@zeyue0329/xiaoma-cli 1.0.48 → 6.0.0-alpha.13

package/src/modules/xmc/testarch/knowledge/risk-governance.md

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+# 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_