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Intake RISK-F-0011 and climb the due checks

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Gate House routed a King's Guard observation that qonto-assistant's
audit.deny stream has no completeness evidence. Filed and graded medium,
public, open. Clean-checked F-0010, F-0008, and REG-0001 after confirming
nothing moved. Raised the inbox timeout so question-zero does not false-fail
on the tunneled hub.

Assistant: grok
Assistant-Session: 01a060e9-e363-7521-bf11-df5fa31b7156
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tegwick 2026-09-02 10:14:43 +02:00
parent dceb5ba008
commit 29f50d5143
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10
REGISTER.md
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@ -1,16 +1,17 @@
# Register
Generated by `tools/register_index.py` from `findings/`. Do not edit by hand. Last built 2026-09-01.
Generated by `tools/register_index.py` from `findings/`. Do not edit by hand. Last built 2026-09-02.
2 live of 10 findings; 3 notes below the floor.
3 live of 11 findings; 3 notes below the floor.
## Findings
| ID | Finding | System | Severity | Disclosure | Escalation | Fix owner | Status | Cadence | Next check |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| [RISK-F-0010](findings/RISK-F-0010-embedded-backup-webdav-credential.md) | Forgejo backup source embeds a WebDAV credential default | railiance-platform | low | embargoed | none | railiance-platform | open | instant (0) | **due** |
| [RISK-F-0011](findings/RISK-F-0011-qonto-audit-deny-stream-completeness.md) | qonto-assistant audit.deny stream completeness is not established | qonto-assistant | medium | public | none | qonto-assistant | open | instant (0) | **due** |
| [RISK-F-0010](findings/RISK-F-0010-embedded-backup-webdav-credential.md) | Forgejo backup source embeds a WebDAV credential default | railiance-platform | low | embargoed | none | railiance-platform | open | 1h (1) | 2026-09-02 09:11Z |
| [RISK-F-0009](findings/RISK-F-0009-openbao-deny-set-covers-a-third-of-high-risk-lanes.md) | agent-high-risk-boundary denies 6 of 17 high-risk lanes; the direct bao path is unprotected for the rest | railiance-platform | **high** | public | none | railiance-platform | fixed | instant (0) | **due** |
| [RISK-F-0008](findings/RISK-F-0008-audit-retention-legal-basis-assumed.md) | The legal basis for retaining audit facts against an erasure request has been assumed, never established | audit-core | medium | public | **answered** (t2, answered) | risk-nexus | accepted | instant (0) | **due** |
| [RISK-F-0008](findings/RISK-F-0008-audit-retention-legal-basis-assumed.md) | The legal basis for retaining audit facts against an erasure request has been assumed, never established | audit-core | medium | public | **answered** (t2, answered) | risk-nexus | accepted | 1h (1) | 2026-09-02 09:11Z |
| [RISK-F-0007](findings/RISK-F-0007-unverified-tenant-boundary.md) | No consumer's tenant boundary is verified anywhere | estate | **high** | public | **answered** (t4, assigned) | per-consumer, on request | fixed | instant (0) | **due** |
| [RISK-F-0006](findings/RISK-F-0006-apps-pg-no-backup-configured.md) | apps-pg has no backup configured at all: R0 means no recovery | railiance-platform | **high** | public | **answered** (t3, answered) | railiance-platform | fixed | instant (0) | **due** |
| [RISK-F-0005](findings/RISK-F-0005-audit-core-unfiltered-read-path.md) | audit-core read path applies no tenant filter; the bound is deployment, not code | audit-core | medium | public | none | audit-core | fixed | instant (0) | **due** |
@ -34,6 +35,7 @@ Silence never buys a softer grade — see `docs/method/dependencies.md`.
| Finding | Who | What would change | Default if silent | On |
| --- | --- | --- | --- | --- |
| RISK-F-0011 | qonto-assistant | a published cadence plus a reconciliation view would let a later observation support completeness; a rejection keeps the grade and records that estate observation must not treat the stream as complete | the medium grade stands; missing cadence is recorded as a stalled remediation, and observation remains staffed with completeness pending | 2026-09-16 |
| RISK-F-0010 | railiance-platform | the finding becomes fixed and the embargo lifts | the low grade and embargo stand; missing fix tracking is recorded as a stalled remediation | 2026-09-15 |
| RISK-F-0008 | audit-core | a working keyed commitment narrows RISK-REG-0001 to retained-by-obligation categories only | encrypt-then-hash recorded as the only known route, and the retention period recorded as unstateable | 2026-11-17 |

45
STATE.md
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@ -1,20 +1,21 @@
# STATE — risk-nexus
**Updated:** 2026-09-01
**Updated:** 2026-09-02
**Domain:** infotech · **Repo:** risk-nexus · **Owner:** the-custodian
## One-line posture
**The register decides.** Nine findings graded, three notes below the floor,
**The register decides.** Eleven findings graded, three notes below the floor,
one regulatory determination and a thirteen-entry legal policy set; every open
question carries a default and a date, and the check cadence is scheduled on
`activity-core` rather than on anyone remembering.
question carries a default and a date. Today's live set is three: an open
medium on qonto-assistant deny-stream completeness, an open low embargoed
backup credential, and an accepted medium on audit retention.
## Workplans
| ID | Status | Notes |
| --- | --- | --- |
| `RISK-WP-0001` | **finished** | The four instruments, the index, the first grading |
| `RISK-WP-0001` | **finished** | The four instruments, the index, the first grading. Still waiting on canon kinds until 2026-09-17. |
| `RISK-WP-0002` | **finished** | Two findings and five public method instruments handed to `policy-nexus` |
| `RISK-WP-0003` | **finished** | Regulatory intake; the legal policy set |
| `RISK-WP-0004` | **finished** | Running the register: cadence, verification, inbox-before-grading |
@ -24,18 +25,21 @@ question carries a default and a date, and the check cadence is scheduled on
| ID | Sev | Status | Disclosure | Cadence | System |
| --- | --- | --- | --- | --- | --- |
| `RISK-F-0011` | medium | open | public | instant | qonto-assistant |
| `RISK-F-0010` | low | open | embargoed | 1h | railiance-platform |
| `RISK-F-0009` | high | fixed | public | instant | railiance-platform |
| `RISK-F-0008` | medium | accepted | public | 1h | audit-core |
| `RISK-F-0007` | high | fixed | public | instant | estate |
| `RISK-F-0006` | high | fixed | public | instant | railiance-platform |
| `RISK-F-0005` | medium | fixed | public | instant | audit-core |
| `RISK-F-0004` | medium | fixed | public | instant | tenant-engine |
| `RISK-F-0003` | medium | fixed | public | instant | ops-warden |
| `RISK-F-0002` | medium | fixed | public | instant | ops-warden |
| `RISK-F-0001` | high | fixed | public | instant | flex-auth |
| `RISK-F-0002` | medium | open | embargoed | instant | ops-warden |
| `RISK-F-0003` | medium | mitigated | embargoed | 1h | ops-warden |
| `RISK-F-0004` | medium | open | embargoed | instant | tenant-engine |
| `RISK-F-0005` | medium | mitigated | public | instant | audit-core |
| `RISK-F-0006` | high | **fixed** | public | instant | railiance-platform |
| `RISK-F-0007` | high | accepted | embargoed | instant | estate |
| `RISK-F-0008` | medium | accepted | public | instant | audit-core |
| `RISK-F-0009` | high | open | embargoed | instant | railiance-platform |
Notes below the floor: `RISK-N-0001` noisy neighbours · `RISK-N-0003` found by
reading not watching · `RISK-N-0004` zone lookup.
reading not watching (first observation-sourced finding arrived 2026-09-02,
still a note) · `RISK-N-0004` zone lookup.
Not one field reads `unset`.
@ -68,17 +72,13 @@ an unread message) and `daily-register-check-sweep` (07:15, unconditional).
Both instruct a session that exercises judgement; neither may record an
outcome.
## Waiting on other people — 9 open, all defaulted
## Waiting on other people
| Who | On | Defaults |
| --- | --- | --- |
| ops-warden | does the flex-auth pin admit ingress, before enabling `policy.enabled` | 2026-08-27 |
| railiance-platform | deny-set coverage report (`F-0009`) | 2026-09-03 |
| tenant-engine | confirm/correct `events()`; fix tracking | 2026-09-03 |
| user-engine | tenant-boundary verification (`RISK-V-0002`) | 2026-09-03 |
| qonto-assistant | heartbeat / emission-cadence and a reconciliation view for `audit.deny` (`F-0011`) | 2026-09-16 |
| railiance-platform | revoke or invalidate the provider credential, remove the source default, name fix tracking (`F-0010`) | 2026-09-15 |
| the-custodian | canon kinds packet | 2026-09-17 |
| railiance-platform | backup target, cost, demonstrated restore | 2026-09-18 |
| audit-core | is `may_read` false on every production credential | 2026-09-19 |
| audit-core | keyed commitment; `platform-pg` co-residency horizon | 2026-11-17 |
## Verify
@ -112,5 +112,8 @@ statehub fix-consistency --repo risk-nexus
production instance. The estate's read model cannot see any `risk-nexus`
workplan.
- **C-31** fires on `RISK-F-` ids until canon registers the kinds. Packet sent.
Defaults 2026-09-17.
- **OpenBao is unverifiable from here** (403). Every grade touching an OpenBao
policy is a grade on a document, and says so.
- **`RISK-F-0011` is due at `instant`.** Graded this sitting; not clean-checked
in the same sitting. The next pass climbs it if nothing moved.

11
docs/regulatory/audit-retention-basis.md
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@ -8,11 +8,11 @@ determined: "2026-08-20"
finding: RISK-F-0008
sources_read: "GDPR Arts 5, 6, 17, 21, 32; Recitals 49, 65; HGB §257; AO §147"
external_review: none
last_checked: "2026-09-01T00:38:53Z"
next_check: "2026-09-01T00:38:53Z"
cadence: instant
clean_streak: 0
checked_by: "codex/risk-nexus"
last_checked: "2026-09-02T08:11:18Z"
next_check: "2026-09-02T09:11:18Z"
cadence: 1h
clean_streak: 1
checked_by: "grok/risk-nexus"
---
# RISK-REG-0001 — the retention basis, written down
@ -179,3 +179,4 @@ estate's stated position, with the achieved-versus-target gap recorded as
unresolved.
- **2026-09-01** — not clean: the dated review found that the 2026-08-20 target-period amendment had never advanced this record's check state. The targets now stand explicitly; achievement under the shared backup horizon and keyed-commitment feasibility remain open. Cadence 1h → instant; checked again immediately.
- **2026-09-02** — clean check: grounds and target periods unchanged; still waiting on the platform-pg co-residency horizon. Cadence instant → 1h (1 clean in a row); next check 2026-09-02 09:11Z.

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docs/rulings/2026-09-02-qonto-deny-stream.md Normal file
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@ -0,0 +1,68 @@
---
id: RISK-RULING-2026-09-02-A
type: ruling
title: "Inbox intake: qonto-assistant audit.deny stream completeness"
status: adopted
owner: risk-nexus
adopted: "2026-09-02"
review_interval: 6m
disclosure: public
revision: "adopted-1"
last_reviewed: "2026-09-02"
---
# Inbox intake — 2026-09-02
One unread finding-intake from Gate House. The two findings already due were
read against it first; it does not speak about them.
## Decision
| Finding | Prior state | Ruling | Evidence that changes it |
| --- | --- | --- | --- |
| `RISK-F-0011` | unfiled | medium, public, open | live deny observed; no heartbeat, cadence, or reconciliation view; local lockout does not consume the stream |
The reporter asked for a finding, a note, or an explicit rejection. It is a
finding. Both floor tests hold: qonto-assistant can publish or reject a
cadence, and recording this changes whether anyone may treat the deny stream
as complete.
It is not a note. `RISK-N-0004` is the missing-capability shape with no owner
and nothing to route. Here the owner is named, the residual is already routed,
and observation is already staffed on a claim it cannot finish.
## Why medium, and why not the reporter's "load-bearing" reading unmodified
Gate House said the `audit.deny` class is load-bearing because qonto-assistant's
escalation loop branches on it. Current source narrows that. `DenyEscalationTracker`
is in-process on the decision path; `AuditLogger.emit` is a parallel record. A
missing audit line would not, today, turn the Fast Local Loop off.
The stream is still load-bearing for **estate observation**. King's Guard
already consumes it. Without a cadence or a reconciliation view, that
observation can preserve a received deny and cannot vouch for the stream.
That is the defect.
`I2` not `I3`: one lane's observation, not a crossed authorization or tenant
boundary. Access remains denied in the observed case; the local lockout is
independent of the stream.
`L3` not `L4`: completeness unknown is not "denies are being dropped". The
reporter said so, and this register follows it. `L3` not `L2` because the
working set already reads the stream.
No fidelity modifier: the observer did not claim completeness.
## What is not decided here
Taxonomy ownership of an emission-cadence declaration (net-kingdom /
info-tech-canon) stays their residual. Depth-one: this finding waits on
qonto-assistant, defaults on 2026-09-16, and does not wait on a canon debate
that has not yet failed one routing exchange.
## Same sitting, already-due findings
`RISK-F-0010` and `RISK-F-0008` / `RISK-REG-0001` were due from 2026-09-01.
The intake does not mention them. Owner records have not moved since that
check. Their outcomes are recorded with `make checked`, not re-graded here.
`RISK-F-0011` is not clean-checked in this sitting.

11
findings/RISK-F-0008-audit-retention-legal-basis-assumed.md
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@ -44,10 +44,10 @@ escalation_act: rule
decision: "identity in audit records: opaque subject ids preferred, agent identifiers where possible, operator credentials only where necessary, policy decisions tracked to the responsible party; zone-level privacy guarantees may raise the floor"
outstanding: "whether the stated target periods are achievable under platform-pg co-residency, and whether a keyed commitment restores erasability"
determination: RISK-REG-0001
last_checked: "2026-09-01T00:38:53Z"
next_check: "2026-09-01T00:38:53Z"
cadence: instant
clean_streak: 0
last_checked: "2026-09-02T08:11:17Z"
next_check: "2026-09-02T09:11:17Z"
cadence: 1h
clean_streak: 1
waiting_on:
- who: audit-core
what: "does a keyed commitment restore erasability without breaking chain verification; what is the platform-pg co-residency horizon"
@ -57,7 +57,7 @@ waiting_on:
default_at: "2026-11-17"
graded_by: risk-nexus
ruling: RISK-RULING-2026-08-19-C
checked_by: "codex/risk-nexus"
checked_by: "grok/risk-nexus"
---
# RISK-F-0008 — the exemption nobody has established
@ -364,3 +364,4 @@ co-residency horizon that decides whether the stated retention periods are
achievable. An accepted risk still gets checked.
- **2026-08-20** — not clean: Trigger list ruled: no external determination in build mode; accepted with the legal policy set as the compensating control. Cadence instant → instant; checked again immediately.
- **2026-09-01** — not clean: the regulatory record now states target periods per category; the remaining gap is whether platform-pg co-residency can achieve them, while the keyed-commitment question is unchanged. Grade and acceptance hold. Cadence instant → instant; checked again immediately.
- **2026-09-02** — clean check: acceptance, RISK-REG-0001, and the audit-core keyed-commitment wait unchanged. Cadence instant → 1h (1 clean in a row); next check 2026-09-02 09:11Z.

11
findings/RISK-F-0010-embedded-backup-webdav-credential.md
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@ -25,10 +25,10 @@ embargo_condition: "the provider credential is revoked or invalidated and the li
embargo_since: "2026-09-01"
embargo_review: "2026-09-15"
escalation: none
last_checked: "2026-09-01T00:32:44Z"
next_check: "2026-09-01T00:32:44Z"
cadence: instant
clean_streak: 0
last_checked: "2026-09-02T08:11:17Z"
next_check: "2026-09-02T09:11:17Z"
cadence: 1h
clean_streak: 1
waiting_on:
- who: railiance-platform
what: "revoke or invalidate the provider credential, remove the source default, name fix tracking, and demonstrate governed ciphertext upload plus restore"
@ -38,7 +38,7 @@ waiting_on:
default_at: "2026-09-15"
graded_by: risk-nexus
ruling: RISK-RULING-2026-09-01-A
checked_by: "codex/risk-nexus"
checked_by: "grok/risk-nexus"
---
# RISK-F-0010 — Forgejo backup source embeds a WebDAV credential default
@ -121,3 +121,4 @@ Reasoning: `docs/rulings/2026-09-01-inbox-sweep.md`.
## Reviews
- **2026-09-01** — graded from the filed report and a redacted current-source check. The literal default remains; no fix record was found. Cadence starts at instant.
- **2026-09-02** — clean check: literal source default remains; no fix tracking; embargo and 2026-09-15 wait unchanged. Cadence instant → 1h (1 clean in a row); next check 2026-09-02 09:11Z.

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findings/RISK-F-0011-qonto-audit-deny-stream-completeness.md Normal file
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@ -0,0 +1,146 @@
---
id: RISK-F-0011
type: finding
title: "qonto-assistant audit.deny stream completeness is not established"
status: open
owner: risk-nexus
reported_by: kings-guard
reported_via: gate-house
routed_by: gate-house
date_reported: "2026-09-01"
date_filed: "2026-09-02"
system: qonto-assistant
environment: production
fix_owner: qonto-assistant
fix_tracking: unset
# Graded by risk-nexus 2026-09-02 — docs/rulings/2026-09-02-qonto-deny-stream.md
severity: medium
severity_at_production: medium
impact: I2
likelihood: L3
fidelity_modifier: false
production_rescore: false
disclosure: public
publication: pending-handover
publication_id: risk-f-0011-qonto-audit-deny-stream-completeness
publication_path: "findings/qonto-audit-deny-stream-completeness/v1/index.html"
publication_subtitle: "A live deny was observed on qonto-assistant, but nothing yet lets anyone claim the load-bearing deny stream is complete."
revision: "graded-1"
last_reviewed: "2026-09-02"
review_interval: 6m
escalation: none
last_checked: "2026-09-02T07:20:00Z"
next_check: "2026-09-02T07:20:00Z"
cadence: instant
clean_streak: 0
waiting_on:
- who: qonto-assistant
what: "publish a heartbeat or emission-cadence declaration and a reconciliation view for the audit.deny stream, or reject that obligation"
since: "2026-09-02"
would_change: "a published cadence plus a reconciliation view would let a later observation support completeness; a rejection keeps the grade and records that estate observation must not treat the stream as complete"
default: "the medium grade stands; missing cadence is recorded as a stalled remediation, and observation remains staffed with completeness pending"
default_at: "2026-09-16"
graded_by: risk-nexus
ruling: RISK-RULING-2026-09-02-A
checked_by: "grok/risk-nexus"
---
# RISK-F-0011 — qonto-assistant audit.deny stream completeness is not established
## What is true, as reported
King's Guard observed real `qonto-assistant` allow and deny events emitted by
`audit.AuditLogger` through `CapabilityService`. One deny (`list_transactions`
over MCP, `arg_constraint`) arrived with record richness 90 and preserved
origin linkage. Gate House accepted that mapping and recorded the qonto lane
as staffed for observation.
The same return says the `audit.deny` class is load-bearing, and that its
**stream completeness is unknown**:
- no heartbeat or emission-cadence declaration is published;
- no reconciliation view was supplied;
- richness 90 describes the received record, not the stream;
- no claim is made that every deny was emitted or observed.
This is not evidence that an event was suppressed. The reporter assigned no
severity and asked this register to intake, grade, and route.
Safe evidence named by Gate House: kings-guard revision `9daea96`; source
return `23480b81-bc34-4df4-92cc-840fbc8514fd`; Gate House disposition
`no_change` at commit `feff576` and
`gate-house/docs/conformance/2026-09-02-kings-guard-qonto-live-observation.md`.
The owner route `3b9c26a1-ba1a-4189-b439-edd61683aed5` was unread at intake.
## How it was found
Live observation, not a self-assessment. King's Guard completed
`KG-WP-0003-T06/T07` against the real qonto-assistant lane. Gate House reviewed
the return under `GH-WP-0001-T06` and routed the implementation residual here
on 2026-09-01 (message `53645a75-0215-4261-a700-f7aedf09e7e8`).
## What a current-source check adds
The local lockout does **not** consume the audit stream. `DenyEscalationTracker`
is in-process state on the decision path (`CapabilityService` calls
`record_deny` / `check` directly; `AuditLogger.emit` is a parallel record).
A dropped audit line would not, on today's source, disable qonto-assistant's
own Fast Local Loop.
What the stream is load-bearing *for* is estate observation. King's Guard
already consumes it. Without a cadence declaration or a reconciliation view,
that observation can report a received deny and cannot vouch that every deny
was emitted.
No heartbeat, emission-cadence, or reconciliation artefact was found in
qonto-assistant at filing. `fix_tracking` is unset.
Taxonomy ownership of an emission-cadence declaration (net-kingdom /
info-tech-canon) is a separate residual. This record does not wait on it:
depth-one, and one routing exchange has not yet failed. Silence there does not
change qonto-assistant's obligation to declare what it emits, or this grade.
## Suggested direction
Suggestion, owned by `qonto-assistant`:
1. Publish a heartbeat or emission-cadence declaration for `audit.deny`.
2. Supply a reconciliation view an observer can use to test completeness.
3. Open fix tracking, or reject the obligation in writing so observation stays
explicitly incomplete.
Risk Nexus owns severity, disclosure, escalation, and review cadence.
## Register ruling — 2026-09-02
`medium` (`I2` × `L3`), public, no escalation.
**`I2`: one system's observation of one deny class.** A missed audit.deny
does not, on the facts established, authorize a Qonto action or disable the
in-process lockout. It leaves estate observation unable to treat the stream as
complete. That is confined to the qonto-assistant lane.
**`L3`: the gap is the current state of a stream the working set already
consumes.** King's Guard reached the stream with no additional step and still
could not complete the claim. This is not `L4`: suppression is not established,
and the band is scored on the missing completeness evidence, not on an
unobserved drop. It is not `L2`: waiting for a special foothold would describe
the wrong defect.
**No fidelity modifier.** The observer reported completeness as unknown. A
later claim that the stream is complete without a cadence or reconciliation
view would be the lying-control state; that is not today's headline.
**Disclosure `public`.** Reading this does not shorten a path to a defect. It
is a missing completeness claim, published as one. Handover to `policy-nexus`
is `pending-handover`.
**No escalation.** No real-person data exposure, no new outside obligation, no
new spend, no failed ownership exchange, and no fourteen-day stall. The dated
wait makes that last statement expire.
Reasoning: `docs/rulings/2026-09-02-qonto-deny-stream.md`.
## Reviews
- **2026-09-02** — graded from the Gate House intake, the named conformance review, and a current-source check of qonto-assistant. Local lockout is in-process; the emitted deny stream still has no cadence or reconciliation view. Cadence starts at instant.

11
notes/RISK-N-0003-defects-found-by-reading-not-monitoring.md
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@ -52,3 +52,14 @@ difference between an argument and a measurement.
It comes back as a finding the first time something is found in one of the 110
that a reasonable sweep would have caught earlier.
## Update — 2026-09-02: the first observation-sourced finding
`RISK-F-0011` arrived from King's Guard live observation, routed by Gate House.
That breaks the original "none by monitoring" half of the sentence. It does not
trip the revisit: the finding is the observer reporting that a load-bearing
deny stream has no completeness evidence, not a defect monitoring should have
caught and did not.
The note stays a note. There is still no owner for estate-wide detection, and
one observation-sourced finding does not convert an argument into a defect.

2
tools/inbox_check.py
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@ -22,7 +22,7 @@ HUB = "http://127.0.0.1:8000/messages/?to_agent=risk-nexus&limit=100"
def fetch() -> list[dict] | None:
try:
with urllib.request.urlopen(HUB, timeout=6) as r:
with urllib.request.urlopen(HUB, timeout=20) as r:
return json.load(r)
except (urllib.error.URLError, TimeoutError, json.JSONDecodeError, OSError):
return None