Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks — Software Evaluation Matrix, Audit Trail Rules, and Pilot Checklist

Document ID: L0213 · Cluster Domain: Agentic Exception Triage vs. ERP Financial Locks · Funnel Stage: BOFU · Target Reader: Supply Chain CIOs, Enterprise Integration Architects & VP of Supply Chain Systems Primary Focus Keywords: agentic ai supply chain exception management evaluation guide, agentic ai supply chain exception management, agentic ai supply chain exception management software

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Why Legacy RFPs Fail When Evaluating Agentic Exception Triage vs. ERP Financial Locks Platforms

This enterprise evaluation and buyer's audit guide for Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks — Software Evaluation Matrix, Audit Trail Rules, and Pilot Checklist (L0213) provides Chief Supply Chain Officers, VPs of Logistics, and Enterprise Architects with a rigorous due-diligence framework for agentic ai supply chain exception management evaluation guide. Software vendors frequently demonstrate polished exception dashboards while hiding asynchronous batch syncs and soft warning pop-ups that allow floor operators to bypass critical control gates. Below, we establish hard sandbox test scripts, mathematical scoring models, and US/India regulatory readiness criteria.

At the core of this operational domain lies a non-negotiable engineering principle: Governing Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks across Chicago (IL) & Newark (NJ) Enterprise Supply Chain Control Tower and Mumbai & Chennai Integrated Supply Chain & Finance Shared Services Center requires replacing post-facto spreadsheet reconciliation with deterministic state-transition gates (HARD ERP HOLD → SANDBOX BOUNDARY → RISK PREDICATE → CRYPTOGRAPHIC LOCK → GL RECONCILED) that hard-lock physical edge capture to statutory filings and ERP sub-ledger settlement. Whenever organizations allow physical warehouse, yard, port, or transit execution to advance faster than digital state verification, the gap between what occurred on the floor and what is recorded in the enterprise ledger widens into structural financial leakage.

The Three Structural Failure Modes of Uncontrolled Execution

In live production audits across Chicago (IL) & Newark (NJ) Enterprise Supply Chain Control Tower and Mumbai & Chennai Integrated Supply Chain & Finance Shared Services Center, three recurring failure modes explain why legacy SOPs and passive visibility dashboards fail to control Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks:

1. Unverified Physical-to-Digital Handover: An autonomous exception agent granted write access to ERP financial APIs auto-approves a supplier price variance or freight extra to 'clear the queue,' bypassing procurement delegation-of-authority (DoA) limits.
2. Asynchronous Exception Discovery & Commercial Lag: LLM hallucination during multi-document OCR extraction misinterprets a case quantity as a pallet quantity on a disputed receiving report, posting a $48,000 inventory write-up to the general ledger.
3. Split-Brain State & Statutory Desynchronization: Unbounded agent retry loops flood the ERP sub-ledger with contradictory debit/credit memo drafts when a carrier portal returns intermittent 503 timeouts.

Core Control Thesis (L0213): You cannot fix a missing physical control gate at 01 · EXCEPTION TRIGGER (HARD ERP HOLD) or 02 · AI EVIDENCE AGENT (SANDBOX BOUNDARY) with an accounting spreadsheet or an LLM chatbot at month-end. Deterministic execution locks must fire at the exact millisecond of physical custody or state transfer, while bounded AI agents (CRYPTOGRAPHIC LOCK) accelerate exception evidence assembly for accountable human sign-off (GL RECONCILED).

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Enterprise Control-Gate Architecture and Vendor Capability Blueprint

To eliminate silent state drift across Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks, the execution architecture enforces five sequential control gates linking edge hardware capture (Control-tower event brokers (Kafka/EventBridge), OCR document ingestion pipelines, RF exception scan terminals, and ERP general-ledger posting locks) and bilateral protocol exchanges (ASC X12 EDI 860 (Purchase Order Change), EDI 856 (ASN), EDI 810/210 (Invoices), SAP IDoc MBGMCR03 / INVOIC02, and India GSTN GSTR-2B / e-Invoice reconciliation payloads) directly to the ERP financial sub-ledger:

Stage-by-Stage Control Gate Walkthrough

• 01 · EXCEPTION TRIGGER (3-Way Match Variance): Captures primary physical telemetry (US: EDI 856/210 vs PO in the US; IN: GRN/IRN vs Contract in India) and enforces HARD ERP HOLD via two hard predicates: Blocks Direct GL Commit and Spawns Quarantine ID. No downstream document or wave release can initialize until this gate commits.
• 02 · AI EVIDENCE AGENT (Read-Only Context Pull): Validates commercial and statutory dispatch/execution prerequisites (US: Parses POD / ELD; IN: Pulls ULIP / Weighlip) under SANDBOX BOUNDARY. The system verifies Zero Write Credentials and Builds JSON Dossier before opening the physical yard gate, releasing the pick wave, or transmitting the customs/carrier filing.
• 03 · EXPOSURE SCORING (DoA Matrix Evaluation): Evaluates in-transit, receiving, or billing settlement events (US: SOX DoA Threshold; IN: IFCFR Authority Slab) through RISK PREDICATE. Whenever Computes E_exposure or Assigns Sign-Off Role detects a deviation outside tolerance, the transaction is bifurcated—isolating the disputed variance while preserving flow for verified units.
• 04 · HUMAN SIGN-OFF (Role-Segregated Review): Invokes CRYPTOGRAPHIC LOCK (US: Ops / Controller Key; IN: Dual Maker-Checker) to correlate multi-source logs, photos, and tariff clauses (Verifies Evidence URI). Critically, this layer enforces Signs Disposition Code—the AI agent has zero write authority over operational locks or general-ledger tables.
• 05 · SPLIT VOUCHER (ERP Ledger Settlement): Finalizes the three-way tie-out (US: Base Paid / Δ Held; IN: MCA Audit Log + ITC) under GL RECONCILED, executing Immutable Edit Trail and Zero Unbounded Writes only after cryptographic and human controller sign-off criteria are satisfied.

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Quantitative Evaluation Models: Delegation-of-Authority (DoA) Risk-Exposure Bound & Split-Voucher Quarantine Math

Replacing subjective operator judgment with deterministic software locks in Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks requires explicit mathematical formulations embedded inside WMS / TMS Execution Engine and ERP Financial Sub-Ledger. Below is the complete three-part Delegation-of-Authority (DoA) Risk-Exposure Bound & Split-Voucher Quarantine Math governing agentic ai supply chain exception management evaluation guide:

1. Financial Exposure Risk-Gate Function

$$E_{\text{exposure}}(x_k) = \left|V_{\text{claimed}}(x_k) - V_{\text{PO/Contract}}(x_k)\right| \times \left(1 + \lambda_{\text{statutory}}(x_k)\right)$$

Operational Interpretation & Gate Enforcement: Calculates the risk-adjusted financial exposure $E_{\text{exposure}}(x_k)$ of exception $x_k$, where $\lambda_{\text{statutory}}(x_k) \in [0, 1]$ weights regulatory/tax penalties (such as customs duty misdeclaration or GST ITC disallowance). In production deployments across Chicago (IL) & Newark (NJ) Enterprise Supply Chain Control Tower and Mumbai & Chennai Integrated Supply Chain & Finance Shared Services Center, this equation is evaluated synchronously at HARD ERP HOLD and SANDBOX BOUNDARY before any physical movement or external message transmission is committed.

2. Role-Segregated Approval Matrix Predicate

$$\text{AuthTier}(x_k) = \begin{cases} \text{TIER\_0\_DETERMINISTIC} & \text{if } E_{\text{exposure}}(x_k) \le \tau_{\text{micro}} \land \Delta R_k = 0 \\ \text{TIER\_1\_OPS\_SUPERVISOR} & \text{if } \tau_{\text{micro}} < E_{\text{exposure}}(x_k) \le \tau_{\text{ops}} \\ \text{TIER\_2\_FINANCE\_CONTROLLER} & \text{if } E_{\text{exposure}}(x_k) > \tau_{\text{ops}} \lor \Delta R_k > 0 \end{cases}$$

Operational Interpretation & Gate Enforcement: Guarantees that zero rate-creep ($\Delta R_k > 0$) or high-value variances ever auto-clear; the AI agent may assemble the evidence packet for any tier, but commit privileges require cryptographic tokens from the required human role. By evaluating this expression automatically within DeterministicStateLock / ControlGateLedger and CompliancePayloadRecord (ASC X12 / GSTN-ULIP), the platform eliminates manual spreadsheet guesswork and immediately quantifies the financial or operational exposure at RISK PREDICATE.

3. Expected Queue Triage Latency Reduction

$$T_{\text{resolution}} = T_{\text{AI-evidence-prep}} + \mathbb{P}(\text{AuthTier} \ge 1) \cdot T_{\text{human-review}}, \quad T_{\text{AI-evidence-prep}} \ll T_{\text{manual-search}}$$

Operational Interpretation & Gate Enforcement: Demonstrates how bounding AI to evidence assembly reduces manual investigation time from 42 minutes to 90 seconds per exception without sacrificing deterministic ERP financial controls. This binary/threshold predicate serves as the hard interlock for GL RECONCILED, ensuring that ThreeWaySettlementMatch & VarianceHoldQueue never releases an unverified settlement or corrupts inventory/cost valuation.

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RFP Technical Scorecard: Legacy Batch vs. Generic Cloud vs. Deterministic Locks

When evaluating software vendors or 3PL technology stacks for Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks, procurement teams must distinguish between passive visibility portals and deterministic execution engines. The comparative scorecard below contrasts legacy manual/batch operations, generic cloud CRM/workflow tools, and production-grade control-gate architectures across five non-negotiable dimensions:

Scoring Thresholds for Enterprise Architecture Sign-Off

• Minimum Passing Score: Any platform scoring below 4.5 / 5.0 across the five weighted dimensions—or failing to demonstrate native support for ImmutableScanEvent / DeviceTelemetryPacket and DeterministicStateLock / ControlGateLedger—must be disqualified or paired with a dedicated control-gate middleware layer before contract award.
• Total Cost of Ownership (TCO) Trap: A lower SaaS license fee that leaves Clerical backlog forces AP and inventory analysts to rubber-stamp variances under $500 without root-cause verification in US operations or Manual email and WhatsApp exception chasing delays month-end provision close by 9 days and leaks ₹9 in Indian operations unaddressed carries a negative net present value within 60 days of deployment.

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Mandatory Sandbox Audit Proof-Tests for Agentic Exception Triage vs. ERP Financial Locks

Before signing an enterprise software contract or 3PL Master Services Agreement for Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks, the evaluation committee should require the vendor to execute five live sandbox proof-tests using the buyer's actual SKU, lane, and tariff data:

1. Test 01 — Negative Gate-Lock Injection at 01 · EXCEPTION TRIGGER: Attempt to advance a transaction in DeterministicStateLock / ControlGateLedger while deliberately violating Blocks Direct GL Commit or omitting Spawns Quarantine ID. Pass Criteria: The system must return a hard transactional error (HTTP 409 Conflict or RF hardware lock) and refuse to generate outbound documents. Soft warning pop-ups that an operator can click past constitute an immediate failure.
2. Test 02 — Dual-Market Statutory Payload Validation at 02 · AI EVIDENCE AGENT: Submit an incomplete US payload (US: Parses POD / ELD) and an out-of-tolerance Indian payload (IN: Pulls ULIP / Weighlip) to SANDBOX BOUNDARY. Pass Criteria: The compliance engine must block execution under SOX Section 404 & 302 (segregation of duties and preventative controls over general ledger journal entries), PCAOB AS 2201 (auditing automated application controls) and Companies Act, 2013 Section 134(5)(e) (Internal Financial Controls), Ministry of Corporate Affairs (MCA) Rule 3(1) of Companies (Accounts) Rules (mandatory immutable edit-log / audit trail in accounting software), and CGST Section 16(2)(aa) (GSTR-2B matching lock before Input Tax Credit availment) until Zero Write Credentials and Builds JSON Dossier are satisfied.
3. Test 03 — Automated Variance Bifurcation at 03 · EXPOSURE SCORING: Inject a counterparty message or receipt event into CompliancePayloadRecord (ASC X12 / GSTN-ULIP) that triggers Computes E_exposure. Pass Criteria: RISK PREDICATE must automatically split the financial record—allowing undisputed base amounts to proceed while placing the exact variance delta on hold with Assigns Sign-Off Role attached.
4. Test 04 — Read-Only AI Boundary Verification at 04 · HUMAN SIGN-OFF: Inspect the database role and API scopes assigned to CRYPTOGRAPHIC LOCK. Pass Criteria: Confirm that the AI agent can execute Verifies Evidence URI but is architecturally blocked by Signs Disposition Code from mutating DeterministicStateLock / ControlGateLedger or ThreeWaySettlementMatch & VarianceHoldQueue.
5. Test 05 — Sub-Ledger Tie-Out at 05 · SPLIT VOUCHER: Complete the exception resolution workflow with human controller sign-off. Pass Criteria: Verify that ThreeWaySettlementMatch & VarianceHoldQueue posts Immutable Edit Trail and Zero Unbounded Writes with an immutable cross-reference to the original physical scan event.

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US and India Regulatory Readiness Verification (L0213 Compliance Audit)

A defining architectural requirement across all modern supply chain implementations is the strict separation between deterministic transactional locks and bounded AI orchestration:

• Deterministic Execution Engine (WMS / TMS Execution Engine & ERP Financial Sub-Ledger): Owns all state transitions across ImmutableScanEvent / DeviceTelemetryPacket, DeterministicStateLock / ControlGateLedger, CompliancePayloadRecord (ASC X12 / GSTN-ULIP), and ThreeWaySettlementMatch & VarianceHoldQueue. It evaluates Delegation-of-Authority (DoA) Risk-Exposure Bound & Split-Voucher Quarantine Math with zero probabilistic variance and enforces HARD ERP HOLD, SANDBOX BOUNDARY, RISK PREDICATE, and GL RECONCILED.
• Bounded Read-Only AI Layer (04 · HUMAN SIGN-OFF · CRYPTOGRAPHIC LOCK): Operates exclusively on read-replicas and unstructured document stores. When RISK PREDICATE flags an exception (Computes E_exposure), the AI layer executes Verifies Evidence URI—parsing OCR PDFs, matching dock/yard camera frames, extracting relevant clauses from SOX Section 404 & 302 (segregation of duties and preventative controls over general ledger journal entries), PCAOB AS 2201 (auditing automated application controls) or Companies Act, 2013 Section 134(5)(e) (Internal Financial Controls), Ministry of Corporate Affairs (MCA) Rule 3(1) of Companies (Accounts) Rules (mandatory immutable edit-log / audit trail in accounting software), and CGST Section 16(2)(aa) (GSTR-2B matching lock before Input Tax Credit availment), and pre-populating a structured exception brief.
• Immutable Guardrail (Signs Disposition Code): The AI agent service principal is denied database INSERT, UPDATE, or DELETE privileges on inventory balances, rate cards, customs filings, and ERP AP/AR sub-ledgers. Every commercial claim, tariff override, or statutory filing requires explicit cryptographic sign-off by the designated human role owner.

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Commercial Due Diligence: Worked US ($) and India (₹) Margin Protection Cases

To ground Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks — Software Evaluation Matrix, Audit Trail Rules, and Pilot Checklist in concrete operational economics, the worked scenarios below trace how deterministic control gates eliminate structural leakage in both a high-volume United States corridor and a high-velocity Indian logistics network:

United States Worked Scenario (Chicago (IL) & Newark (NJ) Enterprise Supply Chain Control Tower)

• Facility & Operating Profile: North American supply chain shared-services center in Chicago auditing 3,400 monthly purchase-order, ASN, and freight exceptions across 14 distribution centers.
• Baseline Throughput & Financial Footprint: 3,400 supply chain & freight exceptions/month ($680,000/month in disputed variance exposure).
• Pre-Control Legacy Failure & Leakage: Clerical backlog forces AP and inventory analysts to rubber-stamp variances under $500 without root-cause verification, leaking $24,800/month ($297,600/year).
• Deterministic Control-Gate Intervention & Verified Outcome: Deploying a read-only AI triage agent to pre-link BOLs, weigh tickets, and rate cards behind a deterministic ERP DoA lock cuts analyst triage time by 84% and recovers $22,150/month ($265,800/year).
• Statutory & Protocol Audit Trail: Full alignment across SOX Section 404 & 302 (segregation of duties and preventative controls over general ledger journal entries), PCAOB AS 2201 (auditing automated application controls), ASC X12 810/210/856, and US GAAP ASC 450 (contingencies and loss accruals)., linking ImmutableScanEvent / DeviceTelemetryPacket (US: EDI 856/210 vs PO) through ThreeWaySettlementMatch & VarianceHoldQueue (US: Base Paid / Δ Held).

India Worked Scenario (Mumbai & Chennai Integrated Supply Chain & Finance Shared Services Center)

• Facility & Operating Profile: Mumbai corporate logistics & AP control desk handling 4,100 monthly GRN, e-Way Bill, and transporter billing exceptions across 18 Indian depots.
• Baseline Throughput & Financial Footprint: 4,100 exceptions/month (₹58,40,000/month in disputed rate, shortage, and GST mismatches).
• Pre-Control Legacy Failure & Leakage: Manual email and WhatsApp exception chasing delays month-end provision close by 9 days and leaks ₹9,65,000/month (₹1,15,80,000/year) in unrecovered vendor/transporter overbillings and blocked GST ITC.
• Deterministic Control-Gate Intervention & Verified Outcome: Separating AI dossier preparation from MCA-compliant ERP posting locks recovers ₹8,82,000/month (₹1,05,84,000/year) while maintaining a 100% tamper-evident statutory audit trail.
• Statutory & Protocol Audit Trail: End-to-end compliance with Companies Act, 2013 Section 134(5)(e) (Internal Financial Controls), Ministry of Corporate Affairs (MCA) Rule 3(1) of Companies (Accounts) Rules (mandatory immutable edit-log / audit trail in accounting software), and CGST Section 16(2)(aa) (GSTR-2B matching lock before Input Tax Credit availment)., binding ImmutableScanEvent / DeviceTelemetryPacket (IN: GRN/IRN vs Contract) to ThreeWaySettlementMatch & VarianceHoldQueue (IN: MCA Audit Log + ITC).

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Evaluating AI Agent Claims vs. Transaction-of-Record Boundaries

Every logistics software vendor now markets "Agentic AI" capabilities for Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks. During technical due diligence, enterprise buyers must enforce a strict architectural boundary between probabilistic AI synthesis and deterministic transaction locks:

• Where Bounded AI Delivers High ROI (04 · HUMAN SIGN-OFF · CRYPTOGRAPHIC LOCK): AI agents excel at ingesting unstructured multi-modal evidence—such as dock photos, scanned PDF commercial invoices, handwritten driver notes, carrier tariff annexures, and email threads—to execute Verifies Evidence URI. This compresses analyst triage time from hours to seconds.
• Where AI Must Never Hold Write Authority (HARD ERP HOLD, SANDBOX BOUNDARY, GL RECONCILED): An LLM must never be permitted to override Blocks Direct GL Commit, fabricate a missing statutory credential in Zero Write Credentials, or autonomously post a general-ledger adjustment in ThreeWaySettlementMatch & VarianceHoldQueue. As codified in Signs Disposition Code, all state locks and financial settlements remain governed by deterministic code and accountable human sign-off.

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Buyer Sign-Off Governance and Related Architecture Guides

Before certifying Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks (L0213) for production operation across Chicago (IL) & Newark (NJ) Enterprise Supply Chain Control Tower and Mumbai & Chennai Integrated Supply Chain & Finance Shared Services Center, engineering, operations, and finance leaders should verify the following six control invariants:

1. Edge Capture Integrity: Confirm that Control-tower event brokers (Kafka/EventBridge), OCR document ingestion pipelines, RF exception scan terminals, and ERP general-ledger posting locks writes immutable events to ImmutableScanEvent / DeviceTelemetryPacket and that HARD ERP HOLD blocks any transaction violating Blocks Direct GL Commit or Spawns Quarantine ID.
2. Pre-Release Statutory Gate: Verify that SANDBOX BOUNDARY validates US: Parses POD / ELD (under SOX Section 404 & 302 (segregation of duties and preventative controls over general ledger journal entries), PCAOB AS 2201 (auditing automated application controls)) and IN: Pulls ULIP / Weighlip (under Companies Act, 2013 Section 134(5)(e) (Internal Financial Controls), Ministry of Corporate Affairs (MCA) Rule 3(1) of Companies (Accounts) Rules (mandatory immutable edit-log / audit trail in accounting software), and CGST Section 16(2)(aa) (GSTR-2B matching lock before Input Tax Credit availment)) with Zero Write Credentials and Builds JSON Dossier enforced prior to physical dispatch or wave release.
3. Mathematical Tolerance Engine: Validate that all three equations of Delegation-of-Authority (DoA) Risk-Exposure Bound & Split-Voucher Quarantine Math (*Financial Exposure Risk-Gate Function*, *Role-Segregated Approval Matrix Predicate*, *Expected Queue Triage Latency Reduction*) execute deterministically inside DeterministicStateLock / ControlGateLedger and CompliancePayloadRecord (ASC X12 / GSTN-ULIP).
4. Automated Variance Split: Ensure RISK PREDICATE evaluates Computes E_exposure and Assigns Sign-Off Role in real time, isolating disputed lines without stalling undisputed settlement flows.
5. Read-Only AI Segregation: Audit RBAC permissions for CRYPTOGRAPHIC LOCK to verify that Verifies Evidence URI operates strictly under Signs Disposition Code with zero direct write access to ThreeWaySettlementMatch & VarianceHoldQueue.
6. Three-Way Sub-Ledger Close: Confirm that ThreeWaySettlementMatch & VarianceHoldQueue enforces GL RECONCILED (Immutable Edit Trail; Zero Unbounded Writes) with complete US ($) and India (₹) audit-trail persistence.

Related Logistics & Supply Chain Control Playbooks

Explore the broader Logistics & Supply Chain Control Library or review the companion playbooks in this cluster:

• Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks — Architecture, System-of-Record Locks, and Worked USD/INR Example (L0212) — Complementary MOFU guide covering *agentic ai supply chain exception management architecture* under Agentic AI vs. Deterministic WMS/TMS Control Gates.
• Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks — ERP-to-WMS Event Schema, Idempotency Keys, and Exception Queue Design (L0214) — Complementary TOFU guide covering *agentic ai supply chain exception management erp integration* under Agentic AI vs. Deterministic WMS/TMS Control Gates.
• Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks — 3PL & Enterprise Implementation Playbook with SLA Tolerance Math (L0215) — Complementary BOFU guide covering *agentic ai supply chain exception management implementation* under Agentic AI vs. Deterministic WMS/TMS Control Gates.
• Agentic AI Supply Chain Exception Management: Bounding Autonomous Triage Against ERP Financial Locks — Cost-Leakage Prevention, Variance Reconciliation, and CFO Sign-Off (L0216) — Complementary MOFU guide covering *agentic ai supply chain exception management cost reconciliation* under Agentic AI vs. Deterministic WMS/TMS Control Gates.