring)
-} as const;
-
-export type RiskCategory = keyof typeof RISK_CATEGORIES;
-
-export type RiskScore = {
-  id: string;
-  category: RiskCategory;
-  title: string;
-  description: string;
-  probability: 1 | 2 | 3; // 1=Low, 2=Medium, 3=High
-  impact: 1 | 2 | 3; // 1=Low, 2=Medium, 3=High
-  score: number; // probability × impact (1-9)
-  owner: string;
-  mitigationPlan?: string;
-  deadline?: Date;
-  status: 'OPEN' | 'MITIGATED' | 'WAIVED' | 'ACCEPTED';
-  waiverReason?: string;
-  waiverApprover?: string;
-  waiverExpiry?: Date;
-};
-
-// Risk scoring rules
-export function calculateRiskScore(probability: 1 | 2 | 3, impact: 1 | 2 | 3): number {
-  return probability * impact;
-}
-
-export function requiresMitigation(score: number): boolean {
-  return score >= 6; // Scores 6-9 demand action
-}
-
-export function isCriticalBlocker(score: number): boolean {
-  return score === 9; // Probability=3 AND Impact=3 → FAIL gate
-}
-
-export function classifyRiskLevel(score: number): 'LOW' | 'MEDIUM' | 'HIGH' | 'CRITICAL' {
-  if (score === 9) return 'CRITICAL';
-  if (score >= 6) return 'HIGH';
-  if (score >= 4) return 'MEDIUM';
-  return 'LOW';
-}
-
-// Example: Risk assessment from test failures
-export function assessTestFailureRisk(failure: {
-  test: string;
-  category: RiskCategory;
-  affectedUsers: number;
-  revenueImpact: number;
-  securityVulnerability: boolean;
-}): RiskScore {
-  // Probability based on test failure frequency (simplified)
-  const probability: 1 | 2 | 3 = 3; // Test failed = High probability
-
-  // Impact based on business context
-  let impact: 1 | 2 | 3 = 1;
-  if (failure.securityVulnerability) impact = 3;
-  else if (failure.revenueImpact > 10000) impact = 3;
-  else if (failure.affectedUsers > 1000) impact = 2;
-  else impact = 1;
-
-  const score = calculateRiskScore(probability, impact);
-
-  return {
-    id: `risk-${Date.now()}`,
-    category: failure.category,
-    title: `Test failure: ${failure.test}`,
-    description: `Affects ${failure.affectedUsers} users, $${failure.revenueImpact} revenue`,
-    probability,
-    impact,
-    score,
-    owner: 'unassigned',
-    status: score === 9 ? 'OPEN' : 'OPEN',
-  };
-}
-```
-
-**Key Points**:
-
-- **Objective scoring**: Probability (1-3) × Impact (1-3) = Score (1-9)
-- **Clear thresholds**: Score ≥6 requires mitigation, score = 9 blocks release
-- **Business context**: Revenue, users, security drive impact calculation
-- **Status tracking**: OPEN → MITIGATED → WAIVED → ACCEPTED lifecycle
-
----
-
-### Example 2: Gate Decision Engine with Traceability Validation
-
-**Context**: Automated gate decision based on risk scores and test coverage
-
-**Implementation**:
-
-```typescript
-// gate-decision-engine.ts
-export type GateDecision = 'PASS' | 'CONCERNS' | 'FAIL' | 'WAIVED';
-
-export type CoverageGap = {
-  acceptanceCriteria: string;
-  testMissing: string;
-  reason: string;
-};
-
-export type GateResult = {
-  decision: GateDecision;
-  timestamp: Date;
-  criticalRisks: RiskScore[];
-  highRisks: RiskScore[];
-  coverageGaps: CoverageGap[];
-  summary: string;
-  recommendations: string[];
-};
-
-export function evaluateGate(params: { risks: RiskScore[]; coverageGaps: CoverageGap[]; waiverApprover?: string }): GateResult {
-  const { risks, coverageGaps, waiverApprover } = params;
-
-  // Categorize risks
-  const criticalRisks = risks.filter((r) => r.score === 9 && r.status === 'OPEN');
-  const highRisks = risks.filter((r) => r.score >= 6 && r.score < 9 && r.status === 'OPEN');
-  const unresolvedGaps = coverageGaps.filter((g) => !g.reason);
-
-  // Decision logic
-  let decision: GateDecision;
-
-  // FAIL: Critical blockers (score=9) or missing coverage
-  if (criticalRisks.length > 0 || unresolvedGaps.length > 0) {
-    decision = 'FAIL';
-  }
-  // WAIVED: All risks waived by authorized approver
-  else if (risks.every((r) => r.status === 'WAIVED') && waiverApprover) {
-    decision = 'WAIVED';
-  }
-  // CONCERNS: High risks (score 6-8) with mitigation plans
-  else if (highRisks.length > 0 && highRisks.every((r) => r.mitigationPlan && r.owner !== 'unassigned')) {
-    decision = 'CONCERNS';
-  }
-  // PASS: No critical issues, all risks mitigated or low
-  else {
-    decision = 'PASS';
-  }
-
-  // Generate recommendations
-  const recommendations: string[] = [];
-  if (criticalRisks.length > 0) {
-    recommendations.push(`🚨 ${criticalRisks.length} CRITICAL risk(s) must be mitigated before release`);
-  }
-  if (unresolvedGaps.length > 0) {
-    recommendations.push(`📋 ${unresolvedGaps.length} acceptance criteria lack test coverage`);
-  }
-  if (highRisks.some((r) => !r.mitigationPlan)) {
-    recommendations.push(`⚠️  High risks without mitigation plans: assign owners and deadlines`);
-  }
-  if (decision === 'PASS') {
-    recommendations.push(`✅ All risks mitigated or acceptable. Ready for release.`);
-  }
-
-  return {
-    decision,
-    timestamp: new Date(),
-    criticalRisks,
-    highRisks,
-    coverageGaps: unresolvedGaps,
-    summary: generateSummary(decision, risks, unresolvedGaps),
-    recommendations,
-  };
-}
-
-function generateSummary(decision: GateDecision, risks: RiskScore[], gaps: CoverageGap[]): string {
-  const total = risks.length;
-  const critical = risks.filter((r) => r.score === 9).length;
-  const high = risks.filter((r) => r.score >= 6 && r.score < 9).length;
-
-  return `Gate Decision: ${decision}. Total Risks: ${total} (${critical} critical, ${high} high). Coverage Gaps: ${gaps.length}.`;
-}
-```
-
-**Usage Example**:
-
-```typescript
-// Example: Running gate check before deployment
-import { assessTestFailureRisk, evaluateGate } from './gate-decision-engine';
-
-// Collect risks from test results
-const risks: RiskScore[] = [
-  assessTestFailureRisk({
-    test: 'Payment processing with expired card',
-    category: 'BUS',
-    affectedUsers: 5000,
-    revenueImpact: 50000,
-    securityVulnerability: false,
-  }),
-  assessTestFailureRisk({
-    test: 'SQL injection in search endpoint',
-    category: 'SEC',
-    affectedUsers: 10000,
-    revenueImpact: 0,
-    securityVulnerability: true,
-  }),
-];
-
-// Identify coverage gaps
-const coverageGaps: CoverageGap[] = [
-  {
-    acceptanceCriteria: 'User can reset password via email',
-    testMissing: 'e2e/auth/password-reset.spec.ts',
-    reason: '', // Empty = unresolved
-  },
-];
-
-// Evaluate gate
-const gateResult = evaluateGate({ risks, coverageGaps });
-
-console.log(gateResult.decision); // 'FAIL'
-console.log(gateResult.summary);
-// "Gate Decision: FAIL. Total Risks: 2 (1 critical, 1 high). Coverage Gaps: 1."
-
-console.log(gateResult.recommendations);
-// [
-//   "🚨 1 CRITICAL risk(s) must be mitigated before release",
-//   "📋 1 acceptance criteria lack test coverage"
-// ]
-```
-
-**Key Points**:
-
-- **Automated decision**: No human interpretation required
-- **Clear criteria**: FAIL = critical risks or gaps, CONCERNS = high risks with plans, PASS = low risks
-- **Actionable output**: Recommendations drive next steps
-- **Audit trail**: Timestamp, decision, and context for compliance
-
----
-
-### Example 3: Risk Mitigation Workflow with Owner Tracking
-
-**Context**: Track risk mitigation from identification to resolution
-
-**Implementation**:
-
-```typescript
-// risk-mitigation.ts
-export type MitigationAction = {
-  riskId: string;
-  action: string;
-  owner: string;
-  deadline: Date;
-  status: 'PENDING' | 'IN_PROGRESS' | 'COMPLETED' | 'BLOCKED';
-  completedAt?: Date;
-  blockedReason?: string;
-};
-
-export class RiskMitigationTracker {
-  private risks: Map<string, RiskScore> = new Map();
-  private actions: Map<string, MitigationAction[]> = new Map();
-  private history: Array<{ riskId: string; event: string; timestamp: Date }> = [];
-
-  // Register a new risk
-  addRisk(risk: RiskScore): void {
-    this.risks.set(risk.id, risk);
-    this.logHistory(risk.id, `Risk registered: ${risk.title} (Score: ${risk.score})`);
-
-    // Auto-assign mitigation requirements for score ≥6
-    if (requiresMitigation(risk.score) && !risk.mitigationPlan) {
-      this.logHistory(risk.id, `⚠️  Mitigation required (score ${risk.score}). Assign owner and plan.`);
-    }
-  }
-
-  // Add mitigation action
-  addMitigationAction(action: MitigationAction): void {
-    const risk = this.risks.get(action.riskId);
-    if (!risk) throw new Error(`Risk ${action.riskId} not found`);
-
-    const existingActions = this.actions.get(action.riskId) || [];
-    existingActions.push(action);
-    this.actions.set(action.riskId, existingActions);
-
-    this.logHistory(action.riskId, `Mitigation action added: ${action.action} (Owner: ${action.owner})`);
-  }
-
-  // Complete mitigation action
-  completeMitigation(riskId: string, actionIndex: number): void {
-    const actions = this.actions.get(riskId);
-    if (!actions || !actions[actionIndex]) throw new Error('Action not found');
-
-    actions[actionIndex].status = 'COMPLETED';
-    actions[actionIndex].completedAt = new Date();
-
-    this.logHistory(riskId, `Mitigation completed: ${actions[actionIndex].action}`);
-
-    // If all actions completed, mark risk as MITIGATED
-    if (actions.every((a) => a.status === 'COMPLETED')) {
-      const risk = this.risks.get(riskId)!;
-      risk.status = 'MITIGATED';
-      this.logHistory(riskId, `✅ Risk mitigated. All actions complete.`);
-    }
-  }
-
-  // Request waiver for a risk
-  requestWaiver(riskId: string, reason: string, approver: string, expiryDays: number): void {
-    const risk = this.risks.get(riskId);
-    if (!risk) throw new Error(`Risk ${riskId} not found`);
-
-    risk.status = 'WAIVED';
-    risk.waiverReason = reason;
-    risk.waiverApprover = approver;
-    risk.waiverExpiry = new Date(Date.now() + expiryDays * 24 * 60 * 60 * 1000);
-
-    this.logHistory(riskId, `⚠️  Waiver granted by ${approver}. Expires: ${risk.waiverExpiry}`);
-  }
-
-  // Generate risk report
-  generateReport(): string {
-    const allRisks = Array.from(this.risks.values());
-    const critical = allRisks.filter((r) => r.score === 9 && r.status === 'OPEN');
-    const high = allRisks.filter((r) => r.score >= 6 && r.score < 9 && r.status === 'OPEN');
-    const mitigated = allRisks.filter((r) => r.status === 'MITIGATED');
-    const waived = allRisks.filter((r) => r.status === 'WAIVED');
-
-    let report = `# Risk Mitigation Report\n\n`;
-    report += `**Generated**: ${new Date().toISOString()}\n\n`;
-    report += `## Summary\n`;
-    report += `- Total Risks: ${allRisks.length}\n`;
-    report += `- Critical (Score=9, OPEN): ${critical.length}\n`;
-    report += `- High (Score 6-8, OPEN): ${high.length}\n`;
-    report += `- Mitigated: ${mitigated.length}\n`;
-    report += `- Waived: ${waived.length}\n\n`;
-
-    if (critical.length > 0) {
-      report += `## 🚨 Critical Risks (BLOCKERS)\n\n`;
-      critical.forEach((r) => {
-        report += `- **${r.title}** (${r.category})\n`;
-        report += `  - Score: ${r.score} (Probability: ${r.probability}, Impact: ${r.impact})\n`;
-        report += `  - Owner: ${r.owner}\n`;
-        report += `  - Mitigation: ${r.mitigationPlan || 'NOT ASSIGNED'}\n\n`;
-      });
-    }
-
-    if (high.length > 0) {
-      report += `## ⚠️  High Risks\n\n`;
-      high.forEach((r) => {
-        report += `- **${r.title}** (${r.category})\n`;
-        report += `  - Score: ${r.score}\n`;
-        report += `  - Owner: ${r.owner}\n`;
-        report += `  - Deadline: ${r.deadline?.toISOString().split('T')[0] || 'NOT SET'}\n\n`;
-      });
-    }
-
-    return report;
-  }
-
-  private logHistory(riskId: string, event: string): void {
-    this.history.push({ riskId, event, timestamp: new Date() });
-  }
-
-  getHistory(riskId: string): Array<{ event: string; timestamp: Date }> {
-    return this.history.filter((h) => h.riskId === riskId).map((h) => ({ event: h.event, timestamp: h.timestamp }));
-  }
-}
-```
-
-**Usage Example**:
-
-```typescript
-const tracker = new RiskMitigationTracker();
-
-// Register critical security risk
-tracker.addRisk({
-  id: 'risk-001',
-  category: 'SEC',
-  title: 'SQL injection vulnerability in user search',
-  description: 'Unsanitized input allows arbitrary SQL execution',
-  probability: 3,
-  impact: 3,
-  score: 9,
-  owner: 'security-team',
-  status: 'OPEN',
-});
-
-// Add mitigation actions
-tracker.addMitigationAction({
-  riskId: 'risk-001',
-  action: 'Add parameterized queries to user-search endpoint',
-  owner: 'alice@example.com',
-  deadline: new Date('2025-10-20'),
-  status: 'IN_PROGRESS',
-});
-
-tracker.addMitigationAction({
-  riskId: 'risk-001',
-  action: 'Add WAF rule to block SQL injection patterns',
-  owner: 'bob@example.com',
-  deadline: new Date('2025-10-22'),
-  status: 'PENDING',
-});
-
-// Complete first action
-tracker.completeMitigation('risk-001', 0);
-
-// Generate report
-console.log(tracker.generateReport());
-// Markdown report with critical risks, owners, deadlines
-
-// View history
-console.log(tracker.getHistory('risk-001'));
-// [
-//   { event: 'Risk registered: SQL injection...', timestamp: ... },
-//   { event: 'Mitigation action added: Add parameterized queries...', timestamp: ... },
-//   { event: 'Mitigation completed: Add parameterized queries...', timestamp: ... }
-// ]
-```
-
-**Key Points**:
-
-- **Ownership enforcement**: Every risk >4 requires owner assignment
-- **Deadline tracking**: Mitigation actions have explicit deadlines
-- **Audit trail**: Complete history of risk lifecycle (registered → mitigated)
-- **Automated reports**: Markdown output for Confluence/GitHub wikis
-
----
-
-### Example 4: Coverage Traceability Matrix (Test-to-Requirement Mapping)
-
-**Context**: Validate that every acceptance criterion maps to at least one test
-
-**Implementation**:
-
-```typescript
-// coverage-traceability.ts
-export type AcceptanceCriterion = {
-  id: string;
-  story: string;
-  criterion: string;
-  priority: 'P0' | 'P1' | 'P2' | 'P3';
-};
-
-export type TestCase = {
-  file: string;
-  name: string;
-  criteriaIds: string[]; // Links to acceptance criteria
-};
-
-export type CoverageMatrix = {
-  criterion: AcceptanceCriterion;
-  tests: TestCase[];
-  covered: boolean;
-  waiverReason?: string;
-};
-
-export function buildCoverageMatrix(criteria: AcceptanceCriterion[], tests: TestCase[]): CoverageMatrix[] {
-  return criteria.map((criterion) => {
-    const matchingTests = tests.filter((t) => t.criteriaIds.includes(criterion.id));
-
-    return {
-      criterion,
-      tests: matchingTests,
-      covered: matchingTests.length > 0,
-    };
-  });
-}
-
-export function validateCoverage(matrix: CoverageMatrix[]): {
-  gaps: CoverageMatrix[];
-  passRate: number;
-} {
-  const gaps = matrix.filter((m) => !m.covered && !m.waiverReason);
-  const passRate = ((matrix.length - gaps.length) / matrix.length) * 100;
-
-  return { gaps, passRate };
-}
-
-// Example: Extract criteria IDs from test names
-export function extractCriteriaFromTests(testFiles: string[]): TestCase[] {
-  // Simplified: In real implementation, parse test files with AST
-  // Here we simulate extraction from test names
-  return [
-    {
-      file: 'tests/e2e/auth/login.spec.ts',
-      name: 'should allow user to login with valid credentials',
-      criteriaIds: ['AC-001', 'AC-002'], // Linked to acceptance criteria
-    },
-    {
-      file: 'tests/e2e/auth/password-reset.spec.ts',
-      name: 'should send password reset email',
-      criteriaIds: ['AC-003'],
-    },
-  ];
-}
-
-// Generate Markdown traceability report
-export function generateTraceabilityReport(matrix: CoverageMatrix[]): string {
-  let report = `# Requirements-to-Tests Traceability Matrix\n\n`;
-  report += `**Generated**: ${new Date().toISOString()}\n\n`;
-
-  const { gaps, passRate } = validateCoverage(matrix);
-
-  report += `## Summary\n`;
-  report += `- Total Criteria: ${matrix.length}\n`;
-  report += `- Covered: ${matrix.filter((m) => m.covered).length}\n`;
-  report += `- Gaps: ${gaps.length}\n`;
-  report += `- Waived: ${matrix.filter((m) => m.waiverReason).length}\n`;
-  report += `- Coverage Rate: ${passRate.toFixed(1)}%\n\n`;
-
-  if (gaps.length > 0) {
-    report += `## ❌ Coverage Gaps (MUST RESOLVE)\n\n`;
-    report += `| Story | Criterion | Priority | Tests |\n`;
-    report += `|-------|-----------|----------|-------|\n`;
-    gaps.forEach((m) => {
-      report += `| ${m.criterion.story} | ${m.criterion.criterion} | ${m.criterion.priority} | None |\n`;
-    });
-    report += `\n`;
-  }
-
-  report += `## ✅ Covered Criteria\n\n`;
-  report += `| Story | Criterion | Tests |\n`;
-  report += `|-------|-----------|-------|\n`;
-  matrix
-    .filter((m) => m.covered)
-    .forEach((m) => {
-      const testList = m.tests.map((t) => `\`${t.file}\``).join(', ');
-      report += `| ${m.criterion.story} | ${m.criterion.criterion} | ${testList} |\n`;
-    });
-
-  return report;
-}
-```
-
-**Usage Example**:
-
-```typescript
-// Define acceptance criteria
-const criteria: AcceptanceCriterion[] = [
-  { id: 'AC-001', story: 'US-123', criterion: 'User can login with email', priority: 'P0' },
-  { id: 'AC-002', story: 'US-123', criterion: 'User sees error on invalid password', priority: 'P0' },
-  { id: 'AC-003', story: 'US-124', criterion: 'User receives password reset email', priority: 'P1' },
-  { id: 'AC-004', story: 'US-125', criterion: 'User can update profile', priority: 'P2' }, // NO TEST
-];
-
-// Extract tests
-const tests: TestCase[] = extractCriteriaFromTests(['tests/e2e/auth/login.spec.ts', 'tests/e2e/auth/password-reset.spec.ts']);
-
-// Build matrix
-const matrix = buildCoverageMatrix(criteria, tests);
-
-// Validate
-const { gaps, passRate } = validateCoverage(matrix);
-console.log(`Coverage: ${passRate.toFixed(1)}%`); // "Coverage: 75.0%"
-console.log(`Gaps: ${gaps.length}`); // "Gaps: 1" (AC-004 has no test)
-
-// Generate report
-const report = generateTraceabilityReport(matrix);
-console.log(report);
-// Markdown table showing coverage gaps
-```
-
-**Key Points**:
-
-- **Bidirectional traceability**: Criteria → Tests and Tests → Criteria
-- **Gap detection**: Automatically identifies missing coverage
-- **Priority awareness**: P0 gaps are critical blockers
-- **Waiver support**: Allow explicit waivers for low-priority gaps
-
----
-
-## Risk Governance Checklist
-
-Before deploying to production, ensure:
-
-- [ ] **Risk scoring complete**: All identified risks scored (Probability × Impact)
-- [ ] **Ownership assigned**: Every risk >4 has owner, mitigation plan, deadline
-- [ ] **Coverage validated**: Every acceptance criterion maps to at least one test
-- [ ] **Gate decision documented**: PASS/CONCERNS/FAIL/WAIVED with rationale
-- [ ] **Waivers approved**: All waivers have approver, reason, expiry date
-- [ ] **Audit trail captured**: Risk history log available for compliance review
-- [ ] **Traceability matrix**: Requirements-to-tests mapping up to date
-- [ ] **Critical risks resolved**: No score=9 risks in OPEN status
-
-## Integration Points
-
-- **Used in workflows**: `*trace` (Phase 2: gate decision), `*nfr-assess` (risk scoring), `*test-design` (risk identification)
-- **Related fragments**: `probability-impact.md` (scoring definitions), `test-priorities-matrix.md` (P0-P3 classification), `nfr-criteria.md` (non-functional risks)
-- **Tools**: Risk tracking dashboards (Jira, Linear), gate automation (CI/CD), traceability reports (Markdown, Confluence)
-
-_Source: Murat risk governance notes, gate schema guidance, SEON production gate workflows, ISO 31000 risk management standards_