Independent Researcher

Germany ingolf.lohmann@web.de https://github.com/ingolf-lohmann

General Independent Submission QIK-VRT Effect Acknowledgement Information Effect Audit AI Governance This document defines the QIK-VRT Effect Acknowledgement Protocol (EFFECT_ACK), a protocol layer between technical transport acknowledgement and responsible semantic release. TCP acknowledgement confirms technical arrival. EFFECT_ACK confirms whether received information may responsibly continue as an effect. The protocol distinguishes TRANSPORT_ACK from EFFECT_ACK, defines five effect states, introduces a versioned and hash-linked Responsibility Protocol, and specifies deterministic hashing and canonical JSON requirements for reproducible audit.

Introduction Modern information systems increasingly transmit not only data, but effects. Texts, code, decisions, model outputs, recommendations, warnings, legal assessments, financial signals, governance actions, machine-to-machine messages, and AI-generated content can change behavior, trigger downstream processes, influence decisions, or cause harm. Traditional network layers answer whether information arrived. QIK-VRT adds the required next question: may this information responsibly continue to have effect? TRANSPORT_ACK != EFFECT_ACK A transport acknowledgement confirms arrival. An effect acknowledgement confirms responsible permission for further effect.

Terminology The key words MUST, MUST NOT, REQUIRED, SHALL, SHALL NOT, SHOULD, SHOULD NOT, RECOMMENDED, MAY, and OPTIONAL in this document are to be interpreted as normative requirement levels. A TRANSPORT_ACK confirms technical arrival but not semantic validity, contextual correctness, safety, responsibility, or release permission. An EFFECT_ACK confirms that a received information unit has passed a QIK-VRT effect gate and has been classified into one of the defined release states. A Responsibility Protocol, abbreviated as P, is a versioned, hash-linked, audit-capable record of checks, evidence, risks, open questions, reasons, and responsibility assignments that support an EFFECT_ACK decision.

Layering Model Layer 3: IP Addressing, routing, reachability Layer 4: TCP Sequencing, acknowledgement, retransmission, timeout Layer 4.5: QIK-VRT EFFECT_ACK_GATE Effect checking, responsibility, release gating Layer 7+: Application / cognitive / governance layer Meaning, action, decision, publication, storage, execution Transport confirmation is not release confirmation.

Core Principle A QIK-VRT-compliant system MUST NOT treat received information as released effect merely because it has been technically received. received != released received -> effect-checked -> classified -> released-or-not-released TRANSPORT_ACK + RESPONSIBILITY_PROTOCOL = EFFECT_ACK This yields EFFECT_ACK_DONE only if the responsibility protocol is sufficiently complete and release policy permits further effect.

Effect ACK States EFFECT_NACK EFFECT_ACK_CONTINUE EFFECT_ACK_DONE EFFECT_ACK_ISOLATE EFFECT_ACK_BLOCK EFFECT_NACK means no effect-checkable reception exists. EFFECT_ACK_CONTINUE means effect checking may continue, but effect is not released. EFFECT_ACK_DONE means effect has been checked sufficiently for responsible release. EFFECT_ACK_ISOLATE means effect must be separated from ordinary flow and examined in containment. EFFECT_ACK_BLOCK means effect must not continue.

Responsibility Protocol Every EFFECT_ACK result MUST include a versioned and immutable Responsibility Protocol P. New evidence MUST create a new protocol version. A minimal protocol contains protocol_root_id, protocol_version, protocol_id, previous_protocol_id, previous_protocol_hash, protocol_hash, input_id, input_hash, state, transport_ack, origin_checked, context_checked, semantics_reconstructed, effect_anticipated, risk_classified, risk_level, responsibility_assigned, responsibility_owner, connection_decided, reasons, evidence_refs, open_questions, next_required_checks, and created_utc.

Hashing Rule The protocol_hash MUST be computed over deterministic content only. Timestamps and volatile runtime metadata MUST NOT be included in protocol_hash. same content -> same hash different evidence -> different hash different timestamp only -> same hash

Canonical JSON canonical_json() MUST serialize the hash projection deterministically using UTF-8 without BOM, sorted keys, no whitespace outside strings, normalized Unicode, and removal of volatile fields. protocol_hash = "sha256:" + SHA256(UTF8(canonical_json(protocol_hash_projection)))

Synchronous and Asynchronous Operation The protocol defines a synchronous haltpoint and asynchronous evidence continuation. effectAckSync() MUST return a deterministic state without unbounded waiting.

Compliance Requirements A system claiming QIK-VRT EFFECT_ACK compliance MUST distinguish TRANSPORT_ACK from EFFECT_ACK, include Responsibility Protocol P in every result, hash deterministic content only, version every evidence change, treat CONTINUE as unreleased effect, and treat DONE as the only ordinary release state. A system MUST NOT claim EFFECT_ACK_DONE if origin is unchecked, context is unchecked, semantics are unreconstructed, risk is unknown, responsibility is unassigned, connection decision is missing, required evidence is absent, or policy does not allow release.

Security Considerations EFFECT_ACK is designed to prevent received-equals-released fallacy, hallucination propagation, context loss, false certainty, ungated downstream effect, silent evidence mutation, unowned responsibility, unbounded waiting, unsafe asynchronous release, and false DONE claims.

Privacy Considerations Responsibility protocols may contain sensitive contextual, evidential, or ownership information. Implementations SHOULD support evidence minimization, hash-only evidence references, redacted protocol views, and access-controlled audit logs.

Canonical Summary TCP ACK confirms arrival. EFFECT ACK confirms responsible permission to continue effect. Transport_ACK != Effect_ACK. CONTINUE means: continue checking, do not release effect. DONE means: responsible effect release.

Acknowledgements q.e.d. Ingolf Lohmann.