# Human-in-the-Loop Gate Rules

**Enforcement Level**: HIGH
**Scope**: All SDLC phase transitions and critical checkpoints
**Research Basis**: REF-057 Agent Laboratory
**Issue**: #96

## Overview

These rules enforce configurable human gates at phase transitions, implementing the draft-then-edit workflow pattern that achieves 84% cost reduction vs fully autonomous operation.

## Research Foundation

| Finding | Impact |
|---------|--------|
| 84% cost reduction with HITL | Strategic human involvement dramatically reduces costs |
| 0.83 vs 4.2 revision cycles | Early human input prevents cascading errors |
| Draft-then-edit pattern | Let AI draft, human refine |

## Gate Types

| Type | Behavior | Use Case |
|------|----------|----------|
| `approval` | Blocks until human approves | Phase transitions, major decisions |
| `review` | Human reviews, auto-proceeds on timeout | Artifact quality checks |
| `escalation` | Triggered by conditions | Budget overruns, confidence drops |
| `checkpoint` | Informational, always proceeds | Progress updates |

## Mandatory Rules

### Rule 1: Phase Transitions Require Gates

**REQUIRED**: Every SDLC phase transition MUST have an approval gate:

```yaml
# Concept → Inception
gate: GATE-C2I
type: approval
mode: ALWAYS

# Inception → Elaboration
gate: GATE-I2E
type: approval
mode: ALWAYS

# Elaboration → Construction
gate: GATE-E2C
type: approval
mode: ALWAYS

# Construction → Transition
gate: GATE-C2T
type: approval
mode: ALWAYS
```

### Rule 2: Gate Modes

Use appropriate modes for different scenarios:

| Mode | When to Use |
|------|-------------|
| `ALWAYS` | Critical decisions, security-sensitive, compliance-required |
| `CONDITIONAL` | Can auto-approve under specific conditions |
| `NEVER` | Only for fully automated pipelines with human oversight elsewhere |
| `TERMINATE` | Must stop and wait indefinitely |

### Rule 3: Timeout Actions

Configure appropriate timeout behavior:

```yaml
# For approval gates - block until human responds
timeout_action: block

# For review gates - proceed after timeout
timeout_action: proceed

# For budget gates - abort on timeout
timeout_action: abort
```

### Rule 4: Cost Tracking is REQUIRED

All gates MUST track cost metrics:

```yaml
cost_tracking:
  track_enabled: true
  metrics:
    - time_to_decision
    - revision_count
    - token_cost_saved
```

### Rule 5: Audit Trail

All gate decisions MUST be logged:

```yaml
audit:
  log_decision: true
  log_rationale: true
  retention_days: 90
```

### Rule 6: Auto-Approve Conditions Must Be Explicit

When using CONDITIONAL mode, conditions must be explicit and justified:

**FORBIDDEN**:
```yaml
behavior:
  mode: CONDITIONAL
  # No conditions specified
```

**REQUIRED**:
```yaml
behavior:
  mode: CONDITIONAL
  auto_approve_conditions:
    - condition: "confidence > 0.95 AND no_critical_issues"
      reason: "High confidence with no blockers"
    - condition: "artifact_type == 'documentation' AND spell_check_passed"
      reason: "Low-risk documentation changes"
```

### Rule 7: Presentation Must Aid Decision

Gates must present sufficient context for human decision:

```yaml
presentation:
  summary_template: |
    ## Gate: {{gate_name}}

    **Artifacts Ready**: {{artifact_count}}
    **Quality Score**: {{quality_score}}
    **Open Issues**: {{issue_count}}

    {{action_required}}

  artifacts_to_show:
    - relevant/artifact/path.md

  questions:
    - id: "approved"
      question: "Do you approve proceeding to {{next_phase}}?"
      options: ["Yes", "No - needs revision", "Escalate"]
      required: true
```

## Gate Configuration Schema

All gates MUST conform to:
```
@$AIWG_ROOT/agentic/code/frameworks/sdlc-complete/schemas/flows/hitl-gate.yaml
```

## SDLC Phase Gates

### Concept → Inception (GATE-C2I)
- **Type**: approval
- **Timeout**: 48 hours → block
- **Artifacts**: Intake form, solution profile
- **Questions**: Scope approved?

### Inception → Elaboration (GATE-I2E)
- **Type**: approval
- **Timeout**: 48 hours → block
- **Artifacts**: User stories, use cases, risk register
- **Questions**: Requirements complete?

### Elaboration → Construction (GATE-E2C)
- **Type**: approval
- **Timeout**: 48 hours → block
- **Artifacts**: SAD, ADRs, test strategy
- **Questions**: Architecture approved?

### Construction → Transition (GATE-C2T)
- **Type**: approval
- **Timeout**: 24 hours → block
- **Artifacts**: Test results, deployment plan, security assessment
- **Questions**: Ready for production?

## Integration Patterns

### With Flow Commands

```yaml
# In flow command definition
flow_phases:
  - name: elaboration
    exit_gate: GATE-E2C
    gate_config:
      mode: ALWAYS
      notification:
        channels: [cli, issue_comment]
```

### With Agent Loop

```yaml
# Al iteration checkpoint
ralph_config:
  iteration_gate:
    trigger:
      type: iteration_count
      threshold: 10
    behavior:
      mode: CONDITIONAL
      auto_approve_conditions:
        - condition: "progress_rate > 0.1"
          reason: "Making progress"
```

### With Cost Budgets

```yaml
# Budget checkpoint gate
budget_gate:
  trigger:
    type: cost_threshold
    threshold: 1000  # tokens
  behavior:
    mode: ALWAYS
    timeout_action: abort
```

## Cost Savings Model

Based on Agent Laboratory research:

| Metric | Fully Autonomous | With HITL | Savings |
|--------|------------------|-----------|---------|
| Cost multiplier | 6.0x | 1.0x | 84% |
| Error rate | 35% | 5% | 86% |
| Revision cycles | 4.2 | 0.83 | 80% |

## Notification Configuration

Configure how humans are notified:

```yaml
notification:
  channels:
    - cli           # Show in terminal
    - issue_comment # Post to issue
    - slack         # Send Slack message (if configured)
  urgency: high
  message_template: |
    **Gate Activated**: {{gate_name}}
    **Action Required**: {{action_type}}
    **Timeout**: {{timeout_remaining}}
```

## Rule 8: Artifact Omission Requires Human Approval

**REQUIRED**: Agents MUST NOT silently skip, abbreviate, or omit any SDLC artifact based on inferred project type, size, or complexity. Completeness is the default.

When an agent determines an artifact is low-value for the project context, it MUST surface a HITL gate:

```yaml
artifact_omission_gate:
  trigger:
    type: agent_skip_request
    artifact: "{{artifact_name}}"
  behavior:
    mode: ALWAYS
    timeout_action: block
  presentation:
    summary_template: |
      ## Artifact Omission Request

      **Artifact**: {{artifact_name}}
      **Phase**: {{current_phase}}
      **Reason**: {{agent_rationale}}

      The agent suggests this artifact may not be needed for this project.
      However, completeness is the default — skipping requires your approval.

    questions:
      - id: "skip_approved"
        question: "Skip generating {{artifact_name}}?"
        options:
          - "No — generate it (recommended)"
          - "Yes — skip this artifact"
          - "Generate abbreviated version"
        required: true
```

**Rationale**: Implicit decisions to skip documentation based on project type inference produce inconsistent, incomplete artifact sets and erode trust. The human must explicitly opt out of any artifact.

## Checklist

Before configuring a gate:

- [ ] Gate type matches use case
- [ ] Mode is appropriate for risk level
- [ ] Timeout and timeout_action are configured
- [ ] Cost tracking is enabled
- [ ] Audit logging is enabled
- [ ] Presentation aids human decision
- [ ] Auto-approve conditions are justified (if CONDITIONAL)

## References

- @$AIWG_ROOT/agentic/code/frameworks/sdlc-complete/schemas/flows/hitl-gate.yaml - Schema definition
- @.aiwg/research/findings/REF-057-agent-laboratory.md - Research paper
- @$AIWG_ROOT/agentic/code/frameworks/sdlc-complete/flows/ - Flow implementations
- #96 - Implementation issue

---

**Rule Status**: ACTIVE
**Last Updated**: 2026-01-25