Internet-Draft Agent Action Capsules September 2026
Mih Expires 30 March 2027 [Page]
Workgroup:
SCITT
Internet-Draft:
draft-mih-scitt-agent-action-capsule-05
Published:
Intended Status:
Standards Track
Expires:
Author:
S. Mih
Action State Group, Inc.

An Agent Action Capsule Profile for SCITT

Abstract

This document defines a SCITT statement profile for recording what an AI agent did: the Agent Action Capsule. A Capsule is a digest-committed record of one agent action carrying its verdict-level disposition (executed, blocked, denied, errored, timed out), the deterministic constraints that were evaluated, the effect that was committed together with a confirmed-effect binding that distinguishes a dispatched attempt from an observed result, and an honest human-in-the-loop flag. Capsules are identified independently of signing and MAY be authenticated by one or more COSE_Sign1 Producer Envelopes. Its Capsule ID can separately be made transparent by registration in a SCITT Transparency Service [I-D.ietf-scitt-scrapi]. A Capsule is recorded on every verdict, including refusals: a blocked or denied Capsule is the auditor-grade evidence that a gate worked.

Note to Readers

This document is an individual submission. The intended venue for discussion is the SCITT Working Group (scitt@ietf.org).

Status of This Memo

This Internet-Draft is submitted in full conformance with the provisions of BCP 78 and BCP 79.

Internet-Drafts are working documents of the Internet Engineering Task Force (IETF). Note that other groups may also distribute working documents as Internet-Drafts. The list of current Internet-Drafts is at https://datatracker.ietf.org/drafts/current/.

Internet-Drafts are draft documents valid for a maximum of six months and may be updated, replaced, or obsoleted by other documents at any time. It is inappropriate to use Internet-Drafts as reference material or to cite them other than as "work in progress."

This Internet-Draft will expire on 30 March 2027.

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Table of Contents

1. Introduction

AI agents increasingly take actions with external consequences: writing records, sending payments, filing documents. Two distinct evidentiary questions follow. The question "was this action permitted?" is answered by authorization records produced before execution. The question this profile answers is different: "what did the agent actually do?" — including the cases where the answer is "it was stopped."

This document defines the Agent Action Capsule, its signer-independent identity, a COSE_Sign1 Producer Envelope, and a separate SCITT [RFC9943] registration statement for making the Capsule ID transparent. The Capsule is a digest-committed record of one agent action and its verdict-level disposition. The profile's central design commitments are:

  1. The may/did distinction. A Capsule records what occurred, with an effect-state binding (Section 5.3) that structurally distinguishes "the effect was dispatched" from "the effect's result was observed and bound." A producer cannot present an attempt as a completion.

  2. A Capsule on every verdict (Section 5.5.3). Capsules are recorded for refusals, blocks, errors, and timeouts — not only for executed effects. An evidence trail that records only successes is survivorship-biased and cannot prove its gates ever fired.

  3. Independent verifiability. The substrate guarantees (envelope signature, registration, receipt) are SCITT's and are verified by reference; the agent-domain checks defined here (Section 6, Section 8.2) are deterministic and reproducible by any verifier from the record's own bytes, in two conformance classes (Section 7).

The term "Producer Envelope profile" means the exact COSE protected-header, payload, and signature constraints in Section 3.1. The Capsule JSON and its identity construction remain independently verifiable without an envelope.

2. Conventions and Definitions

The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "NOT RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in BCP 14 [RFC2119] [RFC8174] when, and only when, they appear in all capitals, as shown here.

Capsule:

The Agent Action Capsule, a JSON record of one agent action with a signer-independent content identity.

Verdict:

The terminal outcome of one agent action — what the decision gate concluded and what is consequently known about the effect.

Disposition:

The digest-committed block within a Capsule recording how the decision was disposed: the gate outcome, who disposed it, an honest human-in-the-loop flag, and optionally a verdict reason-class.

Producer:

The party that constructs Capsules and may create one or more independent Producer Envelopes over a Capsule ID.

Producer Envelope:

A COSE_Sign1 object whose attached payload is the raw 32-byte Capsule ID. It authenticates one signing key's commitment to that identity without changing the Capsule or its capsule_id.

Verifier:

Any party that validates a Capsule from its bytes, without trusting the Producer. Verifier conformance is split into two classes (Section 7).

Format 4 is the sole supported format for producers and verifiers. A conforming Capsule MUST declare format_version: "4" and canonicalization_id: "jcs". A producer or verifier MUST check both declarations before computing any digest. Capsules compute JSON digests with plain JSON Canonicalization Scheme (JCS) [RFC8785]. null, empty arrays, and empty objects participate when present. JSON floating-point values are forbidden in digest-bearing material, and integers outside the IEEE-754 safe range MUST be represented as decimal strings.

A committed payload digest, including agent_input_digest, agent_output_digest, response_digest, and evidence_digest, is the lowercase-hex SHA-256 digest of UTF8(JCS(value)) for the entire JSON value being committed. JCS property sorting applies recursively to every object in that value. A producer or verifier MUST NOT apply an object-member allow-list, replacer array, or other key-filtering operation at any depth before JCS; all members of every nested object participate in the digest.

Any other format_version, or an absent, null, non-string, empty, unknown, or "jcs-n" canonicalization_id, MUST fail closed for producers and verifiers. Pre-format-4 Capsules and the withdrawn jcs-n construction of [I-D.mih-sokolov-scitt-payload-binding] are out of scope for this document and are not verifiable under it.

3. Producer Envelopes and SCITT registration

3.1. Producer Envelope wire profile

A Producer Envelope is a tagged COSE_Sign1 [RFC9052] object (CBOR tag 18, [RFC8949]). It signs the Capsule's stable identity, not the Capsule JSON. Its attached payload MUST be the raw 32 bytes obtained by decoding the Capsule's 64-character lowercase hexadecimal capsule_id. The payload MUST NOT be hexadecimal text or a JSON serialization.

The protected header map MUST contain exactly these three entries:

Table 1
COSE label Value Meaning
1 (alg) -8 EdDSA using Ed25519.
3 (content type) application/agent-action-capsule-id The attached raw Capsule-ID payload.
4 (kid) raw 32-byte Ed25519 public key Self-contained verification key and self-attested signer identifier.

The unprotected header map MUST be empty in a bare Producer Envelope. The signature MUST be a 64-byte Ed25519 signature over the COSE Sig_structure with context Signature1, the encoded protected map, an empty external AAD, and the attached payload.

A Capsule MAY have zero, one, or multiple Producer Envelopes. Each envelope is an independent object and MUST verify independently against the same Capsule ID. Envelopes are not embedded in the Capsule-ID preimage. Adding, removing, or replacing an envelope therefore never changes capsule_id. This document does not mandate a container representation for carrying a Capsule together with its envelopes.

3.2. Issuer Binding

Successful Producer Envelope verification proves that the holder of the private key corresponding to the protected kid signed the Capsule ID. It does not prove that this key is authorized for the Capsule's operator, developer, or action. Key authorization is caller policy and is deliberately separate from the cryptographic verdict. A verifier MUST return the authenticated public key so the caller can apply an allow-list, certificate, DID, SPIFFE, or other authorization policy without changing this wire profile.

3.3. Registration and Receipts

A bare Producer Envelope is not an [RFC9943] Signed Statement. Its protected map intentionally contains only the three entries in Section 3.1, whereas an RFC 9943 Signed Statement additionally requires protected CWT [RFC8392] iss and sub claims. A conforming Transparency Service therefore MUST NOT treat a bare Producer Envelope as an RFC 9943 Signed Statement.

To make a Capsule ID transparent, a registrar creates a distinct RFC 9943 Signed Statement whose attached payload is the same raw 32-byte Capsule ID and whose content type is application/agent-action-capsule-id. That registration statement MUST satisfy every RFC 9943 protected-header requirement, including CWT iss and sub. The returned Receipt binds the registration statement to the service's append-only log. It does not replace or modify any Producer Envelope and does not by itself authorize a Producer Envelope key.

Receipt format, Merkle-tree proof construction, and proof verification are SCITT substrate concerns defined by reference to [RFC9942] and an applicable receipt profile such as [I-D.ietf-scitt-receipts-ccf-profile]. Verification is compositional: verify the Capsule ID, verify each Producer Envelope independently, require the SCITT registration statement payload to equal that raw Capsule ID, then verify its Receipt under a trusted Transparency Service key. A verifier MUST NOT report attestation_mode: "anchored" unless all applicable registration-statement and Receipt checks succeed.

3.4. Outcomes

An asynchronously observed consequence, such as a reversal, dispute, correction, or confirmation, is recorded as a new Capsule with its own Capsule ID. It MAY carry its own Producer Envelopes. Correlation uses payload fields such as action_id, decision_id, external_ref, and chain; it does not mutate the original Capsule. The log remains append-only and the original identity remains immutable.

4. Registries of this profile (summary)

Seven vocabularies of this profile are registry-governed under a Specification Required policy ([RFC8126], Section 4.6): verdict_class, disposition.decision, effect.type, irreversibility_class, effect_attestation, chain.relation, and citation_purpose. The registries and their initial contents are defined in Section 12, kept at the back of this document per convention.

The binding invariant, stated once here and again in Section 12: verifiers MUST treat unregistered values as informational and MUST NOT reject a Capsule for carrying one. Registration governs shared meaning, never acceptance. Every registry check in this profile is performable from the Capsule's own bytes and the registry contents alone.

5. The Agent Action Capsule

A Capsule is a JSON object: the envelope that is disclosed and digest-committed. Sensitive content (model reasoning, evaluated evidence, raw tool payloads) is not carried in the envelope; it is committed to by digest only. A Capsule also carries Constraint Records — the public verdicts of the deterministic checks that ran against the action; their detail is specified in Section 8.1.

5.1. Identity and parties

Table 2
Field Type Req Meaning
spec_version string REQUIRED The profile prose version the Capsule conforms to. The value defined by this profile version is "draft-mih-scitt-agent-action-capsule-05". Verifiers also accept "draft-mih-scitt-agent-action-capsule-04" (below).
format_version string REQUIRED The serialization-suite version. The value MUST be exactly "4".
canonicalization_id string REQUIRED The value MUST be exactly "jcs". Absent, null, non-string, empty, unknown, and "jcs-n" declarations are invalid.
capsule_id string (64 lowercase hex) REQUIRED The derived identifier. Remove local-only signature and key_id envelope fields, if present in a local composite representation, then compute SHA-256 over plain JCS of the Capsule after removing only capsule_id. The canonicalization_id declaration, chain block, and references array participate. Verifiers MUST recompute; carried values MUST NOT be trusted.
action_id string REQUIRED Stable identifier of the action; unique within one producer ledger.
action_type string REQUIRED "fyi" (informational) or "decide" (a disposition was required).
operator string REQUIRED The accountable tenant the action was performed for.
developer string REQUIRED The agent identity and version that performed the action.
timestamp string REQUIRED [RFC3339] UTC with "Z" suffix.
epoch_id string OPTIONAL An operator-assigned epoch identifier, stable within one operational configuration of the agent system. Producers SHOULD populate this field and rotate its value — together with an epoch-boundary Capsule (Section 5.2) — when a configuration change that materially alters agent behavior occurs (for example, a model-version swap, a policy-manifest revision, or a significant constraint-schema change). A verifier or ledger consumer scopes a history window to a specific operational configuration by filtering on operator and epoch_id. Absent epoch_id implies a single, unnamed epoch; a producer MUST NOT back-fill epoch_id on Capsules already sealed.

A producer conforming to this revision MUST emit "draft-mih-scitt-agent-action-capsule-05". A verifier MUST accept the values "draft-mih-scitt-agent-action-capsule-04" and "draft-mih-scitt-agent-action-capsule-05" (the revisions that define format 4) and MUST NOT reject a Capsule solely because it carries either. spec_version never selects a digest, canonicalization, or verification algorithm. An unrecognized spec_version value is informational and is never by itself a reason to reject (consistent with check 8).

Monetary and quantity values are subject to the exact-decimal-string requirement in Section 2.

5.2. Configuration epochs

A configuration epoch is the contiguous sequence of Capsules produced by one agent configuration — one model version, one policy-manifest version, one runtime variant — before any of those configuration dimensions changes. Epochs exist because a model swap or policy revision is a behavioral discontinuity; without a recorded epoch boundary, pre- and post-change history blend silently and a verifier cannot scope a query to "the current configuration."

5.2.1. The epoch_id field

The epoch_id payload field (Section 5.1) carries the current epoch identifier. It is committed to capsule_id and is therefore tamper-evident. Producers that operate across multiple epochs SHOULD populate epoch_id and rotate its value on every configuration change. Producers that do not anticipate epoch changes MAY omit it; absent epoch_id implies a single, unnamed epoch.

A producer MUST NOT assign the same epoch_id value across a configuration boundary. The invariant "all Capsules sharing an operator and epoch_id were produced under the same configuration" is what makes epoch-scoped history queries meaningful; violating it makes pre- and post-change records indistinguishable by epoch_id alone.

5.2.2. Epoch-boundary Capsules

When an epoch opens, a producer SHOULD emit a single epoch-boundary Capsule before resuming normal action recording. An epoch-boundary Capsule is a regular Capsule (no new statement type) with:

  • action_type: "fyi" (it is an administrative record, not a decided action);

  • the new epoch_id value — the epoch it opens;

  • chain.relation: "epoch_opens" linking to the last Capsule produced under the prior epoch (registry-governed, Section 12); and

  • a RECOMMENDED model_attestation block (Section 5.1) recording the new model and provider, so the transition is commit-addressed and verifiable from the Capsule's own bytes.

An epoch-boundary Capsule MAY additionally carry disposition.verdict_class: "epoch_boundary" (registry-governed, Section 12) and a reason_digest committing to a machine-readable record of what changed — at minimum the prior epoch_id, the new model identity, and the new policy-manifest version — so that a verifier can distinguish a configuration-change record from an ordinary fyi action.

5.2.3. Epoch-scoped verification

A verifier scoping a query to a specific epoch filters by operator and epoch_id. An epoch-boundary Capsule carrying chain.relation: "epoch_opens" marks the temporal left edge of that epoch; the next epoch-boundary Capsule whose chain parent lies within this epoch marks its right edge. A verifier SHOULD report, as an informational finding, any action Capsule whose epoch_id differs from the prevailing epoch established by the most recent epoch-boundary Capsule for that operator; such a discrepancy is not a verification failure (an epoch change mid-stream is not structurally non-conforming), but it is evidence that a configuration boundary occurred without a corresponding epoch-boundary Capsule.

The chain block participates in capsule_id. Changing a parent identifier or relation after sealing therefore changes the recomputed identity and invalidates every Producer Envelope over the prior Capsule ID.

5.3. Effect Record and the confirmed-effect binding

The Effect Record describes the side effect the action committed. Its status member takes one of five values:

Table 3
status Meaning Binding requirement
planned Intended, not dispatched. request_digest and response_digest MUST be absent.
dispatched Sent; result not observed. request_digest SHOULD be present; response_digest MUST be absent.
confirmed Result observed and bound. response_digest MUST be present and MUST be a JSON digest (Section 2) of the actual response.
failed Attempted; runtime reported failure (state known). response_digest, when present, digests the failure response.
reverted A committed effect was undone. Correlated via external_ref / decision_id.

The confirmed-effect invariant: a producer MUST NOT emit status: "confirmed" without a response_digest over the actually observed response. A verifier MUST treat confirmed with a missing response_digest as a verification failure. This is the byte-level mechanism behind the may/did distinction: "confirmed" is an observed result, never a promise. Under Section 5.4's rederivation from the evidence present, such a record's effect_mode is dispatched_unconfirmed, never confirmed: the effect was dispatched, but the binding this section requires did not hold, and a rederived grade cannot exceed what the bytes support.

The Effect Record also carries the logical type (registry-governed, Section 12), an optional external_ref join key for later outcomes, and an irreversibility_class — an ordered consequence enumeration (two_way, one_way_recoverable, one_way_consequential, one_way_terminal; registry-governed, Section 12).

Beyond the seeded examples write_order and send_payment, the type registry defines inference_completion: an inference request to a model-serving runtime whose committed effect is producing a completion. For this type, request_digest is the JSON digest (Section 2) of the request body as received at the serving boundary, and response_digest is the JSON digest of the completion body as returned; the confirmed-effect invariant above applies unchanged, so status: "confirmed" requires the response_digest over the completion body actually returned.

The Effect Record additionally carries effect_attestation: WHO vouches for the effect's execution — the evidence grade of the effect claim. The vocabulary is registry-governed (Section 12; Specification Required), seeded with three values:

Table 4
effect_attestation Meaning
gate_executed The commit transited the gate; the engine observed the effect boundary directly.
runtime_claimed The gate issued a verdict only; the executing runtime asserted completion; the capsule records that claim, not an observation.
host_served_observed The serving host's runtime reported the completion (its request and response digests) through the host's lifecycle channel; the producer observed that report, not the effect boundary itself.

gate_executed is the stronger grade. runtime_claimed and host_served_observed are equal in grade: each records a runtime's report of completion rather than a gate observation of the effect boundary, so neither grades above the other and both sit below gate_executed.

Validity is checked against the assurance effect_mode (Section 5.4):

Table 5
effect_mode effect_attestation
confirmed REQUIRED (states WHO confirmed)
dispatched_unconfirmed REQUIRED
not_applicable MUST be absent — nothing executed, there is no claim to grade

The planned carve: effect.status: "planned" asserts no execution, so effect_attestation MUST be absent — there is nothing to grade, and a phantom grade would poison grade-based queries. It becomes REQUIRED the moment dispatch occurs.

The matrix is total over the effect.status values of Section 5.3. An effect.status of failed (the effect was dispatched and the runtime reported a failure; state known) derives effect_mode: "dispatched_unconfirmed" — the effect was dispatched and its result, though a failure, was not gate-confirmed; therefore effect_attestation is REQUIRED. reverted (a previously-committed effect was undone) likewise derives effect_mode: "dispatched_unconfirmed" and REQUIRES effect_attestation; the underlying committed effect it reverses is correlated separately via external_ref / decision_id (the Effect Record fields, Section 5.3), not by a distinct effect_mode. So every effect.status other than planned (carved above) and the no-effect case (not_applicable) requires effect_attestation.

Consumers MUST treat an unregistered or unrecognized effect_attestation value as no stronger than runtime_claimed; unknown values are informational, never a verification failure, and unknown never grades up. The grade is digest-committed in the Capsule payload and is available to any payload-bearing verifier, distinguishing gate-observed execution from runtime-claimed execution. It is not copied into a Producer Envelope header.

References to external authorization records carried in the Effect Record (for example, permit receipts per [I-D.munoz-scitt-permit-profile], or machine mandates) are typed digest references per [I-D.mih-sokolov-scitt-payload-binding]'s Typed Digest References section, with artifact types drawn from the CPB Artifact Type registry. Cross-profile comparability of digest values (comparable only under compatible declared digest contexts; otherwise indeterminate/deny, never equal-looking-hex) follows that document's Cross-Profile Comparability subsection.

NOTE: docs/interop/aac-aep-scitt-digest-binding-vector.json pins a machine-checkable positive/negative demonstration of this Cross-Profile Comparability rule across AAC, AEP, and SCITT under the profile label urn:action-state:aac-aep-scitt:digest-binding:2026-07-02.

This profile's own chain.parent_capsule_id, reason_digest, evidence_digest, and external_ref fields are a distinct concept from the typed digest reference above: they are bare intra-profile digests and join keys, either a current JSON digest or an opaque correlation string, not {type, digest_alg, digest} objects citing an external artifact by registered artifact type. They MUST NOT be interpreted as CPB typed digest references. Only the external-authorization references described in this paragraph use the CPB typed-reference mechanism.

5.4. Assurance

Every Capsule carries an assurance object stating, as independently-rederivable claims: attestation_mode ("self_attested" or "anchored"), effect_mode ("not_applicable", "dispatched_unconfirmed", or "confirmed"), and ledger_mode ("standalone", "chained", or "anchored"). ledger_mode records the custody tier of the record: "standalone" is a lone Capsule (no chain linkage); "chained" is a Capsule whose hash-chain linkage to a predecessor is present and intact; "anchored" is a chained Capsule whose chain root has additionally been committed to an independent transparency log. A verifier rederives ledger_mode from the bytes it can check — "standalone" versus "chained" from the presence and integrity of the hash-chain linkage, and "anchored" only after it verifies an inclusion proof against a trusted log key — and the three tiers are ordered standalone < chained < anchored for overclaim detection. A producer MUST NOT record an assurance mode it did not achieve; a verifier rederives each mode from the evidence present and reports any overclaim.

chained is derived solely from the presence and integrity of the Capsule's own chain-linkage block (Section 5.5.4) — the fields committed under chain at seal time. Parent resolution is a separate, store-level question (check 6, Section 6): whether a store can locate and validate the chain parent a Capsule names. A missing or unresolvable parent is reported there, but it never downgrades ledger_mode — a Capsule handed over standalone, without the store that holds its parent, still derives chained from its own linkage block. If parent existence instead fed ledger_mode, the same Capsule would derive chained inside a full ledger and standalone handed over alone; an assurance tier that depends on what the verifier happens to hold is not a property of the record. (anchored is not a counterexample: its receipt travels with the Capsule, so what the verifier holds does not change.)

5.4.1. Cross-party assurance

A Capsule's evidentiary weight along the counterparty dimension — how much of a counterparty's own attestation is structurally present in this record — is a fourth, orthogonal claim: assurance.cross_party_rung. It is a new axis, not a new value folded into attestation_mode, for the same reason Section 5.5.2 already gives for keeping verdict_class and effect_mode separate: attestation_mode answers "has this record been committed to an independent transparency log" (log custody); cross_party_rung answers "how much of the counterparty's own signed evidence is bound into this record" (exchange evidence). These are independent facts a producer can hold in any combination — a self_attested record can still be full_bilateral (both parties signed, neither side anchored yet), and an anchored record can still stand on unilateral_fallback evidence alone (a solo attestation that was independently anchored). Folding a countersigned value into attestation_mode would collapse these two facts into one claim and make that combination inexpressible, so this profile keeps them orthogonal.

cross_party_rung takes one of three values, ordered unilateral_fallback < acknowledged_receipt < full_bilateral for overclaim detection — the same never-grades-up discipline Section 5.4 already applies to attestation_mode, effect_mode, and ledger_mode:

Table 6
cross_party_rung Meaning
unilateral_fallback Only the initiator's own signed half is present; no counterparty evidence, or the counterparty was unreachable or its half did not verify.
acknowledged_receipt A counterparty reference and correlator are present and well-formed: the counterparty cryptographically acknowledged receipt, but the referenced half carries no substantive co-signed result.
full_bilateral A counterparty reference and correlator are present and well-formed, and the referenced half is marked as carrying a substantive co-signed result — both parties' evidence is bound to the same exchange.

cross_party_rung is REQUIRED when a cross_party evidence block (below) is present, and both are OPTIONAL on a Capsule with no cross-party exchange. A producer MUST NOT claim a cross_party_rung its evidence does not support. A Class-1 verifier independently rederives the highest rung the cross_party block supports and reports any claim above the derived rung as an assurance_overclaim (Section 6), downgrading the reported derived rung to the value the evidence actually supports — the same treatment Section 6 already gives an overclaimed attestation_mode or ledger_mode.

A Capsule that participates in a cross-party exchange carries an OPTIONAL top-level cross_party block:

  • initiator_ref (REQUIRED when the block is present): a JSON digest (Section 2) of the initiator's own signed half. A bare intra-profile digest, not a CPB typed digest reference (Section 5.3).

  • counterparty_ref (OPTIONAL): a JSON digest of the counterparty's signed half. Its absence means no usable counterparty evidence was obtained — the counterparty was unreachable, or its half did not verify at the layer that checked it.

  • correlator (REQUIRED when counterparty_ref is present): an opaque profile-native correlation string joining initiator_ref and counterparty_ref to the same exchange — the same kind of "opaque correlation string" primitive external_ref already uses (Section 5.3), not a CPB reference.

  • substantive (OPTIONAL boolean, meaningful only when counterparty_ref is present): true only when the counterparty's referenced half carries a substantively co-signed result rather than a bare receipt of the initiator's half.

A verifier derives cross_party_rung from this block's own bytes alone, never by dereferencing the digests it cites: unilateral_fallback when counterparty_ref is absent or malformed; acknowledged_receipt when counterparty_ref and correlator are both present and well-formed but substantive is absent or false; full_bilateral when counterparty_ref and correlator are both present and well-formed and substantive is true. This is a structural check, the same kind Section 5.4 already uses to derive "chained" from the mere presence of a well-formed chain block — it does not verify the counterparty's underlying signature itself, which is a substrate concern by reference (Section 6), mirroring how this layer never derives anchored. The two-party wire encoding this rung summarizes — the initiator and counterparty attestation halves, their signatures, and the handshake that produces them — is the companion [I-D.mih-agent-bilateral-attestation]'s concern, not this profile's; this profile carries only the rung claim and the minimal correlation evidence needed to rederive it honestly.

5.4.2. Cross-algorithm re-anchoring

The anchored ledger_mode tier (above) rests on one SCITT registration receipt, sealed under one signature and digest algorithm. Decades later that algorithm may no longer be cryptographically load-bearing; an Ed25519 receipt from the year this profile was published is not a claim this document can promise will still mean anything in twenty years. Extending an anchored root's evidentiary life across such a boundary — re-anchoring — is standard practice for long-term non-repudiation (compare the archive-timestamp-renewal pattern of the Evidence Record Syntax family); this profile defines its own minimal, public FORMAT for it, reusing existing mechanism rather than inventing new cryptography.

Re-anchor Statement. A re-anchoring is itself an ordinary CPB typed-digest-referencing artifact, sealed and registered to a conforming SCITT Transparency Service exactly as a Capsule is (Section 3) — under whatever algorithm that service currently uses, which MAY differ from the algorithm being extended. It carries:

  • subject: a CPB typed digest reference [I-D.mih-sokolov-scitt-payload-binding] identifying the material being re-anchored — an anchored Capsule's capsule_id together with its original registration receipt, or a prior Re-anchor Statement, so a subject MAY itself be re-anchored again at the next boundary crossing.

  • issuer: a producer-defined identifier naming the party performing this re-anchoring, under the same declared-party discipline Section 5.5.6 already gives declarant — a re-anchoring is a claim by a named party, not a fact this format attests.

  • issued_at: [RFC3339] UTC timestamp of this re-anchoring.

No new registry, header, or claim type is requested for the statement's own transport: it is registered and receipted using the same SCITT registration this profile already defines (Section 3.3), and its subject uses the same typed-digest-reference shape Section 5.5.5 already defines. The extension this format adds is entirely in what a verifier does with the resulting chain of receipts, below.

Verifying a chain that crosses the boundary. A stranger holding only the newest Re-anchor Statement and the original evidence checks the chain with no algorithm-specific code beyond what Section 6 and ordinary SCITT receipt verification already require:

  1. Verify the newest Re-anchor Statement's own SCITT registration receipt under whatever algorithm that receipt declares — the only algorithm this step's present-day trust needs to extend to.

  2. Recompute the digest of the artifact subject names and confirm it matches subject's carried {digest_alg, digest} — a structural, algorithm-agnostic bytes-in-hand check, the same discipline Section 5.5.5 already gives any typed digest reference.

  3. If subject names another Re-anchor Statement, recurse to step 1 for that statement, walking backward through however many boundary crossings have occurred.

  4. Terminate at a subject naming the original Capsule; verify that Capsule and its original receipt under Section 6 as usual.

  5. Report the full hop sequence. A break at any hop — an unverifiable receipt, a digest mismatch — truncates trust at that hop; the chain before the break is unaffected, the same partial-trust discipline Section 5.4 already applies to a chain parent this producer's own stream cannot resolve.

What this format does not do. A Re-anchor Statement's own registration receipt confirms it was sealed and timestamped as claimed; it does not confirm issuer's authority to re-anchor on the original producer's behalf. That authority — or its absence — is a relationship the citing ecosystem establishes out of band (for example, a registered role naming who may re-anchor a given producer's roots), never a fact this format itself attests. Nor does this format extend evidentiary life on its own: a Re-anchor Statement created after the algorithm it restates has already been broken proves only that its issuer could still forge that broken algorithm, not that the original evidence is sound. A re-anchoring is only as good as its timing relative to the algorithm it extends. Deciding a re-anchoring cadence and operating it, across a fleet of roots, for decades, is a service — out of this document's scope by design, so that the format itself stays verifiable by a party who runs no such service and holds no relationship with issuer.

Crossing a key boundary is compounded by a related gap: a receipt's COSE header carries alg but no kid, so a verifier checking an older-algorithm receipt against multiple keys published under that algorithm must try each one to find the signer. This document does not resolve that gap; a Re-anchor Statement's own receipt is subject to the same key-discovery limitation as any other SCITT receipt until it is.

5.4.3. Provenance mode and backfilled records

Most Capsules are sealed close to when the action they describe occurred: the producer's timestamp (Section 5.1) is a contemporaneous account. An operator MAY also import a record of an action that occurred before the Capsule describing it was produced — a migration, a reconciliation, a bulk historical import. This profile represents that as a MODE on the ordinary Capsule, never a distinct record type: a backfilled Capsule carries the same fields, registries, and Class 1 checks as any other; only its provenance differs.

A Capsule MAY carry a top-level provenance_mode object:

Table 7
Field Type Req Meaning
mode string REQUIRED when the block is present "contemporaneous" or "backfilled" (closed enum). A provenance_mode block is OPTIONAL and its absence implies "contemporaneous"; a producer importing a historical record MUST include the block.
source_ref typed digest reference REQUIRED when mode is "backfilled" {type, digest_alg, digest}, the same CPB typed-reference mechanism references[] uses (Section 5.5.5), identifying the historical record or artifact this Capsule was imported from.
source_asserted_at string ([RFC3339]) REQUIRED when mode is "backfilled" When the source claims the action occurred. Self-attested: a producer claim about the past, never independently witnessed by virtue of being carried here.
import_batch string REQUIRED when mode is "backfilled" An opaque, producer-scoped identifier for the bulk import run that produced this Capsule.
imported_at string ([RFC3339]) REQUIRED when mode is "backfilled" When this Capsule was actually appended to the producer's own ledger.
time_rung string OPTIONAL; MUST be absent unless mode is "backfilled" "self_attested" or "witnessed", ordered self_attested < witnessed for overclaim detection (Section 6) — the same never-grades-up discipline Section 5.4 already applies to attestation_mode, ledger_mode, and cross_party_rung. Absent implies "self_attested".

provenance_mode is a distinct field from the pre-existing top-level provenance member (a scalar dedup-rank signal — "gate" / "runtime" / "collector" — defined by the -02 domain/provenance addendum, REGISTRY.md §9). The two are unrelated vocabularies; this document uses a different key deliberately so that adding one never collides with, shadows, or reinterprets the other.

A producer MUST NOT claim time_rung: "witnessed" unless a references[] entry (Section 5.5.5) cites, by digest, a signed or independently witnessed timestamp corroborating the source's claimed occurrence time — for example a countersignature or transparency-service receipt obtained over the source record, never merely a repetition of source_asserted_at inside the citing Capsule itself. This profile registers a citation_purpose value for exactly that citation: corroborates_source_time (Section 12).

Time semantics, normative. timestamp and, when present, provenance_mode.source_asserted_at are both producer self-attestations of when an action occurred; carrying either inside a Capsule never makes it witnessed. This profile defines no in-payload field for the moment a record enters an append-only log — that fact belongs to the registration substrate (Section 3.3) and, for a backfilled record, is approximated by provenance_mode.imported_at, itself also a producer self-attestation, not a Receipt. A verifier and every downstream consumer MUST treat a backfilled record's occurrence-time claim as no stronger than self-attested (time_rung: "self_attested") unless a witnessed reference under corroborates_source_time is present and well-formed — and even then, corroboration of the source's claim is a distinct fact from this record's own custody assurance (Section 5.4) and NEVER upgrades attestation_mode or ledger_mode, which continue to be derived exactly as Section 5.4 already specifies. ledger_mode and attestation_mode MAY legitimately reach anchored for a backfilled record that is properly registered today; that is a claim about custody of this record's own bytes, never about when the action it describes actually happened. A verifier MUST NOT infer occurrence-time assurance from custody assurance, and MUST NOT infer occurrence-time assurance from equality between provenance_mode.imported_at and provenance_mode.source_asserted_at — such equality is exactly the shape a laundering producer would construct to make a backfilled import look contemporaneous, and a Class 1 verifier (Section 6) MUST report it as a failure, not as corroboration.

Status cap. A backfilled record's occurrence-time claim can never satisfy a requirement that specifically depends on log-witnessed time, regardless of any other assurance value the record carries. A verifier MUST always report provenance_mode.mode and the derived time_rung cap in its structured result when the block is present, so a downstream evidence-sufficiency evaluation (out of scope of this profile) can apply that cap correctly rather than inferring it from ledger_mode or attestation_mode alone.

Duplicates. When the same logical event already has a contemporaneous Capsule in this producer's own stream, an importing producer SHOULD chain the backfilled Capsule to it with chain.relation: "duplicates" (Section 5.5.4, Section 12), citing the contemporaneous Capsule as chain.parent_capsule_id. duplicates is non-terminal, like confirms: the parent's own state is unaffected. Verifiers and downstream evidence evaluators MUST count a duplicates-linked pair once, with the contemporaneous record's own assurance and disposition governing; the backfilled member exists to preserve the import in the append-only history, not to be independently counted. duplicates is scoped to the producer's own same-stream history, the same scope Section 5.5.4 already gives chain; citing a different producer's record as a duplicate is a references citation (Section 5.5.5), out of scope for this revision.

Never fold history retroactively. An imported record MUST be appended at its import position in the producer's ledger — its chain.parent_capsule_id, when present, is the Capsule that immediately preceded it at import time, never a historical predecessor spliced in after the fact to make the backfilled record appear as though it had always been there. Retroactively re-linking history to insert an imported record at the position its source_asserted_at implies would change the identity of every already-sealed Capsule whose chain it is spliced into (capsule_id commits chain, Section 5.1), which is impossible without invalidating existing Producer Envelopes over those Capsule IDs — so this is a structural guarantee, not only a policy one. (Informative, non-normative: this is the same convention independently documented for out-of-order ledger ingestion elsewhere in the ecosystem — TRACE's June-entry precedent — an import is placed where it lands, not where its content claims it belongs.)

5.5. Disposition and the verdict reason-class

A Capsule's disposition block records how the decision was disposed:

  • decision (REQUIRED): "accept", "reject", "needs_input", or "deferred" (registry-governed, Section 12).

  • approver (REQUIRED): a closed enum, exactly "human", "policy", or "counterparty". The value domain is fixed by this specification (not registry-governed); an unknown approver value is not a conforming Capsule. Unlike the registry-governed vocabularies of this document (Section 12), approver stays a closed three-member enum after this addition — never a registry an implementation is expected to extend by registration.

  • human_disposed (REQUIRED, boolean): the honest in-the-loop flag — true ONLY when a human actually acted. A policy auto-approval is false. human_disposed: true REQUIRES approver: "human"; a producer MUST NOT claim a human disposed what a policy did.

  • authority (OPTIONAL): an opaque reference to the authority under which a non-human disposition acted. A conforming Capsule carries at most the reference, never the authority's internal structure.

  • verdict_class (OPTIONAL): the terminal-verdict reason-class (Section 5.5.1). It is RECOMMENDED for any non-executed verdict, where it carries the terminal reason; it is legitimately absent for a clean executed verdict (which has no reason-class, mirroring an absent reason_digest).

  • reason_digest (OPTIONAL): a JSON digest (Section 2) of a structured, private reason object — machine-readable members such as the constraint identifier, the threshold, and the observed value; never free prose — so two engines attesting the same refusal produce the same digest. The member is absent (not a digest of an empty object) when a verdict has no reason, such as a clean "executed".

  • expiry_policy (OPTIONAL; deferral dispositions only): a digested {ttl_seconds, on_expiry} object — ttl_seconds is an integer count of seconds, never a duration string, and on_expiry is "expired" or "escalated". ttl_seconds is evaluated against the deferral Capsule's registration time — the timestamp field inside the digest commitment — not the Transparency Service receipt time, and not a consumer's local wall clock; a named clock basis is what makes the expiry computation deterministically reproducible, so any verifier derives the same elapsed-time result from the record's own bytes. The deferral's frozen summary is a digest-committed, content-side layer written once at deferral time; it MUST NOT be regenerated.

  • approver: "counterparty" (see Section 5.4.1) records that a counterparty to a cross-party exchange, rather than this operator's own human or policy, disposed the decision. The honesty invariant above is unaffected: human_disposed: true still REQUIRES approver: "human", so a counterparty disposition is never claimed as human-in-the-loop.

5.5.1. The verdict_class vocabulary

verdict_class records WHY the action terminated as it did. The seeded vocabulary (registry-governed, Section 12; unregistered values are informational to a verifier, never a rejection):

Table 8
verdict_class Meaning
executed The action ran.
blocked A blocking constraint stopped it before dispatch.
hitl_dispatched Routed to a human operator; awaiting resolution.
denied An operator or policy refused it before dispatch.
timeout The decision timed out (see the orthogonality rule).
errored The action ran and threw; final state unknown.
engine_failure The engine could not evaluate the action.
deferred A human elected to postpone the decision; open item.
needs_decision Evaluation complete; decision required, not yet routed to a decider; open item.
expired TTL policy on the deferral elapsed; terminal unless superseded by escalation.
escalated Expiry or policy routed the item to a higher authority; open item at the new authority.
resolved A terminal decision Capsule closed the chain without executing — the non-executing closure only (see the pairing rule, Section 5.5.2).

hitl_dispatched and deferred are sequential states, not synonyms: hitl_dispatched means sent to a decider and awaiting response; deferred means a decider responded "later".

5.5.2. Orthogonality with effect_mode

verdict_class (why the verdict) and assurance.effect_mode (what is known about the effect) are independent axes and MUST NOT be folded into one another:

  • The pre/post-dispatch distinction lives in effect_mode, not in the class. A timeout before dispatch is verdict_class: "timeout" with effect_mode: "not_applicable"; a timeout after dispatch is verdict_class: "timeout" with effect_mode: "dispatched_unconfirmed". One timeout value covers both.

  • errored pairs with effect_mode: "dispatched_unconfirmed" — the effect was dispatched and may have left a partial side effect. not_applicable would falsely assert nothing happened, which is the inverse of attesting an execution that did not occur and equally non-conforming.

  • A class that by its kind never dispatches (blocked, hitl_dispatched, denied, engine_failure, deferred, needs_decision, expired, escalated, resolved) REQUIRES the derived effect_mode to be "not_applicable". A verifier reports any other derived mode as an error: an effect attempt contradicts a verdict that claims it never executed.

  • The pairing rule: resolved is exclusively the NON-executing closure (decline, waive, recorded-elsewhere) — it pairs with effect_mode: "not_applicable" and an absent effect_attestation. An EXECUTING closure is encoded as verdict_class: "executed" chained supersedes to the deferral (Section 5.5.4) — one valid encoding of "closed with effect", never two.

  • The effect status "failed" (ran and returned a clean failure, state known) is distinct from verdict_class: "errored" (ran and threw, state unknown). "failed" is an effect status, never a reason-class.

5.5.3. A Capsule on every verdict

A conforming producer MUST record a Capsule for every verdict, whatever its disposition. This requirement is universal over the verdict_class vocabulary — the IANA registry of this document (Section 12) — and applies to every value later admitted by registration; it is deliberately not stated as an enumerated list, which would go stale the moment Specification Required admits a new value. A refusal or block with no Capsule is invisible to an auditor; a blocked or denied Capsule is auditor-grade evidence that the gate worked: the affirmative, digest-committed record that the constraint or policy fired and the action did not proceed. Recording only successes makes the evidence trail survivorship-biased and the refusal path unverifiable.

5.5.4. Chained Capsules and human-in-the-loop resolution

Every Capsule that references a prior Capsule carries a digested chain block: {parent_capsule_id, relation}. The relation vocabulary is registry-governed (Section 12; Specification Required), seeded with the values below; the additional duplicates relation is defined in Section 5.4.3:

Table 9
relation Meaning
follows Non-terminal: a bare next-link — this Capsule appends to the producer's stream after the parent and asserts no outcome, observation, or transition over it; the parent's open state is unaffected. The default relation for an ordinary sequential record, including one whose substance lies in its own fields or its references citations (Section 5.5.5) rather than in any claim about the parent. Verifiers and downstream evidence evaluators MUST NOT read a follows link as confirming, superseding, or otherwise grading the parent — it is ordering only.
confirms Non-terminal: this Capsule observes or records the outcome of the parent; the parent's open state remains.
supersedes Terminal transition over the parent — resolution, expiry, escalation close or replace the parent's open state.
epoch_opens Non-terminal: this Capsule opens a new operational epoch. The chain parent is the last Capsule produced under the prior epoch. The opening Capsule carries the new epoch_id (Section 5.2.2); the prior epoch's last Capsule is the parent.

Single-parent is intentional: a Capsule chains to exactly one parent.

Human-in-the-loop resolution is the supersedes relation: a hitl_dispatched Capsule is sealed at dispatch time and is never mutated. When the decision is later resolved, that resolution is a second, linked Capsule carrying its own disposition and chaining to the dispatch Capsule with relation: "supersedes". The dispatch Capsule stays hitl_dispatched forever; resolution state lives only on the resolution Capsule, preserving the append-only model.

Concurrent-supersedes rule: the ledger is append-only and totally ordered; the earliest capsule in ledger order with relation=supersedes over a given parent is authoritative; any later supersedes over the same parent is structurally valid but MUST surface as a verification finding.

Open-items predicate: an item is open when its Capsule's verdict_class is one of deferred, needs_decision, hitl_dispatched, escalated, or blocked, and no Capsule in the store carries chain.parent_capsule_id equal to its capsule_id with relation: "supersedes".

5.5.5. Cross-record references

chain presupposes the cited Capsule is this producer's own: it is scoped to same-custody-stream, single-parent state transitions (Section 5.5.4). It has no shape for citing a record outside that stream — a different producer's Capsule, or any other artifact this Capsule's action was performed on or in response to. A Capsule MAY carry a digested references array for exactly that case; absent or empty means the Capsule makes no such citation. Like the rest of the payload, references participates in the capsule_id digest (Section 5.1): citing a record is itself a claim this Capsule's signature covers.

Boundary rule. chain is exclusively the producer's own same-stream parent and is the only field Section 5.4's ledger_mode derivation reads. references is exclusively for everything else. A references entry MUST NOT name the same target as chain.parent_capsule_id — a producer citing its own same-stream parent states that once, in chain, never redundantly in references.

Shape. Each references entry's identity is a CPB typed digest reference [I-D.mih-sokolov-scitt-payload-binding]: {type, digest_alg, digest}, the same mechanism this profile already uses for the external-authorization references of the Effect Record (Section 5.3). type names an artifact type per the CPB Artifact Type registry; this document defines the references entry shape, not an exhaustive list of what may be cited.

Digest as identity. A references entry's target is identified solely by the {digest_alg, digest} pair from its shape (above); no producer-local identifier, URI, or other locator carried alongside an entry constitutes an alternative identity. Two entries whose {digest_alg, digest} match MUST be treated as citing the same target regardless of any other identifier either carries, and two entries whose digests differ MUST NOT be treated as citing the same target merely because they share a locator or producer-local identifier. Comparison, deduplication, and cross-record correlation over references entries therefore key on {digest_alg, digest} alone: a locator can be repointed without altering the entry that carries it; the digest cannot.

Why the digest is the identity. A reference whose identity is a name — a URI, a record identifier, a position in some other party's system — can be resolved tomorrow to bytes that differ from the bytes the citing producer saw. The name survives; the content moves beneath it. A citation that can drift is worse than no citation, because it presents as evidence while guaranteeing nothing about what it points to. Resolvability and unchangedness are two different promises, and only a digest can make the second one. This profile therefore makes the digest the identity and treats every locator as a route to it rather than as the reference itself.

This rule is this profile's own and predates its generalization. [I-D.mih-sokolov-scitt-payload-binding] supplies the typed reference mechanism that CPB profiles share; the requirement that a cited artifact be identified by content rather than by name originates here.

Identity references, never policy references. Every references entry, as defined above, is an IDENTITY reference: its {digest_alg, digest} pair pins the exact bytes of one target, the same discipline capsule_id gives this Capsule itself (Section 5.1) — for a cited AAC Capsule, checking a references entry against that Capsule's own capsule_id computation is exactly this comparison. This profile defines no POLICY reference: a citation of the shape "this issuer, this subject, at least this version," which deliberately pins no historical bytes and instead names an evolving relationship a runtime is willing to accept. A policy reference belongs to whatever layer states runtime acceptance criteria — for example, a pack version constraint in capsule-registry's Pack Schema & pack_id Namespace — and MUST NOT be expressed as a references entry: relaxing an entry's digest to match a class of acceptable bytes, or substituting a version range for it, breaks the exact-bytes guarantee this section exists to give a verifier. An implementation that needs both — a record of what was cited exactly, and a statement of what versions a policy currently accepts — carries the identity reference here and states its acceptance policy in the governing policy document; it never conflates the two in one field.

This profile states no availability or retention obligation for a cited artifact. Content-derived addressing establishes that bytes, once obtained, are the bytes cited; it cannot establish that any party will serve them. An availability undertaking is a separate claim with a named obligated party and an expiry, and belongs to whatever profile carries the locator. Section 5.5.6 defines such an undertaking for a references entry.

5.5.6. Retention declarations

A references entry MAY additionally carry a retention object, declaring a retention undertaking about the cited target:

Table 10
Field Type Req Meaning
declarant string REQUIRED A producer-defined identifier naming the party making this undertaking (an operator identifier, DID, URI, or other string meaningful in the citing ecosystem — this profile mandates no scheme). The declarant need not be this Capsule's own producer; an entry MAY name the operator of wherever the cited artifact resides.
retained_until string ([RFC3339]) OPTIONAL Floor: declarant undertakes the cited target will remain resolvable at least until this time.
not_retained_after string ([RFC3339]) OPTIONAL Ceiling: declarant states the cited target will not be retained past this time (an erasure or data-minimization commitment).

At least one of retained_until and not_retained_after MUST be present when retention is present; a retention object carrying neither is malformed and a Class 1 verifier MUST reject it, the same structural treatment given any other malformed optional block. The two bounds are independent and MAY both be present, stating an exact retention window.

Declared, not attested. A retention object is a statement by declarant, never a fact this profile or a Transparency Service attests to, and never independently checkable at seal time — content-derived addressing (above) establishes what the cited bytes are, never who will keep serving them, for how long, or on whose promise. A Class 1 verifier MUST report a retention object's field values as carried, structural data — the same treatment constraints[].result receives (Section 8.1) — and MUST NOT report it as verified or attested. This is the same discipline this profile already applies to graded claims a producer makes about itself (Section 5.4): a declaration is evidence of what was promised, not of what will occur.

Absence is not a finding. A references entry with no retention object makes no claim about the cited target's retention in either direction — not that it is retained, not that it is unretained, not that no undertaking exists elsewhere. It is silence, not a negative fact. A verifier or downstream consumer MUST NOT treat the absence of a retention declaration as a finding against the record, the citing producer, or the cited target — the same discipline Section 5.4 already applies to a Capsule carrying no cross_party evidence block (Section 5.4.1): an unpopulated optional field is missing information, never a negative claim.

Selective disclosure is orthogonal. A retention declaration concerns the resolvability of the cited target's committed bytes; it says nothing about which of the CITING Capsule's own fields a holder later discloses. The selective-disclosure extension point (Section 9.2) neither affects nor is affected by any retention declaration: disclosures are retained by the party presenting the Capsule, never by a log or Transparency Service ([I-D.mih-scitt-agent-action-capsule-sel-disc], Disclosure Delivery), and capsule_id is computed over commitments that do not change under redaction. Retention of a cited artifact and disclosure of the citing Capsule's own fields are independent axes, and a hosted verification service that itself holds no state (for example, one that retains nothing beyond the lifetime of a single verification request) makes no retention declaration of its own by virtue of performing verification: verifying a Capsule is not citing one.

A reference MAY additionally carry log_coordinates, an object {log_id, leaf_index, inclusion_proof}, present as a unit when the cited record has been registered to an append-only log a verifier can consult. leaf_index MUST be a JSON integer, not a string. It is the zero-based MMR leaf index for which inclusion_proof was computed, not the one-based CLL log-entry sequence number. When a log exposes a one-based sequence number seq, the producer MUST encode leaf_index as seq - 1. The outer leaf_index MUST agree with the index used by the enclosed inclusion_proof; a proof for any other index is non-conforming. log_coordinates is an upgrade, not a second identity: it proves the exact referenced bytes were found at the stated log position, and its presence or absence never changes what type + digest_alg + digest already identify. Producer-local log checkpointing is future scope at the CPB binding layer, not this document (Section 11); until that mechanism is specified, a Class 1 verifier treats a present log_coordinates member as structurally recorded and MUST NOT report it as independently verified.

Citation purpose. A references entry MAY carry citation_purpose, a registry-governed (Specification Required, Section 12) string stating why this Capsule cites the target. citation_purpose is a distinct vocabulary from CPB's own purpose field on a typed digest reference: CPB's purpose selects among an artifact type's registered digest contexts, and citation_purpose is this profile's own, separately-named field for the citing relationship, never a repurposing of CPB's field. The seeded vocabulary:

Table 11
citation_purpose Meaning
acted_on This Capsule's action targeted, consumed, or was performed against the cited record's declared content — a stream boundary, not a custody claim: the cited record may belong to a different producer or stream entirely, and citing it asserts only that this action is about that content, never that the citing producer holds or continues its custody.
responds_to This Capsule addresses or answers the cited record without a same-stream chain relationship to it — the cited record is not this Capsule's chain.parent_capsule_id and MAY be a different producer's record or otherwise outside this producer's own stream.
ran_under This Capsule cites a record stating the runtime environment and the authority under which its action executed — what ran, and under whose attestation. The cited record MAY belong to a different producer (for example, a hardware-attestation record emitted by an attestation service); citing it with this purpose asserts that this Capsule's action ran under the conditions that record attests, not that the citing producer re-derived them.
counterparty_half The cited record is the counterparty's half of a two-party exchange, received and held by the citing node. The citing node cites the counterparty's already-sealed Capsule by digest through this entry. How the citing node obtained and checked the cited half is outside this profile; the citation asserts custody of the cited record, not an observation of it. The citing node does NOT re-assert the cited half as its own observation, action, or outcome — the entry records CUSTODY of an external half, so a held foreign half becomes a committed, checkpointed fact of this stream rather than a render-time observation. The cited half is a foreign record, never this Capsule's chain.parent_capsule_id, so the boundary rule above holds.
counterparty_inclusion This Capsule cites, by digest, a counterparty's inclusion proof and the checkpoint covering it — and that checkpoint's receipt when it is witnessed — for a counterparty half the citing node already holds under an earlier counterparty_half citation, with one references entry per cited artifact. The value exists because log_coordinates cannot be added to a Capsule after sealing: inclusion evidence that arrives later is cited by a later record. The cited artifacts are held artifacts, never entries in the citing node's chain. The citing Capsule chains to its own same-stream head via follows (Section 5.5.4) and never mutates the earlier counterparty_half citation: inclusion evidence is added by a new record, never by amending the custody record.

Designated-expert guidance: acted_on, responds_to, and ran_under name a cross-stream citation intent that chain.relation cannot express because chain.relation is scoped to same-stream transitions (Section 5.5.4). acted_on and responds_to name what the action was about; ran_under names the environment and authority the action executed under — a relationship, not a category of evidence, so one value covers a cited account whether it carries the runtime side, the authority side, or both. A producer whose citation is a same-stream state transition over its own parent uses chain instead and never mints a references entry for it (the boundary rule above). counterparty_half likewise names a citation, not a parent-link: the citing Capsule still chains to its own same-stream head with an ordinary chain.relation that asserts no outcome over the parent — follows (Section 5.5.4) when the record makes no other claim over that head — and the fact that it holds a counterparty's foreign half is carried solely by this references entry — never by a new chain.relation value. counterparty_inclusion follows the same discipline: it is a further citation by a later record, so later evidence about a held half (its inclusion in the counterparty's log) never rewrites the record that first took custody of it. Registering the held-half meaning on chain.relation (for example a proposed cites) would conflate the parent-link axis with the citation-target axis, the same conflation this section forbids below when it requires a cross-stream citation to be "a references entry with the appropriate citation_purpose, not a new chain.relation value." Additional citation_purpose values are expected future registrations, each admitted once its semantics are pinned in a publicly available specification, per this document's Specification Required policy (Section 12).

Grade non-propagation for a cited attestation. A record cited with ran_under may carry its own assurance grade for the conditions it attests — for instance, a trust record graded by whether a hardware root of trust signed the measurement it reports. That grade attaches to the specific fact the cited record attests and does not extend to any other claim, including a claim stated inside the cited record's own content: a platform-attested measurement does not make a self-reported workload identity attested. A verifier reading a ran_under citation therefore carries the cited record's grade only for what that record measured, never for everything the measured thing asserts — the citation cannot launder an unattested claim through an attested envelope. This restates the cited format's own grading rule rather than adding one. A conformance vector set demonstrates this behaviour as runnable cases rather than prose — a passing grade on the cited record still refusing to lift the citation in both the untrusted-signer and the inner-self-reported-claim directions — and is maintained at vectors/interop/ran_under in this document's source repository.

Relation to chain.relation's confirms value in deployed implementations. A cross-stream citation — for example, a denial Capsule addressing a prior record that is not its own chain parent — is not a same-stream state transition and so is not a chain.relation value under this profile; chain.relation registers no value for it, and none is added by this revision. Such a citation is a references entry with citation_purpose: "responds_to" (or "acted_on", if it is the affirmative case). An implementation using chain with a confirms-shaped relation for a citation that is not the same-stream parent is not using chain as this document defines it; the compatible migration is a references entry with the appropriate citation_purpose, not a new chain.relation value.

6. Class 1 verification

Capsule verification and Producer Envelope verification are independent. A verifier can validate a Capsule with no envelope, and can validate any number of envelopes against a Capsule ID without changing the Capsule result.

For each Producer Envelope, a verifier MUST:

  1. validate the exact tag, protected map, empty unprotected map, attached payload, and signature sizes in Section 3.1;

  2. require the attached payload to equal the raw 32 bytes of the Capsule ID;

  3. verify the Ed25519 signature under the public key carried in kid; and

  4. return that authenticated public key separately from any caller-defined authorization decision.

Malformed or unverifiable envelopes MUST produce structured failures and MUST NOT cause the verifier to throw or panic. One invalid envelope does not erase the validity of another independent envelope over the same Capsule ID. Receipt verification is a separate substrate step performed by reference to [RFC9943] and [RFC9942].

The agent-profile checks below are normative here and constitute Class 1 verification (Section 7): every check is performable from the Capsule JSON, the registry contents (Section 4), and — for the chain checks — the producer's store of Capsules; no other input is needed. A verifier MUST return a structured result, never throw; a single ok boolean gates trust in every other reported field; findings are reported in a fixed order.

  1. Structural: REQUIRED fields present and typed; format_version is exactly the string "4"; canonicalization_id is exactly the string "jcs"; and no floating-point values occur in digest-bearing fields. Any other format or canonicalization declaration fails closed.

  2. Identity: remove local-only signature and key_id envelope fields, if present in a local composite representation, and remove only capsule_id from the Capsule. Compute SHA-256 over plain JCS and compare the result with the carried capsule_id.

  3. Confirmed-effect binding: effect.status: "confirmed" without a well-formed response_digest is a failure (Section 5.3).

  4. Verdict/effect orthogonality: a never-dispatching verdict_class with a derived effect_mode other than "not_applicable" is a failure (Section 5.5.2); resolved is in the never-dispatch set per the pairing rule.

  5. Effect-attestation matrix: effect_attestation missing where the matrix REQUIRES it, or present where it MUST be absent — including the planned carve — is a failure (Section 5.3).

  6. Chain semantics (store-level): a missing chain parent is a failure; concurrent supersedes surface as findings per Section 5.5.4. A references entry (Section 5.5.5) is a different claim: it is informational cross-stream correlation, never a chain-integrity input, and a verifier MUST NOT treat a references entry naming an unresolvable or absent target as a chain-semantics failure — only a references entry that duplicates chain.parent_capsule_id is a failure, per the boundary rule of Section 5.5.5.

  7. Assurance reconciliation: rederive the assurance modes from evidence actually verified; report overclaims.

  8. Unknown registry values (verdict_class, decision, effect.type, irreversibility_class, effect_attestation, chain.relation, citation_purpose): report as informational findings; MUST NOT reject (Section 12). An unknown effect_attestation is additionally graded no stronger than runtime_claimed (Section 5.3).

  9. Provenance mode: provenance_mode.mode: "backfilled" without a well-formed provenance_mode block (source_ref, source_asserted_at, import_batch, and imported_at all present and well-formed) is a failure (Section 5.4.3). A claimed time_rung: "witnessed" not supported by a well-formed references[] entry citing citation_purpose: "corroborates_source_time" is a failure — unlike the informational overclaim treatment of attestation_mode, ledger_mode, and cross_party_rung in check 7, a provenance_mode time-assurance overclaim gates ok, because it is falsifiable from the record's own bytes and this profile treats it as a dishonesty claim, not merely an unverifiable one (Section 5.4.3). Byte-equality between provenance_mode.imported_at and provenance_mode.source_asserted_at on a backfilled record is likewise a failure — the laundering shape Section 5.4.3 already describes.

Disposition honesty is structurally guaranteed, not a live check above. The honesty invariant — human_disposed: true REQUIRES approver: "human" (Section 5.5) — is enforced when the disposition is constructed: the typed disposition carrier rejects human_disposed: true paired with any non-human approver, so a violating Capsule cannot be formed or signed at all. A Class 1 verifier therefore does not re-assert it in the enumeration above; like parse- and type-level malformations that a typed record cannot represent, a dishonest disposition is an unrepresentable state rather than a runtime failure mode. A verifier consuming arbitrary bytes not produced by a conforming constructor SHOULD nonetheless assert the invariant defensively against hand-crafted input. The closed approver enum (Section 5.5) is likewise structural: an approver value outside the closed set defined in Section 5.5 is non-conforming by construction and so is absent from the unknown-registry-value reporting of check 8.

NOTE (Class 1 test vector, effect-attestation matrix, check 5): a Capsule carrying effect.status: "failed" derives effect_mode: "dispatched_unconfirmed" (Section 5.3); the matrix therefore REQUIRES effect_attestation. A conforming verifier MUST report a check-5 failure for such a Capsule when effect_attestation is absent, and MUST NOT treat the failed status as exempt (only planned is carved, and only not_applicable is the no-effect case). The same expectation holds for effect.status: "reverted", which likewise derives dispatched_unconfirmed. This vector exists to demonstrate the matrix is total over effect.status: the runtime reporting a failure is still a dispatch, and a dispatch that escapes attestation is the precise condition check 5 exists to catch.

A verifier MUST NOT consult a model, a clock-dependent heuristic, or network state to decide ok for the checks above. Manifest-dependent verification is Class 2 (Section 8.2).

7. Conformance: two verifier classes

This profile defines two verifier conformance classes. Producer conformance is a single class and is unchanged by this split: a conforming producer emits the same Capsules regardless of which verifier class consumes them.

Class 1 verifier:

Verifies the Capsule payload WITHOUT any constraint manifest: the structural and identity checks, the registry vocabularies, the digest recomputations, and the validity matrices (confirmed-effect binding, verdict/effect orthogonality, effect-attestation, chain semantics). The complete Class 1 check set is Section 6. Producer Envelope and Receipt results are reported independently and do not alter payload Class 1.

Class 2 verifier:

A Class 1 verifier that additionally performs manifest-aware verification (Section 8.2): constraint evidence-schema checks and manifest-sourced thresholds. Class 2 conformance presupposes access to the producer's constraint manifest and the private evidence its Constraint Records bind; absent those inputs, a Class 2 verifier reports Class 1 results unchanged.

8. Manifest-dependent material

The producer's constraint manifest — the private definition of each constraint's predicate, evidence schema, and thresholds — is not carried in the Capsule. The material in this section depends on it: the detail of Constraint Records and the Class 2 checks. Manifest discovery and authentication are out of scope for this profile; they are expected to be handled via out-of-band tenant configuration or a future discovery mechanism.

8.1. Constraint Records

A Constraint Record is the public verdict of one deterministic check that ran against the action. It carries only sanitized categories — an id, optional check_type and method labels, a result of "pass" / "fail" / "n/a", severity, a blocking flag recording whether the check actually gated this decision, and an optional evidence_digest (a JSON digest, Section 2) binding the verdict to the private evidence the check evaluated. The content a check evaluated MUST NOT appear in the public record; it is bound by digest only. The check's predicate, evidence schema, and thresholds live in the producer's manifest.

Every recorded result MUST be the output of a deterministic predicate over disclosed or digest-committed evidence. The live decision path MUST NOT re-prompt a model to make a check pass, and a verifier MUST NOT re-prompt a model to "re-check" one: re-running a non-deterministic check is not verification.

Constraint id, check_type, and method values are lowercase snake_case categories. New values follow the namespacing convention of Section 9.1.

8.2. Class 2 verification

The checks below are manifest-aware: they require the producer's constraint manifest and the private evidence a Constraint Record binds by digest. A Class 2 verifier performs them in addition to the complete Class 1 set (Section 6); their results never weaken a Class 1 result — they extend it.

  1. Constraint evidence-schema check: for each Constraint Record (Section 8.1) carrying an evidence_digest, confirm the bound evidence conforms to the manifest's evidence schema for that constraint id and that the recomputed digest matches; a mismatch is a failure.

  2. Threshold checks: confirm that manifest-sourced thresholds were applied as the manifest states.

9. Extensibility

All Capsule extension points are in the Capsule JSON. The Producer Envelope protected map is exact and closed by Section 3.1. An extra protected entry is a profile failure, not an extension mechanism. New envelope metadata requires a future format version or a separate carrying structure.

9.1. Namespacing convention

Three vocabularies are deliberately not registry-governed — constraint id/check_type, compliance.framework_tags, and assurance.sources[].kind — because their value space is producer-local by nature. Bare names (no namespace separator) are reserved for the values seeded in this document; any party introducing a new value MUST namespace it with a URI or reverse-DNS prefix (for example, com.example.margin_floor). A bare, unseeded name is non-conforming for a producer; a verifier still treats it as informational.

9.2. Selective Disclosure

The base confidentiality posture of this profile is whole-envelope: a producer discloses a Capsule by sharing its full payload, or withholds it entirely. Sensitive content not carried in the envelope leaves no on-wire indicator of its existence. This whole-envelope posture is sufficient for the common case where the unit of disclosure is the Capsule as a whole.

For cases in which a producer must reveal a subset of payload fields to a verifier while concealing both the values and the existence of unrevealed fields, a per-field selective-disclosure mechanism is needed. This profile reserves an extension point in the Capsule payload for such a mechanism. The intended field-level technique follows the SD-JWT selective-disclosure model [RFC9901] — salted-hash commitments over JCS-canonicalized arrays — because the Capsule payload is JSON; it is written to stay aligned with SPICE's SD-CWT [I-D.ietf-spice-sd-cwt] (the CBOR sibling) for SCITT-ecosystem consistency.

The complete normative profile of this mechanism — including the commitment encoding, disclosure syntax, and verifier checks — is defined in the companion Internet-Draft [I-D.mih-scitt-agent-action-capsule-sel-disc]. This profile (AAC) retains only the eligibility-policy annex: the declaration of which AAC payload fields are eligible for selective disclosure and which are non-eligible because this profile's own verifier requires their values in clear.

Implementations of this profile version MUST NOT generate or interpret selective-disclosure payload structures unless they additionally implement [I-D.mih-scitt-agent-action-capsule-sel-disc]: the extension point is defined only in that companion, and no conformance claim or verification behavior is defined for it in this document.

11. Future Work

The companion Internet-Draft [I-D.mih-agent-bilateral-attestation] defines a bilateral attestation extension in which two parties independently seal Capsules over a shared action digest, each holding proof of the other's commitment. The extension reuses this profile's disposition vocabulary (executed, blocked, denied, timeout, errored, deferred, expired, escalated) and anchors both seals to a conforming SCITT Transparency Service, so a third party trusting neither signatory can verify the record end-to-end. Statement-type and verdict-class values reserved in this document for that extension are governed by the registries in Section 12.

The companion Internet-Draft [I-D.mih-scitt-agent-action-capsule-sel-disc] normatively profiles the selective-disclosure extension point reserved in Section 9.2, specifying the per-field commitment structure, disclosure syntax, eligible fields, and verifier checks, aligned with [I-D.ietf-spice-sd-cwt].

12. IANA Considerations

12.1. New registries

Every registry requested below governs a vocabulary that lives entirely in the Capsule JSON. A SCITT-generic Transparency Service does not need to parse those values because registration, inclusion, and Receipt issuance operate on the separate SCITT registration statement. The media-type registrations are addressed separately in Section 12.3. This profile requests no new COSE header parameter or CWT claim registry; the new registries here are payload vocabularies only.

IANA is requested to create a new registry group, "Agent Action Capsule Parameters", containing the seven registries below. The registration policy for each is Specification Required ([RFC8126], Section 4.6).

Specification Required is chosen deliberately. The threat it answers is a vocabulary value whose meaning is defined only inside a closed product — two verifiers would then disagree on what the value means, and the interoperable, falsifiable-from-the-record property this profile depends on would erode. The mitigation is the policy's publicly-available-spec requirement: a value enters the shared vocabulary only once its semantics are pinned in a specification any implementer can read. Accordingly, for each registry the designated expert approves a registration when (1) the citing specification defines the value's semantics precisely enough that two independent implementations would apply it identically — for verdict_class, including its dispatch consequence and its effect_mode pairing under Section 5.5.2; (2) the value's meaning is not already expressible by an existing registered value; and (3) the citing specification is publicly available.

Binding invariant for all seven registries: verifiers MUST treat unregistered values as informational and MUST NOT reject a Capsule for carrying one. Registration governs shared meaning, never acceptance.

Initial contents are the seeded values of this document, verbatim:

  1. "verdict_class" registry (Section 5.5.1): executed, blocked, hitl_dispatched, denied, timeout, errored, engine_failure, deferred, needs_decision, expired, escalated, resolved, epoch_boundary. The deferred token's semantics are OWNED by this registry; the entry of the same spelling in the "disposition.decision" registry is a cross-reference to it. The epoch_boundary token denotes an administrative Capsule (action_type: "fyi") that marks a configuration-epoch transition (Section 5.2.2); it REQUIRES effect_mode: "not_applicable" (no effect is dispatched by an administrative epoch record).

  2. "disposition.decision" registry (Section 5.5): accept, reject, needs_input, deferred. The deferred entry is a cross-reference to the "verdict_class" registry, which owns the token's semantics.

  3. "effect.type" registry (Section 5.3): write_order, send_payment, inference_completion. inference_completion is an inference request to a model-serving runtime whose committed effect is producing a completion; its request_digest is the JSON digest of the request body as received at the serving boundary and its response_digest the JSON digest of the completion body as returned (Section 5.3).

  4. "irreversibility_class" registry (Section 5.3; ordered by ascending consequence — a registration states its position): two_way, one_way_recoverable, one_way_consequential, one_way_terminal.

  5. "effect_attestation" registry (Section 5.3): gate_executed, runtime_claimed, host_served_observed. host_served_observed is equal in grade to runtime_claimed and below gate_executed: the serving host's runtime reported the completion through its lifecycle channel, and the producer observed that report, not the effect boundary. The registry definition carries the grade-floor invariant of Section 5.3 — an unregistered or unrecognized value is graded no stronger than runtime_claimed; unknown never grades up — and the planned carve of Section 5.3: with effect.status: "planned" the member MUST be absent, and it becomes REQUIRED the moment dispatch occurs. Designated-expert guidance: plausible future registrations exist and are deliberately not seeded — for example, independent sensor confirmation of a claimed effect, or hardware- or TEE-anchored execution; a registration states where its grade sits relative to the seeded values.

  6. "chain.relation" registry (Section 5.5.4): follows, confirms, supersedes, epoch_opens, duplicates. Designated-expert guidance: supersedes is the single terminal relation; follows, confirms, epoch_opens, and duplicates are non-terminal relations. follows is the bare next-link and the default relation for an ordinary sequential record: it asserts no outcome, observation, or transition over the parent, and verifiers and downstream evidence evaluators MUST NOT read it as confirming, superseding, or otherwise grading the parent — it is ordering only (Section 5.5.4). epoch_opens is reserved for configuration-epoch boundaries (Section 5.2.2) and duplicates is reserved for a backfilled Capsule citing the contemporaneous Capsule of the same logical event in this producer's own stream (Section 5.4.3) — a duplicates-linked pair is counted once, the contemporaneous record governing. Additional non-terminal relations (for example, deposit-toward-open and effort-toward-open relations, or amends / contradicts) are expected future registrations, each admitted once its semantics and any verifier consequence are pinned in a publicly available specification.

  7. "citation_purpose" registry (Section 5.5.5): acted_on, responds_to, ran_under, corroborates_source_time, counterparty_half, counterparty_inclusion. This registry is distinct from, and never a repurposing of, CPB's own purpose field on a typed digest reference ([I-D.mih-sokolov-scitt-payload-binding]), which selects among an artifact type's registered digest contexts and is orthogonal to any role a companion profile assigns a digest within a cross-document citation. Designated-expert guidance: acted_on, responds_to, and ran_under name a citation whose target is outside the citing Capsule's own chain — a different producer or a different stream (Section 5.5.5); a citation to the producer's own same-stream chain parent is never expressed here. corroborates_source_time is the seeded exception to that same-stream/cross-stream framing: it cites, by digest, a signed or independently witnessed timestamp supporting a provenance_mode block's source_asserted_at claim (Section 5.4.3), and is the only citation this profile permits to raise provenance_mode.time_rung from self_attested to witnessed. counterparty_half cites the counterparty's already-sealed half of a two-party exchange, received and held by the citing node (Section 5.5.5); it is a citation, never a chain.relation value — the citing Capsule chains to its own same-stream head with an ordinary relation that asserts no outcome over the parent (follows, the bare next-link, when it makes no other claim over that head), and holding a foreign half is carried solely by the references entry. counterparty_inclusion cites, by digest, a counterparty's inclusion proof and covering checkpoint (and the checkpoint's receipt when witnessed) for a half the citing node already holds, stored as held artifacts; the citing Capsule chains to its own head via follows and never mutates the earlier counterparty_half citation (Section 5.5.5). Additional values are expected future registrations, each admitted once its semantics are pinned in a publicly available specification.

Interim registry of record: until this document is published as an RFC, the registry of record is the REGISTRY.md file of the source specification repository, seeded with the same initial contents and the same policy; on publication the IANA registries become the registry of record. Change controller: Action State Group, Inc. (interim); the IETF on publication.

12.2. No new registry

  • Attestation/signature algorithms: this profile defines no algorithm registry; algorithm identifiers are those of the existing IANA "COSE Algorithms" registry ([RFC9053]).

  • Constraint id/check_type, compliance.framework_tags, and assurance.sources[].kind: no registry; governed by the namespacing convention of Section 9.1.

  • Producer Envelopes use only existing COSE header labels alg, content type, and kid. This document requests no new COSE header or CWT claim.

12.3. Media Type Registrations

IANA is requested to register the Capsule JSON media type and the raw Capsule-ID payload media type in the "Media Types" registry per the templates below ([RFC6838]). The JSON representation uses the +json structured-syntax suffix of [RFC8259]. The raw identity payload has no structured-syntax suffix.

Agent Action Capsule media type:

  • Type name: application

  • Subtype name: agent-action-capsule+json

  • Required parameters: N/A

  • Optional parameters: N/A

  • Encoding considerations: binary; the representation is JSON ([RFC8259]) as defined in this document.

  • Security considerations: see Section 13 of this document.

  • Interoperability considerations: see this document.

  • Published specification: this document (and its successors).

  • Applications that use this media type: producers, ledgers, transports, and verifiers recording and verifying AI agent actions.

  • Fragment identifier considerations: as for application/json ([RFC8259]) per the +json suffix ([RFC6839]).

  • Additional information: Deprecated alias names: N/A. Magic number(s): N/A. File extension(s): N/A. Macintosh file type code(s): N/A.

  • Person & email address to contact for further information: the author of this document.

  • Intended usage: COMMON

  • Restrictions on usage: N/A

  • Author: see the Authors' Addresses section of this document.

  • Change controller: Action State Group, Inc. (interim); the IETF on publication.

  • Provisional registration: yes (pending publication of this document).

Agent Action Capsule ID media type:

  • Type name: application

  • Subtype name: agent-action-capsule-id

  • Required parameters: N/A

  • Optional parameters: N/A

  • Encoding considerations: binary; exactly 32 octets containing the raw SHA-256 Capsule ID represented in Capsule JSON as 64 lowercase hexadecimal characters.

  • Security considerations: see Section 13 of this document.

  • Interoperability considerations: see this document.

  • Published specification: this document (and its successors).

  • Applications that use this media type: COSE Producer Envelopes and SCITT Transparency Services registering Capsule identities.

  • Fragment identifier considerations: N/A.

  • Additional information: Deprecated alias names: N/A. Magic number(s): N/A. File extension(s): N/A. Macintosh file type code(s): N/A.

  • Person & email address to contact for further information: the author of this document.

  • Intended usage: COMMON

  • Restrictions on usage: N/A

  • Author: see the Authors' Addresses section of this document.

  • Change controller: Action State Group, Inc. (interim); the IETF on publication.

  • Provisional registration: yes (pending publication of this document).

13. Security Considerations

The tamper-evidence-versus-runtime-honesty boundary — that the envelope signature and registration Receipt attest record bytes and their timing, not the recording runtime's honesty at the moment of recording — is given in [I-D.mih-sokolov-scitt-payload-binding]'s Security Considerations (Tamper Evidence and Runtime Honesty). This profile inherits that boundary; the following extends it to the confirmed-effect binding.

Confirmed means observed-and-bound, not world-state. A confirmed effect proves the producer bound the bytes of an observed response, not that the external world reached the claimed state. The same boundary extends one hop upstream: binding an observed response proves the producer observed those bytes, not that the responding system was authentic or that the channel was on-path-intact. An attacker who substitutes or forges the response — a false success delivered on-path — induces an honest confirmed Capsule for an effect that did not land; this profile does not mitigate upstream spoofing of the response itself, which is bounded by the same trust assumption as runtime honesty above. Later, independently sourced outcome statements (Section 3.4) are the mechanism by which such a spoofed confirmation is contradicted over time.

Self-attested versus anchored tiers differ in evidentiary weight. A self-attested Capsule is verifiable against its own bytes and signer; an anchored (registered) Capsule additionally resists omission and back-dating through the Transparency Service's append-only log and receipts. A verifier reports the tier it actually verified and never upgrades a claim it could not check.

The honest human-in-the-loop flag (Section 5.5) is itself security-relevant: it prevents a policy auto-approval from being presented as human oversight. The invariant — human_disposed: true requires approver: "human" — is structurally guaranteed: a conforming producer cannot construct a Capsule that violates it, so the combination simply does not arise in well-formed records, and the claim is falsifiable from the record alone. A verifier consuming non-constructor-produced bytes SHOULD assert the invariant defensively against hand-crafted input (Section 6).

The low-entropy digest leakage risk — that a digest over a small enumeration, short identifier, or bounded value space is recoverable by an adversary via a dictionary attack, and so is not confidential merely by being a digest — is given in [I-D.mih-sokolov-scitt-payload-binding]'s Security Considerations (Low-Entropy Fields). This profile's reason_digest and evidence_digest fields are subject to that caveat; producers SHOULD commit such values under a per-tenant salt or via a tenant-private manifest rather than digesting the bare value.

Input integrity is a composable upstream concern. This profile records what the producer observed and bound at seal time; it does not authenticate the provenance of inputs delivered to the agent before sealing. A response spoofed on-path induces an honest confirmed Capsule for an effect that did not land. Input integrity — binding the authenticity of request bytes and upstream grounding sources to the authorization before the seal — is a separate guarantee that composes with this profile at the digest layer: a producer that holds input-integrity evidence (a signed tool response, an attested transport record, a C2PA-style content credential, or an action-body HMAC with memory provenance attestation) MAY reference it by digest in the Capsule payload, preserving the verifier's disinterest — the verifier checks the binding without trusting the producer's claim about upstream systems it cannot observe. This profile partially addresses the grounding dimension via the value_grounded constraint (Section 8.1), which checks that a quoted value matches its cited source, and via model_attestation (Section 5.1), which constrains the emitter identity. The remaining input-integrity surface is out of scope for this profile and is addressed by composing a dedicated input-integrity mechanism upstream.

Capsule identity is stable across signing-key rotation. The operator and developer fields in the Capsule payload (Section 5.1) are plain strings committed to capsule_id and are independent of the signing key. Rotating a COSE signing key creates a new Producer Envelope but does not change the Capsule ID. A verifier accumulating long-horizon history SHOULD correlate Capsules by payload operator and, when present, epoch_id (Section 5.2), then apply its own authorization policy to each authenticated envelope key. A producer SHOULD treat a key rotation that coincides with a configuration change as an epoch boundary (Section 5.2.2). See also Section 14 of this document for the data-admission tiers that govern which runtime context fields MAY enter a Capsule, including the consequence of the low-entropy digest caveat above for end-user identity fields.

Signer authorization is caller-policy territory, not Capsule or envelope cryptography. The raw public key in kid is self-attested. A verifier relying on producer identity for a policy decision MUST apply an external authorization rule to the authenticated key and MUST NOT infer authority from signature validity alone.

14. Privacy Considerations

A Capsule is content-addressed, tamper-evident, and MAY be anchored to a Transparency Service. As a direct consequence, a committed Capsule cannot be retracted: there is no after-the-fact edit path, and an anchored record is durable beyond the producer's control. Therefore: anything admitted to a Capsule is admitted permanently, and PII or secrets in a content-addressed, tamper-evident, anchored record are unfixable by design. Producers MUST apply a default-deny posture to runtime context before it reaches a Capsule.

14.1. Data-Admission Tiers

Producer and adapter authors MUST classify every candidate field into exactly one of the following tiers before admission:

  1. Clear-safe — Opaque correlation handles that are joinable but non-identifying: for example, agent_name, function_call_id, invocation_id. A field is clear-safe when its value neither identifies a natural person nor carries content material. These MAY be committed in clear.

  2. Digest-only — when a value must be provable later without being disclosed now, it MUST be committed as a digest, never in clear. This tier covers payload content: material a verifier may need to check but that must not be exposed in the record. This tier is realized by the selective-disclosure / detached-payload model (Section 9.2): the Capsule carries only a digest; content is held under deployment controls and disclosed selectively.

  3. Never-enters — end-user identity (session identifiers, user identifiers, account handles) and secrets/credentials (tokens, keys) MUST NOT enter a Capsule, in clear or as a digest. Critical: hashing is not anonymization for low-entropy identifiers. Session and user identifiers and similar low-entropy values are recoverable by dictionary attack against their digest (see also Section 13). Therefore a digest of such an identifier is not a safe substitute — the digest re-identifies. Identity MUST be excluded, not digested. Where cross-record or cross-slot correlation of a subject is genuinely required, a pairwise or encrypted correlation identifier SHOULD be used instead of the raw or hashed user identifier.

14.2. Adapter Allow-List Pattern

Adapters SHOULD adopt an allow-list stance: enumerate the fields that MAY enter a Capsule (tier 1, plus tier-2 digests) and default-deny everything else. A block-list — enumerating what may NOT enter — fails open: when a runtime adds a new context field in a later version, a block-list silently admits it. An allow-list fails closed, which is the correct direction for a record that cannot be retracted once committed. Adapter authors SHOULD publish the allow-list in adapter documentation so deployers can audit admission without reading implementation code.

15. References

15.1. Normative References

[I-D.mih-sokolov-scitt-payload-binding]
Mih, S. and A. Sokolov, "Canonical Payload Binding: A Signed Statement Construction Profile", Work in Progress, Internet-Draft, draft-mih-sokolov-scitt-payload-binding-05, n.d., <https://datatracker.ietf.org/doc/html/draft-mih-sokolov-scitt-payload-binding-05>.
[RFC2119]
Bradner, S., "Key words for use in RFCs to Indicate Requirement Levels", BCP 14, RFC 2119, DOI 10.17487/RFC2119, , <https://www.rfc-editor.org/rfc/rfc2119>.
[RFC3339]
Klyne, G. and C. Newman, "Date and Time on the Internet: Timestamps", RFC 3339, DOI 10.17487/RFC3339, , <https://www.rfc-editor.org/rfc/rfc3339>.
[RFC6838]
Freed, N., Klensin, J., and T. Hansen, "Media Type Specifications and Registration Procedures", BCP 13, RFC 6838, DOI 10.17487/RFC6838, , <https://www.rfc-editor.org/rfc/rfc6838>.
[RFC8126]
Cotton, M., Leiba, B., and T. Narten, "Guidelines for Writing an IANA Considerations Section in RFCs", BCP 26, RFC 8126, DOI 10.17487/RFC8126, , <https://www.rfc-editor.org/rfc/rfc8126>.
[RFC8174]
Leiba, B., "Ambiguity of Uppercase vs Lowercase in RFC 2119 Key Words", BCP 14, RFC 8174, DOI 10.17487/RFC8174, , <https://www.rfc-editor.org/rfc/rfc8174>.
[RFC8259]
Bray, T., Ed., "The JavaScript Object Notation (JSON) Data Interchange Format", STD 90, RFC 8259, DOI 10.17487/RFC8259, , <https://www.rfc-editor.org/rfc/rfc8259>.
[RFC8392]
Jones, M., Wahlstroem, E., Erdtman, S., and H. Tschofenig, "CBOR Web Token (CWT)", RFC 8392, DOI 10.17487/RFC8392, , <https://www.rfc-editor.org/rfc/rfc8392>.
[RFC8785]
Rundgren, A., Jordan, B., and S. Erdtman, "JSON Canonicalization Scheme (JCS)", RFC 8785, DOI 10.17487/RFC8785, , <https://www.rfc-editor.org/rfc/rfc8785>.
[RFC9052]
Schaad, J., "CBOR Object Signing and Encryption (COSE): Structures and Process", STD 96, RFC 9052, DOI 10.17487/RFC9052, , <https://www.rfc-editor.org/rfc/rfc9052>.
[RFC9943]
Birkholz, H., Delignat-Lavaud, A., Fournet, C., Deshpande, Y., and S. Lasker, "An Architecture for Trustworthy and Transparent Digital Supply Chains", RFC 9943, DOI 10.17487/RFC9943, , <https://www.rfc-editor.org/rfc/rfc9943>.

15.2. Informative References

[ERC8004]
"ERC-8004: Agent Identity Registry", n.d., <https://eips.ethereum.org/EIPS/eip-8004>.
[I-D.dawkins-scitt-ai-article50]
Dawkins, V. S., "A SCITT Profile for EU AI Act Article 50 Transparency Receipts", Work in Progress, Internet-Draft, draft-dawkins-scitt-ai-article50-00, , <https://datatracker.ietf.org/doc/html/draft-dawkins-scitt-ai-article50-00>.
[I-D.emirdag-scitt-ai-agent-execution]
Emirdag, P., "AI Agent Execution Profile of SCITT", Work in Progress, Internet-Draft, draft-emirdag-scitt-ai-agent-execution-00, , <https://datatracker.ietf.org/doc/html/draft-emirdag-scitt-ai-agent-execution-00>.
[I-D.ietf-scitt-receipts-ccf-profile]
Birkholz, H., Delignat-Lavaud, A., Fournet, C., and A. Chamayou, "CCF Profile for COSE Receipts", Work in Progress, Internet-Draft, draft-ietf-scitt-receipts-ccf-profile-05, , <https://datatracker.ietf.org/doc/html/draft-ietf-scitt-receipts-ccf-profile-05>.
[I-D.ietf-scitt-scrapi]
Birkholz, H., Geater, J., and A. Delignat-Lavaud, "Supply Chain Integrity, Transparency, and Trust (SCITT) Reference APIs", Work in Progress, Internet-Draft, draft-ietf-scitt-scrapi-11, , <https://datatracker.ietf.org/doc/html/draft-ietf-scitt-scrapi-11>.
[I-D.ietf-spice-sd-cwt]
Prorock, M., Steele, O., Birkholz, H., and R. Mahy, "Selective Disclosure CBOR Web Tokens (SD-CWT)", Work in Progress, Internet-Draft, draft-ietf-spice-sd-cwt-08, , <https://datatracker.ietf.org/doc/html/draft-ietf-spice-sd-cwt-08>.
[I-D.kamimura-scitt-refusal-events]
Tokachi, K., "Verifiable AI Refusal Events using SCITT", Work in Progress, Internet-Draft, draft-kamimura-scitt-refusal-events-03, , <https://datatracker.ietf.org/doc/html/draft-kamimura-scitt-refusal-events-03>.
[I-D.kamimura-scitt-vcp]
Tokachi, K., "A SCITT Profile for Verifiable Audit Trails in Algorithmic Trading: The VeritasChain Protocol (VCP)", Work in Progress, Internet-Draft, draft-kamimura-scitt-vcp-03, , <https://datatracker.ietf.org/doc/html/draft-kamimura-scitt-vcp-03>.
[I-D.kamimura-vap-framework]
Tokachi, K., "Verifiable AI Provenance Framework (VAP): An Architectural Framework for Evidentiary-Grade AI Decision Trails", Work in Progress, Internet-Draft, draft-kamimura-vap-framework-01, , <https://datatracker.ietf.org/doc/html/draft-kamimura-vap-framework-01>.
[I-D.mih-agent-bilateral-attestation]
Mih, S., "Bilateral Agent Action Attestation", Work in Progress, Internet-Draft, draft-mih-agent-bilateral-attestation-02, n.d., <https://datatracker.ietf.org/doc/html/draft-mih-agent-bilateral-attestation-02>.
[I-D.mih-sato-agent-accountability-composition]
Mih, S. and T. Sato, "Agent Accountability: Composition and Conformance", Work in Progress, Internet-Draft, draft-mih-sato-agent-accountability-composition-01, n.d., <https://datatracker.ietf.org/doc/html/draft-mih-sato-agent-accountability-composition-01>.
[I-D.mih-scitt-agent-action-capsule-sel-disc]
Mih, S., "Selective Disclosure Profile for Agent Action Capsules", Work in Progress, Internet-Draft, draft-mih-scitt-agent-action-capsule-sel-disc-00, n.d., <https://datatracker.ietf.org/doc/html/draft-mih-scitt-agent-action-capsule-sel-disc-00>.
[I-D.munoz-scitt-permit-profile]
Munoz, C., "A SCITT Profile for Pre-Execution AI Action Authorization Records", Work in Progress, Internet-Draft, draft-munoz-scitt-permit-profile-01, , <https://datatracker.ietf.org/doc/html/draft-munoz-scitt-permit-profile-01>.
[I-D.nivalto-agentroa-route-authorization]
Michalak, J., "Agent Route Origin Authorization (AgentROA): A Cryptographic Policy Enforcement Framework for AI Agent Actions", Work in Progress, Internet-Draft, draft-nivalto-agentroa-route-authorization-01, , <https://datatracker.ietf.org/doc/html/draft-nivalto-agentroa-route-authorization-01>.
[I-D.rampalli-scitt-capsule-provenance-binding]
Rampalli, K., "SCITT Capsule Provenance Binding", Work in Progress, Internet-Draft, draft-rampalli-scitt-capsule-provenance-binding, n.d., <https://datatracker.ietf.org/doc/html/draft-rampalli-scitt-capsule-provenance-binding>.
[I-D.sato-soos-gar]
Sato, "The Governance Audit Record (GAR) for Agentic AI Systems", Work in Progress, Internet-Draft, draft-sato-soos-gar-08, , <https://datatracker.ietf.org/doc/html/draft-sato-soos-gar-08>.
[NotarizedAgents]
"Notarized Agents: Decentralized, Verifiable AI Agent Receipts", , <https://arxiv.org/abs/2606.04193>.
[RFC6839]
Hansen, T. and A. Melnikov, "Additional Media Type Structured Syntax Suffixes", RFC 6839, DOI 10.17487/RFC6839, , <https://www.rfc-editor.org/rfc/rfc6839>.
[RFC8949]
Bormann, C. and P. Hoffman, "Concise Binary Object Representation (CBOR)", STD 94, RFC 8949, DOI 10.17487/RFC8949, , <https://www.rfc-editor.org/rfc/rfc8949>.
[RFC9053]
Schaad, J., "CBOR Object Signing and Encryption (COSE): Initial Algorithms", RFC 9053, DOI 10.17487/RFC9053, , <https://www.rfc-editor.org/rfc/rfc9053>.
[RFC9901]
Fett, D., Yasuda, K., and B. Campbell, "Selective Disclosure for JSON Web Tokens", RFC 9901, DOI 10.17487/RFC9901, , <https://www.rfc-editor.org/rfc/rfc9901>.
[RFC9942]
Steele, O., Birkholz, H., Delignat-Lavaud, A., and C. Fournet, "CBOR Object Signing and Encryption (COSE) Receipts", RFC 9942, DOI 10.17487/RFC9942, , <https://www.rfc-editor.org/rfc/rfc9942>.
[VerifiableIntent]
Mastercard, "Verifiable Intent", n.d..

Appendix A. Changes from draft-mih-scitt-agent-action-capsule-04

This appendix is non-normative. RFC Editor: please remove this appendix before publication.

Acknowledgments

The author thanks the reviewers and contributors who shaped the design recorded here, and the SCITT and COSE working groups whose substrate this profile builds on. The author additionally thanks Jody Edmondson for identifying the producer-context data-admission problem and the allow-list adapter pattern in capsule-emit issue #22, which shaped the Privacy Considerations of this document, and Imran Siddique for finding that the Class 1 verification section restated the approver set without counterparty (#108).

Author's Address

Steven Mih
Action State Group, Inc.