CAP Final §1 — Overview (Normative draft)
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Status: Drafted clause for H1-PROTO-01, Wave 2 (uplift of current Ch.0 + blueprint Ch.1). This chapter gives CAP's naming, positioning, design-goal skeleton, core differences from existing schemes, the one-sentence definition, the deliverable scope / non-goals, and the version-management contract. It is the semantic anchor for §2–§15. Modeled on
Faying-Protocol-1.0§1. Style: hard constraints carry IDsC-<area>-<n>andTrace: R<n>.<m>.<k>to the requirements baseline (02). Items that depend on an open PO decision are marked[依赖 D-n](adjudicated separately as PO decisions D-1…D-12); these placeholders are not pre-decided here. Authority: CAP is authoritative for itself (iAccord authoritative-source-map). It consumes Faying grades / Mandate / presence and the umbrellaifayterminology; it does not redefine them (see §3).
§1.1 Protocol naming & positioning
Protocol specification name: Control Authority Protocol. The version is written CAP/1.0.
CAP is the terminal-resource control-authority layer: the gate that decides whether a specific Fay may exercise a specific access mode — and a specific possibly-irreversible operation — on a specific Terminal_Resource, under an accountable Faying Mandate. CAP sits above the OS access-control layer and below Fay business logic, and behind the Faying continuous-authorization gate.
Positioning relative to Faying: Faying answers "under what presence, at what grade, may a Human Prime's iFay act at all"; CAP answers "given that the iFay may act, may this terminal resource be driven in this mode for this operation, and is the operation dangerous enough to require an explicit, present human." CAP is a specialized Faying Relying Party (§2.2).
§1.2 One-sentence definition
CAP = the gate that decides whether a specific Fay may exercise a specific access mode — and a specific possibly-irreversible operation — on a specific
Terminal_Resource, under an accountable Faying Mandate, with destructive actions held behind presence + explicit per-operation human confirmation.
§1.3 Design goals (D1–D10)
The table lists CAP's 10 design goals; each maps one-to-one to a Requirement in 02, forming the bidirectional traceability anchor between this spec body and the requirements baseline (mirrors Faying §1.3's "Goal ↔ Requirement" discipline).
| Goal | Meaning | Requirement | Faying / origin |
|---|---|---|---|
| D1 Accountability-Binding | Every grant is attributable to exactly one Human Prime / Official_Post via a live Mandate | R1 | Faying R1 |
| D2 Default-Deny | Absence / ambiguity / unverifiability → denial; never a partial grant | R2 | Faying R2 |
| D3 Offline-First Availability | Loss of network does not strip a legitimately-granted, non-critical control | R3 | CAP-specific |
| D4 Graded Control aligned to Faying | Control authority gated by the consumed Faying grade G0–G4 | R4 | Faying R6 |
| D5 Destructive-Operation Confirmation | Irreversible / safety-critical operations require a present, informed, accountable human | R5 | Faying R13.4 |
| D6 Atomic Handover | At any instant a resource has at most one active controller | R6 | CAP-specific |
| D7 Liveness / Zombie-Reclamation | Failed sessions are reclaimed by dual determination | R7 | Faying R5 |
| D8 Observable-Auditable-Revocable | Transitions, grants, confirmations, revocations are observable and reconstructable | R8 | Faying R3 / R4 |
| D9 Interoperability (CBOR + JSON) | Semantically-equivalent encodings; CDDL authoritative | R9 | Faying R10 |
| D10 AI-era Threat Resistance | STRIDE + AI-era adversarial threats resisted at the protocol layer | R10 + R12 | Faying R9 / R13 |
| — (crypto evolvability) | Negotiable suites; PQC reservation | R11 | Faying R8 |
| — (resource access model) | Read-write-lock concurrency on access modes | R13 | CAP-specific |
Goal ↔ Requirement one-to-one principle:
02is the sole authoritative mapping between this spec body and the requirements. AnyR<n>.<m>.<k>cited in later chapters must have its root requirement<n>in the table above.
§1.4 Core differences from existing schemes
| Existing scheme | Solves | Does NOT solve — what CAP adds |
|---|---|---|
| OAuth 2.x scopes | App-level access authorization | No continuous presence, no per-operation reversibility awareness, no terminal-resource concurrency |
| Linux capabilities / POSIX caps | Process-level privilege partitioning | No accountable-human binding, no grade, no destructive-op confirmation |
| OS sandbox (seccomp / SELinux / AppArmor) | Confines a process's syscalls | No notion of "who, under what presence, at what Faying grade"; no handover |
| MDM / EMM | Device-fleet policy management | Coarse-grained, not per-operation, not presence-gated, no unique accountability per action |
| WebAuthn / FIDO2 | Hardware presence proof at a moment | Only the login moment; not continuous per-operation terminal control |
CAP does not compete with these — it adds continuous, presence-gated, per-operation-reversibility-aware control with unique accountability at the terminal-resource boundary.
§1.5 Deliverable scope & non-goals
§1.5.1 In scope (Normative)
CAP specifies, and only specifies:
- The six core capabilities (uplift of Ch.0.2): (1) offline
Authorization_Descriptorissuance / storage / validation / revocation / renewal; (2) onlineTrusted_Ticket; (3)Sessionlifecycle; (4) control-authorityHandover_Policy(3 policy types + atomicity); (5)Liveness_Detection(dual determination); (6)Resource_Access_Mode(read-write lock). - The Faying alignment layer (new): mandate binding, grade mapping, presence gating, G0 emergency override (§7).
- The operation-criticality & destructive-operation confirmation model (new, §8).
- Protocol data objects, messages, cryptography, error handling, STRIDE + AI-era threat model, conformance.
§1.5.2 Out of scope (Non-normative)
- Identity creation (FayID issuance — owned by the FayID system) and the Faying authorization semantics themselves (grade / Mandate / presence are consumed, not redefined).
- Fay reasoning / business logic; resource business semantics; terminal-driver internals; transport-layer details (TLS 1.3 itself); OS internals.
- UI/UX of the Human-Prime view channel; operations/deployment topology; audit-log canonical format (v1 exclusion).
[依赖 D-7]— whether fund transfer (money movement) is in CAP scope or delegated to a dedicated payment protocol is an open scope decision; until resolved this chapter does not assert it either way.
§1.5.3 Delivery model
[依赖 D-12] — single-file EN body (Faying EN pattern) vs. multi-file EN (current CAP). This chapter does not fix the choice; the recommendation (multi-file EN + Faying section-anchor discipline) is recorded in 08 D-12.
§1.6 Version management & compatibility (new — Faying §1.7 pattern; closes part of G-11)
This section is the authoritative definition of CAP version numbering. The version number is part of the interoperability contract: it appears in the wire envelope, in schema filenames, and in negotiation, and determines whether two independent implementations can interoperate. Implementations SHALL interpret version numbers and negotiate per the rules below.
§1.6.1 Three orthogonal version axes
| Axis | Question | Form | Carrier | Example |
|---|---|---|---|---|
| Protocol version (interop contract) | Can two implementations talk | MAJOR.MINOR | prose / wire envelope version field / schema filename | CAP/1.0 |
| Document status (lifecycle) | Is this spec finalized | enum | front matter status | Draft / Final / Deprecated |
| Editorial edition (errata) | Which textual revision under the same protocol version | release date | release directory / front matter date | 2025-10-25 |
- C-Ver-1 (only
MAJOR.MINORis wire-visible): Only the protocol versionCAP/MAJOR.MINORSHALL enter the wire format (envelopeversion, schema filename). Document status and editorial edition SHALL NOT enter the wire format; an implementation SHALL NOT change message handling because a peer's status or edition differs.- Trace:
R9.4.
- Trace:
§1.6.2 MAJOR.MINOR semantics (two levels, no PATCH)
- MAJOR (breaking): any change that would make a peer built strictly to the old spec reject or misinterpret new messages (e.g., changing an authoritative CDDL field's semantics, removing a message type, redefining an error code's semantics, changing an absorbing state of a state machine). Bump MAJOR, reset MINOR to 0. Cross-MAJOR interop is not guaranteed.
- MINOR (backward-compatible addition): additions an old implementation can safely ignore (optional fields, new messages / error codes, new AI-era threat entries, new appendix parameters). Increment MINOR; within one MAJOR, a higher MINOR SHALL remain backward compatible to
MAJOR.0.
Decision test: would a peer built strictly to the old spec reject or misinterpret new messages? Yes → MAJOR; no but adds wire-visible content → MINOR; text-only → editorial edition (§1.6.4).
§1.6.3 Version negotiation (Normative)
Reuses the §6.1 suite-negotiation approach (each side declares, the highest commonly-supported value is chosen). Implementations SHALL:
- C-Ver-2 (declare + highest common MINOR): declare supported
CAP/MAJOR.MINORsets; on a shared MAJOR, select the highest commonly-supported MINOR; a higher-MINOR implementation SHALL serve a lower-MINOR peer.- Trace:
R9.4.
- Trace:
- C-Ver-3 (cross-MAJOR → reject): when no common MAJOR exists, reject (
E_PROTOCOL_VERSION_UNSUPPORTED); no best-effort degraded interop.- Trace:
R9.4.
- Trace:
- C-Ver-4 (rolling upgrade preserves in-flight credentials): introducing a new MINOR or default suite via negotiation SHALL NOT invalidate
Authorization_Descriptors /Trusted_Tickets valid before theirnot_after.- Trace:
R11.3.
- Trace:
- C-Ver-5 (unknown higher MINOR → interpret-and-ignore): on a same-MAJOR higher-MINOR message, interpret at the implementation's own highest MINOR and ignore unrecognized optional fields rather than reject.
- Trace:
R9.4.
- Trace:
§1.6.4 Editorial edition & errata (Non-normative changes)
Purely textual errata (typos, examples, clarifications, fixed links) SHALL NOT change the protocol version; they are anchored by release date (new release directory; schemas/cap-1.0.cddl filename unchanged) and logged in the changelog as Editorial. An editorial edition SHALL carry only Non-normative changes; any change touching wire-format semantics SHALL bump MINOR or MAJOR.
§1.6.5 Where the version number lands
| Landing | What is written | Notes |
|---|---|---|
Wire envelope version (§5.2) | "CAP/MAJOR.MINOR" | MAJOR.MINOR only |
Schema filename (cap-1.0.cddl) | follows MAJOR.MINOR | unchanged across editorial editions |
| content-type (§5.1) | application/cap+cbor / +json | identifies the protocol family |
front matter status / date | doc status / edition | governance markers; not wire-visible |
| git tag | cap-v<MAJOR.MINOR>-<status> | a tag covers body + vectors/ + schemas/ together |
§1.7 Summary of hard constraints (this chapter)
| ID | One-line | Trace |
|---|---|---|
| C-Ver-1 | Only MAJOR.MINOR is wire-visible | R9.4 |
| C-Ver-2 | Declare + select highest common MINOR | R9.4 |
| C-Ver-3 | Cross-MAJOR → reject (no best-effort) | R9.4 |
| C-Ver-4 | Rolling upgrade preserves in-flight credentials | R11.3 |
| C-Ver-5 | Unknown higher MINOR → interpret-and-ignore | R9.4 |
Open dependencies in this chapter
[依赖 D-7]§1.5.2 — fund-transfer scope (in CAP vs delegated to a payment protocol).[依赖 D-12]§1.5.3 — EN delivery model (single-file vs multi-file).
Changelog
- (draft) Initial Overview chapter (naming, goals, scope, version contract) for the Faying-level uplift, H1-PROTO-01 Wave 2.