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A gate is one condition a capability must meet, with evidence, before a level can be supported. Apply every gate per capability against the specification. Record satisfied, failed, evidence missing or not applicable. Continue after a failed gate; apply the strictest limit when deciding the supported level.
A usable path: L0 or L1
All five rows must hold for L1. An unregistered capability is L0. Missing evidence leaves L1 unestablished; it does not prove no external process exists.
| Evidence | Clauses |
|---|---|
| Supplier, capability, declared level, accountable person | 4.1.1, 4.1.2, 4.1.3 |
| Followable instructions and explicit capacity limits | 4.2.1, 4.2.2 |
| Manual path works without the AI being replaced | 4.2.3 |
| Inputs, outputs and reference data accessible without the supplier | 4.6.1 |
| Manual operators identified by role | 4.5.1 |
An overdue register review (4.1.4) is a separate finding; an existing entry does not disappear.
Supplier failover alone establishes no human path. If a documented human procedure uses a substitute supplier, all L1 gates still apply. State what people can do independently and what still requires the substitute; 4.2.4 adds the common-mode assessment for higher levels.
Requirements shared by L2 and L3
| Evidence | Clauses |
|---|---|
| Common-mode assessment when substituting a second AI supplier | 4.2.4 |
| No necessary knowledge held only inside AI | 4.6.2 |
| Dated TTM and capacity measured from a drill, within twelve months | 4.3.1–4.3.4 |
| AI unavailable; real work; at least one in four drills unannounced | 4.4.2–4.4.4 |
| Drill records include measurements and failures | 4.4.5 |
| A failed drill followed by a successful drill | 4.4.6 |
| Two people demonstrate unsupervised performance, beyond training records | 4.5.2, 4.5.5 |
| Re-drill if the people who last performed the work have left | 4.5.3 |
L3 does not waive measurements, competence, independence or failed-drill recovery. Report SHOULD recommendations, such as rotating participants, separately from mandatory gates.
L2: exercised fallback
Require all shared gates and a successful drill within 90 days. At 91–119 days, the 90-day requirement is unmet even if the existing declaration has not expired. At 120 days, L2 expires to L1. Correct published claims within 30 days of expiry (4.4.1, 6.1, 6.2).
L3: routine human performance
Require independent human performance during ordinary work, a review confirming it within twelve months, and all shared gates. Reviewing AI output alone does not qualify. L3 does not use L2's 90-day schedule, but still requires current drill measurements and competence evidence. An expired routine-performance review reverts the declaration to L1 until renewed; do not substitute L2 automatically.
Missing evidence and accepted risk
Keep declared, supported by records and not established distinct. Mark unavailable
records EVIDENCE-NOT-IN-REPO and name what to obtain. Treat dated records as evidence of a
claim, not independent observation of the event. Accepted risk stays unresolved and never
raises a level.