FA-56461 / Auction allocation rules / Open access
Escrow reservation: refund ceiling · case 01
An auction refund may exceed captured proceeds.
ROOT CAUSE
An auction refund may exceed captured proceeds.
THE FAILURE
An auction refund may exceed captured proceeds.
Unsuccessful approach: The attempted repair uses min(x["refund"],x["fill_cost"]); the explicit regression cases demonstrate that this still violates the stipulated auction rule.
Case contract
A toy per-auction escrow account distinguishes available funds, reserved collateral, captured fill payments and pending releases. Reservation replaces an old hold atomically; a failed replacement retains the old hold. Separate auction holds must remain unavailable. Named decision refund-ceiling: Bound refund by captured payment, not the newest fill.
Why this case matters
Offline administrative auction model for software failure analysis.
1 / The failure
Exit 1"""Failure Map reference implementation. Python standard library only."""
import json
N = 1
observations = []
def solve(x):
v0 = x["balance"]-x["other_hold"] >= x["new_hold"]
v1 = x["new_hold"] if x["replace_ok"] else x["old_hold"]
v2 = max(0,x["old_hold"]-x["fill_cost"])
v3 = x["balance"]-x["old_hold"]-x["other_hold"]+(x["pending"] if x["confirmed"] else 0)
v4 = x["refund"]
v5 = x["old_hold"]+x["bond"]
v6 = max(0,x["old_hold"]-x["fill_cost"]) if x["closed"] else 0
v7 = min(x["release"],max(0,x["old_hold"]-x["fill_cost"]))
v8 = max(0,x["fill_cost"]-x["fee"])
v9 = x["balance"]-x["other_hold"]-x["new_hold"] >= x["fee"]
return {'replace-credit':v0,'atomic-replacement':v1,'capture-release':v2,'pending-release-availability':v3,'refund-ceiling':v4,'bond-separation':v5,'close-release':v6,'release-clamp':v7,'seller-net-remittance':v8,'unreserved-fee-check':v9}
def check(label, actual, expected):
observations.append({"check": label, "actual": actual, "expected": expected, "passed": actual == expected})
fixtures = [('refund above captured', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 30, 'fee': 3, 'bond': 8, 'closed': False}, [10, 20, 30, 40, 50]), ('reuse existing collateral / refund above captured', {'balance': 100, 'old_hold': 30, 'new_hold': 70, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 30, 'fee': 3, 'bond': 8, 'closed': False}, [10, 20, 30, 40, 50]), ('normal contract', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('reuse existing collateral', {'balance': 100, 'old_hold': 30, 'new_hold': 70, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('other auction limits credit', {'balance': 100, 'old_hold': 30, 'new_hold': 90, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('insufficient replacement', {'balance': 100, 'old_hold': 30, 'new_hold': 200, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': False, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('old hold larger', {'balance': 100, 'old_hold': 30, 'new_hold': 15, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('confirmed release', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': True, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('fully captured', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 30, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('zero reservation', {'balance': 100, 'old_hold': 0, 'new_hold': 0, 'other_hold': 0, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('closed auction', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': True}, [4, 8, 12, 16, 20])]
def vary(value):
if type(value) is int: return value*N
if isinstance(value,list): return [vary(v) for v in value]
if isinstance(value,dict): return {k:(v if k in ['count', 'delivery_index', 'disputed', 'maximum_set', 'minimum_set', 'stage', 'threshold', 'waived'] else vary(v)) for k,v in value.items()}
return value
for label, request, expected in fixtures:
check(label, solve(vary(request))['refund-ceiling'], expected[N-1])
print(json.dumps({"observations": observations, "passed": all(x["passed"] for x in observations)}, ensure_ascii=False))
raise SystemExit(0 if all(x["passed"] for x in observations) else 1)
| Boundary fixture | Actual | Expected | Outcome |
|---|---|---|---|
| refund above captured | 30 | 10 | Failed |
| reuse existing collateral / refund above captured | 30 | 10 | Failed |
| normal contract | 4 | 4 | Passed |
| reuse existing collateral | 4 | 4 | Passed |
| other auction limits credit | 4 | 4 | Passed |
| insufficient replacement | 4 | 4 | Passed |
| old hold larger | 4 | 4 | Passed |
| confirmed release | 4 | 4 | Passed |
| fully captured | 4 | 4 | Passed |
| zero reservation | 4 | 4 | Passed |
| closed auction | 4 | 4 | Passed |
SHA-256 / 72c339c7d00c6db3276a434c6ca19c72033ddba28b003eba155e527af92d64d7
2 / The unsuccessful fix
Exit 1"""Failure Map reference implementation. Python standard library only."""
import json
N = 1
observations = []
def solve(x):
v0 = x["balance"]-x["other_hold"] >= x["new_hold"]
v1 = x["new_hold"] if x["replace_ok"] else x["old_hold"]
v2 = max(0,x["old_hold"]-x["fill_cost"])
v3 = x["balance"]-x["old_hold"]-x["other_hold"]+(x["pending"] if x["confirmed"] else 0)
v4 = min(x["refund"],x["fill_cost"])
v5 = x["old_hold"]+x["bond"]
v6 = max(0,x["old_hold"]-x["fill_cost"]) if x["closed"] else 0
v7 = min(x["release"],max(0,x["old_hold"]-x["fill_cost"]))
v8 = max(0,x["fill_cost"]-x["fee"])
v9 = x["balance"]-x["other_hold"]-x["new_hold"] >= x["fee"]
return {'replace-credit':v0,'atomic-replacement':v1,'capture-release':v2,'pending-release-availability':v3,'refund-ceiling':v4,'bond-separation':v5,'close-release':v6,'release-clamp':v7,'seller-net-remittance':v8,'unreserved-fee-check':v9}
def check(label, actual, expected):
observations.append({"check": label, "actual": actual, "expected": expected, "passed": actual == expected})
fixtures = [('refund above captured', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 30, 'fee': 3, 'bond': 8, 'closed': False}, [10, 20, 30, 40, 50]), ('reuse existing collateral / refund above captured', {'balance': 100, 'old_hold': 30, 'new_hold': 70, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 30, 'fee': 3, 'bond': 8, 'closed': False}, [10, 20, 30, 40, 50]), ('normal contract', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('reuse existing collateral', {'balance': 100, 'old_hold': 30, 'new_hold': 70, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('other auction limits credit', {'balance': 100, 'old_hold': 30, 'new_hold': 90, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('insufficient replacement', {'balance': 100, 'old_hold': 30, 'new_hold': 200, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': False, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('old hold larger', {'balance': 100, 'old_hold': 30, 'new_hold': 15, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('confirmed release', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': True, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('fully captured', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 30, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('zero reservation', {'balance': 100, 'old_hold': 0, 'new_hold': 0, 'other_hold': 0, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': False}, [4, 8, 12, 16, 20]), ('closed auction', {'balance': 100, 'old_hold': 30, 'new_hold': 50, 'other_hold': 20, 'fill_cost': 12, 'release': 5, 'pending': 7, 'confirmed': False, 'replace_ok': True, 'captured': 10, 'refund': 4, 'fee': 3, 'bond': 8, 'closed': True}, [4, 8, 12, 16, 20])]
def vary(value):
if type(value) is int: return value*N
if isinstance(value,list): return [vary(v) for v in value]
if isinstance(value,dict): return {k:(v if k in ['count', 'delivery_index', 'disputed', 'maximum_set', 'minimum_set', 'stage', 'threshold', 'waived'] else vary(v)) for k,v in value.items()}
return value
for label, request, expected in fixtures:
check(label, solve(vary(request))['refund-ceiling'], expected[N-1])
print(json.dumps({"observations": observations, "passed": all(x["passed"] for x in observations)}, ensure_ascii=False))
raise SystemExit(0 if all(x["passed"] for x in observations) else 1)
| Boundary fixture | Actual | Expected | Outcome |
|---|---|---|---|
| refund above captured | 12 | 10 | Failed |
| reuse existing collateral / refund above captured | 12 | 10 | Failed |
| normal contract | 4 | 4 | Passed |
| reuse existing collateral | 4 | 4 | Passed |
| other auction limits credit | 4 | 4 | Passed |
| insufficient replacement | 4 | 4 | Passed |
| old hold larger | 4 | 4 | Passed |
| confirmed release | 4 | 4 | Passed |
| fully captured | 4 | 4 | Passed |
| zero reservation | 4 | 4 | Passed |
| closed auction | 4 | 4 | Passed |
SHA-256 / 9cb632616c60941e85b5d370364008048cd697ae370c195a07f10e28e7d400e7
HELD IN THE MEMBER ARCHIVE
The verified repair and its recorded checks are member-only.
This mechanism has 11 recorded checks per implementation. The open-access tier publishes the failure and the unsuccessful fix; the repaired source that passes every check, and the observations that prove it, are available to members.
Every case sharing this mechanism uses the same contract and the same repair, so this one record is held back for all of them.
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Sign in to the archive ↗Verification & scope
Stipulated toy auction rules, not a venue specification, financial advice, optimization claim, or live trading implementation. Nonnegative integer inputs and internally aligned list fields only. This reproducer isolates one failure mechanism. Results cover the supplied fixtures. Variants within a family share a test contract and should remain grouped when constructing evaluation splits. Related mechanisms with a shared evaluation_group must also remain together; these controlled models are not independent production incidents.
Observations recorded using Python 3.12.14 at 2026-09-29T14:46:07.276286+00:00.
Case digest / 96a6da8296d334fb8dc075b76f6c0a8b89e740a269e88b457a3bf87550096ce9