Alpha False-Positive Override Trace

Alpha False-Positive Override Trace

{
  "schema": "pft:alpha-override-trace",
  "version": "1.0.0",
  "trace_id": "FPO-2026-0001",
  "description": "False-positive override trace for a buy-side alpha submission initially blocked by a deterministic lint rule. Demonstrates auditable qualitative AI judgment in capital-intelligence review.",

  "submission": {
    "signal_archetype": "cross-asset-rotation",
    "theme": "Defensive re-allocation pattern in mid-cycle macro regime",
    "source_class": "public-market-observable",
    "observation_basis": "Repeated multi-quarter sector rotation divergence visible in public index and flow data",
    "date_bucket": "2026-Q1",
    "magnitude_band": "moderate",
    "conviction_tier": "medium",
    "horizon": "3–6 months",
    "asset_classes_referenced": ["equities", "fixed-income"],
    "geography_scope": "developed-markets"
  },

  "initial_block": {
    "state": "blocked",
    "rule_id": "LINT-TP-004",
    "rule_name": "temporal-proximity-flag",
    "rule_type": "deterministic",
    "blocked_reason": "Submission timestamp falls within 5 business days of a flagged interaction-window bucket. Rule assumes potential information leakage from private advisory context.",
    "severity": "hard-block",
    "auto_route": "quarantine"
  },

  "override_evaluation": {
    "evaluator_type": "qualitative-ai-reviewer",
    "determination": "false-positive",
    "override_basis": [
      "Signal is derived entirely from public index rebalancing data and published flow reports — no private channel required to observe the pattern.",
      "The rotation divergence has been visible across 3+ consecutive quarters in public filings and ETF flow disclosures, establishing it as a repeated structural pattern rather than a point-in-time observation.",
      "No private counterparty, client identity, portfolio size, or interaction detail is embedded or inferrable from the submission.",
      "The temporal proximity to the flagged interaction window is coincidental; the same pattern was observable and publicly discussed in financial media during the same period."
    ],
    "redaction_safety": {
      "status": "pass",
      "checks_performed": [
        "no-named-entities",
        "no-employer-reference",
        "no-counterparty-identifiers",
        "no-exact-dates",
        "no-exact-sizes",
        "no-uniquely-identifying-combinations",
        "no-verbatim-quotes"
      ],
      "residual_risk": "negligible — pattern is widely covered in public sell-side research and ETF commentary"
    }
  },

  "corrected_route": {
    "state": "cleared",
    "destination": "scoring-pipeline",
    "routing_rationale": "Submission meets all sanitization standards and reflects a publicly observable structural pattern. No compliance vector is implicated. Cleared for normal scoring ingestion.",
    "override_authority": "qualitative-ai-reviewer with audit trail"
  },

  "prevention": {
    "label": "lint-scope-refinement",
    "recommendation": "LINT-TP-004 should incorporate a source-class exemption path: submissions tagged source_class=public-market-observable with corroborating public-data references should bypass the hard-block and route to qualitative review instead of quarantine.",
    "priority": "medium",
    "expected_false_positive_reduction": "moderate"
  },

  "audit_metadata": {
    "trace_created": "2026-Q2",
    "content_classification": "synthetic-demonstration",
    "privacy_attestation": "All entities, dates, sizes, and identifiers are synthetic or fully redacted. No real client, counterparty, or proprietary information is represented.",
    "spec_references": [
      "Institutional Signal Sanitization Standard",
      "Institutional Alpha Review Rubric",
      "Signal Ingestion Workflow"
    ]
  }
}