docs/requirements/mode-conversion.md

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+# Deployment Mode and Conversion Contract (D3)
+
+Status: DRAFT — awaiting ratification (webui-audit S2, contract 6 of 9).
+Authority: PRD D3 (Part I §3) — two modes chosen at install time,
+Standalone and Enterprise, with the mode table (brains, user-data
+isolation, secrets, conversion); Standalone → Enterprise conversion is
+**one-way** and Enterprise is a **terminal state**. PRD D14 (Part I §7)
+— the per-user brain split is optional in Standalone and keeping it is
+the recommended default because it preserves forward-compatibility with
+the one-way conversion. PRD D11 (Part I §9) — v1 ships the Standalone
+flow only; Enterprise conversion is explicitly deferred. PRD D3
+federation clause — federation is intentionally not fully designed,
+deferred, and nothing in v1 may foreclose it.
+
+Revision 2 (luna review F1–F7): the identity precondition restated in
+identity-contract terms with a conversion-local acknowledgment record
+this contract owns (F1); a durable, keyed preparation state with a
+Standalone-safe representation rule, an in-transaction re-check fence,
+and an exact flip boundary (F2); the §5.4 unknown-value rule stated
+directly without the contradictory non-exhaustiveness clause (F3); the
+D14 boundary bound here with a stable column-allowlist witness instead
+of delegated to an unratified layout (F4); the conversion witness
+matrix extended to every §4.2/§4.4 condition (F5); the mode-record
+writer coverage imported concretely from contract 1 §6.3 with a named
+schema, closed writer set, crafted-write probe, and mode-resolution
+assertion (F6); the mode read command flagged as a §12.1 drafting
+addition rather than a D8 mandate (F7). Ownership language aligned
+with contract 3 revision 2: mode is recorded at bootstrap and read by
+the wizard as input.
+
+This contract binds the mode as a canonical platform property (§2), the
+per-mode obligations and which contract owns each (§3), the conversion
+transition (§4), the v1 non-foreclosure obligations (§5), and their
+witnesses (§6). Domain semantics stay with their owning contracts:
+wizard branching (contract 3 §2), identity/SSO
+(`identity-lifecycle.md`), custody and per-user brain mechanics
+(contract 7, `custody-schema.md`), tool mapping
+(`tool-gateway-mapping.md`).
+
+## 1. Definitions
+
+1. **Mode**: the platform-wide deployment mode, exactly one of
+   `standalone` or `enterprise`. The vocabulary is closed in v1;
+   extension (e.g. a federation mode) is by amendment to this contract,
+   never ad hoc.
+2. **Conversion**: the one-way transition `standalone → enterprise`.
+   No other mode transition exists.
+3. **Conversion preconditions**: the verifiable conditions of §4.2 that
+   must all hold before the mode record may change.
+4. **Preparation unit**: one re-runnable piece of pre-conversion work —
+   the migration of one secret to the Vault backend, or the partition
+   of one user's brain content (§4.3).
+
+## 2. Mode is a canonical recorded property
+
+1. Mode is recorded canonically in the platform database at bootstrap
+   as the operator's install-time choice (D3: modes are "chosen at
+   install time"). The record is a single-row keyed record
+   (`platform_mode`: mode value, recorded-at timestamp, bootstrap epoch
+   reference); this contract owns it, the bootstrap writer performs the
+   one v1 write (§6.2), and the wizard reads it as input (contract 3
+   §2.3). Mode is never derived from feature state (presence of Vault,
+   count of brains, count of users), and no component may infer a
+   different mode than the record states.
+2. The record is readable by any authenticated user through a Gateway
+   command with CLI exposure. This read command is a **drafting
+   addition** ratified with this contract (PRD §12.1), not a D8
+   mandate: D8 binds only that any surface exposing the value goes
+   through official tooling. When a webUI surface consumes the read, a
+   mapping row is added to `tool-gateway-mapping.md` by amendment —
+   the same route §4.4 already binds for the conversion command.
+   Components branch on the read value only.
+3. The record is immutable except by the §4 conversion transition.
+   Editing it by direct database access, config file, environment
+   variable, or wizard re-run is non-conformant (contract 3 §2.3:
+   changing mode later is conversion, not a wizard re-run).
+
+## 3. Per-mode obligations (owner map)
+
+The PRD mode table binds four rows; this contract assigns each an
+owning contract so no obligation is unowned and none is bound twice:
+
+| Obligation          | Standalone                             | Enterprise                                         | Owner                                         |
+| ------------------- | -------------------------------------- | -------------------------------------------------- | --------------------------------------------- |
+| Brains              | one mosaic-brain (system + user files) | system brain for config + one brain per user       | contract 7 (custody/brain mechanics)          |
+| User-data isolation | single user                            | no user-data leakage between users; sharing opt-in | contract 7 (enforced by architecture, D14)    |
+| Secrets             | OpenBao/Vault or flat files            | OpenBao/Vault REQUIRED                             | this contract (§4.2 gate; steady-state check) |
+| Conversion          | may convert to Enterprise, one-way     | terminal state                                     | this contract (§4)                            |
+
+The Standalone brains row states the default layout, not the only
+valid one: the D14 per-user split is a MAY in Standalone with keeping
+it the recommended default (PRD §7, contract 7 §6), and Vault-backed
+secrets are equally valid Standalone configuration. Both prepared
+states are therefore themselves valid Standalone states — the fact
+§4.3 relies on.
+
+In Enterprise steady state, a flat-file secrets backend is
+non-conformant; the platform refuses to start Enterprise-mode
+components against a flat-file secrets configuration (fail-closed, not
+warn-and-run).
+
+## 4. Conversion transition
+
+1. **Direction and terminality.** The only transition is
+   `standalone → enterprise`. `enterprise → standalone` does not exist:
+   there is no command, no admin override, and no support path. An
+   attempt is refused with the precondition/state error class of the
+   command envelope (`tool-gateway-mapping.md` §4.2).
+2. **Preconditions (all verified before the record changes):**
+   - Secrets: OpenBao/Vault is configured and reachable, and every
+     required secret is served from the Vault backend — none from a
+     flat-file backend. Secret migration completes before conversion;
+     this contract does not define the migration tooling, only the
+     gate.
+   - Brains: the per-user brain split required by the Enterprise row of
+     §3 is established for **every** existing user (or the deployment
+     already kept the split, the D14 recommended default). Brain
+     partitioning mechanics are contract 7; this contract binds only
+     that the split is complete before the mode flips.
+   - Identity: at least one platform administrator account exists that
+     is active in identity-contract terms — authenticated capability,
+     not banned, not deactivated (identity §2, §5). And the conversion
+     request carries a **configuration acknowledgment**: the current
+     canonical values of registration mode and per-provider JIT
+     enablement (identity §2.2, §4.1), echoed back in the request. A
+     mismatch between the echoed values and the canonical values at
+     verification refuses the conversion. This acknowledgment record
+     is conversion-local, owned by this contract, and stored with the
+     §4.4 audit event as the precondition evidence; it adds no
+     identity-contract obligation and no mode-specific identity
+     default — identity's own defaults remain valid states.
+3. **Preparation state and the flip boundary.** Preparatory work is
+   tracked durably: each preparation unit (§1.4) records its
+   completion in a preparation table keyed by (bootstrap epoch, unit
+   identity — the secret's path, the user's id), written in the same
+   transaction as the unit's own effect where the unit's backend
+   allows it, and reconciled from the backend's actual state where it
+   does not (a secret already served by Vault, a brain already split,
+   is complete regardless of the table). Units are at-most-once per
+   key and re-runnable across attempts. **Standalone-safe
+   representation:** every preparation unit moves the deployment into
+   a state that is itself valid Standalone configuration (§3 note), so
+   an interrupted preparation leaves a fully operational Standalone
+   deployment reading its state through the ordinary contracts — no
+   rollback, fencing, or special Standalone read path is needed, and
+   no component behavior may key on "preparation in progress".
+   **The flip:** one transaction that (a) locks the mode record, (b)
+   re-verifies every §4.2 precondition after acquiring the lock, and
+   (c) writes the mode record and the §4.4 audit event. Any re-check
+   failure aborts with no write. External state that changes after the
+   re-check but before commit is bounded by the transaction window;
+   an external backend (Vault) failing after conversion is an
+   Enterprise runtime fault handled by §3's fail-closed steady-state
+   rule, not a conversion defect. An interrupted or failed conversion
+   leaves the record `standalone` and the platform fully operational;
+   there is no intermediate mode and no half-converted state
+   observable through the record.
+4. **Authority and audit.** Conversion is a platform-administrator
+   command carrying an explicit irreversibility acknowledgment in its
+   request (distinct from the §4.2 configuration acknowledgment). It
+   is an official Gateway/CLI command (D8): when built, it is added to
+   the tool↔Gateway mapping by amendment (`tool-gateway-mapping.md`
+   §3.3). The transition emits an audit event (actor, prior mode, new
+   mode, precondition evidence reference including the configuration
+   acknowledgment) in the same transaction as the record change; the
+   event survives indefinitely. A refused attempt emits a refusal
+   event naming the failed precondition class and actor, with no
+   mode-change event.
+
+## 5. v1 obligations (non-foreclosure)
+
+v1 ships Standalone only (D11); the conversion command is deferred
+work. v1 still MUST:
+
+1. Record the mode per §2 at bootstrap, with `enterprise` a reserved,
+   refused value for bootstrap — v1 bootstrap accepts `standalone`
+   only. The wizard reads the record (contract 3 §2.3); nothing in v1
+   writes it after bootstrap.
+2. Keep the §2.3 immutability rule: no v1 surface mutates the mode
+   record.
+3. Not foreclose conversion: the v1 platform database holds no
+   sensitive user content — sensitive categories live in the owning
+   user's brain, and postgres holds structure, consent records, and
+   pointers only (the D14 boundary, PRD §7). Custody mechanics are
+   contract 7's; this contract binds the boundary itself here so v1
+   cannot ship a layout that makes the §4.2 brain precondition
+   unsatisfiable, and §6.3 gives it a stable witness that does not
+   depend on contract 7's internals. Conversion implementation
+   additionally requires contract 7 ratified.
+4. Not foreclose federation: v1 components accept exactly the two §1.1
+   values wherever a mode value is parsed and refuse any other value
+   **before side effects** — a refused configuration, not undefined
+   behavior and not a crash mid-operation. Forward compatibility lives
+   in storage and architecture, not in parser speculation: the mode
+   record's storage is not structurally locked to two values (no
+   database-level two-value enum), and any future value (e.g. a
+   federation mode) is defined by a versioned amendment to this
+   contract before any component accepts it. The PRD defers
+   federation's shape entirely; this contract does not presume it
+   arrives as a third mode value.
+
+## 6. Verification requirements
+
+Binding on the implementing PRs:
+
+1. **Mode-record witness (v1):** after bootstrap the mode is readable
+   via the Gateway command and CLI and equals the bootstrap-recorded
+   choice; bootstrap with mode `enterprise` is refused; bootstrap with
+   any unknown mode value is refused before side effects (§5.4).
+2. **Writer-coverage witness (v1):** the mode record's writer set is
+   closed by the same three-prong static assertion contract 1 §6.3(b)
+   defines — symbol, class-table literal, and raw-execution prongs
+   with its allowlist composition rules — scoped to the
+   `platform_mode` table, with a writer allowlist containing exactly
+   the bootstrap writer in v1 (and exactly plus the conversion command
+   at the conversion milestone). Companions: a crafted direct write
+   attempted in a test fails and leaves the record unchanged; a
+   mode-resolution assertion that no shipped component derives mode
+   from feature state (mode reads occur only through the §2.2 read
+   surface — static assertion over Gateway, CLI, bootstrap, and
+   repository sources).
+3. **D14-boundary witness (v1):** a column-allowlist assertion in the
+   style of contract 1 §6.2 that the platform database schema contains
+   no sensitive-content column — the §5.3 boundary — stable regardless
+   of contract 7's internals (contract 7 §7 carries the full custody
+   witnesses).
+4. **No-downgrade witness (conversion milestone):** with mode
+   `enterprise`, a conversion request to `standalone` (and any crafted
+   mode-write) is refused with the precondition/state error class and
+   no record change.
+5. **Precondition witnesses (conversion milestone),** each refused
+   with no record change and no partial mode effect, parameterized
+   over both OpenBao and Vault where secrets are involved:
+   (a) secrets backend unreachable; (b) one required secret still
+   flat-file backed (migration incomplete); (c) one unpartitioned user
+   brain in a **multi-user** deployment where every other user is
+   partitioned; (d) no active platform administrator (the only admin
+   banned or deactivated); (e) configuration acknowledgment missing or
+   mismatching the canonical registration/JIT values; (f) actor not a
+   platform administrator (authorization refusal); (g) irreversibility
+   acknowledgment absent. And the steady-state rule: an
+   Enterprise-mode component started against a flat-file secrets
+   configuration refuses to start (§3).
+6. **Interruption and fence witnesses (conversion milestone):** fault
+   injection aborting conversion after each preparation unit and
+   between preparation and flip leaves the record `standalone` and the
+   platform operational in Standalone semantics (§4.3
+   Standalone-safety), and a re-attempt completes without duplicating
+   prepared state (at-most-once keys); a precondition invalidated
+   after preparation but before the flip (a secret reverted to
+   flat-file) is caught by the in-transaction re-check and refused.
+7. **Audit witnesses (conversion milestone):** a completed conversion
+   has exactly one mode-change audit event, same-transaction with the
+   record change (transaction linkage asserted), carrying actor, prior
+   mode, new mode, and the precondition evidence reference including
+   the configuration acknowledgment; a failed attempt has a refusal
+   event naming the failed precondition class and no mode-change
+   event; the mode-change event remains queryable after subsequent
+   unrelated audit activity (retention probe).
+8. **Mapping witness (conversion milestone):** the conversion command
+   and the mode read command each have their
+   `tool-gateway-mapping.md` row (added by amendment per §2.2/§4.4)
+   before the commands ship.
+
+## Ruling request
+
+Ratify sections 1–6 as written, with one decision embedded:
+
+- Decision (§5): v1 implements the **mode record and its immutability
+  only** — bootstrap records `standalone`, the `enterprise` value is
+  reserved and refused, and the conversion command itself is deferred
+  to the Enterprise milestone, consistent with D11's deferred list.
+  v1 carries three obligations beyond the record: the closed writer
+  assertion, the D14 column boundary, and the unknown-value refusal
+  (§6.1–§6.3) — these are the non-foreclosure floor, not hidden
+  conversion work. Alternative if rejected: build the conversion
+  command inside v1 — rejected because D11 scopes v1 to the Standalone
+  slice and conversion depends on contract 7 custody mechanics that
+  are themselves not in the v1 slice.