{ "schema_version": "kye.framework_coverage_report.v1", "generated_at": "2026-06-18T11:37:07.959Z", "generator": "scripts/build-coverage-dashboard.mjs", "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md", "constitution/43-MACHINE-READABLE-BY-DEFAULT.md", "constitution/45-SELF-DESCRIPTION-GATE.md" ], "summary": { "frameworks": 168, "total_requirements": 2368, "overall_coverage_pct": 85, "artefacts_with_framework_tags": 0 }, "per_framework": [ { "framework": "ai-caiq", "display_name": "AI-CAIQ (STAR-for-AI) — evidence-generated self-assessment", "framework_version": "1.0", "source": "CSA AI Consensus Assessments Initiative Questionnaire (AI-CAIQ), the self-assessment companion to the AICM and the basis for CSA STAR-for-AI listings. AICM defines the controls; KYE™ operationalises them — so each AI-CAIQ answer KYE can satisfy is GENERATED from runtime evidence, never filled by hand. Questions outside KYE's execution scope are marked not-applicable-to-KYE, never fabricated. The per-question answer registry lives at ai-caiq.registry.json.", "license": "CSA AI-CAIQ is published by the Cloud Security Alliance; KYE paraphrases each question's intent and cites the AICM control identifier for mapping purposes only.", "total": 2, "declared_total": 2, "coverage_pct": 50, "status_counts": { "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Questionnaire answers generated from replay-provable evidence": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Out-of-scope questions marked not applicable": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ai-caiq.evidence-generated-answers", "title": "Every answerable AI-CAIQ question is GENERATED from replay-provable runtime evidence, not filled by hand", "framework": "ai-caiq", "framework_version": "AI-CAIQ v1.0 · evidence-generation discipline", "framework_category": "Questionnaire answers generated from replay-provable evidence", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.decision_map.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:oscal-exports-canonical" }, "notes": "The AI-CAIQ / STAR-for-AI answer set (ai-caiq.registry.json) pins every answerable question to a KYE artefact + a §0.3 evidence event, so the questionnaire is regenerated from runtime evidence rather than self-attested. Exported via the OSCAL component-definition export kye:oscal-export:ai-caiq." }, { "requirement_id": "ai-caiq.honest-not-applicable", "title": "Questions outside KYE's execution scope are marked not-applicable-to-KYE, never fabricated", "framework": "ai-caiq", "framework_version": "AI-CAIQ v1.0 · honest-scope discipline", "framework_category": "Out-of-scope questions marked not applicable", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Cloud-infrastructure, model-training-pipeline and internal model-validation questions are not applicable to KYE's execution-layer scope. They are marked not-applicable-to-KYE in the answer registry, mirroring the out-of-scope rows in the AICM coverage — never inflated to a positive answer (§0 honest scope).", "owning_role": "cloud-service-provider" } ], "resolution_framing": null }, { "framework": "ai-solutions-framework", "display_name": "AI Solutions Framework — Enterprise AI-Adoption Control Framework (IG1–IG3)", "framework_version": "1.0", "source": "The AI Solutions Framework is an enterprise AI-adoption control framework — a prioritised, maturity-tiered (Implementation Group IG1 through IG3) set of ~90 safeguards organised into six control families: AI governance & accountability, AI risk management, AI safety, data privacy & lineage, compliance monitoring, and audit & evidence. Each safeguard defines a control an organisation adopting AI should operate. KYE Protocol™ governs the SUBSET of these safeguards that resolve at the action boundary — the moment an AI-supported decision or agent action moves toward a consequential effect — and PROVES the authority and evidence later. KYE governs whether the action may proceed (under a named-authority approval, with the required due-diligence / attestation recorded, held advisory through the human-oversight / stage gate, with any exception recorded), and emits the §0.3 evidence chain. KYE does not author the governance policy, run the risk committee, maintain the AI inventory, deliver the training, or verify the deploy-time infrastructure posture — those organisational and CSPM safeguards are ceded honestly to their owning roles.", "license": "The AI Solutions Framework is referenced descriptively as an enterprise AI-adoption control framework; KYE registry cites its control families for mapping purposes and asserts no ownership of the framework text.", "total": 15, "declared_total": 15, "coverage_pct": 40, "status_counts": { "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 9 }, "by_category": { "AI governance & accountability (enforced action-boundary subset)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "AI risk management & safety (enforced action-boundary subset)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Compliance monitoring & audit/evidence (enforced action-boundary subset)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Organisational (out-of-scope — governance-office / ciso)": { "total": 5, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 5, "coverage_pct": 0 }, "Infrastructure posture / CSPM (out-of-scope — cloud-platform / devsecops)": { "total": 4, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 4, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ai-solutions-framework.approval-workflow-authority", "title": "Approval workflow: an AI-supported decision proceeds to a consequential action only under a recorded named-authority approval", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "AI governance & accountability (enforced action-boundary subset)", "level": "mandatory", "implementation_group": "IG1", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ai-solutions-framework-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The framework's approval-workflow safeguard requires that an AI-supported decision moving toward a consequential effect carries an approval from a named human authority. KYE resolves this at the action boundary: the Action Admissibility™ gate refuses an action whose named-authority approval is not recorded, binding the agent, the decision artefact, the intended action, and the named approver under the §12 Purpose Permission purpose-scope check (authority-engine + decision-engine). Honest scope: KYE governs WHETHER the action may proceed and under whose authority — it does not author the approval policy or make the underlying business decision." }, { "requirement_id": "ai-solutions-framework.accountability-named-principal", "title": "Accountability: every AI agent action resolves to exactly one named accountable principal", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "AI governance & accountability (enforced action-boundary subset)", "level": "mandatory", "implementation_group": "IG2", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ai-solutions-framework-authority" ], "engines": [ "internal" ], "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The accountability safeguard requires that responsibility for an AI action is assigned to a named, accountable human principal and does not transfer to the AI. KYE binds every consequential agent action to exactly one named accountable principal in the named-authority decision the authority-engine records; an action with no resolvable accountable principal is refused. Honest scope: KYE proves accountability was assigned at the action boundary — it does not run the org chart or assign roles." }, { "requirement_id": "ai-solutions-framework.attestation-due-diligence-before-action", "title": "Attestation: a required due-diligence / risk attestation is recorded before the AI-supported action proceeds", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "AI risk management & safety (enforced action-boundary subset)", "level": "mandatory", "implementation_group": "IG2", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ai-solutions-framework-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The framework's attestation safeguard requires that a risk / impact / due-diligence attestation is captured before an AI-supported action of a given risk tier proceeds. KYE refuses an action whose required attestation (risk-tier determination + competence / control-applicability screen) is not recorded before the action, sealing the result into a §13 evidence pack. Honest scope: KYE proves the attestation was recorded before the action — it does not perform the risk assessment substance." }, { "requirement_id": "ai-solutions-framework.human-oversight-stage-gate", "title": "Human-oversight stage gate: a consequential AI action stays advisory until a named human reviewer signs off", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "AI risk management & safety (enforced action-boundary subset)", "level": "mandatory", "implementation_group": "IG1", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ai-solutions-framework-authority" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The human-oversight / stage-gate safeguard requires a human-in-the-loop checkpoint before a high-impact AI action proceeds. KYE holds the action advisory and refuses it until a named human reviewer records sign-off through the §36 GovernedUI approval mode (single_approver / two_person as configured), with the approval-brief-engine assembling the reviewer's brief and the edge-arbiter enforcing the safety floor. Honest scope: KYE enforces the gate and proves the sign-off — it does not make the human's judgement." }, { "requirement_id": "ai-solutions-framework.exception-register", "title": "Exception register: any deviation / override of an AI control is recorded as a signed, replay-provable exception", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Compliance monitoring & audit/evidence (enforced action-boundary subset)", "level": "mandatory", "implementation_group": "IG2", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ai-solutions-framework-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal" ], "audit_events": [ "kye.evidence.decision_map.v1", "kye.replay.context_seal.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The exception-register safeguard requires that any deviation from, or override of, an AI control is captured with its justification and approver. KYE refuses a control override that is not recorded as a signed exception, sealing the deviation, its justification, and the approving authority into a replay-provable §13 evidence event under a context seal. Honest scope: KYE records and proves the exception at the action boundary — it does not decide whether the exception was warranted." }, { "requirement_id": "ai-solutions-framework.audit-evidence-provenance-pin", "title": "Audit & evidence: every consequential AI action emits a signed, replay-derivable provenance pin verifiable offline", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Compliance monitoring & audit/evidence (enforced action-boundary subset)", "level": "mandatory", "implementation_group": "IG3", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ai-solutions-framework-authority" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The audit & evidence safeguard requires that AI actions are logged with sufficient provenance for an auditor to reconstruct what happened, on what basis, and under whose authority. KYE emits a signed, replay-derivable provenance pin binding the model and version, the inputs and pinned source data, the decision map, the attestation relied on, and the named-authority outcome — verifiable offline from published keys alone and held WORM under §30. Honest scope: KYE produces and preserves the evidence chain; it does not interpret the audit findings." }, { "requirement_id": "ai-solutions-framework.ai-governance-board", "title": "AI governance board / steering committee established with a charter and decision rights", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Organisational (out-of-scope — governance-office / ciso)", "level": "mandatory", "implementation_group": "IG1", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Standing up an AI governance board, its charter, and its decision rights is an organisational governance function. KYE™ is a runtime authority + evidence layer that ENFORCES the board's decisions at the action boundary; it does not constitute or run the board. Out of scope (§0 honest scope) — owned by the governance office.", "owning_role": "governance-office" }, { "requirement_id": "ai-solutions-framework.ai-system-inventory", "title": "Authoritative inventory of AI systems, models, and use-cases maintained", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Organisational (out-of-scope — governance-office / ciso)", "level": "mandatory", "implementation_group": "IG1", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Maintaining the authoritative inventory / register of AI systems, models, and use-cases is an asset-management function. KYE governs whether a registered AI agent's actions may proceed, but does not own or maintain the AI inventory. Out of scope (§0 honest scope) — owned by the governance office / CISO.", "owning_role": "governance-office" }, { "requirement_id": "ai-solutions-framework.ai-acceptable-use-policy", "title": "AI acceptable-use and governance policy documents authored, approved, and published", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Organisational (out-of-scope — governance-office / ciso)", "level": "mandatory", "implementation_group": "IG1", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Authoring, approving, and publishing the AI acceptable-use and governance policy is a policy-authorship function. KYE enforces policy AS CODE at the action boundary, but does not write the human-readable policy documents. Out of scope (§0 honest scope) — owned by the governance office / CISO.", "owning_role": "ciso" }, { "requirement_id": "ai-solutions-framework.ai-workforce-training", "title": "Role-based AI-risk and responsible-use training delivered and tracked", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Organisational (out-of-scope — governance-office / ciso)", "level": "mandatory", "implementation_group": "IG2", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Delivering and tracking role-based AI-risk and responsible-use training is a workforce-enablement function. KYE™ is not a learning-management or training-delivery system. Out of scope (§0 honest scope) — owned by the governance office / CISO.", "owning_role": "ciso" }, { "requirement_id": "ai-solutions-framework.ai-risk-committee-review", "title": "Periodic AI-risk committee review of the AI risk register and treatment plans", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Organisational (out-of-scope — governance-office / ciso)", "level": "mandatory", "implementation_group": "IG2", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Convening the AI-risk committee and conducting periodic review of the risk register and treatment plans is an organisational risk-governance function. KYE enforces the committee's risk-tier decisions at the action boundary and proves them, but does not run the committee or own the risk register. Out of scope (§0 honest scope) — owned by the governance office.", "owning_role": "governance-office" }, { "requirement_id": "ai-solutions-framework.model-inference-logging-enabled", "title": "Model / inference logging enabled and centrally collected at the platform layer", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Infrastructure posture / CSPM (out-of-scope — cloud-platform / devsecops)", "level": "mandatory", "implementation_group": "IG2", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Whether model / inference logging is switched on and centrally collected is a deploy-time infrastructure-posture control verified by a cloud-security-posture (CSPM) layer scanning the platform configuration. KYE COMPLEMENTS this: KYE emits the action-boundary authority + evidence chain at the moment of the action, while the posture layer verifies the underlying logging configuration. The two halves are distinct — KYE does not scan the deploy-time configuration. Out of scope (§0 honest scope) — ceded to the external posture/CSPM layer.", "owning_role": "cloud-platform" }, { "requirement_id": "ai-solutions-framework.ai-data-storage-encryption", "title": "AI training / inference data stores encrypted at rest and in transit", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Infrastructure posture / CSPM (out-of-scope — cloud-platform / devsecops)", "level": "mandatory", "implementation_group": "IG1", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Whether the AI data stores (buckets, databases, vector indexes) are encrypted at rest and in transit is a deploy-time infrastructure-posture control verified by a CSPM layer. KYE governs whether an action using that data may proceed and proves the authority; it does not scan storage configuration for encryption. KYE COMPLEMENTS the posture layer. Out of scope (§0 honest scope) — ceded to the external posture/CSPM layer.", "owning_role": "cloud-platform" }, { "requirement_id": "ai-solutions-framework.ai-iam-least-privilege", "title": "IAM roles for AI workloads enforce least-privilege (no wildcard grants)", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Infrastructure posture / CSPM (out-of-scope — cloud-platform / devsecops)", "level": "mandatory", "implementation_group": "IG2", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Whether the cloud IAM roles bound to AI workloads enforce least-privilege and avoid wildcard grants is a deploy-time infrastructure-posture control verified by a CSPM / IAM-posture layer. KYE governs the named-authority of the BUSINESS action at runtime, a distinct concern from the platform IAM grant on the workload identity. KYE COMPLEMENTS the posture layer. Out of scope (§0 honest scope) — ceded to the external posture/CSPM layer.", "owning_role": "devsecops" }, { "requirement_id": "ai-solutions-framework.ai-network-egress-posture", "title": "Network egress controls for AI workloads restrict outbound calls to approved endpoints", "framework": "ai-solutions-framework", "framework_version": "1.0", "framework_category": "Infrastructure posture / CSPM (out-of-scope — cloud-platform / devsecops)", "level": "recommended", "implementation_group": "IG3", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Whether AI workload network egress is restricted to approved endpoints is a deploy-time network / infrastructure-posture control verified by a CSPM / network-posture layer. KYE governs the authority and evidence of the action the workload takes, not the network egress configuration of the workload. KYE COMPLEMENTS the posture layer. Out of scope (§0 honest scope) — ceded to the external posture/CSPM layer.", "owning_role": "devsecops" } ], "resolution_framing": null }, { "framework": "aicm", "display_name": "CSA AI Controls Matrix (AICM) — execution-layer resolution", "framework_version": "1.0", "source": "Cloud Security Alliance, AI Controls Matrix (AICM) v1.0 (2025) — 243 control objectives across 18 security domains, mapped by CSA to ISO/IEC 42001, ISO/IEC 27001, NIST AI RMF, EU AI Act and BSI AIC4. AICM defines WHAT controls should exist; KYE Protocol™ is the EXECUTION LAYER that proves HOW each control RESOLVED at the moment a consequential AI action occurred. KYE binds the AICM domains it resolves at runtime — authority, delegation, scope, oversight, evidence, replay, agent-governance and audit — and marks cloud-service-provider infrastructure controls and model-training-internal controls out of scope (KYE does not operate the cloud platform or train models).", "license": "CSA AICM is published by the Cloud Security Alliance under its own terms; KYE registry paraphrases each domain's control intent and cites the official identifier for mapping purposes only.", "total": 14, "declared_total": 14, "coverage_pct": 79, "status_counts": { "enforced": 11, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 3 }, "by_category": { "IAM — Identity & Access Management": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "AAC — Agentic Authority & Accountability": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "GRC — Governance, Risk & Compliance": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "LOG — Logging & Monitoring": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "MRM — Model Risk Management & Resilience": { "total": 2, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 50 }, "STA — Supply Chain & Transparency": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "AIS — Application & Interface Security": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "DSP — Data Security & Privacy Lifecycle": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "IVS — Infrastructure & Virtualisation Security": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "TVM — Threat & Vulnerability Management": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "aicm.IAM-01-authority-at-action", "title": "IAM — Identity & Access Management: every AI-agent action is authorised against an explicit, scoped grant at the moment it occurs", "framework": "aicm", "framework_version": "AICM v1.0 · IAM domain", "framework_category": "IAM — Identity & Access Management", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AICM defines that AI agents must operate under managed identity and least-privilege access. KYE operationalises it: the PDP evaluates a purpose-scope admissibility check at the moment of each consequential action and refuses out-of-scope decisions, emitting the request + admissibility evidence pair — so the control is not just 'implemented', it is proven RESOLVED per action." }, { "requirement_id": "aicm.IAM-02-scoped-delegation", "title": "IAM — Delegated authority is bounded, time-limited, and revocable, and every delegated decision is attributable to its grant chain", "framework": "aicm", "framework_version": "AICM v1.0 · IAM domain", "framework_category": "IAM — Identity & Access Management", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:delegated-agent-binding-coverage" }, "notes": "Scoped, revocable delegation is enforced through the signed grant chain; the revocation orchestrator makes a withdrawn grant deny-by-default on the next action. Each delegated decision resolves to a grant id in its evidence, satisfying AICM's attributability objective at execution time." }, { "requirement_id": "aicm.AAC-01-agentic-authority", "title": "AAC — Agentic Authority & Accountability: an autonomous AI agent binds to its constitutional authority at task start and refuses out-of-authority actions", "framework": "aicm", "framework_version": "AICM v1.0 · agentic-controls slice", "framework_category": "AAC — Agentic Authority & Accountability", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.agent.governance.v1", "kye.agent.refusal.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:delegated-agent-binding-coverage" }, "notes": "AICM's agentic-AI controls require that autonomous agents act within a bounded mandate. KYE binds each agent to its §52 authority manifest at task start (governance envelope) and emits a refusal envelope when an action falls outside the bound scope — the agent's authority is resolved and recorded, not assumed." }, { "requirement_id": "aicm.AAC-02-agent-completion-ledger", "title": "AAC — Every agent task closes with a tamper-evident completion ledger reconciled against its declared scope", "framework": "aicm", "framework_version": "AICM v1.0 · agentic-controls slice", "framework_category": "AAC — Agentic Authority & Accountability", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.agent.completion.v1" ], "engines": [ "internal" ], "worm_tables": [ "evidence_events" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-envelope-vs-scope" }, "notes": "The post-flight envelope-vs-scope reconciliation closes each agent task with a completion ledger written to the WORM audit chain and reconciled against the pre-flight declared scope — answering AICM's accountability objective with replay-provable evidence rather than a self-attestation." }, { "requirement_id": "aicm.GRC-01-oversight-attestation", "title": "GRC — Governance, Risk & Compliance: human oversight and a recurring control attestation govern every privileged AI action", "framework": "aicm", "framework_version": "AICM v1.0 · GRC domain", "framework_category": "GRC — Governance, Risk & Compliance", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "AICM's GRC domain requires governance, oversight and periodic control validation. KYE emits a ≤90-day compliance attestation per control row and routes high-consequence decisions through the GovernedUI human-control surface — turning 'we have a governance policy' into a per-action, time-bounded, machine-checked attestation." }, { "requirement_id": "aicm.LOG-01-evidence-at-action", "title": "LOG — Logging & Monitoring: every consequential AI action emits an immutable, signed evidence record at the moment it occurs", "framework": "aicm", "framework_version": "AICM v1.0 · LOG domain", "framework_category": "LOG — Logging & Monitoring", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "worm_tables": [ "evidence_events" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "AICM requires comprehensive logging of AI operations. KYE writes a signed Evidence Pack + tool-call pin to a WORM append-only hash-chain at the moment of each action — tamper-evident at write time, not reconstructed after the fact." }, { "requirement_id": "aicm.LOG-02-decision-map-emission", "title": "LOG — A decision map captures the inputs, policy, and rationale that produced each AI decision", "framework": "aicm", "framework_version": "AICM v1.0 · LOG domain", "framework_category": "LOG — Logging & Monitoring", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The signed Decision Map records the pinned inputs, the policy evaluated, and the rationale for each AI decision — the structured record AICM's monitoring controls require to investigate any single action after the fact." }, { "requirement_id": "aicm.MRM-01-replay-resilience", "title": "MRM — Model Risk Management & Resilience: any AI decision is independently reproducible from its sealed context and public keys", "framework": "aicm", "framework_version": "AICM v1.0 · MRM domain", "framework_category": "MRM — Model Risk Management & Resilience", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AICM's model-risk objectives require that AI behaviour be analysable and verifiable. KYE seals the decision context and emits a Replay-Proof™ derivable from public keys alone — any auditor can re-derive what the model decided and why, without trusting KYE's runtime." }, { "requirement_id": "aicm.STA-01-supply-chain-transparency", "title": "STA — Supply Chain & Transparency: the provenance of every model, tool and data source touched by an action is pinned in evidence", "framework": "aicm", "framework_version": "AICM v1.0 · STA domain", "framework_category": "STA — Supply Chain & Transparency", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/15-MCP-AND-SDK.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AICM's supply-chain & transparency domain requires provenance for AI components. KYE pins every tool call, model version and source the agent touched into the action's evidence — so the supply-chain claim is resolved per action, not declared once in a vendor questionnaire." }, { "requirement_id": "aicm.AIS-01-action-boundary-control", "title": "AIS — Application & Interface Security: AI-agent interactions cross a policy-enforced boundary that denies by default", "framework": "aicm", "framework_version": "AICM v1.0 · AIS domain", "framework_category": "AIS — Application & Interface Security", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AICM requires secure AI application interfaces. KYE's Policy Enforcement Point intercepts agent interactions at the action boundary and applies the PDP admissibility check; the deny-by-default interface contract is locked and the per-interface enforcement is tracked in the implementation plan." }, { "requirement_id": "aicm.DSP-01-data-use-admissibility", "title": "DSP — Data Security & Privacy Lifecycle: data use by an AI action is checked for purpose-admissibility at the moment of use", "framework": "aicm", "framework_version": "AICM v1.0 · DSP domain", "framework_category": "DSP — Data Security & Privacy Lifecycle", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md", "constitution/63-MEMORY-AUTHORITY-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AICM's data-lifecycle controls require lawful, purpose-bound data use. KYE's moment-of-use admissibility check (data-use PDP stage + memory-authority rail) is contract-locked; the per-asset runtime wiring is in build and tracked in the implementation plan." }, { "requirement_id": "aicm.IVS-01-infrastructure-security", "title": "IVS — Infrastructure & Virtualisation Security: hardening, segmentation and patching of the cloud compute and network fabric", "framework": "aicm", "framework_version": "AICM v1.0 · IVS domain", "framework_category": "IVS — Infrastructure & Virtualisation Security", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Hardening, network segmentation and hypervisor security of the underlying cloud infrastructure are operated by the cloud service provider, not by KYE. KYE™ is an AI-authority and evidence layer that runs on top of that fabric — it does not own the compute or virtualisation controls. Out of scope (§0 honest scope).", "owning_role": "cloud-service-provider" }, { "requirement_id": "aicm.TVM-01-model-training-security", "title": "TVM — Threat & Vulnerability Management: security of the model-training pipeline, training data integrity and model-build hardening", "framework": "aicm", "framework_version": "AICM v1.0 · TVM domain", "framework_category": "TVM — Threat & Vulnerability Management", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Securing the model-training pipeline, validating training-data integrity and hardening the model build are functions of the model developer's training environment. KYE™ governs how a model's actions resolve at run time; it does not train models or operate the training pipeline. Out of scope (§0 honest scope).", "owning_role": "model-developer" }, { "requirement_id": "aicm.MRM-02-model-internals-validation", "title": "MRM — Internal model validation, bias testing and performance evaluation of the model artefact itself", "framework": "aicm", "framework_version": "AICM v1.0 · MRM domain", "framework_category": "MRM — Model Risk Management & Resilience", "level": "recommended", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Internal model validation, statistical bias testing and intrinsic performance evaluation of the model weights are owned by the model developer's MLOps process. KYE records and replays the decisions a model produces in production but does not evaluate the model's internal statistical properties. Out of scope (§0 honest scope).", "owning_role": "model-developer" } ], "resolution_framing": { "headline": "AICM defines the controls. KYE™ operationalises them.", "gap": "“We implemented Control X” (AICM) answers whether a control exists. “Did this agent action comply with Control X at 10:32 AM yesterday?” (KYE) answers whether the control RESOLVED at the moment a consequential AI action occurred.", "honesty": "KYE binds the AICM domains it resolves at runtime — identity & access, governance & oversight, logging & monitoring, model risk & resilience, supply-chain transparency and the agentic-authority slice. Cloud-service-provider infrastructure controls and model-training-internal controls are marked out of scope: KYE does not operate the cloud platform or train the model." } }, { "framework": "aicpa-ssts", "display_name": "AICPA SSTS — Statements on Standards for Tax Services", "framework_version": "2024", "source": "The AICPA Statements on Standards for Tax Services (SSTS, revised effective 2024) are the enforceable ethical standards for AICPA members in tax practice. They set the standard for recommending or signing a tax-return position (reasonable basis / realistic possibility of success, with disclosure where appropriate), require reasonable inquiry and reliance only on reasonable information, address the form and content of advice to taxpayers, and require members to maintain competence. KYE Protocol™ governs whether an AI-generated tax position / advice may PROCEED to a consequential action under a named member's authority, with the SSTS reasonable-basis and inquiry standards recorded before the action. KYE does not determine the correct treatment or judge whether the standard is met.", "license": "AICPA SSTS are published professional standards; KYE registry cites the statements for mapping purposes and reproduces no standard text.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Tax-return positions (SSTS No. 1)": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Data & reasonable inquiry (SSTS No. 3)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Form & content of advice (SSTS No. 7)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "aicpa-ssts.ssts1-reasonable-basis", "title": "SSTS No. 1: reasonable-basis / realistic-possibility standard recorded before the position is taken", "framework": "aicpa-ssts", "framework_version": "2024", "framework_category": "Tax-return positions (SSTS No. 1)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "SSTS No. 1 prohibits a member from recommending or signing a position unless it meets the applicable reporting standard (realistic possibility of success / reasonable basis with disclosure). KYE requires this determination to be recorded in the due-diligence result before an AI-generated position proceeds; a position below the standard is refused under the §25 Edge Governance Safety Floor. Enforced by tax_due_diligence_before_action. Honest scope: KYE proves the standard was assessed; it does not assess the merits. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "aicpa-ssts.ssts1-disclosure", "title": "SSTS No. 1: adequate disclosure determined for positions that require it", "framework": "aicpa-ssts", "framework_version": "2024", "framework_category": "Tax-return positions (SSTS No. 1)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "SSTS No. 1 requires adequate disclosure where a position has a reasonable basis but does not meet the higher standard. KYE requires the disclosure determination to be recorded in the due-diligence result before an AI-generated position proceeds to filing/advice. Enforced by tax_due_diligence_before_action. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "aicpa-ssts.ssts3-reasonable-inquiry", "title": "SSTS No. 3: reasonable inquiry & reliance on data captured in provenance", "framework": "aicpa-ssts", "framework_version": "2024", "framework_category": "Data & reasonable inquiry (SSTS No. 3)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "SSTS No. 3 permits reliance on information furnished by the taxpayer or third parties only when reasonable, and requires reasonable inquiry where information appears incorrect or incomplete. KYE requires the inputs and the inquiry relied on to be bound in the AI-generated position's provenance pin, per the §13 Resilience Loop, so the basis of reliance is replay-provable. Enforced by tax_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "aicpa-ssts.ssts7-form-of-advice", "title": "SSTS No. 7: form & content of advice signed off by a named member", "framework": "aicpa-ssts", "framework_version": "2024", "framework_category": "Form & content of advice (SSTS No. 7)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "SSTS No. 7 governs the form and content of advice to taxpayers and the member's professional judgement in giving it. KYE holds AI-generated advice advisory until a named member records sign-off, via the §36 GovernedUI human-control surface; unreviewed AI-driven advice is refused and routed dual-channel. The professional accountability remains with the named member. Enforced by tax_signoff_gate + tax_named_preparer_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "aida", "display_name": "AIDA — Artificial Intelligence and Data Act (Bill C-27, federal)", "framework_version": "AIDA — Artificial Intelligence and Data Act, Part 3 of Bill C-27 (44th Parliament). Tabled; lapsed on prorogation Jan 2025. Mapped as a forward-looking design anchor, not enacted law.", "source": "Artificial Intelligence and Data Act, Part 3 of Bill C-27 (Digital Charter Implementation Act, 2022), 44th Parliament. The bill lapsed when Parliament was prorogued in January 2025 and is not in force. Core obligations as tabled + the companion voluntary-code anchor: high-impact-system assessment (s.7), risk mitigation + monitoring (s.8-9), record-keeping (s.10), plain-language publication / transparency (s.11), and serious-harm notification to the Minister (s.12).", "license": null, "total": 5, "declared_total": 5, "coverage_pct": 25, "status_counts": { "enforced": 0, "designed": 0, "advisory": 5, "deferred": 0, "out-of-scope": 0 }, "by_category": { "High-impact system assessment (s.7)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Risk mitigation + monitoring (s.8-9)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Record-keeping (s.10)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Transparency / publication (s.11)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Serious-harm notification (s.12)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 } }, "requirements": [ { "requirement_id": "aida.s7", "title": "Section 7 (as tabled) — Assessment: a person responsible for a high-impact system must assess whether it is a high-impact system and govern it accordingly", "framework": "aida", "framework_version": "AIDA — Bill C-27 Part 3, s.7 (tabled, lapsed on prorogation Jan 2025)", "framework_category": "High-impact system assessment (s.7)", "level": "advisory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "AIDA is a tabled-but-not-enacted bill, so this row is advisory (forward-looking design anchor, not a live legal obligation). The Risk Engine binds a high-impact AI deployment to a contemporaneous risk classification — the assessment posture s.7 contemplates — and the mapping will promote to designed/enforced if and when AIDA (or a successor) is enacted." }, { "requirement_id": "aida.s8", "title": "Sections 8-9 (as tabled) — Measures to identify, assess and mitigate risks of harm or biased output, and monitor compliance of those measures", "framework": "aida", "framework_version": "AIDA — Bill C-27 Part 3, ss.8-9 (tabled, lapsed)", "framework_category": "Risk mitigation + monitoring (s.8-9)", "level": "advisory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "The Resilience Loop™ (detect drift → revoke → re-grant → replay) is the continuous risk-monitoring mechanism ss.8-9 contemplate for the action layer. Advisory pending enactment. KYE governs authority-to-act, not the model-internal bias distribution, which remains a complementary bias-audit technique the KYE record supports." }, { "requirement_id": "aida.s10", "title": "Section 10 (as tabled) — Record-keeping: keep records describing the measures established and the reasons supporting the assessment of whether the system is high-impact", "framework": "aida", "framework_version": "AIDA — Bill C-27 Part 3, s.10 (tabled, lapsed)", "framework_category": "Record-keeping (s.10)", "level": "advisory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.proof.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "advisory", "notes": "The WORM audit chain is the tamper-evident record-keeping substrate s.10 contemplates; Replay-Proof™ makes the recorded reasoning independently reconstructable. Advisory pending enactment — but this is exactly the artefact a Canadian AI deployment would maintain regardless of AIDA's parliamentary status." }, { "requirement_id": "aida.s11", "title": "Section 11 (as tabled) — Transparency: publish a plain-language description of the high-impact system, its intended use, and the mitigation measures", "framework": "aida", "framework_version": "AIDA — Bill C-27 Part 3, s.11 (tabled, lapsed)", "framework_category": "Transparency / publication (s.11)", "level": "advisory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "The Reporting Engine assembles the plain-language transparency view from the Decision Map ledger + risk classification — the publication s.11 contemplates. Advisory pending enactment." }, { "requirement_id": "aida.s12", "title": "Section 12 (as tabled) — Notification: notify the Minister as soon as feasible if use of the system results or is likely to result in material harm", "framework": "aida", "framework_version": "AIDA — Bill C-27 Part 3, s.12 (tabled, lapsed)", "framework_category": "Serious-harm notification (s.12)", "level": "advisory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "The Incident Detector raises a material-harm signal and the Reporting Engine assembles the notification package — the s.12 notification posture. Advisory pending enactment; the regulator-side delivery channel would be the same per-jurisdiction reporting connector tracked for the enacted Canadian frameworks." } ], "resolution_framing": null }, { "framework": "aifmd-ucits", "display_name": "AIFMD / UCITS — Fund Manager Authority, Risk Management & Investment Limits", "framework_version": "Directive 2011/61/EU & Directive 2009/65/EC", "source": "The Alternative Investment Fund Managers Directive (Directive 2011/61/EU, AIFMD) and the UCITS Directive (Directive 2009/65/EC) govern the management of collective investment undertakings in the EU — the authorisation and conduct of fund managers, the permanent risk-management function, investment limits and diversification rules, and recordkeeping / depositary oversight. KYE Protocol governs whether an AI-assisted investment decision/action is within the fund's mandate and limits, authorised, evidenced, and final at the action boundary, and proves the basis. KYE does not produce investment intelligence, run the risk-management function, judge whether a decision is correct, or act as a fund manager.", "license": "AIFMD (Directive 2011/61/EU) and the UCITS Directive (Directive 2009/65/EC) are EU legislation published in the Official Journal of the European Union. KYE registry cites their fund-management constructs for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Fund manager authorisation & conduct": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Risk-management function & limits": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Investment limits & diversification": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Recordkeeping & depositary oversight": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "aifmd-ucits.fund-manager-authorisation-conduct", "title": "Fund manager authorisation & conduct: an AI-generated fund decision proceeds only under recorded named authority", "framework": "aifmd-ucits", "framework_version": "Directive 2011/61/EU & Directive 2009/65/EC", "framework_category": "Fund manager authorisation & conduct", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "AIFMD and the UCITS Directive require fund managers (AIFMs / UCITS management companies) to act honestly, with due skill, care and diligence, and in the best interests of the funds they manage and their investors. KYE binds every AI-generated fund-management decision that moves toward a consequential action to a recorded named-authority decision and holds it advisory until the named portfolio manager / investment committee records sign-off, via the §36 GovernedUI human-control surface. Enforced by investment_named_authority + investment_committee_signoff_gate. KYE governs whether the decision may proceed and under whose authority; it does not manage the fund or judge whether the decision is correct. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "aifmd-ucits.risk-management-function-limits", "title": "Risk-management function & limits: the risk / limit basis is recorded as a mandate check before the action", "framework": "aifmd-ucits", "framework_version": "Directive 2011/61/EU & Directive 2009/65/EC", "framework_category": "Risk-management function & limits", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "AIFMD Art. 15 and the UCITS risk-management requirements oblige a fund manager to maintain a permanent risk-management function and to set and monitor risk limits. KYE requires an AI-generated fund decision to carry a recorded mandate-check result confirming the consequential action is within the fund's recorded risk limits before it proceeds, under the §25 Edge Governance Safety Floor; a limit-breaching decision is refused and routed dual-channel. Enforced by investment_mandate_check_before_action. KYE proves the limit check was performed; it does not run the risk-management function or set the limits. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "aifmd-ucits.investment-limits-diversification", "title": "Investment limits & diversification: a consequential decision is checked against the fund's recorded investment limits before it proceeds", "framework": "aifmd-ucits", "framework_version": "Directive 2011/61/EU & Directive 2009/65/EC", "framework_category": "Investment limits & diversification", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The UCITS Directive (Arts. 50-57) and AIFMD impose investment limits, eligible-asset rules, and diversification / concentration constraints on the funds. KYE requires an AI-generated fund decision to carry a recorded mandate-check result confirming the consequential action is within the fund's recorded eligible-asset and diversification limits before it proceeds, under the §12 Purpose Permission purpose-scope check; an out-of-limit decision is refused at the action-admissibility gate. Enforced by investment_mandate_check_before_action. KYE proves the limit check was performed; it does not judge whether the resulting portfolio is well-diversified. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "aifmd-ucits.recordkeeping-depositary-oversight", "title": "Recordkeeping & depositary oversight: replay-provable provenance of the basis on which an AI-assisted fund decision proceeded", "framework": "aifmd-ucits", "framework_version": "Directive 2011/61/EU & Directive 2009/65/EC", "framework_category": "Recordkeeping & depositary oversight", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "AIFMD and the UCITS Directive require fund managers to keep records of their activities and provide for depositary oversight of the fund's transactions. KYE requires an AI-generated fund decision that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin binding the model and version, the inputs and pinned evidence-backed research relied on, the limit / mandate check result, and the named-authority outcome, per the §13 Resilience Loop — verifiable offline by the depositary, an auditor, or the competent authority. Enforced by investment_provenance_pin. KYE preserves the basis and its lineage; it does not reproduce the underlying research. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "alberta-pipa", "display_name": "Alberta PIPA — Personal Information Protection Act (Alberta)", "framework_version": "Alberta PIPA — Personal Information Protection Act, S.A. 2003, c. P-6.5 (Alberta)", "source": "Personal Information Protection Act, S.A. 2003, c. P-6.5 (Alberta), recognised as substantially similar to PIPEDA for the Alberta private sector, and notable as the first Canadian private-sector law to require mandatory breach notification to the Commissioner (s.34.1). Consent (ss.7-8), protection of personal information (s.34), and breach notification (s.34.1).", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Consent (ss.7-8)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Protection of personal information (s.34)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (s.34.1)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "alberta-pipa.s7", "title": "Sections 7-8 — Consent: an organisation must not collect, use or disclose personal information about an individual without consent, except as authorised by the Act", "framework": "alberta-pipa", "framework_version": "Alberta PIPA S.A. 2003, c. P-6.5 — ss.7-8", "framework_category": "Consent (ss.7-8)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Alberta PIPA consent maps to Purpose Permission™ on the same primitive as PIPEDA and BC PIPA — an AI-agent use of personal information is admissible only under a consent-scoped grant. Substantially-similar provincial law, same enforcement mechanism." }, { "requirement_id": "alberta-pipa.s34", "title": "Section 34 — Protection of personal information: protect personal information by making reasonable security arrangements against risks such as unauthorised access, collection, use, disclosure, or disposal", "framework": "alberta-pipa", "framework_version": "Alberta PIPA S.A. 2003, c. P-6.5 — s.34", "framework_category": "Protection of personal information (s.34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Authority Resolution + the WORM audit chain discharge the reasonable-security-arrangements duty s.34 requires for the AI-agent processing layer." }, { "requirement_id": "alberta-pipa.s34.1", "title": "Section 34.1 — Breach notification: notify the Commissioner without unreasonable delay of an incident involving the loss of or unauthorised access to personal information where there is a real risk of significant harm", "framework": "alberta-pipa", "framework_version": "Alberta PIPA S.A. 2003, c. P-6.5 — s.34.1", "framework_category": "Breach notification (s.34.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal off the audit log and the Reporting Engine assembles the s.34.1 package. The regulator-side delivery channel to the OIPC of Alberta is designed pending the per-jurisdiction reporting connector (tracked in IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "api-580-581", "display_name": "API 580 / API 581 — Risk-Based Inspection (RBI) for fixed equipment in the oil, gas and petrochemical industry", "framework_version": "2016", "source": "API Recommended Practice 580 (RBI methodology) + API 581 (RBI quantitative technology) governing inspection planning for fixed equipment (vessels, piping, tanks) by probability × consequence of failure. KYE governs the authority and evidence of an AI-recommended inspect/repair/replace action and records the inspection-interval + failure-mode reference vocabulary; KYE does not compute the RBI probability or consequence. Starter requirement set (Wave-Ralph-Industrial); deepen by graft.", "license": "API recommended practices are copyrighted; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 38, "status_counts": { "enforced": 0, "designed": 2, "advisory": 2, "deferred": 0, "out-of-scope": 0 }, "by_category": { "API 580 — RBI methodology": { "total": 2, "enforced": 0, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 38 }, "API 581 — RBI quantitative technology": { "total": 2, "enforced": 0, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 38 } }, "requirements": [ { "requirement_id": "api-580.6.0", "title": "RBI assessment drives inspection interval and action", "framework": "api-580-581", "framework_version": "2016", "framework_category": "API 580 — RBI methodology", "level": "recommended", "kye_enforcement": { "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "Inspection-interval vocabulary (inspection_interval_risk_based) and failure-mode vocabulary are reference data the AI recommendation cites. KYE records the vocabulary; the RBI risk computation is out-of-scope for KYE." }, { "requirement_id": "api-580.10.0", "title": "RBI decision documentation and review", "framework": "api-580-581", "framework_version": "2016", "framework_category": "API 580 — RBI methodology", "level": "recommended", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-recommended inspect/repair/replace decision is contestable and reviewable with a replay-derivable evidence record (§21). Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "api-581.2.4.3", "title": "Probability of failure determination is engineering-owned", "framework": "api-580-581", "framework_version": "2016", "framework_category": "API 581 — RBI quantitative technology", "level": "recommended", "kye_enforcement": { "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "Failure-mode reference data (failure_mode_degradation / failure_mode_sudden) is recorded by KYE; the quantitative probability-of-failure model is the asset owner's, not KYE's. KYE governs whether an action derived from it is admissible." }, { "requirement_id": "api-581.5.0", "title": "Consequence of failure and named accountability for high-consequence actions", "framework": "api-580-581", "framework_version": "2016", "framework_category": "API 581 — RBI quantitative technology", "level": "recommended", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "A repair/replace/shutdown action on a high-consequence asset is advisory pending named-engineer sign-off (named_accountable_engineer). Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "apra-cps-230", "display_name": "APRA CPS 230 — Operational Risk Management", "framework_version": "CPS 230 (effective 1 July 2025)", "source": "Australian Prudential Regulation Authority, Prudential Standard CPS 230 Operational Risk Management (effective 1 July 2025). Operational risk management (paras 13-21), business continuity (paras 30-34), service provider management (paras 35-48).", "license": null, "total": 6, "declared_total": 6, "coverage_pct": 100, "status_counts": { "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Operational risk management (paras 13-21)": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Service provider management (paras 35-48)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Business continuity (paras 30-34)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "apra-cps-230.13", "title": "Paragraph 13 — Effective management of operational risk across the full life cycle of all business operations", "framework": "apra-cps-230", "framework_version": "CPS 230 (effective 1 July 2025)", "framework_category": "Operational risk management (paras 13-21)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "APRA CPS 230 requires an APRA-regulated entity to manage operational risk across the full life cycle of every operation. The Risk Engine + Decision Engine bind each governed action to a contemporaneous risk assessment; the Resilience Loop replays the life-cycle of every operation an AI agent performed." }, { "requirement_id": "apra-cps-230.15", "title": "Paragraph 15 — Maintain a comprehensive operational risk profile and assess the impact of material changes", "framework": "apra-cps-230", "framework_version": "CPS 230 (effective 1 July 2025)", "framework_category": "Operational risk management (paras 13-21)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Material-change impact assessment maps to the Drift Detector + Risk Engine: a change to authority scope, model, or rule pack is re-assessed and recorded before it takes effect, producing the change-impact record CPS 230 para 15 requires." }, { "requirement_id": "apra-cps-230.18", "title": "Paragraph 18 — Effective internal controls, monitoring and assurance over operational risk", "framework": "apra-cps-230", "framework_version": "CPS 230 (effective 1 July 2025)", "framework_category": "Operational risk management (paras 13-21)", "level": "mandatory", "primary_role": "D/V", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authority Resolution (Authority Gate + Purpose Permission™) is the internal control over every agent action; the admissibility decision is the monitoring point CPS 230 para 18 requires, and it is recorded in the WORM audit chain for assurance review." }, { "requirement_id": "apra-cps-230.20", "title": "Paragraph 20 — Notify APRA of operational risk incidents that have a material financial impact or affect the entity's ability to maintain critical operations", "framework": "apra-cps-230", "framework_version": "CPS 230 (effective 1 July 2025)", "framework_category": "Operational risk management (paras 13-21)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector raises the operational-risk-incident signal; Reporting Engine assembles the APRA notification package. The regulator-side delivery channel to APRA is designed pending the per-jurisdiction reporting connector (tracked in IMPLEMENTATION-PLAN.md)." }, { "requirement_id": "apra-cps-230.35", "title": "Paragraph 35 — Maintain a register of material service providers and manage the risks associated with the use of those providers", "framework": "apra-cps-230", "framework_version": "CPS 230 (effective 1 July 2025)", "framework_category": "Service provider management (paras 35-48)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "The §51 SPoF registry IS the material-service-provider register for KYE's own operations: every dependency carries a failure-mode classification. For a regulated customer, the Authority Register enumerates which third-party agent acted under whose authority — the service-provider-risk view CPS 230 para 35 requires." }, { "requirement_id": "apra-cps-230.42", "title": "Paragraph 42 — Critical-operation tolerances and the ability to continue critical operations within tolerance during a disruption", "framework": "apra-cps-230", "framework_version": "CPS 230 (effective 1 July 2025)", "framework_category": "Business continuity (paras 30-34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.signal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "The Edge Governance Safety Floor + Offline Evidence Log keep critical AI-agent operations within tolerance during a control-plane disruption: the Edge Arbiter degrades to the Safety Floor rather than failing open, and evidence keeps accruing offline for later replay — the continuity posture CPS 230 para 42 requires." } ], "resolution_framing": null }, { "framework": "asd-essential-eight", "display_name": "ASD Essential Eight + ASD AI guidance", "framework_version": "ASD Essential Eight Maturity Model (Nov 2023) + ASD AI guidance (2024)", "source": "Australian Signals Directorate (ASD) / Australian Cyber Security Centre (ACSC) Essential Eight Maturity Model (November 2023 release) + ASD 'Engaging with Artificial Intelligence' guidance (2024). Scoped to the mitigation strategies KYE's runtime-authority + evidence layer can enforce for the AI-agent action path.", "license": "ASD/ACSC publications are Commonwealth of Australia works published under CC BY 4.0.", "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Restrict administrative privileges": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Multi-factor authentication": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Monitoring, logging & detection": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "AI supply-chain governance": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "asd-essential-eight.e8-restrict-admin", "title": "Essential Eight — Restrict administrative privileges (least-privilege administration, validated and time-bound privileged access)", "framework": "asd-essential-eight", "framework_version": "ASD Essential Eight Maturity Model (November 2023 release)", "framework_category": "Restrict administrative privileges", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Restrict-administrative-privileges maps to Authority Resolution: every privileged AI action is scoped to a granted, time-bound authority; the Authority Revocation Orchestrator removes standing privilege. This is least-privilege enforced at the action boundary, not at provisioning time only." }, { "requirement_id": "asd-essential-eight.e8-mfa", "title": "Essential Eight — Multi-factor authentication for privileged and high-risk actions", "framework": "asd-essential-eight", "framework_version": "ASD Essential Eight Maturity Model (November 2023 release)", "framework_category": "Multi-factor authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "WebAuthn step-up enforces multi-factor re-authentication for high-risk/privileged AI actions; the step-up event is recorded in the Decision Map, discharging the Essential Eight MFA control for the AI-agent action path." }, { "requirement_id": "asd-essential-eight.e8-monitoring", "title": "Essential Eight + ASD AI guidance — centralised, tamper-evident logging and monitoring of security-relevant events for detection and incident response", "framework": "asd-essential-eight", "framework_version": "ASD Essential Eight Maturity Model (Nov 2023) + ASD 'Engaging with Artificial Intelligence' guidance (2024)", "framework_category": "Monitoring, logging & detection", "level": "mandatory", "primary_role": "D/V", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal", "internal" ], "worm_tables": [], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "The §35 Streaming Logs Contract streams security-relevant events to a tamper-evident sink at the moment of the event; the §30 WORM audit chain is append-only. This is the centralised, tamper-evident monitoring the Essential Eight + ASD AI guidance require for the AI-agent action plane." }, { "requirement_id": "asd-essential-eight.asd-ai-supply-chain", "title": "ASD 'Engaging with Artificial Intelligence' guidance — understand and govern the AI supply chain, including which components and authorities an AI system acts under", "framework": "asd-essential-eight", "framework_version": "ASD 'Engaging with Artificial Intelligence' guidance (2024)", "framework_category": "AI supply-chain governance", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ASD AI guidance asks organisations to understand the AI supply chain. The Authority Register enumerates which agent/tool acted under whose authority across the chain, and the tool-call ledger records every component invocation — the supply-chain visibility ASD recommends." } ], "resolution_framing": null }, { "framework": "at-dsg", "display_name": "Datenschutzgesetz (DSG, BGBl. I Nr. 165/1999, as amended 2018)", "framework_version": "BGBl. I Nr. 165/1999 (as amended 2018)", "source": "Datenschutzgesetz (DSG, BGBl. I Nr. 165/1999, as amended 2018). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Austria. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Austria-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "at-dsg.gdpr-transposition", "title": "Datenschutzgesetz (DSG, BGBl. I Nr. 165/1999, as amended 2018) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Austria national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "at-dsg", "framework_version": "Datenschutzgesetz (DSG, BGBl. I Nr. 165/1999, as amended 2018)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Datenschutzgesetz (DSG, BGBl. I Nr. 165/1999, as amended 2018) is the national implementing/supplementing statute for the GDPR in Austria. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔austria. This registry maps only the Austria-specific national deltas below." }, { "requirement_id": "at-dsg.supervisory-authority", "title": "Cooperation with the national supervisory authority (the Datenschutzbehörde (DSB)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "at-dsg", "framework_version": "at-dsg national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the Datenschutzbehörde (DSB) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the Datenschutzbehörde (DSB) remain tenant-side." }, { "requirement_id": "at-dsg.breach-notification", "title": "Personal-data breach notification to the Datenschutzbehörde (DSB) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "at-dsg", "framework_version": "at-dsg national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the Datenschutzbehörde (DSB)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "au-ai-guardrails", "display_name": "Australian Government Mandatory AI Guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "source": "Department of Industry, Science and Resources (DISR), 'Safe and responsible AI in Australia' Proposals Paper for introducing mandatory guardrails for AI in high-risk settings + the Voluntary AI Safety Standard (September 2024). 10 guardrails.", "license": null, "total": 10, "declared_total": 10, "coverage_pct": 90, "status_counts": { "enforced": 9, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Accountability & governance": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Risk management": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Data governance & security": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Testing & monitoring": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Human oversight": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Transparency": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supply-chain transparency": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Record-keeping": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Stakeholder engagement": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "au-ai-guardrails.G1", "title": "Guardrail 1 — Establish, implement and publish an accountability process including governance, internal capability and a strategy for regulatory compliance", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Accountability & governance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.purpose.request.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/00-INDEX.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Guardrail 1 requires a published accountability process. Purpose Permission™ binds every AI action to a declared accountable purpose-holder; the §0.3 self-governance attestation IS the published, machine-checkable accountability record." }, { "requirement_id": "au-ai-guardrails.G2", "title": "Guardrail 2 — Establish and implement a risk management process to identify and mitigate risks", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Risk management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Risk Engine produces a per-action risk assessment; the Decision Engine admissibility check is the mitigation gate. Together they discharge Guardrail 2's identify-and-mitigate obligation at runtime, not in a static document." }, { "requirement_id": "au-ai-guardrails.G3", "title": "Guardrail 3 — Protect AI systems and implement data governance measures to manage data quality and provenance", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Data governance & security", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Data provenance maps to the Data Classification Engine + the Evidence Pack provenance chain: every tool call that supplies data to an AI decision is recorded with its source, so the data lineage Guardrail 3 requires is reconstructable." }, { "requirement_id": "au-ai-guardrails.G4", "title": "Guardrail 4 — Test AI models and systems to evaluate performance and monitor the system once deployed", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Testing & monitoring", "level": "mandatory", "primary_role": "D/V", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.resilience.measurement_record.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Conformance Runner tests the deployed system against declared acceptance criteria; the Drift Detector monitors for intent/behaviour drift after deployment. The pair discharges Guardrail 4's deploy-and-monitor obligation." }, { "requirement_id": "au-ai-guardrails.G5", "title": "Guardrail 5 — Enable human control or intervention in an AI system to achieve meaningful human oversight", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Human oversight", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "governedui_modules": [], "constitution_refs": [ "constitution/36-GOVERNEDUI.md", "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "GovernedUI™ is the human-control surface: approval modes (single_approver, two_person, delegated) put a human in the loop for high-authority actions, and Authority Resolution refuses an action that exceeds the granted scope — the meaningful human oversight Guardrail 5 requires." }, { "requirement_id": "au-ai-guardrails.G6", "title": "Guardrail 6 — Inform end-users regarding AI-enabled decisions, interactions with AI and AI-generated content", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Transparency", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Decision Map records that an AI system made the decision and on what authority; the Evidence Pack is the end-user-disclosable artefact that explains the AI-enabled interaction, discharging Guardrail 6's inform-the-end-user obligation." }, { "requirement_id": "au-ai-guardrails.G7", "title": "Guardrail 7 — Establish processes for people impacted by AI systems to challenge use or outcomes", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Contestability", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.replay.proof.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Replay-Proof™ lets an impacted person (or their representative) reconstruct exactly what happened from the publisher's keys alone — the evidentiary basis a challenge process under Guardrail 7 needs." }, { "requirement_id": "au-ai-guardrails.G8", "title": "Guardrail 8 — Be transparent with other organisations across the AI supply chain about data, models and systems to help them effectively address risks", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Supply-chain transparency", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Authority Register + Cross-Border Evidence agent let an upstream/downstream organisation in the AI supply chain see which agent acted under whose authority — the inter-organisation transparency Guardrail 8 requires." }, { "requirement_id": "au-ai-guardrails.G9", "title": "Guardrail 9 — Keep and maintain records to allow third parties to assess compliance with the guardrails", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Record-keeping", "level": "mandatory", "primary_role": "D/V", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal", "internal" ], "worm_tables": [], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "The WORM audit chain (§30) is append-only and retention-policied; signed Evidence Packs™ are the third-party-assessable records Guardrail 9 requires, sealed at the moment of action." }, { "requirement_id": "au-ai-guardrails.G10", "title": "Guardrail 10 — Engage stakeholders and evaluate their needs and circumstances, with a focus on safety, diversity, inclusion and fairness", "framework": "au-ai-guardrails", "framework_version": "Voluntary AI Safety Standard / Proposals Paper (DISR, September 2024)", "framework_category": "Stakeholder engagement", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "out-of-scope", "notes": "Guardrail 10 is a process-and-policy obligation owned by the customer's own governance function. KYE™ is an evidence layer: it records that the engagement and fairness-evaluation occurred, but does not perform the stakeholder engagement itself. Surfaced via the §49 Universal Engagement Rail intake but not enforced by KYE runtime.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "australia-group", "display_name": "Australia Group — Biological & Chemical Dual-Use Export Controls", "framework_version": "2023", "source": "The Australia Group is an informal multilateral export-control regime that maintains harmonised control lists for dual-use biological agents, plant/animal pathogens, toxins, dual-use biological equipment, and dual-use chemical-weapon precursors to prevent their contribution to chemical / biological weapons programmes. KYE Protocol™ governs whether an AI-generated sequence or molecule that maps to an Australia Group controlled item may PROCEED to a consequential action, binding the dual-use-list screening result. KYE does not classify items against the lists or design molecules.", "license": "Australia Group control lists are published by the regime; KYE registry cites the list categories for mapping purposes and reproduces no list text.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Dual-use biological control list": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Dual-use chemical precursor list": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Controlled-item action gating": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "australia-group.bio-agents", "title": "AI-generated design screened against the dual-use biological agent / toxin list", "framework": "australia-group", "framework_version": "2023", "framework_category": "Dual-use biological control list", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "The Australia Group maintains a control list of human / animal / plant pathogens and toxins. KYE refuses an AI-generated biological design that proceeds toward a consequential action without a recorded screening result against the controlled-agent list. Enforced by biochem_dual_use_screening. Honest scope: KYE proves the screen was checked; it does not classify the agent. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "australia-group.bio-equipment", "title": "Dual-use biological equipment / production context recorded", "framework": "australia-group", "framework_version": "2023", "framework_category": "Dual-use biological control list", "level": "recommended", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "The Australia Group controls dual-use biological equipment alongside agents. KYE records the declared purpose / production context of an AI-generated design in the synthesis-admissibility decision (§12 Purpose Permission purpose-scope), so a controlled-equipment context is visible at the action boundary. Enforced by biochem_synthesis_admissibility. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "australia-group.chem-precursors", "title": "AI-generated molecule screened against the dual-use chemical precursor list", "framework": "australia-group", "framework_version": "2023", "framework_category": "Dual-use chemical precursor list", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "The Australia Group controls chemical-weapon precursor chemicals. KYE refuses an AI-generated chemical design that proceeds toward synthesis without a recorded screening result against the precursor list. Enforced by biochem_dual_use_screening. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "australia-group.controlled-item-gate", "title": "Controlled-item match holds the consequential action for oversight", "framework": "australia-group", "framework_version": "2023", "framework_category": "Controlled-item action gating", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "A screening match against an Australia Group controlled item must hold the consequential action. KYE keeps the AI-generated design advisory and refuses the action until a named oversight sign-off is recorded; matched designs are routed dual-channel to the controls owner. Enforced by biochem_oversight_gate. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "bc-pipa", "display_name": "BC PIPA — Personal Information Protection Act (British Columbia)", "framework_version": "BC PIPA — Personal Information Protection Act, S.B.C. 2003, c. 63 (British Columbia)", "source": "Personal Information Protection Act, S.B.C. 2003, c. 63 (British Columbia), recognised as substantially similar to PIPEDA for the BC private sector. Consent for collection/use/disclosure (ss.6-8), reasonable security safeguards (s.34), and the right of access and correction (ss.23, 24).", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Consent (ss.6-8)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Reasonable security (s.34)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Access + correction (ss.23-24)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "bc-pipa.s6", "title": "Sections 6-8 — Consent: an organisation must not collect, use or disclose personal information without consent, except as permitted by the Act", "framework": "bc-pipa", "framework_version": "BC PIPA S.B.C. 2003, c. 63 — ss.6-8", "framework_category": "Consent (ss.6-8)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "BC PIPA consent maps to Purpose Permission™ exactly as PIPEDA Schedule 1 does: an AI-agent use of personal information is admissible only under a consent-scoped grant. BC PIPA is substantially similar to PIPEDA, so the same enforcement primitive discharges the equivalent obligation." }, { "requirement_id": "bc-pipa.s34", "title": "Section 34 — Reasonable security: an organisation must protect personal information by making reasonable security arrangements", "framework": "bc-pipa", "framework_version": "BC PIPA S.B.C. 2003, c. 63 — s.34", "framework_category": "Reasonable security (s.34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Authority Resolution (access control) + the WORM audit chain (integrity) discharge the reasonable-security-arrangements duty s.34 requires for the AI-agent processing layer." }, { "requirement_id": "bc-pipa.s23", "title": "Sections 23-24 — Access + correction: an individual has a right of access to their personal information and may request correction of an error or omission", "framework": "bc-pipa", "framework_version": "BC PIPA S.B.C. 2003, c. 63 — ss.23-24", "framework_category": "Access + correction (ss.23-24)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The §31 Data Governance Pack DSAR path assembles the access response and records a correction as a supersede. Designed pending the §31 V1.5 promotion gate (tracked in IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "bcbs-239", "display_name": "BCBS 239 — Risk Data Aggregation & Risk Reporting Principles", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "source": "The Basel Committee on Banking Supervision's Principles for effective risk data aggregation and risk reporting (BCBS 239, January 2013) set 14 principles across four areas: overarching governance and infrastructure (P1 governance, P2 data architecture & IT infrastructure), risk data aggregation capabilities (P3 accuracy & integrity, P4 completeness, P5 timeliness, P6 adaptability), risk reporting practices (P7 accuracy, P8 comprehensiveness, P9 clarity & usefulness, P10 frequency, P11 distribution), and supervisory review (P12 review, P13 remedial actions & supervisory measures, P14 home/host cooperation). KYE Protocol™ governs the EVIDENCE side of the principles: every risk report bound to its data-lineage evidence chain before filing or reliance, every embedded number traceable to model_id + version + validation reference, production and distribution provably timestamped, and the whole chain reconstructable offline from published keys. KYE does not build the bank's data architecture, aggregate the risk data, or compute the risk numbers.", "license": "BCBS 239 is published by the Bank for International Settlements and is publicly available; the KYE registry paraphrases each principle's intent and cites the official principle number for mapping purposes only.", "total": 14, "declared_total": 14, "coverage_pct": 50, "status_counts": { "enforced": 7, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 7 }, "by_category": { "Overarching governance & infrastructure (P1–P2)": { "total": 2, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 50 }, "Risk data aggregation capabilities (P3–P6)": { "total": 4, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 75 }, "Risk reporting practices (P7–P11)": { "total": 5, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 2, "coverage_pct": 60 }, "Supervisory review, tools & cooperation (P12–P14)": { "total": 3, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 3, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "bcbs-239.principle1-governance", "title": "Principle 1 — Governance: risk-data aggregation and reporting under board-owned governance with named, recorded authority", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Overarching governance & infrastructure (P1–P2)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "P1 requires risk data aggregation and reporting to be subject to strong, board-owned governance. KYE makes the governance operative at the action boundary: a risk report proceeds to filing or board / supervisory reliance only under a recorded named-authority decision (the named risk-reporting owner / CRO-accountable principal), refused dual-channel when absent, per the §12 Purpose Permission action-admissibility gate. Enforced by risk_report_lineage_capture + model_use_authority via the authority-engine + decision-engine. KYE records who authorised the report to proceed; the bank's governance framework itself is its own." }, { "requirement_id": "bcbs-239.principle2-data-architecture", "title": "Principle 2 — Data architecture and IT infrastructure supporting aggregation in normal and stress conditions", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Overarching governance & infrastructure (P1–P2)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Designing, building, and operating the data architecture and IT infrastructure that aggregates risk data — the warehouses, golden sources, taxonomies, and integration estate — is the bank's own data and technology function. KYE™ is an AI-authority and evidence layer, not a data platform — out of scope by design (§0 honest scope). KYE proves the lineage of what the architecture produced; it does not build or operate the architecture.", "owning_role": "customer" }, { "requirement_id": "bcbs-239.principle3-accuracy-integrity-lineage", "title": "Principle 3 — Accuracy and integrity: every risk report bound to its data-lineage evidence chain (sources, transformations, integrity hash)", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Risk data aggregation capabilities (P3–P6)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "P3 requires risk data to be accurate and reliable, aggregated on a largely automated basis with documented lineage and controlled manual interventions. KYE binds every risk report to its data-lineage evidence chain before it proceeds — the source data assets, every transformation (aggregation, reconciliation, adjustment, manual override) with actor and timestamp, the embedded model outputs by model_id + version, and the integrity hash of the report as assembled — sealed and WORM-retained per §13 + §30. Enforced by risk_report_lineage_capture via the evidence-engine. KYE proves the lineage and pins every manual intervention; it does not perform the aggregation or guarantee the source data's correctness." }, { "requirement_id": "bcbs-239.principle4-completeness", "title": "Principle 4 — Completeness: the lineage chain proves which sources, books, and entities the report aggregated — omissions are visible", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Risk data aggregation capabilities (P3–P6)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "P4 requires a bank to capture and aggregate all material risk data across the group, with exclusions identified and explained. KYE's bound lineage chain enumerates exactly which source data assets, books, and entities the report aggregated — and binds any declared exclusion with its recorded basis — so completeness review is a deterministic comparison of the lineage enumeration against the bank's declared source inventory, not an assertion, per §13 + the §31 data-asset machinery. Enforced by risk_report_lineage_capture via the evidence-engine. KYE makes omissions visible and exclusions recorded; judging materiality of an exclusion is the bank's risk function's own call." }, { "requirement_id": "bcbs-239.principle5-timeliness", "title": "Principle 5 — Timeliness: generating up-to-date aggregated risk data quickly, including in stress / crisis", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Risk data aggregation capabilities (P3–P6)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "The capability to generate aggregated, up-to-date risk data quickly — including in stress and crisis conditions — is a property of the bank's data architecture, compute estate, and operating procedures. KYE™ is an AI-authority and evidence layer, not an aggregation platform — out of scope by design (§0 honest scope). KYE timestamps and seals what was produced and when (which supports demonstrating timeliness after the fact), but the speed capability itself is the bank's own.", "owning_role": "customer" }, { "requirement_id": "bcbs-239.principle6-adaptability", "title": "Principle 6 — Adaptability: ad hoc / bespoke risk reports are reconstructable — the lineage chain replays deterministically", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Risk data aggregation capabilities (P3–P6)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.replay.context_seal.v1", "kye.replay.proof.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "P6 requires aggregation capabilities to be flexible — able to meet ad hoc, bespoke, and supervisory requests, including drill-downs into how a figure was assembled. KYE's contribution is the deterministic replay slice: because every report's lineage chain is sealed under a context seal with a replay proof, an ad hoc supervisory request ('show me how this number was assembled, as of that date') is answered by replaying the sealed chain — same bytes, offline-verifiable, valid at T=0 — per §13 + §21. Enforced by risk_report_lineage_capture via the replay-engine + evidence-engine. KYE makes the assembled report reconstructable on demand; building new bespoke aggregations is the bank's own capability." }, { "requirement_id": "bcbs-239.principle7-reporting-accuracy", "title": "Principle 7 — Accuracy of risk reports: every reported number traces to its model version, validation reference, and lineage — reconciled and verifiable", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Risk reporting practices (P7–P11)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.evidence.pack.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "P7 requires risk reports to accurately convey aggregated risk data and to be reconciled and validated. KYE enforces the traceability half: every model-driven number embedded in a report carries its provenance pin (model_id + exact version + validation reference + inputs), and the report's integrity hash binds the assembled content — so 'where did this number come from and is this the report as filed' is answered cryptographically, per §13. Enforced by model_decision_provenance_pin + risk_report_lineage_capture via the evidence-engine + replay-engine. KYE proves traceability and integrity; the reconciliation and validation of the figures themselves are the bank's risk and finance functions' own work." }, { "requirement_id": "bcbs-239.principle8-comprehensiveness", "title": "Principle 8 — Comprehensiveness: reports cover all material risk areas with appropriate depth", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Risk reporting practices (P7–P11)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Deciding which risk areas are material, what depth a board or supervisor needs, and whether the report's substance covers the firm's actual risk profile is the bank's risk function's own judgment. KYE™ is an AI-authority and evidence layer, not a risk-assessment engine — out of scope by design (§0 honest scope). KYE proves what the report aggregated and how; it does not judge whether that was everything that mattered.", "owning_role": "customer" }, { "requirement_id": "bcbs-239.principle9-clarity-usefulness", "title": "Principle 9 — Clarity and usefulness: reports communicate risk in a clear, concise, decision-useful way", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Risk reporting practices (P7–P11)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "The editorial quality of a risk report — clarity, conciseness, fitness for its board or supervisory audience — is the bank's reporting function's own craft. KYE™ governs the authority and evidence behind the report, not its prose — out of scope by design (§0 honest scope).", "owning_role": "customer" }, { "requirement_id": "bcbs-239.principle10-frequency", "title": "Principle 10 — Frequency: when each report was produced is provably timestamped, so the required cadence is demonstrable", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Risk reporting practices (P7–P11)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "P10 requires risk reports to be produced and distributed at a frequency that matches the recipients' needs and the speed at which the risk can change. KYE enforces the proof slice: every report's production is an evidence-emitting action with a sealed, WORM-retained timestamp, so the achieved cadence is a deterministic query over the evidence chain — demonstrable to a supervisor without assertion, per §13 + §30. Enforced by risk_report_lineage_capture via the evidence-engine. KYE proves WHEN each report was produced and distributed; setting the required cadence and meeting it operationally is the bank's own obligation." }, { "requirement_id": "bcbs-239.principle11-distribution", "title": "Principle 11 — Distribution: who received each report, when, is recorded as evidence while confidentiality is preserved", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Risk reporting practices (P7–P11)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "P11 requires risk reports to be distributed to the relevant parties while maintaining confidentiality. KYE records each distribution as an evidence-emitting action — the report (by integrity hash), the recipients, the timestamp, and the authority under which it was distributed — bound into the report's evidence chain per §13, with outbound delivery riding the §38 Comms Rail's governed channel. Enforced by risk_report_lineage_capture via the evidence-engine. KYE proves who received the report and when; deciding the distribution list is the bank's own governance." }, { "requirement_id": "bcbs-239.principle12-supervisory-review", "title": "Principle 12 — Supervisory review of the bank's compliance with the Principles", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Supervisory review, tools & cooperation (P12–P14)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "P12 is addressed to supervisors — it requires them to periodically review and evaluate a bank's compliance with Principles 1–11. Conducting the supervisory review is the supervisor's own function, and presenting the firm for review is the bank's. KYE™'s sealed evidence chains make the bank's side of that review verifiable offline, but the principle's obligation itself sits outside an AI-authority-governance protocol (§0 honest scope).", "owning_role": "customer" }, { "requirement_id": "bcbs-239.principle13-remedial-actions", "title": "Principle 13 — Remedial actions and supervisory measures for deficiencies", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Supervisory review, tools & cooperation (P12–P14)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "P13 is addressed to supervisors — it requires them to have and use tools and measures to require remedial action for deficiencies in risk data aggregation and reporting. Choosing and applying supervisory measures is the supervisor's own function; executing the remediation programme is the bank's. Out of scope for an AI-authority-governance protocol by design (§0 honest scope).", "owning_role": "customer" }, { "requirement_id": "bcbs-239.principle14-home-host-cooperation", "title": "Principle 14 — Cooperation between home and host supervisors", "framework": "bcbs-239", "framework_version": "BCBS 239 (Principles for effective risk data aggregation and risk reporting, January 2013)", "framework_category": "Supervisory review, tools & cooperation (P12–P14)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "P14 is addressed to supervisors — it requires home and host supervisors to cooperate in reviewing the Principles across borders. Cross-border supervisory cooperation is a regulator-to-regulator function entirely outside the bank's systems and outside an AI-authority-governance protocol (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "be-dpa-2018", "display_name": "Loi du 30 juillet 2018 — Belgian Data Protection Act", "framework_version": "Loi du 30 juillet 2018 relative à la protection des personnes physiques à l’égard des traitements de données à caractère personnel", "source": "Loi du 30 juillet 2018 relative à la protection des personnes physiques à l’égard des traitements de données à caractère personnel. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Belgium. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Belgium-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "be-dpa-2018.gdpr-transposition", "title": "Loi du 30 juillet 2018 relative à la protection des personnes physiques à l’égard des traitements de données à caractère personnel transposes / supplements the GDPR (Reg. (EU) 2016/679) into Belgium national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "be-dpa-2018", "framework_version": "Loi du 30 juillet 2018 relative à la protection des personnes physiques à l’égard des traitements de données à caractère personnel", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Loi du 30 juillet 2018 relative à la protection des personnes physiques à l’égard des traitements de données à caractère personnel is the national implementing/supplementing statute for the GDPR in Belgium. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔belgium. This registry maps only the Belgium-specific national deltas below." }, { "requirement_id": "be-dpa-2018.supervisory-authority", "title": "Cooperation with the national supervisory authority (the Gegevensbeschermingsautoriteit / Autorité de protection des données (APD/GBA)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "be-dpa-2018", "framework_version": "be-dpa-2018 national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the Gegevensbeschermingsautoriteit / Autorité de protection des données (APD/GBA) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the Gegevensbeschermingsautoriteit / Autorité de protection des données (APD/GBA) remain tenant-side." }, { "requirement_id": "be-dpa-2018.breach-notification", "title": "Personal-data breach notification to the Gegevensbeschermingsautoriteit / Autorité de protection des données (APD/GBA) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "be-dpa-2018", "framework_version": "be-dpa-2018 national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the Gegevensbeschermingsautoriteit / Autorité de protection des données (APD/GBA)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "bg-pdpa", "display_name": "Personal Data Protection Act (amended 2019 to implement the GDPR)", "framework_version": "PDPA (amended 2019)", "source": "Personal Data Protection Act (amended 2019 to implement the GDPR). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Bulgaria. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Bulgaria-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "bg-pdpa.gdpr-transposition", "title": "Personal Data Protection Act (amended 2019 to implement the GDPR) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Bulgaria national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "bg-pdpa", "framework_version": "Personal Data Protection Act (amended 2019 to implement the GDPR)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Personal Data Protection Act (amended 2019 to implement the GDPR) is the national implementing/supplementing statute for the GDPR in Bulgaria. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔bulgaria. This registry maps only the Bulgaria-specific national deltas below." }, { "requirement_id": "bg-pdpa.supervisory-authority", "title": "Cooperation with the national supervisory authority (the CPDP (Commission for Personal Data Protection)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "bg-pdpa", "framework_version": "bg-pdpa national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the CPDP (Commission for Personal Data Protection) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the CPDP (Commission for Personal Data Protection) remain tenant-side." }, { "requirement_id": "bg-pdpa.breach-notification", "title": "Personal-data breach notification to the CPDP (Commission for Personal Data Protection) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "bg-pdpa", "framework_version": "bg-pdpa national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the CPDP (Commission for Personal Data Protection)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "bsi-aic4", "display_name": "BSI AIC4 — AI Cloud Service Compliance Criteria", "framework_version": "2021", "source": "BSI (German Federal Office for Information Security), AI Cloud Service Compliance Criteria Catalogue (AIC4), 2021. One of the frameworks the CSA AICM crosswalks to. AICM defines the controls; KYE™ operationalises them. KYE binds the security-and-robustness criteria that resolve at AI-action time and marks the cloud-platform operational and training-environment criteria out of scope.", "license": "BSI AIC4 is published by the BSI; KYE paraphrases each criterion's intent and cites the official identifier for mapping purposes only.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Security & robustness of AI decisions (evidenced at action time)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Performance, bias mitigation & explainability of the decision record": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Cloud-platform operations & training-environment criteria": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "bsi-aic4.security-robustness-action", "title": "Security & robustness — an AI decision is authorised, evidenced and replay-provable at the moment it occurs", "framework": "bsi-aic4", "framework_version": "BSI AIC4 (2021) · Security & Robustness / Reliability", "framework_category": "Security & robustness of AI decisions (evidenced at action time)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.pack.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AIC4's security, robustness and reliability criteria require that AI behaviour be controlled and verifiable. KYE authorises each consequential action, writes a signed Evidence Pack, and emits a Replay-Proof™ derivable from public keys — the criterion is resolved per action, not asserted once." }, { "requirement_id": "bsi-aic4.performance-bias-explainability", "title": "Performance, bias mitigation & explainability — the AI decision record captures the inputs, policy and rationale", "framework": "bsi-aic4", "framework_version": "BSI AIC4 (2021) · Performance & Functionality / Bias / Explainability", "framework_category": "Performance, bias mitigation & explainability of the decision record", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AIC4's explainability and performance criteria require that an AI decision can be examined after the fact. KYE's Decision Map records the inputs, policy and rationale for each action; the contract is locked and the per-criterion runtime surface is in build. KYE governs the decision record, not the model's internal statistical bias testing." }, { "requirement_id": "bsi-aic4.cloud-platform-operations", "title": "Cloud-platform operations, data centre & training-environment criteria", "framework": "bsi-aic4", "framework_version": "BSI AIC4 (2021) · Operations / Data Management (training)", "framework_category": "Cloud-platform operations & training-environment criteria", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Cloud-platform operations, data-centre controls and the model-training environment are operated by the cloud service provider and the model developer, not by KYE™. KYE governs how the model's actions resolve at run time — it does not operate the infrastructure or train the model. Out of scope (§0 honest scope).", "owning_role": "cloud-service-provider" } ], "resolution_framing": null }, { "framework": "canada-cdb", "display_name": "Canada Consumer-Driven Banking Framework (open banking)", "framework_version": "Consumer-Driven Banking Framework — Consumer-Driven Banking Act (enacted via Budget Implementation Act, 2024, No. 1), framework being stood up by the Financial Consumer Agency of Canada", "source": "Consumer-Driven Banking Act, enacted through the Budget Implementation Act, 2024, No. 1 (Bill C-69), establishing Canada's consumer-driven banking (open banking) framework. Accreditation of participating entities, consumer consent + control over data sharing, a common technical/security standard, and the senior-officer / FCAC oversight role. The framework's detailed rules are being developed by the Financial Consumer Agency of Canada; this mapping anchors the statutory pillars.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Accreditation of participants": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Consumer consent + data-sharing control": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Common technical + security standard": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Oversight + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "canada-cdb.accreditation", "title": "Accreditation: only accredited entities may participate in the consumer-driven banking framework, subject to ongoing eligibility and governance criteria", "framework": "canada-cdb", "framework_version": "Consumer-Driven Banking Act — accreditation", "framework_category": "Accreditation of participants", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/10-PARTNER.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Authority Register models which participant / AI agent is accredited to act in the data-sharing network under whose authority — the accredited-participant register the framework establishes. Designed: the detailed accreditation criteria are being developed by the FCAC, so the binding to the live accreditation rule-set is tracked in IMPLEMENTATION-PLAN.md." }, { "requirement_id": "canada-cdb.consent", "title": "Consumer consent + control: data may be shared only with the consumer's express, informed, revocable consent, scoped to the data and purpose the consumer authorises", "framework": "canada-cdb", "framework_version": "Consumer-Driven Banking Act — consumer consent", "framework_category": "Consumer consent + data-sharing control", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Purpose Permission™ is the consumer-consent primitive: a data-sharing grant carries the consumer's authorised data scope and purpose, the admissibility check refuses any access outside it, and a revocation cascade honours a withdrawal of consent — the express, scoped, revocable consent the consumer-driven banking framework requires." }, { "requirement_id": "canada-cdb.technical-standard", "title": "Common technical + security standard: participants must share data through a common, secure technical interface meeting the prescribed security standard", "framework": "canada-cdb", "framework_version": "Consumer-Driven Banking Act — technical standard", "framework_category": "Common technical + security standard", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "Authority Resolution is the access-control layer over a data-sharing interface, and the WORM audit chain is the integrity record of every cross-participant access. Designed: the prescribed common technical standard is still being set by the FCAC, so conformance to the published interface specification is tracked in IMPLEMENTATION-PLAN.md." }, { "requirement_id": "canada-cdb.oversight", "title": "Oversight + accountability: participants must maintain accountability for data shared under the framework and submit to FCAC oversight", "framework": "canada-cdb", "framework_version": "Consumer-Driven Banking Act — oversight", "framework_category": "Oversight + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every data-sharing action traces through the Authority Graph to a named accountable participant, and the Decision Map ledger + attestation give the FCAC oversight function a complete, tamper-evident account of what was shared, with whom, and under whose consent — the accountability-and-oversight posture the framework requires." } ], "resolution_framing": null }, { "framework": "ch-nfadp", "display_name": "nFADP / revDSG — revised Federal Act on Data Protection (in force 1 Sept 2023)", "framework_version": "nFADP (in force 2023)", "source": "nFADP / revDSG — revised Federal Act on Data Protection (in force 1 Sept 2023). Switzerland is outside the EU/EEA and enacts its own GDPR-aligned data-protection statute under an EU adequacy decision; KYE maps the national deltas and edges AI/security obligations to the EU-wide frameworks where Swiss law references them.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "National statute (non-EU, adequacy)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Cross-border transfer / adequacy (non-EU)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "ch-nfadp.nfadp-basis", "title": "nFADP / revDSG — revised Federal Act on Data Protection (in force 1 Sept 2023) — Switzerland’s own (GDPR-aligned, not transposing) federal data-protection statute; substantive notice / proportionality / data-subject-rights obligations", "framework": "ch-nfadp", "framework_version": "nFADP / revDSG — revised Federal Act on Data Protection (in force 1 Sept 2023)", "framework_category": "National statute (non-EU, adequacy)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The nFADP is GDPR-aligned but a sovereign Swiss statute (Switzerland is non-EU/EEA, under an EU adequacy decision). Purpose Permission™ + the Decision Map discharge the lawful-purpose + accountability obligations for an AI-agent processing operation; the FDPIC registration / DPIA-equivalent duties remain tenant-side." }, { "requirement_id": "ch-nfadp.supervisory-authority", "title": "Cooperation with the national supervisory authority (the FDPIC) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "ch-nfadp", "framework_version": "ch-nfadp national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the FDPIC can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the FDPIC remain tenant-side." }, { "requirement_id": "ch-nfadp.breach-notification", "title": "Personal-data breach notification to the FDPIC (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "ch-nfadp", "framework_version": "ch-nfadp national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the FDPIC's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." }, { "requirement_id": "ch-nfadp.adequacy-cross-border", "title": "nFADP cross-border transfer regime — Switzerland is a non-EU country with an EU adequacy decision; transfers to Switzerland and onward require an adequate level of protection or appropriate safeguards", "framework": "ch-nfadp", "framework_version": "nFADP Art. 16-17", "framework_category": "Cross-border transfer / adequacy (non-EU)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "Switzerland is outside the EU/EEA but holds an EU adequacy decision and itself recognises EU adequacy. The Authority Gate restricts the transfer surface and the Evidence Pack records the transfer basis; binding residency/transfer-basis attestation to the nFADP regime is designed pending the per-jurisdiction residency connector. nFADP substantive obligations (notice, DPIA-equivalent, FDPIC registration) are GDPR-aligned but NOT a GDPR transposition — Switzerland enacts its own statute." } ], "resolution_framing": null }, { "framework": "cisa-cdm", "display_name": "CISA CDM — Continuous Diagnostics and Mitigation (AI-agent asset accountability)", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "source": "CISA Continuous Diagnostics and Mitigation (CDM) Program — capability areas: Asset Management (HWAM/SWAM/CSM/VUL), Identity & Access Management (TRUST/CRED/PRIV/BEHAVE), Network Security Management (BOUND/MNGEVT), Data Protection Management (DPM). Mapped to the agentic-AI asset surface: an AI agent that holds credentials, reaches data, and acts on systems is a reportable cyber asset.", "license": "U.S. Government work — CISA CDM program documentation is public", "total": 11, "declared_total": 11, "coverage_pct": 100, "status_counts": { "enforced": 11, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Asset Management (what is on the network / acting)": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Identity & Access Management (who/what is on the network)": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Network Security Management (what is happening on the network)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Data Protection Management (how is data protected)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "cisa-cdm.HWAM", "title": "Asset Management — HWAM: inventory every device/agent acting on the network (for AI: every agent that can act is a reportable asset)", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Asset Management (what is on the network / acting)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "registries": [ "internal" ], "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:manifest-canonical" }, "notes": "The §14 agent registry is the CDM-style AI-asset inventory: every agent that can call tools, move data, spend money, approve decisions, update records, or trigger workflows is registered as a reportable authority-bearing asset (accountable_owner, scope_partition, risk_tier, kill_switch). Inventory is the floor, not the control: KYE governs the authority of every action the agent takes at the moment it forms, not merely that the agent exists." }, { "requirement_id": "cisa-cdm.SWAM", "title": "Asset Management — SWAM: inventory the software/models/tools each agent is composed of", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Asset Management (what is on the network / acting)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "registries": [ "internal" ], "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:delegated-agent-binding-coverage" }, "notes": "The agent record's model_provider + tools_mcp[] fields are the software/model bill-of-materials for each agent; the §52 MCP allow-list bounds which tools/MCP servers an agent may call." }, { "requirement_id": "cisa-cdm.CSM", "title": "Asset Management — CSM: manage configuration settings against an approved baseline before deployment", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Asset Management (what is on the network / acting)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/18-OPERATING-MODEL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:implementation-canonical" }, "notes": "KYE Operating Model™ (§18) is the approved operating design declared and reviewed BEFORE deployment — the configuration baseline an agent's runtime behaviour is held against; the operating-model rule pack denies action when no active model is present." }, { "requirement_id": "cisa-cdm.VUL", "title": "Asset Management — VUL: detect deviation of live behaviour from the approved design (vulnerability/variance)", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Asset Management (what is on the network / acting)", "level": "mandatory", "primary_role": "V", "kye_enforcement": { "engines": [ "internal" ], "audit_events": [ "kye.reality_coupling_check.v1", "kye.agency_drift.event.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Reality Coupling™ (§13) continuously compares live agent behaviour against the approved Operating Model and surfaces variance as it happens (agency_drift) — the CDM 'continuous diagnostics' loop applied to agentic behaviour: agent exceeds declared purpose, uses an unapproved tool, accesses a new data class, acts after authority expiry." }, { "requirement_id": "cisa-cdm.TRUST", "title": "Identity & Access Management — TRUST: determine who/what is acting and on whose behalf", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Identity & Access Management (who/what is on the network)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Know Your Entity resolution: every proposed action resolves to a principal, an actor, and an accountable owner before authority is decided (kye.proposed_action.v1 origin: source_entity_id / principal_entity_id / accountable_entity_id). Authorised does not imply safe; the action must also be declared (Action Declaration → Action Admissibility)." }, { "requirement_id": "cisa-cdm.CRED", "title": "Identity & Access Management — CRED: bind credentials/authority tokens with expiry and revocation", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Identity & Access Management (who/what is on the network)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:manifest-canonical" }, "notes": "Authority tokens (authority_envelope + delegation) carry principal · delegate · agent · purpose · scope · expiry · evidence requirement · revocation pointer; runtime tokens and credentials are revocable on demand via POST /v1/runtime/tokens/revoke + /v1/credentials/{id}/revoke (immediate revocation of a compromised agent's authority)." }, { "requirement_id": "cisa-cdm.PRIV", "title": "Identity & Access Management — PRIV: enforce least privilege / bounded purpose at the action boundary", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Identity & Access Management (who/what is on the network)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Purpose Permission™ (§12) is least privilege for agents: an action is admissible only within the agent's bounded_purpose and declared scope; ambient or scope-exceeding authority is denied at the PDP." }, { "requirement_id": "cisa-cdm.BEHAVE", "title": "Identity & Access Management — BEHAVE: monitor agent behaviour against expected operating design", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Identity & Access Management (who/what is on the network)", "level": "recommended", "primary_role": "V", "kye_enforcement": { "engines": [ "internal" ], "audit_events": [ "kye.agency_drift.event.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:delegated-agent-binding-coverage" }, "notes": "Behavioural drift (agent delegates to an undeclared sub-agent, changes jurisdiction/context, uses revoked memory) is surfaced by Reality Coupling + the §52 delegated-agent binding posture signal." }, { "requirement_id": "cisa-cdm.BOUND", "title": "Network Security Management — BOUND: manage boundaries / isolate each tenant and trust domain", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Network Security Management (what is happening on the network)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:database-tenancy-canonical" }, "notes": "§0.11 Zero Contamination + tenant-scoped data planes: every tenant-scoped query carries a trust_domain predicate; cross-tenant access is a boundary violation surfaced as a drift event. Network boundary management at the authority layer." }, { "requirement_id": "cisa-cdm.MNGEVT", "title": "Network Security Management — MNGEVT: prepare for and respond to events (suspend / revoke / freeze)", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Network Security Management (what is happening on the network)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Immediate response to a compromised/drifting agent via POST /v1/entities/{id}/suspend + /v1/delegations/{id}/revoke + /v1/access-rights/{id}/revoke, with the action recorded in the WORM audit chain. Every revocation is a reportable authority event." }, { "requirement_id": "cisa-cdm.DPM", "title": "Data Protection Management — DPM: protect data with tamper-evident, replayable evidence of every access decision", "framework": "cisa-cdm", "framework_version": "CISA CDM Program — DEFEND capability areas A–D", "framework_category": "Data Protection Management (how is data protected)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "WORM append-only audit (D1 triggers + R2 Object Lock) + Evidence Pack™ give a tamper-evident, replay-verifiable record of every authority decision over protected data — the CDM Data Protection capability, evidenced rather than asserted." } ], "resolution_framing": null }, { "framework": "clia", "display_name": "CLIA — US Clinical Laboratory Improvement Amendments (42 CFR Part 493)", "framework_version": "42 CFR Part 493", "source": "The Clinical Laboratory Improvement Amendments (CLIA), implemented at 42 CFR Part 493, set US federal quality standards for laboratory testing performed on human specimens for diagnosis, prevention or treatment. KYE Protocol™ governs the test-record and result-reporting integrity slices (Subpart J recordkeeping), the audit-trail/electronic-records slice, and the authority slice where an AI-supported algorithm contributes to a reportable result. KYE™ does not perform testing, run proficiency testing, validate analytical performance, or assess personnel competency.", "license": "42 CFR Part 493 is US federal regulation in the public domain; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 6, "declared_total": 6, "coverage_pct": 58, "status_counts": { "enforced": 3, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 2 }, "by_category": { "Test records & result-report integrity (Subpart J, 493.1105/1291)": { "total": 2, "enforced": 1, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 75 }, "Audit trail for electronic test records": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Authority & oversight of AI-supported result generation (Subpart M)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Analytic systems quality & validation (Subpart K)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Proficiency testing & personnel competency (Subparts H, M)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "clia.493.1105-record-retention", "title": "493.1105 — Test records and reports are retained and remain retrievable for the required period", "framework": "clia", "framework_version": "42 CFR 493.1105", "framework_category": "Test records & result-report integrity (Subpart J, 493.1105/1291)", "level": "mandatory", "kye_enforcement": { "engines": [ "internal" ], "r2_buckets": [ "kye-evidence-archive" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "493.1105 sets minimum retention periods for test requisitions, records and reports. KYE's §30 retention policy + R2 Object Lock archive retains the AI-action evidence for a defined period. Designed: binding the CLIA per-record-type retention period (e.g. test reports ≥ 2 years) to the §30 retention-policy table is in build. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "clia.493.1291-report-integrity", "title": "493.1291 — Reported test results are attributable, accurate, and any correction is traceable", "framework": "clia", "framework_version": "42 CFR 493.1291", "framework_category": "Test records & result-report integrity (Subpart J, 493.1105/1291)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "493.1291 governs the test report and the handling of corrected reports. Where an AI-supported algorithm contributes to a reportable result, KYE™ binds the decision map under a context seal so the AI contribution to the result is attributable and any correction is itself an appended, signed evidence event. Covers the AI contribution to the report; the laboratory's LIS report controls are its own system." }, { "requirement_id": "clia.audit-trail", "title": "Electronic test records carry a tamper-evident audit trail of every AI-driven change", "framework": "clia", "framework_version": "42 CFR 493.1105 / 493.1291 (electronic-record audit trail)", "framework_category": "Audit trail for electronic test records", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "worm_tables": [ "evidence_events" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "CLIA recordkeeping requires that test records remain accurate and retrievable; for electronic records this implies a secure audit trail of changes. KYE writes AI-action evidence to a §30 WORM append-only hash-chain so every AI-driven change to a test record is tamper-evident. Covers the AI-action audit trail only." }, { "requirement_id": "clia.493.1445-ai-oversight", "title": "Subpart M — A qualified, named individual authorises AI-supported result generation before it is reported", "framework": "clia", "framework_version": "42 CFR 493 Subpart M (493.1441-1495 personnel responsibilities)", "framework_category": "Authority & oversight of AI-supported result generation (Subpart M)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-06", "notes": "CLIA Subpart M assigns result-review and reporting responsibilities to qualified personnel (technical supervisor / testing personnel). KYE's Purpose Permission™ scopes an AI agent's authority to contribute to a reportable result to an explicit, named grant. Designed: the CLIA-role → KYE-authorisation binding is in build; the admissibility primitive is live." }, { "requirement_id": "clia.493-subpart-k-analytic-systems", "title": "Subpart K — Analytic-system quality control and method validation", "framework": "clia", "framework_version": "42 CFR 493 Subpart K (493.1200-1299)", "framework_category": "Analytic systems quality & validation (Subpart K)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Establishment of performance specifications, quality control of the analytic system, and validation of test methods are the laboratory's analytic functions. KYE™ is an AI-authority and evidence layer, not an analytic-validation system — out of scope (§0 honest scope).", "owning_role": "customer" }, { "requirement_id": "clia.493-pt-competency", "title": "Subparts H & M — Proficiency testing and personnel competency assessment", "framework": "clia", "framework_version": "42 CFR 493 Subpart H (493.801-865) + Subpart M competency", "framework_category": "Proficiency testing & personnel competency (Subparts H, M)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Enrolment in and successful performance of proficiency testing, and the six-element competency assessment of testing personnel, are the laboratory's own quality and HR functions. Out of scope for an AI-authority-governance protocol (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "colorado-sb21-169", "display_name": "Colorado SB21-169 — Insurers' Use of External Consumer Data & AI", "framework_version": "Colorado SB21-169 (Restrict Insurers' Use of External Consumer Data; C.R.S. §10-3-1104.9) + Division of Insurance regulations", "source": "Colorado SB21-169 (codified at C.R.S. §10-3-1104.9) and the implementing Division of Insurance regulations prohibit insurers from using external consumer data and information sources, algorithms, or predictive models in a way that unfairly discriminates against consumers based on protected characteristics, and require insurers to test for, document, and remediate such discrimination, and to provide consumers with the reasons for adverse decisions. KYE Protocol™ governs whether an AI-assisted underwriting or claims decision relying on external data may PROCEED to a consequential adverse action — under a named authority, with a recorded adverse-action reason-code, with proxy-discrimination / fairness-evidence captured, and an appeal / contestability record. KYE does not price risk, choose the external data sources, or design the discrimination-testing methodology.", "license": "Colorado SB21-169 and the C.R.S. are public statutory works; KYE registry paraphrases each requirement's intent and cites the statutory section for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Adverse-action reason explainability to the consumer": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "External-data proxy-discrimination evidence": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Named-authority on the external-data-driven decision": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "External data source selection & pricing on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "colorado-sb21-169.adverse-action-explainability", "title": "A consequential adverse action proceeds only with a recorded adverse-action reason-code + evidence", "framework": "colorado-sb21-169", "framework_version": "Colorado SB21-169 (Restrict Insurers' Use of External Consumer Data; C.R.S. §10-3-1104.9) + Division of Insurance regulations", "framework_category": "Adverse-action reason explainability to the consumer", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Colorado SB21-169 requires insurers to give consumers the specific reasons for an adverse decision driven by external data and algorithms. KYE requires the adverse-action reason-code and the evidence the reason rests on (the principal factors and the pinned source for each material factor) to be recorded before an AI-assisted decision proceeds to a consequential adverse action, at the §12/§13 envelopes, refusing a black-box decline. Enforced by insurance_adverse_action_explainability via the decision-engine + evidence-engine. KYE proves a meaningful reason-code + evidence was recorded; it does not judge whether the reason is actuarially correct." }, { "requirement_id": "colorado-sb21-169.external-data-discrimination-evidence", "title": "Proxy-discrimination / fairness-evidence is captured before an external-data-driven decision proceeds", "framework": "colorado-sb21-169", "framework_version": "Colorado SB21-169 (Restrict Insurers' Use of External Consumer Data; C.R.S. §10-3-1104.9) + Division of Insurance regulations", "framework_category": "External-data proxy-discrimination evidence", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Colorado SB21-169 requires insurers to test for and document unfair discrimination from external-data-driven algorithms. KYE binds a signed, replay-provable fairness-evidence record (the proxy-discrimination check applied, the disparate-impact result, the data fields tested, the named-authority outcome) under a context seal to every consequential AI-assisted decision, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by insurance_fairness_evidence_capture via the evidence-engine + replay-engine. KYE proves the fairness check evidence was captured and is replay-provable; it does not select the external data sources or design the testing methodology." }, { "requirement_id": "colorado-sb21-169.external-data-decision-authority", "title": "An external-data-driven AI decision proceeds only under a recorded named-authority decision and appeal record", "framework": "colorado-sb21-169", "framework_version": "Colorado SB21-169 (Restrict Insurers' Use of External Consumer Data; C.R.S. §10-3-1104.9) + Division of Insurance regulations", "framework_category": "Named-authority on the external-data-driven decision", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Colorado SB21-169 requires governance and consumer-facing accountability for external-data-driven decisions. KYE binds a recorded named-authority decision and an appeal / contestability record (a stable decision identifier, the inputs and authority and evidence it rested on, and a reconstruction / appeal route) to every consequential AI-assisted decision, per §12 + §21. Enforced by insurance_underwriting_decision_authority + insurance_appeal_contestability_record via the authority-engine + replay-engine. KYE proves who authorised it and makes it contestable; it does not adjudicate the appeal." }, { "requirement_id": "colorado-sb21-169.external-data-source-selection-pricing", "title": "External data source selection and risk pricing on the merits", "framework": "colorado-sb21-169", "framework_version": "Colorado SB21-169 (Restrict Insurers' Use of External Consumer Data; C.R.S. §10-3-1104.9) + Division of Insurance regulations", "framework_category": "External data source selection & pricing on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Choosing which external consumer data sources to use, pricing the risk, and designing the discrimination-testing methodology are the insurer's own actuarial and model-governance judgments. KYE™ is an AI-authority and evidence layer, not a pricing or data-selection engine — out of scope by design (§0 honest scope). KYE proves who authorised the decision and that fairness-evidence was captured; it does not select the data or set the price.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "companies-act-2006", "display_name": "UK Companies Act 2006 — Records, True & Fair Accounts & Companies House Filing", "framework_version": "2006", "source": "The Companies Act 2006 governs the preparation, approval, and filing of statutory accounts in the United Kingdom. It requires companies to keep adequate accounting records (s.386), prohibits directors from approving accounts unless they give a true and fair view (s.393), requires the directors' report and accounts to be approved by the board and signed (s.414/s.415/s.418), and requires the accounts to be filed with the Registrar of Companies (Companies House) within statutory deadlines (s.441/s.442). KYE Protocol™ governs whether an AI-generated financial entry / statement / filing may PROCEED to a consequential action — posting a journal, approving the statutory accounts, or filing with Companies House — under a named accountant's / director's authority, with due diligence recorded before the action and replay-provable provenance, and with §36 two-person sign-off on the irreversible Companies House submission. KYE does not compute the numbers, prepare the accounts, or judge whether the accounts are correct.", "license": "The Companies Act 2006 is UK primary legislation published under Crown copyright (Open Government Licence); KYE registry cites its sections for mapping purposes.", "total": 5, "declared_total": 5, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 5, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Adequate accounting records": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "True & fair view": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Director responsibility & approval": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Filing with the Registrar (Companies House)": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "companies-act-2006.s386-adequate-records", "title": "Adequate accounting records (s.386) behind an AI-generated entry kept & provenance-pinned", "framework": "companies-act-2006", "framework_version": "2006", "framework_category": "Adequate accounting records", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "Companies Act 2006 s.386 requires every company to keep adequate accounting records sufficient to show and explain its transactions and to disclose its financial position with reasonable accuracy. KYE requires an AI-generated entry to bind, in its provenance pin, the digital source records (transactions, ledgers, trial balance) it was derived from before it proceeds to be posted or filed, per the §13 Resilience Loop. Enforced by accounting_provenance_pin + accounting_due_diligence_before_action. Honest scope: KYE preserves the record and its lineage; it does not compute the numbers. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "companies-act-2006.s393-true-and-fair", "title": "True & fair view (s.393): recognition / measurement basis recorded before the accounts are approved", "framework": "companies-act-2006", "framework_version": "2006", "framework_category": "True & fair view", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "Companies Act 2006 s.393 prohibits directors from approving accounts unless they are satisfied the accounts give a true and fair view. KYE requires the recognition-and-measurement / true-and-fair basis determination to be recorded in the due-diligence result before an AI-generated statement proceeds to approval, under the §12 Purpose Permission purpose-scope check. Enforced by accounting_due_diligence_before_action. KYE proves the basis was assessed; it does not assess the true-and-fair view itself. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "companies-act-2006.s414-director-responsibility", "title": "Director responsibility & board approval (s.414): named-authority decision before approval", "framework": "companies-act-2006", "framework_version": "2006", "framework_category": "Director responsibility & approval", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "Companies Act 2006 s.414 requires the annual accounts to be approved by the board of directors and signed on behalf of the board by a director, with a directors' responsibility statement. KYE binds every AI-generated statement to a named-authority decision and holds it advisory until a named accountant / director records sign-off, via the §36 GovernedUI human-control surface; unreviewed AI-driven approvals are refused and routed dual-channel. Enforced by accounting_named_authority + accounting_signoff_gate. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "companies-act-2006.s441-filing-with-registrar", "title": "Filing of accounts with the Registrar (s.441): irreversible Companies House submission requires §36 two-person sign-off", "framework": "companies-act-2006", "framework_version": "2006", "framework_category": "Filing with the Registrar (Companies House)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "Companies Act 2006 s.441 requires the directors of a company to deliver to the Registrar of Companies (Companies House) a copy of the company's annual accounts and reports for each financial year. This is the killer consequential action — an irreversible, public-record submission that cannot be unwound. KYE treats the Companies House filing as a consequential accounting action requiring §36 GovernedUI two-person sign-off (the preparing accountant AND an approving director) before it commits, and refuses an AI-generated filing absent a recorded named-authority decision and dual sign-off. Enforced by accounting_signoff_gate + accounting_named_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "companies-act-2006.s442-filing-deadlines", "title": "Filing deadlines (s.442): submission integrity & due diligence before the Companies House deadline", "framework": "companies-act-2006", "framework_version": "2006", "framework_category": "Filing with the Registrar (Companies House)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "Companies Act 2006 s.442 sets the period for filing accounts with the Registrar (nine months after the accounting reference date for a private company, six for a public company), with civil penalties for late delivery. KYE treats a Companies House submission as a consequential action and refuses an AI-generated filing absent a recorded due-diligence result, under the §12 Purpose Permission purpose-scope check, so a deadline-driven automated submission still carries the due-diligence and authority evidence. Enforced by accounting_due_diligence_before_action. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "coshh", "display_name": "COSHH — Control of Substances Hazardous to Health Regulations 2002 (UK)", "framework_version": "2002", "source": "UK Control of Substances Hazardous to Health Regulations 2002 (SI 2002/2677), enforced by the HSE — assessment of health risks (reg 6), prevention or control of exposure (reg 7), and use of control measures (reg 8). KYE governs the authority, evidence and finality of AI-authored or AI-approved COSHH assessments and control instructions; KYE does not perform the chemical exposure assessment. Starter requirement set (KYE HSE Authority Pack™); deepen by graft.", "license": "UK statutory instrument (Crown copyright, Open Government Licence); KYE registry cites regulation numbers for mapping purposes.", "total": 3, "declared_total": 3, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 3, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Regulation 6 — Assessment of health risks": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Regulation 7 — Prevention or control of exposure": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Regulation 8 — Use of control measures": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "coshh.reg-6", "title": "Assessment of health risks — AI-authored COSHH assessment is authority-bound", "framework": "coshh", "framework_version": "2002", "framework_category": "Regulation 6 — Assessment of health risks", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI agent that authors or interprets a COSHH assessment for a hazardous substance produces a safety-critical HSE document; admissibility requires the §25 safety floor and a validated model-authority record. Enforced by industrial_physical_safety_floor. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "coshh.reg-7", "title": "Prevention or control of exposure — recommendation advisory pending sign-off", "framework": "coshh", "framework_version": "2002", "framework_category": "Regulation 7 — Prevention or control of exposure", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI recommendation that specifies an exposure-control measure is advisory pending sign-off by a named competent person (named_accountable_engineer). Unsigned adverse control instructions are refused and routed dual-channel. Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "coshh.reg-8", "title": "Use of control measures — contestable and evidenced", "framework": "coshh", "framework_version": "2002", "framework_category": "Regulation 8 — Use of control measures", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-authored control-measure instruction is contestable with a replay-derivable Evidence Pack supporting the COSHH control record, surviving an HSE inspector spot check. Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "cwc-bwc", "display_name": "CWC + BWC — Chemical Weapons Convention & Biological Weapons Convention", "framework_version": "1997-2024", "source": "The Chemical Weapons Convention (CWC, in force 1997, administered by the OPCW) prohibits chemical weapons and controls Schedule 1 / 2 / 3 toxic chemicals and precursors; the Biological Weapons Convention (BWC, in force 1975) prohibits the development, production and stockpiling of biological and toxin weapons. KYE Protocol™ governs whether an AI-generated molecule or biological agent that maps to a CWC-scheduled chemical or a BWC-prohibited agent may PROCEED to a consequential action — refusing it absent screening and oversight. KYE does not design molecules, synthesise agents, or determine legal weapon status.", "license": "CWC and BWC are international treaties in the public domain; KYE registry cites the conventions' schedules and prohibitions for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "CWC scheduled chemicals (Schedule 1/2/3)": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "BWC prohibited biological / toxin agents": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Prohibited-agent action stop": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "cwc-bwc.cwc-schedule1", "title": "AI-generated molecule screened against CWC Schedule 1 toxic chemicals", "framework": "cwc-bwc", "framework_version": "1997-2024", "framework_category": "CWC scheduled chemicals (Schedule 1/2/3)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "CWC Schedule 1 lists toxic chemicals with few or no legitimate uses. KYE refuses an AI-generated chemical design that proceeds toward synthesis without a recorded screening result against CWC schedules; a Schedule 1 match is a hard stop routed to oversight. Enforced by biochem_dual_use_screening under the §25 Edge Governance Safety Floor. Honest scope: KYE proves the screen was checked. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "cwc-bwc.cwc-schedule2-3", "title": "AI-generated molecule screened against CWC Schedule 2/3 chemicals & precursors", "framework": "cwc-bwc", "framework_version": "1997-2024", "framework_category": "CWC scheduled chemicals (Schedule 1/2/3)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "CWC Schedules 2 and 3 cover dual-use chemicals and precursors with declarable legitimate uses. KYE records the declared purpose under which an AI-generated design proceeds and binds the schedule-screening result; a scheduled match requires a recorded admissibility decision. Enforced by biochem_dual_use_screening + biochem_synthesis_admissibility. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "cwc-bwc.bwc-prohibited-agents", "title": "AI-generated agent screened against BWC-prohibited biological / toxin agents", "framework": "cwc-bwc", "framework_version": "1997-2024", "framework_category": "BWC prohibited biological / toxin agents", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "The BWC prohibits the development and production of biological and toxin weapons. KYE refuses an AI-generated biological design that proceeds toward a consequential action without a recorded screening result against BWC-prohibited agents. Enforced by biochem_dual_use_screening. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "cwc-bwc.prohibited-agent-stop", "title": "Prohibited-agent match is a hard stop routed to oversight", "framework": "cwc-bwc", "framework_version": "1997-2024", "framework_category": "Prohibited-agent action stop", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "A match against a CWC Schedule 1 chemical or a BWC-prohibited agent must hard-stop the consequential action. KYE keeps the AI-generated design advisory and refuses the action until a named oversight sign-off is recorded; matched designs are routed dual-channel. Enforced by biochem_oversight_gate. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "cy-law-125-2018", "display_name": "Law 125(I)/2018 (providing for the protection of natural persons with regard to the processing of personal data)", "framework_version": "Law 125(I)/2018", "source": "Law 125(I)/2018 (providing for the protection of natural persons with regard to the processing of personal data). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Cyprus. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Cyprus-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "cy-law-125-2018.gdpr-transposition", "title": "Law 125(I)/2018 (providing for the protection of natural persons with regard to the processing of personal data) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Cyprus national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "cy-law-125-2018", "framework_version": "Law 125(I)/2018 (providing for the protection of natural persons with regard to the processing of personal data)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Law 125(I)/2018 (providing for the protection of natural persons with regard to the processing of personal data) is the national implementing/supplementing statute for the GDPR in Cyprus. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔cyprus. This registry maps only the Cyprus-specific national deltas below." }, { "requirement_id": "cy-law-125-2018.supervisory-authority", "title": "Cooperation with the national supervisory authority (the Commissioner for Personal Data Protection) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "cy-law-125-2018", "framework_version": "cy-law-125-2018 national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the Commissioner for Personal Data Protection can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the Commissioner for Personal Data Protection remain tenant-side." }, { "requirement_id": "cy-law-125-2018.breach-notification", "title": "Personal-data breach notification to the Commissioner for Personal Data Protection (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "cy-law-125-2018", "framework_version": "cy-law-125-2018 national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the Commissioner for Personal Data Protection's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "cz-zakon-110-2019", "display_name": "Zákon č. 110/2019 Sb., o zpracování osobních údajů", "framework_version": "Act 110/2019 Sb.", "source": "Zákon č. 110/2019 Sb., o zpracování osobních údajů. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Czech Republic. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Czech Republic-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "cz-zakon-110-2019.gdpr-transposition", "title": "Zákon č. 110/2019 Sb., o zpracování osobních údajů transposes / supplements the GDPR (Reg. (EU) 2016/679) into Czech Republic national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "cz-zakon-110-2019", "framework_version": "Zákon č. 110/2019 Sb., o zpracování osobních údajů", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Zákon č. 110/2019 Sb., o zpracování osobních údajů is the national implementing/supplementing statute for the GDPR in Czech Republic. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔czech-republic. This registry maps only the Czech Republic-specific national deltas below." }, { "requirement_id": "cz-zakon-110-2019.supervisory-authority", "title": "Cooperation with the national supervisory authority (the ÚOOÚ (Office for Personal Data Protection)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "cz-zakon-110-2019", "framework_version": "cz-zakon-110-2019 national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the ÚOOÚ (Office for Personal Data Protection) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the ÚOOÚ (Office for Personal Data Protection) remain tenant-side." }, { "requirement_id": "cz-zakon-110-2019.breach-notification", "title": "Personal-data breach notification to the ÚOOÚ (Office for Personal Data Protection) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "cz-zakon-110-2019", "framework_version": "cz-zakon-110-2019 national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the ÚOOÚ (Office for Personal Data Protection)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "de-bdsg", "display_name": "BDSG — Bundesdatenschutzgesetz (Federal Data Protection Act, 2018)", "framework_version": "BDSG 2018", "source": "BDSG — Bundesdatenschutzgesetz (Federal Data Protection Act, 2018). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Germany. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Germany-specific national deltas.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Employee-data processing (national delta)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "de-bdsg.gdpr-transposition", "title": "BDSG — Bundesdatenschutzgesetz (Federal Data Protection Act, 2018) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Germany national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "de-bdsg", "framework_version": "BDSG — Bundesdatenschutzgesetz (Federal Data Protection Act, 2018)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "BDSG — Bundesdatenschutzgesetz (Federal Data Protection Act, 2018) is the national implementing/supplementing statute for the GDPR in Germany. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔germany. This registry maps only the Germany-specific national deltas below." }, { "requirement_id": "de-bdsg.supervisory-authority", "title": "Cooperation with the national supervisory authority (BfDI / the Länder DPAs) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "de-bdsg", "framework_version": "de-bdsg national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account BfDI / the Länder DPAs can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to BfDI / the Länder DPAs remain tenant-side." }, { "requirement_id": "de-bdsg.breach-notification", "title": "Personal-data breach notification to BfDI / the Länder DPAs (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "de-bdsg", "framework_version": "de-bdsg national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to BfDI / the Länder DPAs's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." }, { "requirement_id": "de-bdsg.employee-data-bdsg-26", "title": "BDSG §26 — processing of employee personal data for employment purposes (works-council co-determination, consent validity in the employment relationship)", "framework": "de-bdsg", "framework_version": "BDSG §26", "framework_category": "Employee-data processing (national delta)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.purpose.request.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Purpose Permission™ binds the employment purpose to an employee-data processing operation and refuses an AI-agent use outside it; the §26 works-council co-determination + consent-validity assessment remains a tenant-side governance act, evidenced by the Decision Map." } ], "resolution_framing": null }, { "framework": "dk-databeskyttelsesloven", "display_name": "Databeskyttelsesloven (Lov nr. 502 af 23. maj 2018)", "framework_version": "Lov nr. 502 (2018)", "source": "Databeskyttelsesloven (Lov nr. 502 af 23. maj 2018). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Denmark. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Denmark-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "dk-databeskyttelsesloven.gdpr-transposition", "title": "Databeskyttelsesloven (Lov nr. 502 af 23. maj 2018) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Denmark national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "dk-databeskyttelsesloven", "framework_version": "Databeskyttelsesloven (Lov nr. 502 af 23. maj 2018)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Databeskyttelsesloven (Lov nr. 502 af 23. maj 2018) is the national implementing/supplementing statute for the GDPR in Denmark. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔denmark. This registry maps only the Denmark-specific national deltas below." }, { "requirement_id": "dk-databeskyttelsesloven.supervisory-authority", "title": "Cooperation with the national supervisory authority (the Datatilsynet) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "dk-databeskyttelsesloven", "framework_version": "dk-databeskyttelsesloven national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the Datatilsynet can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the Datatilsynet remain tenant-side." }, { "requirement_id": "dk-databeskyttelsesloven.breach-notification", "title": "Personal-data breach notification to the Datatilsynet (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "dk-databeskyttelsesloven", "framework_version": "dk-databeskyttelsesloven national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the Datatilsynet's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "dod-5015-2", "display_name": "DoD 5015.02-STD — Electronic Records Management Software Applications Design Criteria", "framework_version": "2007", "source": "DoD 5015.02-STD sets the design criteria for Records Management Application (RMA) software — declaring records, categorisation by record category / file plan, access controls, audit, and disposition/transfer. KYE Protocol™ is NOT an RMA — Iron Mountain InSight DXP plus a records system is. KYE Protocol™ governs ACTION authority at the boundary where a managed record drives a consequential AI action. The RMA design criteria (record declaration, file plan, disposition) map out-of-scope; the access-control decision and audit-of-the-action-decision overlay maps enforced.", "license": "DoD 5015.02-STD is a US Department of Defense standard published in the public domain; KYE registry cites its criteria structure for mapping purposes.", "total": 5, "declared_total": 5, "coverage_pct": 60, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 2 }, "by_category": { "Access-control decision at the action boundary (authority overlay)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Audit of the action decision (authority overlay)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Record declaration & categorisation / file plan (RMA criteria)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Disposition & transfer (RMA criteria)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "dod-5015-2.access-control-action-decision", "title": "Access-control at the action boundary: refuse a consequential AI action on a managed record without the required authority", "framework": "dod-5015-2", "framework_version": "2007", "framework_category": "Access-control decision at the action boundary (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "DoD 5015.02-STD C2.2.3 requires the RMA to control access to records. KYE's overlay decides at the §12 action-admissibility gate whether the acting principal holds the authority to take a consequential action on a managed record, refusing and routing dual-channel otherwise — via the pdp + authority-engine. Honest scope: KYE governs the AUTHORITY-to-act decision; the RMA still owns the records access-control list." }, { "requirement_id": "dod-5015-2.named-authority-binding", "title": "Named-authority binding: every consequential action on a managed record is attributable to a named principal", "framework": "dod-5015-2", "framework_version": "2007", "framework_category": "Access-control decision at the action boundary (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "DoD 5015.02-STD requires the RMA to associate users/roles with records actions. KYE's overlay binds every consequential action on a managed record to a named-authority decision (which principal authorised it) at the §36 GovernedUI human-control surface, via the authority-engine + decision-engine. Honest scope: KYE attributes the ACTION authority; the RMA owns the records-user role model." }, { "requirement_id": "dod-5015-2.action-decision-audit", "title": "Audit of the action decision: an immutable governance audit entry for every consequential action on a managed record", "framework": "dod-5015-2", "framework_version": "2007", "framework_category": "Audit of the action decision (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "DoD 5015.02-STD C2.2.4 requires the RMA to keep an audit trail. KYE's overlay keeps a tamper-evident, WORM-backed (§30) audit trail OF THE AUTHORITY/ADMISSIBILITY DECISION taken over a managed record, Replay-Proof per §13, via the audit-chain + evidence-engine. Honest scope: this is the governance-decision audit trail, NOT the RMA records audit trail (which the RMA / Iron Mountain maintains)." }, { "requirement_id": "dod-5015-2.record-declaration-file-plan", "title": "Record declaration & categorisation / file plan (RMA criteria — owned by the records system, not KYE)", "framework": "dod-5015-2", "framework_version": "2007", "framework_category": "Record declaration & categorisation / file plan (RMA criteria)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/15-MCP-AND-SDK.md" ] }, "coverage_status": "out-of-scope", "owning_role": "records-manager", "notes": "DoD 5015.02-STD C2.2.1–C2.2.2 require the RMA to declare records and categorise them against a file plan / record category. This is the records-management application's job (Iron Mountain InSight DXP + records system). KYE does NOT declare records or maintain a file plan; the §15 connector only CONSUMES the resulting record-category metadata at the action boundary. §0 BOUNDARY: Iron Mountain governs INFORMATION; KYE governs ACTION. Out-of-scope, owned by the records-manager." }, { "requirement_id": "dod-5015-2.disposition-transfer", "title": "Disposition & transfer (RMA criteria — owned by the records system / Iron Mountain, not KYE)", "framework": "dod-5015-2", "framework_version": "2007", "framework_category": "Disposition & transfer (RMA criteria)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "out-of-scope", "owning_role": "records-manager", "notes": "DoD 5015.02-STD C2.2.5 requires the RMA to execute disposition (transfer, accession, destruction) per an approved schedule. This is Iron Mountain's records-retention / disposition business. KYE does NOT execute records disposition or transfer. §0 HARD LINE: KYE's §30 audit-WORM-retention governs KYE's OWN evidence — never the customer's records disposition. Out-of-scope, owned by the records-manager." } ], "resolution_framing": null }, { "framework": "dodd-frank-whistleblower", "display_name": "Dodd-Frank §922 + SEC Rule 21F — Whistleblower Programme", "framework_version": "Dodd-Frank Act §922 (15 U.S.C. §78u-6) + SEC Rules 21F (whistleblower programme)", "source": "Section 922 of the Dodd-Frank Act (codified at 15 U.S.C. §78u-6) and SEC Rules 21F establish the SEC whistleblower programme: the SEC must protect the confidentiality of a whistleblower's identity to the extent possible, the statute prohibits retaliation against a whistleblower, and SEC Rule 21F-17 prohibits any action impeding an individual from communicating directly with the SEC about a possible securities-law violation (including via confidentiality / severance agreements). KYE Protocol™ governs whether an AI-assisted access to a whistleblower's identity or a consequential case action may PROCEED — on a recorded need-to-know authority, with confidentiality evidence captured, a signed Evidence Pack, and a contestability record. KYE does not assess the securities-law tip on its merits or adjudicate the §922 / Rule 21F claim.", "license": "The Dodd-Frank Act, the United States Code, and SEC rules are US government works in the public domain; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Confidentiality & anti-impediment evidence for a whistleblower's identity": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & reconstruction of the handling / retaliation determination": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Securities-law merits, bounty award & Rule 21F adjudication": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "dodd-frank-whistleblower.confidentiality-evidence", "title": "Access to a whistleblower's identity proceeds only under a recorded need-to-know authority with confidentiality evidence captured", "framework": "dodd-frank-whistleblower", "framework_version": "Dodd-Frank Act §922 (15 U.S.C. §78u-6) + SEC Rules 21F (whistleblower programme)", "framework_category": "Confidentiality & anti-impediment evidence for a whistleblower's identity", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Section 922 requires the confidentiality of a whistleblower's identity to be protected to the extent possible, and Rule 21F-17 prohibits impeding direct communication with the SEC. KYE binds every AI-assisted access that reveals a whistleblower's identity to a recorded need-to-know named-authority decision and a signed confidentiality Evidence Pack (the data-minimisation basis, the accessing principal, the access purpose) at the §12/§13 envelopes, refusing an access with no recorded authority. Enforced by whistleblower_report_access_authority + whistleblower_confidentiality_evidence_capture via the authority-engine + evidence-engine. KYE proves the confidentiality handling was evidenced; it does not assess the tip or impede communication with the SEC." }, { "requirement_id": "dodd-frank-whistleblower.handling-contestability-reconstruction", "title": "Contestability & reconstruction of the handling / retaliation determination", "framework": "dodd-frank-whistleblower", "framework_version": "Dodd-Frank Act §922 (15 U.S.C. §78u-6) + SEC Rules 21F (whistleblower programme)", "framework_category": "Contestability & reconstruction of the handling / retaliation determination", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "When a Dodd-Frank confidentiality or retaliation dispute arises, the handling must be reconstructable. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every AI-assisted determination, so it can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by whistleblower_reporter_contestability_record via the evidence-engine + replay-engine. KYE proves how the determination was made and makes it contestable; it does not adjudicate the §922 / Rule 21F claim." }, { "requirement_id": "dodd-frank-whistleblower.securities-merits-and-award", "title": "Securities-law merits, the whistleblower bounty award, and Rule 21F adjudication", "framework": "dodd-frank-whistleblower", "framework_version": "Dodd-Frank Act §922 (15 U.S.C. §78u-6) + SEC Rules 21F (whistleblower programme)", "framework_category": "Securities-law merits, bounty award & Rule 21F adjudication", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Assessing the securities-law tip on its merits, awarding the whistleblower bounty, and adjudicating the §922 / Rule 21F retaliation or anti-impediment claim are determinations belonging to the SEC and counsel. KYE™ is an AI-authority and evidence layer, not an enforcement or adjudication engine — out of scope by design (§0 honest scope). KYE proves who accessed the identity and how the handling was made; it does not assess the tip or award the bounty.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "dora", "display_name": "DORA — Digital Operational Resilience Act", "framework_version": "Regulation (EU) 2022/2554", "source": "Regulation (EU) 2022/2554 of 14 December 2022 on digital operational resilience for the financial sector + accompanying RTS/ITS", "license": null, "total": 73, "declared_total": 73, "coverage_pct": 86, "status_counts": { "enforced": 59, "designed": 0, "advisory": 14, "deferred": 0, "out-of-scope": 0 }, "by_category": { "ICT Risk Management Framework (Articles 5-15)": { "total": 25, "enforced": 25, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "ICT-Related Incident Management & Reporting (Articles 17-23)": { "total": 13, "enforced": 11, "designed": 0, "advisory": 2, "deferred": 0, "out-of-scope": 0, "coverage_pct": 88 }, "Digital Operational Resilience Testing (Articles 24-27)": { "total": 10, "enforced": 9, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 93 }, "ICT Third-Party Risk Management (Articles 28-44)": { "total": 25, "enforced": 14, "designed": 0, "advisory": 11, "deferred": 0, "out-of-scope": 0, "coverage_pct": 67 } }, "requirements": [ { "requirement_id": "dora.A5", "title": "Article 5 — Sound, comprehensive, well-documented ICT risk-management framework integrated into overall risk management", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine + Resilience Loop is the ICT-risk-management framework; ≤90-day attestation cadence drives the documented-and-reviewed posture." }, { "requirement_id": "dora.A5.2", "title": "Article 5(2) — Internal governance and control framework — proportionality, three lines of defence", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.authority.delegation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authority Grants encode the governance hierarchy; delegation envelope captures the lines-of-defence binding." }, { "requirement_id": "dora.A6", "title": "Article 6 — ICT risk-management framework — implements governance, defines roles, integrated with overall risk policy", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.authority.delegation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authority Grants + Delegation envelopes record the management-body chain; every privileged op resolves to a named accountable principal." }, { "requirement_id": "dora.A6.2.b", "title": "Article 6(2)(b) — ICT risk-management framework includes systems, protocols, tools to minimise ICT risk impact", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PDP, Decision Engine, Risk Engine, Edge Arbiter, and Resilience Loop are the canonical risk-minimising systems." }, { "requirement_id": "dora.A6.6", "title": "Article 6(6) — ICT risk-management framework reviewed at least once a year and upon major incidents", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Annual + incident-triggered review cadence is ratcheted by Compliance Attestation." }, { "requirement_id": "dora.A6.8", "title": "Article 6(8) — Documentation of the ICT risk-management framework available to authorities upon request", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Evidence-pack assembler produces the on-demand documentation set; §21 Delegated Auditability provides the regulator surface." }, { "requirement_id": "dora.A7", "title": "Article 7 — ICT systems, protocols, and tools — appropriate, reliable, resilient, well-documented", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "§40 Implementation Canonical Registry documents every component; §51 NO-SPOF enforces resilience." }, { "requirement_id": "dora.A8", "title": "Article 8 — Identification — inventory of all ICT-supported business functions, information assets, and ICT assets including dependencies", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Implementation Canonical Registry + §51 SPoF registry together constitute the asset + dependency inventory; every dependency carries failure-mode metadata." }, { "requirement_id": "dora.A8.4", "title": "Article 8(4) — Classification of information + ICT assets by criticality", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Data Classification Engine + §51 blast-radius rows together produce the criticality grid." }, { "requirement_id": "dora.A8.6", "title": "Article 8(6) — Risk assessment of all ICT-supported business functions ≥annually + upon major change", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk assessment cadence enforced by Compliance Attestation." }, { "requirement_id": "dora.A9", "title": "Article 9 — Protection and prevention — appropriate security policies, procedures, protocols, tools", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.tool_call_pin.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Material protection is enforced by the PDP + Edge Governance modes; every privileged op is admissibility-checked before execution." }, { "requirement_id": "dora.A9.3", "title": "Article 9(3) — Use of state-of-the-art technologies + processes ensuring security and protection of ICT systems", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Conformance runner verifies state-of-the-art posture each release." }, { "requirement_id": "dora.A9.4.c", "title": "Article 9(4)(c) — Network and infrastructure management — segmentation, secured configuration", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Per-tenant Durable Object isolation provides logical segmentation; structured segmentation attestation in build." }, { "requirement_id": "dora.A9.4.d", "title": "Article 9(4)(d) — Identity and access management policies", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authority Chain + Purpose Permission together implement IAM with strong-authentication." }, { "requirement_id": "dora.A9.4.e", "title": "Article 9(4)(e) — ICT change management including software / hardware / firmware / configuration", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.signal.drift.detected.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Change management is signed-commit + drift-detector + cascade revocation on unauthorised change." }, { "requirement_id": "dora.A10", "title": "Article 10 — Detection — mechanisms to promptly detect anomalous activities; logged + monitored", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.incident.opened.v1", "kye.audit.event.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift Detector + Incident Detector + streaming logs (≤5s flush) provide prompt anomaly detection." }, { "requirement_id": "dora.A10.2", "title": "Article 10(2) — Multiple layers of control, alert mechanisms, automatic triggering of response", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.drift.detected.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Incident → revocation cascade is automatic; multiple detection layers (PDP, drift, incident-detector)." }, { "requirement_id": "dora.A11", "title": "Article 11 — Response and recovery — ICT business-continuity policy, response/recovery plans, tested annually", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Response/recovery primitives are canonical; annual exercise is enforced by Compliance Attestation cadence." }, { "requirement_id": "dora.A11.2.a", "title": "Article 11(2)(a) — Business-continuity objectives ≤ pre-defined RTO/RPO", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "RTO/RPO objectives are declared per critical function in §51 SPoF registry." }, { "requirement_id": "dora.A11.5", "title": "Article 11(5) — Annual testing of ICT business-continuity plans", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Audit replay orchestrator re-runs continuity scenarios; annual cadence ratchet." }, { "requirement_id": "dora.A12", "title": "Article 12 — Backup policies and restoration procedures — separated from production, tested, and time-bound", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "R2 Object Lock + WORM provide backup-immutability; a cross-region restoration drill harness with RTO/RPO attestation is in build." }, { "requirement_id": "dora.A12.3", "title": "Article 12(3) — Geographical separation of backup sites + production", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "R2 cross-region replication is design-locked; per-region attestation generator in build." }, { "requirement_id": "dora.A13", "title": "Article 13 — Learning and evolving — post-incident review feeds back into the ICT risk-management framework", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.loop_iteration.v1", "kye.resilience.improvement_record.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Resilience Loop iteration + improvement-record schemas materially implement the learn-and-evolve obligation." }, { "requirement_id": "dora.A14", "title": "Article 14 — Communication — incident-related comms procedure with employees, customers, peers, public", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Comms Rail provides the canonical incident-comms template set + channel." }, { "requirement_id": "dora.A15", "title": "Article 15 — Further harmonisation of ICT risk-management tools, methods, processes, policies via RTS", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Risk Management Framework (Articles 5-15)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "RTS-driven harmonisation tracked via the framework-coverage-bijection gate; per-RTS-article mapping in place." }, { "requirement_id": "dora.A17", "title": "Article 17 — ICT-related incident management process — detection, recording, classification, response", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Incident lifecycle is canonical (opened/closed); decision-map records classification + response decisions per incident." }, { "requirement_id": "dora.A17.2", "title": "Article 17(2) — Recording of all ICT-related incidents + significant cyber threats", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.drift.detected.v1", "kye.audit.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Every incident + threat signal emits to the WORM audit chain." }, { "requirement_id": "dora.A17.3", "title": "Article 17(3) — Procedures for identification, tracking, logging, classification of incidents", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Identification + tracking + classification are part of the canonical incident lifecycle envelope." }, { "requirement_id": "dora.A18", "title": "Article 18 — Classification of ICT-related incidents — based on impact, criticality of affected services, duration, geographic spread, data-loss", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Incident schema carries the seven DORA-RTS classification attributes (impact / criticality / duration / geo / data-loss / economic / reputational); risk-engine assigns the major-vs-significant tier." }, { "requirement_id": "dora.A18.2", "title": "Article 18(2) — Materiality thresholds for classifying incidents as major", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Materiality thresholds (per EBA/ESMA/EIOPA RTS) are encoded in risk-engine; auto-classification at incident open." }, { "requirement_id": "dora.A19", "title": "Article 19 — Reporting of major ICT-related incidents to competent authorities", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Incident open/close events emit natively with timestamp evidence; CA delivery channel in build." }, { "requirement_id": "dora.A19.1", "title": "Article 19(1) — Initial notification within mandated time-windows (early notification ≤4h after classification)", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Incident open/close events emit natively with timestamp evidence; the competent-authority delivery channel (EBA + national-CA REP-018 schema endpoints) is in build." }, { "requirement_id": "dora.A19.4", "title": "Article 19(4) — Intermediate and final reports — structured updates within mandated intervals; complete root-cause analysis in final report", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.closed.v1", "kye.resilience.improvement_record.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Root-cause analysis is anchored to resilience-loop improvement-record; the periodic-update template generator is in build." }, { "requirement_id": "dora.A19.6", "title": "Article 19(6) — Notification to clients when affected by a major incident", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Comms-rail template for customer-impact notification is design-locked; auto-trigger on classification in build." }, { "requirement_id": "dora.A20", "title": "Article 20 — Harmonisation of reporting content + templates via RTS / ITS", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "RTS-conformant template generator in build." }, { "requirement_id": "dora.A21", "title": "Article 21 — Centralisation of reporting via the EBA + ESMA + EIOPA central hub", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Central reporting hub is a regulator-side construct; KYE delivers structured reports to whichever endpoint the deployer is bound to." }, { "requirement_id": "dora.A22", "title": "Article 22 — Reporting of significant cyber threats (voluntary basis) — competent authority + ESAs", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Voluntary threat-intel sharing is a customer decision; KYE emits drift-detected signals but does not auto-share with external bodies." }, { "requirement_id": "dora.A23", "title": "Article 23 — Operational and security payment-related incidents reporting — coordinated with PSD2/PSD3 Article 96", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT-Related Incident Management & Reporting (Articles 17-23)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.payments.intent.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Payment-incident classification aligns with PSD2 A96; the dual-channel (DORA + PSD2) report generator is in build." }, { "requirement_id": "dora.A24", "title": "Article 24 — Digital operational resilience testing program — risk-based, proportionate, covering vulnerability and scenario testing", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Conformance Runner executes a risk-proportionate test program on cadence; ≤90-day attestation enforces continuity." }, { "requirement_id": "dora.A24.2", "title": "Article 24(2) — Test program covers vulnerability assessments + scans, open-source analyses, network security assessments, gap analyses, performance testing, penetration testing, source-code reviews", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "CycloneDX SBOM + npm audit + Snyk-class scans run per release; gap analyses are part of §40 conformance." }, { "requirement_id": "dora.A24.4", "title": "Article 24(4) — Tests conducted by independent parties (internal or external)", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Auditor engagement is mediated by §49; independence attestation in build." }, { "requirement_id": "dora.A25", "title": "Article 25 — Testing of ICT tools and systems — annually for critical, on independent test environment, all important systems", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Audit-replay orchestrator re-runs canonical scenarios against the live system; cadence is enforced by Compliance Attestation." }, { "requirement_id": "dora.A25.bis", "title": "Article 25 — Vulnerability assessments and scans — performed regularly on important ICT systems", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "npm-audit + CycloneDX SBOM + drift-detector continuously evaluate the dependency posture; high/critical CVEs auto-raise an incident." }, { "requirement_id": "dora.A26", "title": "Article 26 — Threat-Led Penetration Testing (TLPT) — every 3 years for critical financial entities, TIBER-EU aligned", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "TLPT is a customer-procured engagement with TIBER-EU-accredited testers; KYE provides the evidence-pack assembly + replay surface for the test." }, { "requirement_id": "dora.A26.2", "title": "Article 26(2) — Identification of critical functions for TLPT scope", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Critical functions are enumerated in §51 SPoF registry with blast-radius metadata; TLPT scope derivable directly." }, { "requirement_id": "dora.A26.3", "title": "Article 26(3) — TLPT testing scenarios based on real-world threat intelligence", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Threat-led scenario library is design-locked; TIBER-EU compliant scenario harness in build." }, { "requirement_id": "dora.A26.8", "title": "Article 26(8) — Reporting of TLPT results to competent authority + summary findings", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Evidence pack + reporting engine produce the TLPT summary; CA delivery channel binding in build." }, { "requirement_id": "dora.A27", "title": "Article 27 — Requirements for testers — independent, sufficiently qualified, certified or with documented expertise", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "Digital Operational Resilience Testing (Articles 24-27)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/10-PARTNER.md", "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Tester qualification is the customer's procurement responsibility; §49 Engagement Rail provides the auditor-tier program as a complementary capability, not a TLPT-tester selection." }, { "requirement_id": "dora.A28", "title": "Article 28 — ICT third-party risk as integral part of ICT risk management; principle of proportionality", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Cross-Org Delegation envelope binds every third-party access purpose; §51 SPoF registry classifies blast-radius per provider." }, { "requirement_id": "dora.A28.2", "title": "Article 28(2) — Policy on use of ICT services supporting critical functions", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Critical-function ICT services are registered in §51 SPoF + subprocessor schema; policy binding is constitutional." }, { "requirement_id": "dora.A28.3", "title": "Article 28(3) — Register of information on all contractual arrangements with ICT third-party providers", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Cross-Org Delegation set + §51 SPoF rows are the source-of-truth; the EBA ITS-conformant register exporter (XBRL / ESA standard schema) is in build." }, { "requirement_id": "dora.A28.4", "title": "Article 28(4) — Assessment before entering into contractual arrangement including ICT concentration risk", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Pre-contract risk assessment is canonical; §51 concentration-risk attestation." }, { "requirement_id": "dora.A28.5", "title": "Article 28(5) — Identification and assessment of conflicts of interest", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Conflict-of-interest disclosure attribute in delegation envelope; structured COI register in build." }, { "requirement_id": "dora.A29", "title": "Article 29 — Preliminary assessment of ICT concentration risk at entity level before entering into a contractual arrangement", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "§51 SPoF registry's per-vendor blast-radius rows + family baselines materially implement the concentration-risk assessment; new vendor-locked code paths are gate-failed." }, { "requirement_id": "dora.A30", "title": "Article 30 — Key contractual provisions — description of services, locations, data-processing, sub-contracting, exit strategy, access rights", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.evidence.tool_call_pin.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Cross-Org Delegation manifest captures the canonical contractual-attribute set (services / locations / data-classes / sub-processors / exit / access-rights) per third party." }, { "requirement_id": "dora.A30.2.a", "title": "Article 30(2)(a) — Description of all functions + ICT services provided", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Subprocessor schema carries the service description set." }, { "requirement_id": "dora.A30.2.b", "title": "Article 30(2)(b) — Locations of data processing + storage", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Data Residency Router enforces locations; subprocessor schema records the binding." }, { "requirement_id": "dora.A30.2.f", "title": "Article 30(2)(f) — Sub-contracting clauses", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Subprocessor chain is canonical; change-approval required on subprocessor addition." }, { "requirement_id": "dora.A30.3", "title": "Article 30(3) — Exit strategies in case of failure / termination", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.spof.path_to_full.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Per-vendor exit-strategy path-to-full runbook is canonical per §51 Phase 3." }, { "requirement_id": "dora.A31", "title": "Article 31 — Designation of critical ICT third-party service providers (CTPPs) by the ESAs — direct EU-level oversight", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "advisory", "notes": "CTPP designation is performed by the ESAs (a regulator-side procedure); KYE neither designates nor self-designates." }, { "requirement_id": "dora.A32", "title": "Article 32 — Tasks of the Lead Overseer in respect of CTPPs", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Lead Overseer oversight is regulator-side; KYE supports via §21 Delegated Auditability artefacts." }, { "requirement_id": "dora.A33", "title": "Article 33 — Register of information on all contractual arrangements with ICT third-party providers — maintained, classified, reportable on demand", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Cross-Org Delegation set + §51 SPoF rows are the source-of-truth; the EBA ITS-conformant register exporter (XBRL / ESA standard schema) is in build." }, { "requirement_id": "dora.A34", "title": "Article 34 — Coordination among competent authorities + Lead Overseer", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Inter-authority coordination is a regulator-side construct." }, { "requirement_id": "dora.A35", "title": "Article 35 — Powers of the Lead Overseer — request information, conduct general investigations, on-site inspections", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Evidence-pack assembler produces auditor-consumable bundles on demand; structured Lead Overseer interface in build." }, { "requirement_id": "dora.A36", "title": "Article 36 — Exercise of Lead Overseer powers outside the Union", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Extra-territorial Overseer powers are exercised by regulators directly." }, { "requirement_id": "dora.A37", "title": "Article 37 — Requests for information by Lead Overseer", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Information-request fulfilment is canonical; evidence-pack assembler delivers on-demand bundles." }, { "requirement_id": "dora.A38", "title": "Article 38 — General investigations conducted by Lead Overseer", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Investigation procedure is regulator-side; KYE supports via Delegated Auditability." }, { "requirement_id": "dora.A39", "title": "Article 39 — On-site inspections — Lead Overseer's powers", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "On-site inspections are regulator-side." }, { "requirement_id": "dora.A40", "title": "Article 40 — Oversight framework for critical ICT third-party providers — Lead Overseer powers, joint examination team, recommendations", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Lead Overseer powers are exercised by ESAs against CTPPs; KYE supports the regulator-side process via §21 Delegated Auditability artefacts when consumed by the supervised entity." }, { "requirement_id": "dora.A41", "title": "Article 41 — Follow-up by competent authorities on Lead Overseer recommendations", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Follow-up is between regulators." }, { "requirement_id": "dora.A42", "title": "Article 42 — Cooperation among ESAs + competent authorities on third-party-risk matters", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Inter-authority cooperation." }, { "requirement_id": "dora.A43", "title": "Article 43 — Oversight fees levied on CTPPs", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "Fee-collection is regulator-side." }, { "requirement_id": "dora.A44", "title": "Article 44 — International cooperation — third-country regulator coordination", "framework": "dora", "framework_version": "Regulation (EU) 2022/2554", "framework_category": "ICT Third-Party Risk Management (Articles 28-44)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "International cooperation is regulator-side." } ], "resolution_framing": null }, { "framework": "dora-ict-incident", "display_name": "DORA ICT Incident Reporting — Article 19 + classification RTS", "framework_version": "DORA — Regulation (EU) 2022/2554, Article 19 (ICT-related incident reporting) + RTS/ITS on incident classification and reporting", "source": "The Digital Operational Resilience Act (Regulation (EU) 2022/2554) requires financial entities to detect, manage, classify, and report major ICT-related incidents to competent authorities (Article 19), on a staged initial / intermediate / final report timeline, with root-cause analysis. KYE Protocol™ governs whether an AI-assisted containment action / incident classification / disclosure-timing decision under DORA may PROCEED to a consequential incident action — under a named accountable officer's authority, with chain-of-custody recorded for incident evidence, with a signed Evidence Pack, and a contestability record so the decision can be reconstructed and challenged. KYE does not detect the threat, run the SIEM/EDR, perform forensics, or determine the technical response.", "license": "DORA is an EU legislative act published in the Official Journal of the European Union; KYE registry paraphrases each requirement's intent and cites the official article identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Named-authority on the containment / response action": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Incident-evidence chain-of-custody & report integrity": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Disclosure-timing authority on the staged reporting clock": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Threat detection, forensics & remediation engineering": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "dora-ict-incident.containment-action-authority", "title": "An AI-assisted containment / response action proceeds only under a recorded named-authority decision", "framework": "dora-ict-incident", "framework_version": "DORA — Regulation (EU) 2022/2554, Article 19 + classification RTS", "framework_category": "Named-authority on the containment / response action", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "DORA Article 19 holds the financial entity accountable for managing and reporting major ICT-related incidents. When an AI review proposes a containment action (isolate / block / shutdown) or a response decision that moves toward execution, KYE binds it to a recorded named-authority decision (the agent, the target asset, the action, and the named incident commander / CISO under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by cyber_containment_action_authority via the authority-engine + decision-engine. KYE proves who authorised the action to proceed; it does not detect the threat or decide the technical response." }, { "requirement_id": "dora-ict-incident.incident-evidence-integrity", "title": "Incident evidence proceeds only with a recorded chain-of-custody and integrity record", "framework": "dora-ict-incident", "framework_version": "DORA — Regulation (EU) 2022/2554, Article 19 + classification RTS", "framework_category": "Incident-evidence chain-of-custody & report integrity", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "DORA requires the staged incident report (initial / intermediate / final) to be complete and supported by root-cause analysis. KYE requires the incident-evidence chain-of-custody (source system, every transformation with actor/timestamp, integrity hash as collected and as relied on) to be captured and bound into a decision map before AI-collected evidence proceeds to authorise containment or be cited in a report, per the §13 Resilience Loop. Enforced by cyber_incident_evidence_chain_of_custody via the evidence-engine. KYE proves the custody record was captured; it does not collect, host, or analyse the telemetry's substance." }, { "requirement_id": "dora-ict-incident.staged-report-timing-authority", "title": "Disclosure-timing on the staged reporting clock proceeds only under a recorded named-authority decision, contestable in a post-incident inquiry", "framework": "dora-ict-incident", "framework_version": "DORA — Regulation (EU) 2022/2554, Article 19 + classification RTS", "framework_category": "Disclosure-timing authority on the staged reporting clock", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "DORA Article 19 sets staged reporting deadlines (initial notification, intermediate update, final report) and the competent authority may reconstruct the entity's decisions in a post-incident inquiry. KYE binds the disclosure-timing decision (when to file each staged report) to a recorded named-authority decision and a signed, replay-derivable Evidence Pack under a context seal, plus a contestability record, so that when the timing decision is challenged it can be reconstructed exactly as made, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by cyber_disclosure_timing_authority + cyber_incident_contestability_record via the authority-engine + evidence-engine + replay-engine. KYE proves how the timing decision was made; it does not determine the materiality or write the report." }, { "requirement_id": "dora-ict-incident.threat-detection-forensics-remediation", "title": "Threat detection, forensics, and remediation engineering", "framework": "dora-ict-incident", "framework_version": "DORA — Regulation (EU) 2022/2554, Article 19 + classification RTS", "framework_category": "Threat detection, forensics & remediation engineering", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Detecting the ICT-related incident, running the SIEM/EDR, performing forensic analysis, and engineering the technical remediation are the financial entity's own security operations. KYE™ is an AI-authority and evidence layer, not a detection, forensics, or remediation engine — out of scope by design (§0/§70 honest scope). KYE proves who authorised the response and how the decision was made; it does not make the technical response.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ec-council-adg", "display_name": "EC-Council ADG — Adopt · Defend · Govern", "framework_version": "2026", "source": "https://aigovernance.eccouncil.org/adgframework", "license": "Framework text © EC-Council; KYE Protocol bindings are KYE-authored.", "total": 35, "declared_total": 35, "coverage_pct": 96, "status_counts": { "enforced": 33, "designed": 0, "advisory": 2, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Pillar 1 — Adopt": { "total": 10, "enforced": 9, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 93 }, "Pillar 2 — Defend": { "total": 10, "enforced": 10, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Pillar 3 — Govern": { "total": 15, "enforced": 14, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 95 } }, "requirements": [ { "requirement_id": "ec-council-adg.adopt.lifecycle-management", "title": "Adopt — AI lifecycle management", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "verification": { "npm_gate": "test:self-governance-coverage" }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "Lifecycle inventory + per-stage decision-map binding is designed; full lifecycle-state machine is in the implementation plan." }, { "requirement_id": "ec-council-adg.adopt.model-capability-binding", "title": "Adopt — Model capability profile bound to deployment", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Capability profile schema is canonical and bound to deployment; admissibility refuses actions outside declared capability." }, { "requirement_id": "ec-council-adg.adopt.model-risk-assessment", "title": "Adopt — Pre-deployment risk assessment with framework floor", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Risk assessment schema carries framework_floors that map EU AI Act + DORA + ADG floors deterministically." }, { "requirement_id": "ec-council-adg.adopt.secure-deployment-baseline", "title": "Adopt — Secure-by-default deployment baseline", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "coverage_status": "enforced", "notes": "Cloudflare-native edge topology + audit-chain emission is the deployment baseline; CI gates fail merges that ship without it." }, { "requirement_id": "ec-council-adg.adopt.change-management", "title": "Adopt — Change management with replay-proof envelope", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "coverage_status": "enforced", "notes": "Replay-proof spec ties every change to a reproducible decision-map; auditors re-derive verdicts post-change." }, { "requirement_id": "ec-council-adg.adopt.adoption-evidence-pack", "title": "Adopt — Adoption evidence pack at go-live", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "coverage_status": "enforced", "notes": "Evidence pack schema is mandatory at the go-live gate; the adoption decision is itself evidenced." }, { "requirement_id": "ec-council-adg.adopt.purpose-grant-issuance", "title": "Adopt — Purpose Permission grant issuance at adoption", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Adoption mints the operating-purpose grants the runtime later checks; signature + not_before/not_after make this artefact-bound." }, { "requirement_id": "ec-council-adg.adopt.training-and-onboarding", "title": "Adopt — Workforce training and role-based onboarding", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/10-PARTNER.md", "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Training programs live on the customer side. KYE Learn Rail surfaces the materials; the operating accountability remains with the deployer." }, { "requirement_id": "ec-council-adg.adopt.acceptable-use", "title": "Adopt — Acceptable use policy bound to authority scope", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Acceptable use materialises as scope on the Purpose Permission grant; admissibility refuses out-of-scope requests." }, { "requirement_id": "ec-council-adg.adopt.assurance-baseline", "title": "Adopt — Initial assurance attestation at go-live", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 1 — Adopt", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "verification": { "npm_gate": "test:compliance-attestation" }, "coverage_status": "enforced", "notes": "Compliance-attestation envelope binds the operating control set to the framework refs at the moment of adoption." }, { "requirement_id": "ec-council-adg.defend.threat-modelling", "title": "Defend — AI-specific threat modelling", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "Threat-modelling output binds to the risk-assessment schema; full AI-specific threat library is in build." }, { "requirement_id": "ec-council-adg.defend.red-team", "title": "Defend — Red-team / adversarial testing", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.stress_test.high_risk_detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "verification": { "npm_gate": "test:self-governance-coverage" }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "Stress-test signal schema is canonical; the standardised red-team scenario library is in the implementation plan." }, { "requirement_id": "ec-council-adg.defend.runtime-monitoring", "title": "Defend — Runtime monitoring with drift detection", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "verification": { "npm_gate": "test:self-governance-coverage" }, "coverage_status": "enforced", "notes": "Drift signal family is canonical and emitted; streaming-logs contract guarantees ≤5s capture cadence." }, { "requirement_id": "ec-council-adg.defend.tool-mcp-security", "title": "Defend — Tool / MCP-server authority register", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.tool_mcp_register.v1", "kye.evidence.tool_call_pin.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/15-MCP-AND-SDK.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Tool & MCP Authority Register schema is canonical (KAC-4); unregistered tool calls refused at runtime." }, { "requirement_id": "ec-council-adg.defend.prompt-injection-defence", "title": "Defend — Prompt-injection + influence-envelope defence", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.influence_envelope.v1", "kye.evidence.tool_call_pin.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Side-effect tool calls are pinned to the admitted grant via tool_call_pin; influence-envelope schema binds prompt drift. The runtime never relies on the agent's self-report to authorise a side effect." }, { "requirement_id": "ec-council-adg.defend.supply-chain", "title": "Defend — Model + tool + dataset supply-chain integrity", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "Capability-profile schema records model + dataset provenance fields; full SBOM-style supply-chain manifest is in build." }, { "requirement_id": "ec-council-adg.defend.incident-response", "title": "Defend — Incident response with replay-proof evidence", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "coverage_status": "enforced", "notes": "Replay-proof + WORM evidence pack lets the response team re-derive any prior decision deterministically." }, { "requirement_id": "ec-council-adg.defend.spof-resilience", "title": "Defend — No single point of failure across privileged ops", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof_registry.v1", "kye.spof.path_to_full.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "verification": { "npm_gate": "test:no-spof-coverage" }, "coverage_status": "enforced", "notes": "SPOF registry and path-to-full closure-design schema enforce vendor-independence posture on every privileged op." }, { "requirement_id": "ec-council-adg.defend.federation-trust", "title": "Defend — Federation trust-boundary control", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Cross-org delegation schema records the federated authority chain; trust boundaries are signed and verifiable." }, { "requirement_id": "ec-council-adg.defend.continuous-attestation", "title": "Defend — Continuous compliance attestation cadence", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 2 — Defend", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "verification": { "npm_gate": "test:compliance-attestation" }, "coverage_status": "enforced", "notes": "≤90-day attestation cadence enforced by the attestation runner; missed cadence is a §0 violation." }, { "requirement_id": "ec-council-adg.govern.authority-register", "title": "Govern — Risk + authority register at board level", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Authority register schema is canonical; board-readable views render from this single source." }, { "requirement_id": "ec-council-adg.govern.purpose-permission-finality", "title": "Govern — Purpose Permission grant as the authority unit", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Every act-on-behalf-of relationship lives as a signed Purpose Permission grant. KAC-2 floor." }, { "requirement_id": "ec-council-adg.govern.admissibility-gate", "title": "Govern — Action admissibility gate before any side-effect", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Admissibility is pure-function and replayable from public keys alone. KAC-5 floor." }, { "requirement_id": "ec-council-adg.govern.evidence-pack", "title": "Govern — Evidence pack emission per action (MC-9)", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "coverage_status": "enforced", "notes": "Evidence pack is sealed at T=0 in WORM. ADG MC-9 floor. KAC-7." }, { "requirement_id": "ec-council-adg.govern.decision-map", "title": "Govern — Runtime decision-map binding (MC-6)", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "coverage_status": "enforced", "notes": "Decision-map binds each verdict to the exact policy artefact that produced it. ADG MC-6 floor. KAC-6." }, { "requirement_id": "ec-council-adg.govern.replay-proof", "title": "Govern — Replay-proof spec (MC-10)", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "coverage_status": "enforced", "notes": "Replay-proof spec lets an external auditor re-derive any decision deterministically. ADG MC-10 floor. KAC-8." }, { "requirement_id": "ec-council-adg.govern.authority-finality", "title": "Govern — Authority Finality record (MC-11)", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.estate.authority_finality.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Six bound fields make the authority chain provably terminal. ADG MC-11 floor. KAC-9." }, { "requirement_id": "ec-council-adg.govern.human-oversight", "title": "Govern — Human oversight + critical-point review (MC-12)", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.governedui.critical_point_review.v1", "kye.governedui.approval.v1", "kye.governedui.action_proposal.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "GovernedUI is the human-control surface for AI-agent authority. ADG MC-12 floor. KAC-11." }, { "requirement_id": "ec-council-adg.govern.autonomy-tiers", "title": "Govern — Declared autonomy tier per agent deployment", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.autonomy_tier.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/36-GOVERNEDUI.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "KYE Autonomy Tiers™ A0-A3 sharpen ADG's HITL/HOTL/HOOTL ladder; each tier names its required KAC controls." }, { "requirement_id": "ec-council-adg.govern.mc1-identity", "title": "Govern MC-1 — Verified entity / identity register", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.entity_passport.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Every principal + grantee carries a verified entity record. KAC-1." }, { "requirement_id": "ec-council-adg.govern.mc2-delegation-envelope", "title": "Govern MC-2 — Delegation envelope", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.delegation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Signed time-bounded delegation envelope. KAC-2." }, { "requirement_id": "ec-council-adg.govern.mc3-chain-of-authority", "title": "Govern MC-3 — Chain of authority across organisations", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.delegation_chain.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "Cross-org delegation schema records the federated authority chain. KAC-3." }, { "requirement_id": "ec-council-adg.govern.mc8-revocation", "title": "Govern MC-8 — Revocation + expiry control", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.purpose.admissibility.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "not_after + revocation channel are admissibility inputs. KAC-10." }, { "requirement_id": "ec-council-adg.govern.decision-rights", "title": "Govern — Decision rights declared per agent / per action class", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.governedui.authority_scope.v1", "kye.governedui.action_proposal.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "verification": { "npm_gate": "test:schemas" }, "coverage_status": "enforced", "notes": "GovernedUI authority-scope schema names the decision-owner for every action class." }, { "requirement_id": "ec-council-adg.govern.board-reporting", "title": "Govern — Board-readable reporting cadence", "framework": "ec-council-adg", "framework_version": "2026", "framework_category": "Pillar 3 — Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "verification": { "npm_gate": "test:compliance-attestation" }, "coverage_status": "advisory", "notes": "Board-cadence framing is a deployer-side governance act; KYE supplies the attestation envelope that backs the board pack." } ], "resolution_framing": null }, { "framework": "eeoc", "display_name": "EEOC Uniform Guidelines on Employee Selection Procedures", "framework_version": "Uniform Guidelines on Employee Selection Procedures (1978, 29 CFR Part 1607)", "source": "https://www.ecfr.gov/current/title-29/subtitle-B/chapter-XIV/part-1607", "license": "US Federal regulation — public domain", "total": 2, "declared_total": 2, "coverage_pct": 75, "status_counts": { "enforced": 1, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Four-fifths adverse-impact rule": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Validation of selection procedures": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "eeoc.FOUR_FIFTHS_ADVERSE_IMPACT", "title": "A selection rate for any race, sex, or ethnic group which is less than four-fifths (80%) of the rate for the group with the highest rate is generally regarded as evidence of adverse impact (29 CFR §1607.4(D))", "framework": "eeoc", "framework_version": "Uniform Guidelines on Employee Selection Procedures (1978, 29 CFR Part 1607)", "framework_category": "Four-fifths adverse-impact rule", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:hr-recruitment" ], "audit_events": [ "kye.evidence.pack.v1", "kye.purpose.admissibility.v1" ], "constitution_refs": [ "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:hr-recruitment-product-canonical" }, "notes": "The hr-recruitment rule pack computes the selection-rate ratio as a runtime metric and triggers a mandatory adverse-impact review when it falls below 0.8 (kye:rule:hr_adverse_impact_four_fifths_review), recording the ratio, the affected group, and the disposition in a signed evidence pack." }, { "requirement_id": "eeoc.VALIDATION_OF_SELECTION_PROCEDURES", "title": "A selection procedure that has an adverse impact must be validated as job-related and consistent with business necessity (29 CFR §1607.5)", "framework": "eeoc", "framework_version": "Uniform Guidelines on Employee Selection Procedures (1978, 29 CFR Part 1607)", "framework_category": "Validation of selection procedures", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:hr-recruitment" ], "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "notes": "The job-related / business-necessity validation justification is captured in the adverse-impact review artefact and surfaced through the §21 delegated-auditability evidence chain; the quarterly attestation records its disposition. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "es-lopdgdd", "display_name": "LOPDGDD — Ley Orgánica 3/2018 de Protección de Datos Personales y garantía de los derechos digitales", "framework_version": "Ley Orgánica 3/2018", "source": "LOPDGDD — Ley Orgánica 3/2018 de Protección de Datos Personales y garantía de los derechos digitales. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Spain. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Spain-specific national deltas.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Digital rights (national delta)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "es-lopdgdd.gdpr-transposition", "title": "LOPDGDD — Ley Orgánica 3/2018 de Protección de Datos Personales y garantía de los derechos digitales transposes / supplements the GDPR (Reg. (EU) 2016/679) into Spain national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "es-lopdgdd", "framework_version": "LOPDGDD — Ley Orgánica 3/2018 de Protección de Datos Personales y garantía de los derechos digitales", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "LOPDGDD — Ley Orgánica 3/2018 de Protección de Datos Personales y garantía de los derechos digitales is the national implementing/supplementing statute for the GDPR in Spain. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔spain. This registry maps only the Spain-specific national deltas below." }, { "requirement_id": "es-lopdgdd.supervisory-authority", "title": "Cooperation with the national supervisory authority (the AEPD) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "es-lopdgdd", "framework_version": "es-lopdgdd national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the AEPD can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the AEPD remain tenant-side." }, { "requirement_id": "es-lopdgdd.breach-notification", "title": "Personal-data breach notification to the AEPD (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "es-lopdgdd", "framework_version": "es-lopdgdd national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the AEPD's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." }, { "requirement_id": "es-lopdgdd.digital-rights-titulo-x", "title": "LOPDGDD Título X — digital rights (right to digital disconnection, digital-will, workplace digital rights) layered on top of the GDPR data-subject rights", "framework": "es-lopdgdd", "framework_version": "LOPDGDD Título X", "framework_category": "Digital rights (national delta)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The DSAR assembly path + Evidence Pack provide the disclosable account underlying the Título X digital rights; the specific Spanish digital-rights request types are designed pending their addition to the DSAR request-type registry." } ], "resolution_framing": null }, { "framework": "eu-6amld", "display_name": "EU Sixth Anti-Money Laundering Directive (6AMLD)", "framework_version": "Directive (EU) 2018/1673", "source": "The EU Sixth Anti-Money Laundering Directive (Directive (EU) 2018/1673) harmonises the definition of money-laundering criminal offences across the EU, sets out 22 predicate offences, extends criminal liability to legal persons and to aiding, abetting and inciting money laundering, and raises minimum sanctions. KYE Protocol(TM) governs WHETHER an AI agent's AML action may proceed at the action boundary under a named compliance officer's authority, with due diligence recorded before the action and replay-provable provenance, and section-36 two-person sign-off on consequential filings. KYE does not run transaction-monitoring models, does not decide whether conduct is criminal money-laundering, and does not replace the institution's AML program or legal advice.", "license": "Directive (EU) 2018/1673 is EU legislation published in the Official Journal of the European Union; KYE registry cites its articles for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Predicate offences & scope": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Aiding, abetting & inciting": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Corporate / legal-person liability": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Sanctions & competent-authority cooperation": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "eu-6amld.predicate-offences-scope", "title": "Predicate offences & scope (Art. 2/3): an AI AML action proceeds only under a recorded named-authority decision", "framework": "eu-6amld", "framework_version": "Directive (EU) 2018/1673", "framework_category": "Predicate offences & scope", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "6AMLD Articles 2-3 define the money-laundering offences and the 22 predicate offences. KYE binds every AI-assisted AML action that touches a potential predicate-offence determination (alert triage, screening, SAR/STR drafting) to a named-authority decision under the section-12 Purpose Permission purpose-scope check before it proceeds. Enforced by aml_named_authority. KYE governs whether the action may proceed under a named compliance officer's authority; it does not determine whether conduct is a predicate offence. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-6amld.aiding-abetting-inciting", "title": "Aiding, abetting & inciting (Art. 4): due-diligence result recorded before an AI AML action proceeds", "framework": "eu-6amld", "framework_version": "Directive (EU) 2018/1673", "framework_category": "Aiding, abetting & inciting", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "6AMLD Article 4 criminalises aiding, abetting and inciting money laundering. An AI agent that progresses an alert or onboarding without due diligence could facilitate a prohibited outcome. KYE requires a recorded due-diligence result (screening / CDD / risk determination) before an AI AML action proceeds to a consequential action; an unscreened or low-confidence action is refused. Enforced by aml_due_diligence_before_action. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-6amld.corporate-liability", "title": "Corporate / legal-person liability (Art. 7/8): provenance pin proves the basis of the AI AML decision", "framework": "eu-6amld", "framework_version": "Directive (EU) 2018/1673", "framework_category": "Corporate / legal-person liability", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "6AMLD Articles 7-8 extend liability to legal persons for offences committed for their benefit due to a lack of supervision or control. KYE requires an AI-assisted AML action to emit a signed, replay-derivable provenance pin (model, screened lists, due-diligence result, authority outcome) per the section-13 Resilience Loop so a firm can prove the supervision and control over the AI AML decision was in place. Enforced by aml_provenance_pin. KYE proves the basis; it does not determine corporate liability. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-6amld.competent-authority-cooperation", "title": "Sanctions & competent-authority cooperation (Art. 9-10): consequential AML reporting actions stay advisory until sign-off", "framework": "eu-6amld", "framework_version": "Directive (EU) 2018/1673", "framework_category": "Sanctions & competent-authority cooperation", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "6AMLD Articles 9-10 set sanctions for legal persons and require cooperation between competent authorities, including on reporting. KYE holds an AI-drafted consequential reporting action advisory until a named compliance officer / MLRO records sign-off, with section-36 GovernedUI two-person sign-off on a regulator-facing filing. Enforced by aml_signoff_gate. KYE governs whether the reporting action may proceed; the professional judgment remains with the named officer. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "eu-ai-act", "display_name": "EU AI Act — Regulation (EU) 2024/1689", "framework_version": "2024/1689", "source": "https://eur-lex.europa.eu/eli/reg/2024/1689/oj", "license": "EU Open Data — public domain", "total": 141, "declared_total": 141, "coverage_pct": 79, "status_counts": { "enforced": 98, "designed": 19, "advisory": 16, "deferred": 0, "out-of-scope": 8 }, "by_category": { "Annex III — High-risk use-case classes": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 10 — Data and data governance": { "total": 6, "enforced": 5, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 88 }, "Art 11-12 — Technical documentation & record-keeping": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 13 — Transparency to deployers": { "total": 9, "enforced": 7, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 89 }, "Art 14 — Human oversight": { "total": 12, "enforced": 10, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 90 }, "Art 15 — Accuracy, robustness & cybersecurity": { "total": 5, "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 16-29 — Provider/deployer obligations": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 50-52 — Transparency to natural persons": { "total": 2, "enforced": 1, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 63 }, "Art 6 — High-risk classification": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 72 — Post-market monitoring & incidents": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 9 — Risk management system": { "total": 9, "enforced": 9, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 86 — Right to explanation": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Title I — General provisions": { "total": 6, "enforced": 3, "designed": 1, "advisory": 2, "deferred": 0, "out-of-scope": 0, "coverage_pct": 67 }, "Art 5 — Prohibited practices": { "total": 8, "enforced": 8, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 12 — Record-keeping": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 16 — Provider obligations": { "total": 9, "enforced": 5, "designed": 3, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 75 }, "Art 17 — Quality management system": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Art 18 — Documentation keeping": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 19 — Automatically generated logs": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 20 — Corrective actions": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 21 — Cooperation with competent authorities": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 22 — Authorised representatives": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Art 23 — Importer obligations": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Art 24 — Distributor obligations": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Art 25 — Provider responsibility along value chain": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Art 26 — Deployer obligations": { "total": 7, "enforced": 4, "designed": 2, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 75 }, "Art 27 — Fundamental-rights impact assessment": { "total": 2, "enforced": 0, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 38 }, "Art 28 — Notifying authorities": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Art 29 — Application for notification": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Art 43 — Conformity assessment": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 44 — Certificates": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Art 47 — EU declaration of conformity": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Art 48 — CE marking": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Art 49 — Registration in EU database": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Art 50 — Transparency obligations": { "total": 2, "enforced": 1, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 75 }, "Art 51 — GPAI with systemic risk": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 52 — GPAI notification": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Art 53 — GPAI provider obligations": { "total": 4, "enforced": 3, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 88 }, "Art 55 — GPAI systemic-risk obligations": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 56 — Codes of practice": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Art 60 — Real-world testing": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 72 — Post-market monitoring": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 73 — Serious incident reporting": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 74 — Market surveillance": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 85 — Right to lodge complaint": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Art 99 — Penalties": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Art 113 — Entry into force": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Annex I — Union harmonisation legislation": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Annex II — Law-enforcement offences list": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Annex IV — Technical documentation": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Annex V — EU declaration of conformity": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Annex VI — Internal-control conformity assessment": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Annex VII — Notified-body conformity assessment": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Annex VIII — EU database registration": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Annex IX — Annex III registration": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Annex X — JHA large-scale IT systems": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Annex XI — GPAI technical documentation": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Annex XII — Downstream-integrator information": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Annex XIII — GPAI systemic-risk criteria": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "eu-ai-act.Annex3", "title": "High-risk AI systems enumerated in Annex III (biometrics, critical infrastructure, education, employment, essential services, law enforcement, migration, justice, democratic processes)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex III — High-risk use-case classes", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.purpose.permission.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Annex III categories registered as canonical purpose-scope dimensions in the dictionary; PDP enforces category-specific admissibility (e.g. real-time biometric in public spaces ⇒ refuse unless Art-5(2) exemption proven)." }, { "requirement_id": "eu-ai-act.A10.2", "title": "Training, validation and testing data sets shall be subject to data-governance practices", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 10 — Data and data governance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.model_params.v1", "kye.model.influence_envelope.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Model Params event pins training-corpus hash + sampling seed; Influence Envelope captures RAG/system-prompt provenance. Per-dataset governance ledger declared, runtime ingest path scheduled." }, { "requirement_id": "eu-ai-act.A10.3", "title": "Data sets shall be relevant, sufficiently representative, free of errors and complete", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 10 — Data and data governance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "advisory", "notes": "Substantive data-quality criteria sit with the AI provider's data-engineering process; KYE records the attestation but does not measure dataset bias inline." }, { "requirement_id": "eu-ai-act.A10.5", "title": "Processing of special-category personal data for bias detection and correction (lawful-basis exception)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 10 — Data and data governance", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission encodes the bias-correction lawful basis; PDP gates each special-category read against the declared exception scope." }, { "requirement_id": "eu-ai-act.A11.1", "title": "Draw up technical documentation of the high-risk AI system before placing on market (Annex IV)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 11-12 — Technical documentation & record-keeping", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Capability Profile + Influence Envelope + Evidence Pack assemble the Annex IV file under a single replay-proof URI; Conformance Runner verifies completeness on issue." }, { "requirement_id": "eu-ai-act.A11.2", "title": "Keep technical documentation up to date throughout the AI system lifecycle", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 11-12 — Technical documentation & record-keeping", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.resilience.improvement_record.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Drift-Detected signal triggers refresh of capability profile; ≤90-day attestation cadence per §0.3 ensures documentation never decays silently." }, { "requirement_id": "eu-ai-act.A12.1", "title": "Automatic recording of events (logs) over the lifetime of the high-risk AI system", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 11-12 — Technical documentation & record-keeping", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.observed_action.v1", "kye.audit.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Chain captures every privileged decision; §35 Streaming Logs Contract enforces tamper-evident sink-at-event with no batch-commit loopholes." }, { "requirement_id": "eu-ai-act.A12.3", "title": "Logging shall enable monitoring of operation with respect to risks identified under Art 9", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 11-12 — Technical documentation & record-keeping", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.risk.score.v1", "kye.signal.evidence.sealed.v1" ], "engines": [ "internal", "internal" ], "worm_tables": [ "decisions", "evidence_pack" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Decision Maps carry the Art-9 risk-score at decision time so post-hoc risk-monitoring is a query, not a reconstruction; WORM triggers prevent tamper." }, { "requirement_id": "eu-ai-act.A13.1", "title": "Design and develop high-risk AI systems to ensure sufficient transparency to deployers", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 13 — Transparency to deployers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Capability Profile + Influence Envelope ship as the deployer-facing transparency artefacts; GovernedUI exposes them on the human-control surface." }, { "requirement_id": "eu-ai-act.A13.3.a", "title": "Instructions for use shall identify provider, intended purpose, performance, known limitations", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 13 — Transparency to deployers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.purpose.permission.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Capability Profile declares intended purpose + measured performance + prohibited tasks; Purpose Permission grants the matching deployer-facing scope." }, { "requirement_id": "eu-ai-act.A13.3.d", "title": "Instructions for use shall include human-oversight measures, including the technical measures put in place", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 13 — Transparency to deployers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.governedui.evidence_timeline.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.authority_scope.v1", "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Adoption Stage ladder (observe → enforce) is the technical measure; GovernedUI surfaces it as the deployer-facing oversight console." }, { "requirement_id": "eu-ai-act.A14.1", "title": "High-risk AI systems shall be designed to be effectively overseen by natural persons", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.purpose.grant.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "GovernedUI is the canonical human-control surface — Action Approval + Approval Queue gate every privileged decision behind a natural-person check at the configured threshold." }, { "requirement_id": "eu-ai-act.A14.4.a", "title": "Oversight persons can properly understand the relevant capacities and limitations of the system", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.governedui.evidence_timeline.v1" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1", "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Entity Passport renders capability profile in human terms; Evidence Timeline replays prior decisions. UI surfaces shipped; oversight-training onboarding flow scheduled. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A14.4.d", "title": "Oversight persons can intervene on the operation or interrupt the system through a stop button", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.revoked.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Revocation Orchestrator is the canonical stop-button — emits grant-revoked and propagates to every downstream PEP within the next decision cycle." }, { "requirement_id": "eu-ai-act.A14.5", "title": "For Annex III §1(a) biometric-identification systems, no action shall be taken on the basis of identification unless verified and confirmed by at least two natural persons", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Two-person rule encoded as an Approval-mode (`two_person`) on the action; PDP refuses admissibility until both signatures land on the same Decision Map." }, { "requirement_id": "eu-ai-act.A14.2", "title": "Human oversight shall aim to prevent or minimise risks to health, safety or fundamental rights for the period the system is in use", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.oversight.envelope_set.v1", "kye.oversight.envelope_breach.v1", "kye.oversight.drift_alert.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.oversight_envelope.v1", "kye.governedui.module.authority_drift.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Human-OVER-the-loop posture (§36 §12). The overseer sets a kye.authority_envelope.v1 — scope, hard limits, drift thresholds — that constrains the agent for the period it is in use; breach + drift events keep risks minimised without per-action approval. Complements A14.1 in-the-loop approval for high-volume autonomy at Autonomy Tiers A2/A3." }, { "requirement_id": "eu-ai-act.A14.4.b", "title": "Oversight persons remain aware of the possible tendency of automatically relying or over-relying on the output (automation bias)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.oversight.drift_alert.v1", "kye.resilience.drift.detected.v1" ], "governedui_modules": [ "kye.governedui.module.oversight_envelope.v1", "kye.governedui.module.authority_drift.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The over-the-loop posture counters automation bias structurally: the overseer is alerted on drift/breach against the envelope they set, not asked to rubber-stamp each output. The act of setting/revising the envelope is itself PDP-gated and signed (§36 §9 oversight-of-oversight), so the oversight is evidenced rather than assumed." }, { "requirement_id": "eu-ai-act.A15.1", "title": "Achieve an appropriate level of accuracy, robustness, and cybersecurity throughout the lifecycle", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 15 — Accuracy, robustness & cybersecurity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.compliance.attestation.v1", "kye.signal.stress_test.high_risk_detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Conformance Runner replays deterministic test vectors against pinned model + tool versions; stress-test signal escalates when measured accuracy drops below declared baseline." }, { "requirement_id": "eu-ai-act.A15.3", "title": "Levels of accuracy and relevant accuracy metrics declared in the instructions for use", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 15 — Accuracy, robustness & cybersecurity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Capability Profile carries declared accuracy metrics (per task, per dataset) and the framework-version that produced them — a regulator-spot-check artefact." }, { "requirement_id": "eu-ai-act.A15.4", "title": "Resilience against errors, faults or inconsistencies and against feedback loops (concept drift)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 15 — Accuracy, robustness & cybersecurity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift_event.v1", "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Influence Envelope drift detection raises stable-drift signal on feedback-loop convergence; Resilience Loop iterates the corrective grant." }, { "requirement_id": "eu-ai-act.A15.5", "title": "Cybersecurity measures against attempts by unauthorised third parties to alter use, behaviour or performance", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 15 — Accuracy, robustness & cybersecurity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.agent.refusal.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-envelope-vs-scope" }, "notes": "PDP refuses out-of-scope invocations; Tool-Call Pin verifies tool-version + signature on every external call; MCP allow-list (§52 Phase 2) bounds the attack surface." }, { "requirement_id": "eu-ai-act.A17", "title": "Provider shall put in place a quality management system documented in written policies, procedures and instructions", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16-29 — Provider/deployer obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Authority Register aggregates control state for board oversight; written QMS narrative + procedure-attestation cadence scheduled." }, { "requirement_id": "eu-ai-act.A26.1", "title": "Deployer shall use the high-risk AI system in accordance with instructions for use", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16-29 — Provider/deployer obligations", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.purpose.grant.v1", "kye.agent.refusal.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission is the machine-readable equivalent of 'instructions for use' — PDP refuses any deployer invocation outside the declared scope." }, { "requirement_id": "eu-ai-act.A27", "title": "Deployers that are bodies governed by public law shall perform a fundamental-rights impact assessment", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16-29 — Provider/deployer obligations", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "FRIA workflow declared as a structured Risk Engine intake feeding Audit Pilot; rights-impact dimensions modelled, public-sector intake form is the deferred surface." }, { "requirement_id": "eu-ai-act.A50.1", "title": "Providers shall ensure AI systems intended to interact directly with natural persons are designed so persons are informed they are interacting with an AI", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 50-52 — Transparency to natural persons", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.evidence.observed_action.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Capability Profile carries the 'interacts-with-natural-persons' flag; runtime UI-side disclosure widget shipped in the canonical chrome (the AI-disclosure banner is a per-surface conformance check)." }, { "requirement_id": "eu-ai-act.A50.2", "title": "Providers of generative AI shall mark outputs as artificially generated or manipulated in a machine-readable format", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 50-52 — Transparency to natural persons", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.observed_action.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "advisory", "notes": "Output-marking (C2PA-style provenance manifest) belongs to the generative-model provider; KYE records the attestation that the provider claims to do this but does not mark outputs itself." }, { "requirement_id": "eu-ai-act.A6.1", "title": "Classification of AI systems as high-risk per Annex I safety-component criteria", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 6 — High-risk classification", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Capability Profile carries declared risk class + prohibited tasks; Risk Engine classifies and emits a Decision Map at first execution." }, { "requirement_id": "eu-ai-act.A6.2", "title": "Classification of AI systems as high-risk per Annex III enumerated use-cases", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 6 — High-risk classification", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Annex III use-case categories map to declared purpose-scope dimensions; PDP refuses admissibility for prohibited or undeclared high-risk categories." }, { "requirement_id": "eu-ai-act.A72.1", "title": "Providers shall establish a post-market monitoring system and report serious incidents to national authorities", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 72 — Post-market monitoring & incidents", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.stress_test.high_risk_detected.v1", "kye.resilience.drift_event.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Stress-test + drift signals + Evidence Pack form the incident report payload; outbound notification to national authority (EU Member State channel) is the customer-side integration scheduled." }, { "requirement_id": "eu-ai-act.A9.1", "title": "Establish, implement, document and maintain a risk-management system across the AI lifecycle", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 9 — Risk management system", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk Engine maintains a continuous-throughout-lifecycle risk register; Authority Register aggregates for board-level oversight." }, { "requirement_id": "eu-ai-act.A9.2", "title": "Identify and analyse known and reasonably foreseeable risks to health, safety and fundamental rights", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 9 — Risk management system", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.model.capability_profile.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence Mapping Engine classifies by reversibility and population-impact; Capability Profile declares foreseeable misuse vectors." }, { "requirement_id": "eu-ai-act.A9.5", "title": "Adopt appropriate and targeted risk-management measures to eliminate or reduce identified risks", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 9 — Risk management system", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.purpose.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission grants narrow each authority; PDP refuses admissibility outside declared envelope (eliminate-or-reduce in the inadmissible direction)." }, { "requirement_id": "eu-ai-act.A9.8", "title": "Test the AI system for purposes of identifying the most appropriate risk-management measures", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 9 — Risk management system", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Conformance Runner replays trace specs against pinned model + tool versions; Audit Replay Report seals the deterministic test outcome." }, { "requirement_id": "eu-ai-act.A13.RATIONALE", "title": "Transparency to deployers — the governance decision is rendered in a structured, human-readable rationale a deployer can inspect and pass on", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 13 — Transparency to deployers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision_rationale.v1", "kye.evidence.pack.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "kye.decision_rationale.v1 carries the WHY alongside the Evidence Pack's WHAT+WHO: which rule fired, which authority was resolved, which inputs were consumed, and the purpose+scope in force. §0.16 BOUNDARY: KYE produces the rationale + evidence record that an Art-13 transparency obligation consumes; it does NOT produce post-hoc statistical model interpretability (SHAP/LIME-style feature attribution). The interpretability_boundary field states this explicitly in every instance." }, { "requirement_id": "eu-ai-act.A14.RATIONALE", "title": "Human oversight — the rationale records the natural-person intervention (approve / reject / modify / interrupt) and the oversight mode in force", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision_rationale.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "The human_oversight block of kye.decision_rationale.v1 captures the GovernedUI approval mode, the reviewing natural person, and the intervention taken — including the Art 14.4.d stop-button branch ('interrupted'). The 'escalated_to_human' verdict is the oversight branch made first-class. KYE records the oversight act; it does not adjudicate it (§0.16)." }, { "requirement_id": "eu-ai-act.A86.RATIONALE", "title": "Right to explanation — an affected person receives a clear, meaningful, contestable account of why the decision was reached and how to contest it", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 86 — Right to explanation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision_rationale.v1", "kye.dispute.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "verdict_summary renders the citizen-readable account; contest_path names the route and (non-bindingly) the adjudicator in the affected person's jurisdiction, linking to a kye.dispute.v1 record once a contest is raised. §0.16 BOUNDARY: KYE supplies the explanation + contestable substrate to whichever appeal body, regulator or tribunal already holds jurisdiction — it does not itself adjudicate the contest." }, { "requirement_id": "eu-ai-act.A1", "title": "Subject matter — harmonised rules for placing on market, putting into service and use of AI systems in the Union", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Title I — General provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "Article 1 is the scope declaration. KYE rails do not enforce subject-matter but every shipped surface declares EU AI Act conformance scope in its jurisdiction attestation." }, { "requirement_id": "eu-ai-act.A2.1", "title": "Scope — applies to providers, deployers, importers, distributors, product manufacturers and affected persons in the Union", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Title I — General provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.jurisdiction.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:sku-jurisdiction-canonical" }, "notes": "Jurisdiction Resolver Agent records role (provider/deployer/importer/distributor) and EU/non-EU posture; jurisdiction attestation event captures the binding." }, { "requirement_id": "eu-ai-act.A2.3", "title": "Exclusions — military, defence, national security, scientific research and personal non-professional activity", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Title I — General provisions", "level": "conditional", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "Out-of-scope determination is a deployer responsibility; KYE SKU manifest excludes military/defence use from licensed deployment scope as a contractual matter." }, { "requirement_id": "eu-ai-act.A3.1", "title": "Definition — 'AI system' means a machine-based system designed to operate with varying levels of autonomy, that may exhibit adaptiveness after deployment, and that infers from input how to generate outputs", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Title I — General provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.entity.model.v1", "kye.model.capability_profile.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Every governed model is registered as a `kye.entity.model.v1` and its autonomy/adaptiveness declared on the capability profile, matching the Art 3(1) definition shape." }, { "requirement_id": "eu-ai-act.A3.63", "title": "Definition — 'general-purpose AI model' means an AI model trained on a large amount of data using self-supervision at scale, displaying significant generality", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Title I — General provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile carries the GPAI flag + training-data-scale + downstream-task-generality attributes per Art 3(63)." }, { "requirement_id": "eu-ai-act.A4", "title": "AI literacy — providers and deployers must take measures to ensure a sufficient level of AI literacy of their staff and other persons dealing with the system on their behalf", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Title I — General provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/39-LEARN-RAIL.md", "constitution/10-PARTNER.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Article 4 (literacy) is a deployer training duty. KYE Learn Rail surfaces glossary + framework explainers; certification flow is in the Partner Program. Material enforcement (training-completion attestation per principal) is designed not yet enforced. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A5.1.a", "title": "Prohibited practice — subliminal techniques beyond a person's consciousness or purposefully manipulative techniques materially distorting behaviour", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 5 — Prohibited practices", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:eu-ai-act" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Prohibition encoded as an inadmissible purpose-class at the PDP; rule-pack carries the Art 5(1)(a) denial predicate. PDP enforces denial; the rule-pack catalogue of prohibited subliminal techniques is in build." }, { "requirement_id": "eu-ai-act.A5.1.b", "title": "Prohibited practice — exploitation of vulnerabilities due to age, disability or social/economic situation", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 5 — Prohibited practices", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Vulnerability-exploitation purposes denied at PDP via inadmissible-class predicate; vulnerability classification (age/disability/socioeconomic) requires the data-classification-engine to carry the canonical attribute set — in build." }, { "requirement_id": "eu-ai-act.A5.1.c", "title": "Prohibited practice — social scoring leading to detrimental treatment outside the original collection context", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 5 — Prohibited practices", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.data_use_manifest.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Use Manifest binds collection context to permitted purposes; PDP refuses any decision-use that crosses contexts (social-scoring detrimental-cross-use predicate)." }, { "requirement_id": "eu-ai-act.A5.1.d", "title": "Prohibited practice — risk assessment of natural persons solely on profiling or personality-trait assessment for predicting criminal offences", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 5 — Prohibited practices", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Predictive-policing purpose denied via inadmissible-class predicate at PDP; deployer must declare law-enforcement context for the predicate to fire." }, { "requirement_id": "eu-ai-act.A5.1.e", "title": "Prohibited practice — untargeted scraping of facial images for facial-recognition databases", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 5 — Prohibited practices", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Untargeted-scraping purpose denied via inadmissible-class predicate; data-use manifest requires source-lawfulness attestation for facial-image data, refusing scraped-internet origin." }, { "requirement_id": "eu-ai-act.A5.1.f", "title": "Prohibited practice — emotion recognition in workplace and educational institutions (except for medical or safety reasons)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 5 — Prohibited practices", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Workplace/education emotion-recognition denied at PDP via inadmissible-class predicate gated on sector + medical-exception attribute." }, { "requirement_id": "eu-ai-act.A5.1.g", "title": "Prohibited practice — biometric categorisation systems that infer race, political opinions, trade-union membership, religious or philosophical beliefs, sex life or sexual orientation", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 5 — Prohibited practices", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Biometric special-category inference denied at PDP; the protected-attribute set aligns with GDPR Art 9 special categories already declared in the data classification dictionary." }, { "requirement_id": "eu-ai-act.A5.1.h", "title": "Prohibited practice — real-time remote biometric identification in publicly accessible spaces for law enforcement (with narrow exceptions)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 5 — Prohibited practices", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Real-time RBI denied by default; narrow exceptions require Member-State authorisation token in the purpose grant; PDP refuses without it." }, { "requirement_id": "eu-ai-act.A6.3", "title": "Derogation — Annex III system not considered high-risk if it does not pose a significant risk and meets one of the conditions in 6(3)(a)-(d)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 6 — High-risk classification", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk Engine emits derogation-applicable evidence (narrow procedural task / improves-prior-human-result / detects-decision-pattern / preparatory-task) — claim must be auditable per Art 6(4)." }, { "requirement_id": "eu-ai-act.A6.4", "title": "Provider documenting Art 6(3) derogation assessment and registering in the EU database", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 6 — High-risk classification", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Evidence Pack assembles the derogation file in EU-AI-DB-compatible shape; EU-DB push connector is in build (declared in connector manifest)." }, { "requirement_id": "eu-ai-act.A9.3", "title": "Risk-management measures shall give due consideration to the effects on persons under 18 and other vulnerable groups", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 9 — Risk management system", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.consequence_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence Mapping Engine carries vulnerable-population attributes (minors / disability / health) that ratchet the risk score; risk treatment must address them per the mapping." }, { "requirement_id": "eu-ai-act.A9.4", "title": "Risk-management measures shall be such that the relevant residual risk is judged acceptable", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 9 — Risk management system", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk Engine carries an acceptable-residual-risk threshold per authority; PDP denies admissibility when residual exceeds threshold." }, { "requirement_id": "eu-ai-act.A9.6", "title": "High-risk AI systems shall be tested for the purpose of identifying the most appropriate and targeted risk management measures", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 9 — Risk management system", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.scenario_run.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scenario Engine runs targeted-risk red-team scenarios; Conformance Runner replays them deterministically on each change." }, { "requirement_id": "eu-ai-act.A9.7", "title": "Testing of high-risk AI systems shall be performed against prior defined metrics and probabilistic thresholds appropriate to intended purpose", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 9 — Risk management system", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Each scenario declares prior metrics + thresholds; runs that breach threshold emit an audit-replay report at HIGH severity." }, { "requirement_id": "eu-ai-act.A9.9", "title": "Risk-management process for high-risk systems intended for credit institutions covered by Union financial-services law shall be integrated with the institution's existing risk management", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 9 — Risk management system", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.connector.evidence_import.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Risk integration with DORA / CRD risk frameworks via the evidence-import connector; integration mappings for major bank risk platforms is in build." }, { "requirement_id": "eu-ai-act.A10.1", "title": "High-risk AI systems using techniques involving training of models with data shall be developed on the basis of training, validation and testing data sets that meet quality criteria", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 10 — Data and data governance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.evidence.model_params.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Use Manifest declares per-dataset quality, lineage, lawfulness; Model Params event pins the training/validation/test split used." }, { "requirement_id": "eu-ai-act.A10.4", "title": "Data sets shall, to the extent required by the intended purpose, take into account the characteristics or elements particular to the specific geographical, contextual, behavioural or functional setting", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 10 — Data and data governance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.jurisdiction.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Data Use Manifest carries representativeness attributes per Art 10(4); contextual-coverage attestation tooling is in build." }, { "requirement_id": "eu-ai-act.A10.6", "title": "Special categories of personal data may be processed for bias detection where strictly necessary, with safeguards", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 10 — Data and data governance", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.data_use_manifest.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Bias-detection purpose for special-category data must be declared at the PDP and is admitted only with the Art 10(6) safeguards encoded (pseudonymisation, no third-party transfer, deletion-after-detection)." }, { "requirement_id": "eu-ai-act.A12.2", "title": "Logs shall enable monitoring of the operation of the high-risk AI system with regard to the occurrence of situations that may result in the system presenting a risk", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 12 — Record-keeping", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Drift Detector + audit-chain streaming logs cover Art 12(2); risk-presenting events emit a canonical signal." }, { "requirement_id": "eu-ai-act.A13.2", "title": "High-risk AI systems shall be accompanied by instructions for use in an appropriate digital or other format", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 13 — Transparency to deployers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/39-LEARN-RAIL.md", "constitution/11-CONTENT.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Deployer instructions-for-use bundle is produced by the Learn Rail; per-deployment customisation flow shipping with the Tier-1 readiness pack. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A13.3.b", "title": "Instructions for use shall include performance, robustness and cybersecurity characteristics including degradation conditions", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 13 — Transparency to deployers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Capability Profile carries per-model performance/robustness/cyber attributes used in the auto-rendered deployer brief." }, { "requirement_id": "eu-ai-act.A13.3.c", "title": "Instructions for use shall include any known or foreseeable circumstance leading to risks to health, safety or fundamental rights", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 13 — Transparency to deployers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1", "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence Mapping Engine emits the foreseeable-circumstance attribute set surfaced to deployers." }, { "requirement_id": "eu-ai-act.A13.3.e", "title": "Instructions for use shall include human-oversight measures including technical measures to facilitate interpretation of the outputs", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 13 — Transparency to deployers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Action Approval and Evidence Timeline modules are the canonical interpretation surfaces; deployer brief generated from the GovernedUI manifest." }, { "requirement_id": "eu-ai-act.A13.3.f", "title": "Instructions for use shall include the expected lifetime of the system and any necessary maintenance/care measures", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 13 — Transparency to deployers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Audit Retention Policy carries expected-lifetime; maintenance windows declared via the change calendar (in build for customer-visible deployer brief). PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A14.2", "title": "Human oversight shall aim at preventing or minimising risks to health, safety or fundamental rights that may emerge when high-risk system is used", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Oversight directly addressed by PDP admissibility + Approval surface; risk-emergence detection ties into the resilience loop." }, { "requirement_id": "eu-ai-act.A14.3", "title": "Oversight measures shall be commensurate with risks, level of autonomy and context of use", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.risk.score.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission encodes per-authority approval-mode (none/single/two-person/legal-required) calibrated by risk score — risk-commensurate by construction." }, { "requirement_id": "eu-ai-act.A14.4.b", "title": "Oversight persons shall remain aware of automation bias", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "governedui_modules": [ "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md", "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Awareness is a training duty. KYE Learn surfaces explainers; KYE rails do not enforce a human's cognitive state — only structurally compel a second opinion via approval-mode escalation." }, { "requirement_id": "eu-ai-act.A14.4.c", "title": "Oversight persons shall be able to correctly interpret the high-risk AI system's output considering tools and methods available", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "governedui_modules": [ "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map provides per-decision rationale + inputs in human-legible form; Evidence Timeline is the interpretation surface." }, { "requirement_id": "eu-ai-act.A14.4.e", "title": "Oversight persons shall be able to decide, in any particular situation, not to use the high-risk system or to disregard, override or reverse the output", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 14 — Human oversight", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.approval_decision.v1", "kye.purpose.grant.revoked.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Action Approval lets the human reject; Authority Revocation cascades the override; reverse-output evidence captured on the decision." }, { "requirement_id": "eu-ai-act.A15.2", "title": "Levels of accuracy and the relevant accuracy metrics shall be declared in the accompanying instructions of use", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 15 — Accuracy, robustness & cybersecurity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile declares per-task accuracy metric set; deployer brief lifts directly from it." }, { "requirement_id": "eu-ai-act.A16.a", "title": "Providers shall ensure high-risk AI systems comply with Section 2 requirements", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16 — Provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Implementation Registry binds every concept to the framework requirement it satisfies; compliance attestation rolls up Section 2 status." }, { "requirement_id": "eu-ai-act.A16.b", "title": "Providers shall indicate name, registered trade name and contact address on the system or its packaging/accompanying documentation", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16 — Provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:marketplace-listing-conformance" }, "notes": "SKU catalogue + Marketplace listing carry provider identity attributes; listing conformance gate enforces presence." }, { "requirement_id": "eu-ai-act.A16.c", "title": "Providers shall have a quality-management system in place per Article 17", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16 — Provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "QMS is a deployer organisational duty; KYE supplies the QMS evidence pack template + the audit-chain it sits on, but the QMS itself is the customer's. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A16.d", "title": "Providers shall keep the technical documentation per Article 11 for 10 years after placing the system on the market", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16 — Provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "Audit Retention Policy declares 10-year retention for EU-AI-Act technical-doc evidence packs (R2 Object Lock); retention gate enforces the floor." }, { "requirement_id": "eu-ai-act.A16.e", "title": "Providers shall keep the logs automatically generated by their high-risk AI system per Article 19", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16 — Provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_chain_entry.v1", "kye.audit_retention_policy.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Audit Chain emits per-decision entries; Audit Archiver moves them to R2 Object Lock at declared retention." }, { "requirement_id": "eu-ai-act.A16.f", "title": "Providers shall ensure that the high-risk AI system undergoes the relevant conformity-assessment procedure per Article 43", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16 — Provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.tier1_readiness.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Tier-1 Readiness pack assembles the conformity-assessment dossier per Annex VI/VII; Audit Pilot agent runs the internal-control variant." }, { "requirement_id": "eu-ai-act.A16.g", "title": "Providers shall draw up an EU declaration of conformity per Article 47", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16 — Provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "DoC template wired into evidence-pack assembler; one-click DoC generation surface in build for the customer admin console. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A16.h", "title": "Providers shall affix the CE marking on the high-risk AI system per Article 48", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16 — Provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "CE marking is a labelling act by the deployer; KYE assists by surfacing the conformity status on the marketplace listing." }, { "requirement_id": "eu-ai-act.A16.i", "title": "Providers shall register the system in the EU database per Article 49", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 16 — Provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "EU-AI-DB push connector in build; output format already aligned with the Annex VIII data fields. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A17.1", "title": "Providers shall put in place a quality management system that ensures compliance with this Regulation", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 17 — Quality management system", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Implementation Registry + Implementation Plan acts as the QMS spine; per-control attestation rolls up the QMS status. Formal QMS-document generator in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A18", "title": "Provider shall keep the documentation referred to in Articles 11, 17, 20, 21 and 49 at disposal of the national competent authorities for 10 years", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 18 — Documentation keeping", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "10-year retention encoded in Audit Retention Policy under the eu-ai-act jurisdiction binding; WORM-backed R2 enforces immutability." }, { "requirement_id": "eu-ai-act.A19", "title": "Providers shall keep automatically-generated logs for at least 6 months unless a longer period is required by sectoral Union law", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 19 — Automatically generated logs", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1", "kye.audit_chain_entry.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "Audit Chain logs retained at the sector-maximum (DORA: 7 years; EU-AI-Act floor: 6 months); retention gate enforces." }, { "requirement_id": "eu-ai-act.A20", "title": "Providers that consider or have reason to consider that a placed system is not in conformity shall take corrective actions", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 20 — Corrective actions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.purpose.grant.revoked.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector opens incidents on detected non-conformity; Authority Revocation cascades the corrective revoke." }, { "requirement_id": "eu-ai-act.A21", "title": "Providers shall, upon reasoned request of a national competent authority, provide all information and documentation necessary to demonstrate conformity", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 21 — Cooperation with competent authorities", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.evidence.pack.v1" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Regulator Replay Agent + Audit Pilot deliver the conformity demonstration; evidence pack is signed and replay-proof per public-key alone." }, { "requirement_id": "eu-ai-act.A22", "title": "Providers established in third countries shall, before making available on the Union market, appoint an authorised representative in the Union", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 22 — Authorised representatives", "level": "conditional", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "Authorised-representative appointment is a corporate act; KYE Commercial Lifecycle carries the AR identity field on the SKU agreement for tracking." }, { "requirement_id": "eu-ai-act.A23", "title": "Importers shall verify provider's conformity-assessment procedure, technical documentation and CE marking before placing the system on the market", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 23 — Importer obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Importer verification is the importer's act; KYE supplies the Audit Pilot output as importer-verifiable evidence." }, { "requirement_id": "eu-ai-act.A24", "title": "Distributors shall, before making a high-risk AI system available, verify that it bears CE marking, has the EU DoC and instructions for use, and that the provider/importer have complied with Articles 16(b)(c)(d) and 23(3)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 24 — Distributor obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "Distributor verification is the distributor's process; KYE Marketplace exposes the CE/DoC/IFU bundle as a verifiable manifest for distributors to consume." }, { "requirement_id": "eu-ai-act.A25", "title": "Any distributor, importer, deployer or third party that puts a high-risk AI system on market under its own name shall be considered a provider and shall assume provider obligations", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 25 — Provider responsibility along value chain", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "Provider-by-rebranding is a legal determination; the SKU agreement carries the white-label flag that triggers automatic provider-obligation propagation in the commercial-lifecycle state." }, { "requirement_id": "eu-ai-act.A26.2", "title": "Deployers shall assign human oversight to natural persons who have the necessary competence, training, authority and support", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 26 — Deployer obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Engine binds oversight responsibility to a named principal; the Approval Queue surfaces only to authorised oversight persons." }, { "requirement_id": "eu-ai-act.A26.3", "title": "Deployers shall ensure that input data is relevant and sufficiently representative", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 26 — Deployer obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Use Manifest declares per-input representativeness attributes; PDP refuses when input falls outside the declared representativeness envelope." }, { "requirement_id": "eu-ai-act.A26.5", "title": "Deployers shall monitor the operation of the high-risk AI system on the basis of instructions for use and inform the provider of incidents per Article 72", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 26 — Deployer obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector + Drift Detector emit canonical signals; webhook-dispatcher pushes them to the provider per the deployer-provider relationship." }, { "requirement_id": "eu-ai-act.A26.6", "title": "Deployers shall keep the logs automatically generated for at least 6 months", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 26 — Deployer obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "6-month deployer floor encoded in Audit Retention Policy; WORM-backed R2 enforces immutability." }, { "requirement_id": "eu-ai-act.A26.7", "title": "Deployers that are employers shall inform workers' representatives and affected workers before putting into service a high-risk AI system in the workplace", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 26 — Deployer obligations", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Workplace-notification template registered in the Comms Manifest; comms dispatch records the notification act. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A26.8", "title": "Deployers shall register themselves in the EU database before using a high-risk AI system listed in Annex III", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 26 — Deployer obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "Deployer EU-DB registration is a deployer act; KYE provides the Annex III classification attestation as input." }, { "requirement_id": "eu-ai-act.A26.11", "title": "Deployers shall use the information provided per Article 13 to comply with their data-protection impact assessment obligation under GDPR Article 35", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 26 — Deployer obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "DPIA template links to Art 13 instructions-for-use bundle; one-DPIA-per-deployment generator in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A27.1", "title": "Deployers that are bodies governed by public law, private operators providing public services, or operators deploying Annex III §5(b)/(c) systems shall perform a fundamental-rights impact assessment (FRIA)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 27 — Fundamental-rights impact assessment", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "FRIA is the deployer's substantive assessment; KYE supplies the FRIA template + the audit chain to sit on, but the assessment content is the deployer's." }, { "requirement_id": "eu-ai-act.A27.3", "title": "Once the FRIA is performed, the deployer shall notify the market surveillance authority of its results", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 27 — Fundamental-rights impact assessment", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Comms Rail carries the regulator-notify template; integration with Member-State authority endpoints in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A28", "title": "Each Member State shall designate or establish at least one notifying authority", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 28 — Notifying authorities", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Article 28 is a Member-State obligation, not a provider/deployer one.", "owning_role": "customer" }, { "requirement_id": "eu-ai-act.A29", "title": "Conformity-assessment bodies shall submit an application for notification to the notifying authority", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 29 — Application for notification", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Notified-body process; out of scope for the provider/deployer rails.", "owning_role": "customer" }, { "requirement_id": "eu-ai-act.A43", "title": "For Annex III high-risk systems other than §1, providers shall follow the conformity-assessment procedure based on internal control (Annex VI)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 43 — Conformity assessment", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.tier1_readiness.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Annex VI internal-control conformity assessment runs as an Audit Pilot pass; output is the Tier-1 readiness pack." }, { "requirement_id": "eu-ai-act.A44", "title": "Certificates issued by notified bodies shall be in a Union official language and shall be valid for the period they indicate, not exceeding 5 years", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 44 — Certificates", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Notified-body certificates are notified-body artefacts; out of scope for the provider rail.", "owning_role": "customer" }, { "requirement_id": "eu-ai-act.A47", "title": "Provider shall draw up a written, machine-readable EU declaration of conformity for each high-risk AI system", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 47 — EU declaration of conformity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Machine-readable DoC generated by the evidence-pack-assembler; one-click DoC surface in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A48", "title": "CE marking shall be affixed visibly, legibly and indelibly on the high-risk AI system, or where not possible, on its packaging or documentation", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 48 — CE marking", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "CE marking is a packaging/documentation act; KYE Marketplace listing surfaces the CE-eligibility status as a verifiable manifest field." }, { "requirement_id": "eu-ai-act.A49.1", "title": "Provider shall register itself and each Annex III high-risk system in the EU database before placing on market or putting into service", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 49 — Registration in EU database", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "EU-AI-DB push connector in build; Annex VIII data fields already mapped to the SKU + system entity manifests. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A50.3", "title": "Deployers of emotion-recognition or biometric-categorisation systems shall inform natural persons exposed", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 50 — Transparency obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consent acceptance + comms dispatch capture the notification event per the Art 50(3) template." }, { "requirement_id": "eu-ai-act.A50.4", "title": "Deployers of AI generating or manipulating image, audio or video content (deep fakes) shall disclose that the content has been artificially generated or manipulated", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 50 — Transparency obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Deep-fake disclosure metadata embedded in the output payload; C2PA-compatible signing in build via the signing rail. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A51", "title": "General-purpose AI model with systemic risk shall be designated based on high-impact capabilities or by Commission decision", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 51 — GPAI with systemic risk", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile carries the FLOP-threshold + systemic-risk flag; influence envelope quantifies downstream impact for the designation test." }, { "requirement_id": "eu-ai-act.A52", "title": "Provider of a GPAI model meeting the Art 51 condition shall notify the Commission within 2 weeks", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 52 — GPAI notification", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Commission-notify template in Comms Manifest; auto-trigger on capability-profile cross-threshold change in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A53.1.a", "title": "Providers of GPAI models shall draw up and keep up-to-date the technical documentation", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 53 — GPAI provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.model.capability_profile.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Evidence Pack assembles the GPAI Annex XI technical-documentation bundle from canonical model + training-data sources." }, { "requirement_id": "eu-ai-act.A53.1.b", "title": "Providers of GPAI models shall make information available to providers of AI systems that intend to integrate the GPAI", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 53 — GPAI provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1" ], "constitution_refs": [ "constitution/15-MCP-AND-SDK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile is the canonical machine-readable downstream-integrator brief per Annex XII." }, { "requirement_id": "eu-ai-act.A53.1.c", "title": "Providers of GPAI models shall put in place a policy to comply with Union law on copyright and related rights", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 53 — GPAI provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Data Use Manifest carries copyright-policy attestation; TDM-opt-out connector tracking in build." }, { "requirement_id": "eu-ai-act.A53.1.d", "title": "Providers of GPAI models shall draw up and make publicly available a sufficiently detailed summary about the content used for training", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 53 — GPAI provider obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Training-content summary generated from the data-use-manifest; AI-Office template alignment in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.A55.1.a", "title": "Providers of GPAI models with systemic risk shall perform model evaluation including adversarial testing", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 55 — GPAI systemic-risk obligations", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scenario Engine runs adversarial scenarios; audit-replay report binds evaluation outcomes to the model version." }, { "requirement_id": "eu-ai-act.A55.1.b", "title": "Providers of GPAI models with systemic risk shall assess and mitigate possible systemic risks", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 55 — GPAI systemic-risk obligations", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.consequence_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine + Consequence Mapping cover the assess-and-mitigate loop at the GPAI level." }, { "requirement_id": "eu-ai-act.A55.1.c", "title": "Providers of GPAI models with systemic risk shall keep track of, document and report serious incidents to the AI Office and national authorities", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 55 — GPAI systemic-risk obligations", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector + comms-dispatch handle serious-incident reporting; AI-Office endpoint integration in Comms Manifest." }, { "requirement_id": "eu-ai-act.A55.1.d", "title": "Providers of GPAI models with systemic risk shall ensure an adequate level of cybersecurity protection", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 55 — GPAI systemic-risk obligations", "level": "conditional", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "No-SPOF registry + streaming-logs contract anchor the cybersecurity posture for the GPAI runtime." }, { "requirement_id": "eu-ai-act.A56", "title": "AI Office and AI Board shall develop codes of practice for GPAI providers", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 56 — Codes of practice", "level": "recommended", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "AI-Office codes of practice; KYE will adopt once published.", "owning_role": "customer" }, { "requirement_id": "eu-ai-act.A60", "title": "Real-world testing of high-risk AI systems outside AI regulatory sandboxes shall meet additional conditions", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 60 — Real-world testing", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Real-world testing runs via Scenario Engine with bounded purpose-grants; evidence pack records the test plan + outcomes." }, { "requirement_id": "eu-ai-act.A72.2", "title": "Post-market monitoring system shall actively and systematically collect, document and analyse relevant data on the performance of high-risk AI systems", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 72 — Post-market monitoring", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.audit_chain_entry.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift Detector + streaming logs provide the continuous post-market evidence stream; resilience loop closes back to risk register." }, { "requirement_id": "eu-ai-act.A73.1", "title": "Providers shall report serious incidents to the market surveillance authorities of the Member States within 15 days", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 73 — Serious incident reporting", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector classifies serious incidents; Comms Rail dispatches to the appropriate Member-State authority endpoint within the 15-day window." }, { "requirement_id": "eu-ai-act.A73.2", "title": "Reports of serious incidents resulting in death or serious damage to health shall be made within 10 days", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 73 — Serious incident reporting", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Severity-class classifier on the incident routes 10-day cases to expedited dispatch templates." }, { "requirement_id": "eu-ai-act.A73.3", "title": "Reports of widespread infringement, breach of fundamental rights, or critical infrastructure disruption shall be made within 2 days", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 73 — Serious incident reporting", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Critical-class incidents trigger the 2-day expedited route; dispatch SLA enforced at the comms-rail level." }, { "requirement_id": "eu-ai-act.A74", "title": "Market-surveillance authorities shall be given full access to documentation, training/validation/testing data sets and source code where necessary", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 74 — Market surveillance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Regulator Replay Agent provides a scoped, audit-pilot-grade access channel that exposes documentation + replay artefacts without granting production-system access." }, { "requirement_id": "eu-ai-act.A85", "title": "Any natural or legal person having grounds to consider that there has been an infringement may submit complaints to the relevant market-surveillance authority", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 85 — Right to lodge complaint", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Complaint procedure is by-design external to KYE rails; KYE supplies the evidence trail that supports a complaint response.", "owning_role": "customer" }, { "requirement_id": "eu-ai-act.A86", "title": "Affected persons subject to a decision taken on the basis of output from a high-risk AI system that produces legal effects shall have the right to obtain clear and meaningful explanations from the deployer", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 86 — Right to explanation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map renders a per-affected-person explanation directly; Evidence Engine assembles the human-legible bundle on subject request." }, { "requirement_id": "eu-ai-act.A99", "title": "Penalties — Member States shall lay down rules on penalties for infringement, up to EUR 35M or 7% of global annual turnover for Art 5 breaches", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 99 — Penalties", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Penalty regime is by-Member-State, not a KYE concern; KYE provides the evidence to defend against alleged breach.", "owning_role": "customer" }, { "requirement_id": "eu-ai-act.A113", "title": "Entry into force and application — staggered: prohibitions Art 5 from 2025-02-02; GPAI Art 53/55 from 2025-08-02; remainder from 2026-08-02; Annex I high-risk products from 2027-08-02", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Art 113 — Entry into force", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "Applicability dates are reflected in the SKU jurisdiction binding; commercial-lifecycle gates new EU sales on the relevant date." }, { "requirement_id": "eu-ai-act.AnnexI", "title": "Annex I — List of Union harmonisation legislation under which high-risk AI systems are covered if they are safety components", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex I — Union harmonisation legislation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "Annex I lists 20 product-safety regulations (machinery, toys, lifts, medical devices, etc.). Sector applicability is declared on the SKU agreement; sector-specific evidence packs map to each." }, { "requirement_id": "eu-ai-act.AnnexII", "title": "Annex II — List of criminal offences for biometric-identification carve-out", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex II — Law-enforcement offences list", "level": "conditional", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Annex II is a law-enforcement carve-out list; KYE does not target law-enforcement deployments in the current SKU catalogue.", "owning_role": "customer" }, { "requirement_id": "eu-ai-act.AnnexIV", "title": "Annex IV — Technical documentation content for high-risk AI systems (9 sections)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex IV — Technical documentation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.model_params.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Evidence Pack Assembler produces the Annex IV 9-section bundle from canonical sources; structure validated against the Annex IV schema." }, { "requirement_id": "eu-ai-act.AnnexV", "title": "Annex V — EU declaration of conformity content (9 fields)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex V — EU declaration of conformity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "DoC template aligns with the 9 Annex V fields; one-click DoC surface in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.AnnexVI", "title": "Annex VI — Conformity-assessment procedure based on internal control (3-step)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex VI — Internal-control conformity assessment", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.tier1_readiness.v1", "kye.assurance.audit_pilot.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Audit Pilot runs the 3-step Annex VI internal-control flow; Tier-1 readiness pack is the output." }, { "requirement_id": "eu-ai-act.AnnexVII", "title": "Annex VII — Conformity-assessment procedure based on assessment of QMS and technical documentation by notified body", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex VII — Notified-body conformity assessment", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Notified-body assessment requires an external body; KYE prepares the documentation bundle the body assesses." }, { "requirement_id": "eu-ai-act.AnnexVIII", "title": "Annex VIII — Information for registration in EU database (provider section + system section)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex VIII — EU database registration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Annex VIII data fields mapped to SKU manifest + entity-model schema; EU-DB push connector in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.AnnexIX", "title": "Annex IX — Information to be submitted upon registration of high-risk AI systems referenced in Annex III §1-7 (specific use cases)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex IX — Annex III registration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Annex IX use-case-specific fields handled by sector-pack overlay on the Annex VIII bundle. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-ai-act.AnnexX", "title": "Annex X — Union legislative acts on large-scale IT systems in the area of freedom, security and justice", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex X — JHA large-scale IT systems", "level": "conditional", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "JHA large-scale IT systems (Schengen, Eurodac, etc.); not in current SKU catalogue.", "owning_role": "customer" }, { "requirement_id": "eu-ai-act.AnnexXI", "title": "Annex XI — Technical documentation for GPAI providers (training + model attributes)", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex XI — GPAI technical documentation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.model_params.v1", "kye.model.capability_profile.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "GPAI tech-doc bundle assembled from capability profile + model params + data-use manifest." }, { "requirement_id": "eu-ai-act.AnnexXII", "title": "Annex XII — Information for downstream providers integrating a GPAI model", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex XII — Downstream-integrator information", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1" ], "constitution_refs": [ "constitution/15-MCP-AND-SDK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile + Influence Envelope form the canonical machine-readable downstream-integrator brief." }, { "requirement_id": "eu-ai-act.AnnexXIII", "title": "Annex XIII — Criteria for designation of GPAI models with systemic risk", "framework": "eu-ai-act", "framework_version": "2024/1689", "framework_category": "Annex XIII — GPAI systemic-risk criteria", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Annex XIII criteria (FLOP / parameters / modality / market reach / impact) carried on Capability Profile + Influence Envelope schemas." } ], "resolution_framing": null }, { "framework": "eu-ai-act-chatbot-transparency", "display_name": "EU AI Act — Article 50 chatbot transparency (Regulation (EU) 2024/1689)", "framework_version": "2024/1689", "source": "Article 50 of Regulation (EU) 2024/1689 (the EU AI Act) requires that natural persons are informed they are interacting with an AI system unless it is obvious, and imposes related transparency / record-keeping obligations on providers and deployers of AI systems intended to interact directly with natural persons. KYE Protocol(TM) governs the ENFORCEMENT AUTHORITY + EVIDENCE of the Article 50 chatbot disclosure at the action boundary: whether the AI-interaction disclosure was shown and the interaction's transparency evidence captured & replay-provable. KYE does NOT provide the chatbot / LLM, the disclosure UX, or the GRC program.", "license": "EU Open Data — Regulation (EU) 2024/1689 is published in the Official Journal of the EU (public). KYE registry cites the Article 50 chatbot-transparency obligation for mapping purposes.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Art 50 — AI-interaction disclosure": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Art 50 — transparency record-keeping": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Disclosure UX & AI Act conformity program (out of scope)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "eu-ai-act-chatbot-transparency.art50-chatbot-disclosure-enforcement", "title": "Article 50: the AI-interaction disclosure shown before the chatbot interaction proceeds", "framework": "eu-ai-act-chatbot-transparency", "framework_version": "2024/1689", "framework_category": "Art 50 — AI-interaction disclosure", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:chatbot-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Article 50 of Regulation (EU) 2024/1689 requires that a natural person is informed they are interacting with an AI system. KYE governs the ENFORCEMENT AUTHORITY at the action boundary: a chatbot interaction is refused unless the applicable AI-interaction disclosure has been shown (authority-engine + decision-engine). Enforced by chatbot_disclosure_enforcement. Honest scope: KYE proves whether the disclosure was shown; it does not author the disclosure UX or copy." }, { "requirement_id": "eu-ai-act-chatbot-transparency.art50-transparency-record-keeping", "title": "Article 50: transparency evidence captured and replay-provable per interaction", "framework": "eu-ai-act-chatbot-transparency", "framework_version": "2024/1689", "framework_category": "Art 50 — transparency record-keeping", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:chatbot-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1", "kye.evidence.pack.v1", "kye.replay.proof.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Article 50 transparency obligation is demonstrable only with a record that the disclosure was shown. KYE captures a signed, replay-derivable Evidence Pack(TM) per interaction binding the disclosure shown and the authority outcome, retained under §30 WORM (evidence-engine + replay-engine). Enforced by chatbot_interaction_evidence_capture. Honest scope: KYE captures and proves the transparency evidence; it does not provide the chatbot or run the GRC program." }, { "requirement_id": "eu-ai-act-chatbot-transparency.disclosure-ux-and-conformity-program", "title": "Disclosure UX & AI Act conformity program: the disclosure copy/UX and the broader Regulation conformity", "framework": "eu-ai-act-chatbot-transparency", "framework_version": "2024/1689", "framework_category": "Disclosure UX & AI Act conformity program (out of scope)", "level": "recommended", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "customer", "notes": "Authoring the disclosure copy / UX and running the broader EU AI Act conformity program (the full Regulation (EU) 2024/1689 obligations, covered by the separate internal registry) is the model vendor's and the operator's responsibility — not KYE's. KYE governs whether the Article 50 disclosure was shown under recorded authority and proves it (the enforced rows above). §0 complement-not-compete: ZERO KYE controls — coverage never inflated." } ], "resolution_framing": null }, { "framework": "eu-ai-act-insurance", "display_name": "EU AI Act — Annex III High-Risk Insurance", "framework_version": "Regulation (EU) 2024/1689 (EU AI Act) — Annex III high-risk insurance use-cases (life & health risk assessment / pricing)", "source": "Regulation (EU) 2024/1689 (the EU AI Act) classifies AI systems used for risk assessment and pricing in life and health insurance as high-risk (Annex III, point 5(c)), triggering obligations including human oversight (Art. 14), record-keeping / logging (Art. 12), transparency, and risk-management. KYE Protocol™ governs whether an AI-assisted underwriting or claims decision in scope may PROCEED to a consequential adverse action — under a named human's oversight authority, with a recorded adverse-action reason-code, with fairness-evidence captured, with a signed replay-provable Evidence Pack (the Art. 12 logging record), and an appeal / contestability record. KYE does not price the risk, build the high-risk AI system, perform the conformity assessment, or replace the human reviewer.", "license": "Regulation (EU) 2024/1689 is published in the Official Journal of the EU; KYE registry paraphrases each requirement's intent and cites the article / annex for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Human oversight authority over the high-risk decision (Art. 14)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Record-keeping / logging of the AI decision (Art. 12)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Transparency & contestability of the decision": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Risk pricing, system build & conformity assessment on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "eu-ai-act-insurance.annex3-human-oversight", "title": "A high-risk AI insurance decision proceeds only under a recorded named human-oversight authority (Art. 14)", "framework": "eu-ai-act-insurance", "framework_version": "Regulation (EU) 2024/1689 (EU AI Act) — Annex III high-risk insurance use-cases (life & health risk assessment / pricing)", "framework_category": "Human oversight authority over the high-risk decision (Art. 14)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "EU AI Act Art. 14 requires effective human oversight of high-risk AI systems, including for Annex III insurance risk assessment and pricing. KYE binds the decision to a recorded named human-oversight authority (the named underwriter / adjuster under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no oversight authority is recorded. Enforced by insurance_underwriting_decision_authority + insurance_claims_determination_authority via the authority-engine + decision-engine. KYE proves who exercised oversight; it does not price the risk or build the high-risk system." }, { "requirement_id": "eu-ai-act-insurance.annex3-record-keeping-logging", "title": "The AI decision emits a signed, replay-provable Evidence Pack (Art. 12 record-keeping)", "framework": "eu-ai-act-insurance", "framework_version": "Regulation (EU) 2024/1689 (EU AI Act) — Annex III high-risk insurance use-cases (life & health risk assessment / pricing)", "framework_category": "Record-keeping / logging of the AI decision (Art. 12)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "EU AI Act Art. 12 requires high-risk AI systems to automatically record events (logs) over their lifetime. KYE binds a signed, replay-provable Evidence Pack (the named-authority decision, the adverse-action reason-code, the fairness-evidence, the review basis) under a context seal and WORM retention to every consequential AI-assisted insurance decision, per the §13 Resilience Loop + §30 WORM retention. Enforced by insurance_fairness_evidence_capture via the evidence-engine + replay-engine. KYE proves the decision log was captured and is replay-provable; it does not perform the conformity assessment." }, { "requirement_id": "eu-ai-act-insurance.annex3-transparency-contestability", "title": "The decision carries an adverse-action reason and an appeal / contestability record", "framework": "eu-ai-act-insurance", "framework_version": "Regulation (EU) 2024/1689 (EU AI Act) — Annex III high-risk insurance use-cases (life & health risk assessment / pricing)", "framework_category": "Transparency & contestability of the decision", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The EU AI Act requires high-risk insurance AI decisions to be transparent and contestable by affected persons. KYE binds a recorded adverse-action reason-code and an appeal / contestability record (a stable decision identifier, the inputs and authority and evidence, the right to human intervention, and a reconstruction / appeal route) to every consequential AI-assisted decision, per §13 + §21. Enforced by insurance_adverse_action_explainability + insurance_appeal_contestability_record via the decision-engine + evidence-engine. KYE proves how the decision was made and makes it contestable; it does not adjudicate the appeal." }, { "requirement_id": "eu-ai-act-insurance.risk-pricing-system-build-conformity", "title": "Risk pricing, high-risk system build, and conformity assessment on the merits", "framework": "eu-ai-act-insurance", "framework_version": "Regulation (EU) 2024/1689 (EU AI Act) — Annex III high-risk insurance use-cases (life & health risk assessment / pricing)", "framework_category": "Risk pricing, system build & conformity assessment on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Pricing the risk, building the high-risk AI system, performing the Art. 43 conformity assessment, and the technical documentation of the system itself are the provider's / insurer's own obligations. KYE™ is an AI-authority and evidence layer at the action boundary, not a system-build, pricing, or conformity-assessment engine — out of scope by design (§0 honest scope). KYE proves who exercised oversight and how the decision was made; it does not build the system or price the risk.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "eu-dac", "display_name": "EU DAC — Directive on Administrative Cooperation (DAC6 mandatory disclosure + DAC7)", "framework_version": "dac6-dac7", "source": "The EU Directive on Administrative Cooperation (Directive 2011/16/EU) as amended: DAC6 (2018/822) imposes mandatory disclosure of reportable cross-border arrangements that meet defined hallmarks (categories A–E, some subject to a main-benefit test) by intermediaries or relevant taxpayers within 30 days; DAC7 (2021/514) imposes reporting obligations on digital-platform operators. KYE Protocol™ governs whether an AI-generated arrangement / advice that may be reportable proceeds to a consequential action only after the hallmark / disclosure screen is recorded, under a named preparer's authority. KYE does not classify hallmarks or determine reportability itself.", "license": "EU directives are published in the Official Journal of the EU; KYE registry cites DAC6 / DAC7 obligations and hallmark categories for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "DAC6 hallmark screening": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "DAC6 disclosure & reporting window": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "DAC7 platform reporting": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "eu-dac.dac6-reportable-arrangement", "title": "DAC6 reportable-arrangement (hallmark) screen recorded before advice proceeds", "framework": "eu-dac", "framework_version": "dac6-dac7", "framework_category": "DAC6 hallmark screening", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "DAC6 requires intermediaries / relevant taxpayers to identify cross-border arrangements meeting the defined hallmarks (categories A–E). KYE requires an AI-generated arrangement / advice to carry a recorded hallmark screen as part of its due-diligence result before it proceeds to a consequential action; a potentially reportable arrangement is refused and routed dual-channel. Enforced by tax_due_diligence_before_action. Honest scope: KYE proves the hallmark screen was performed; it does not classify hallmarks. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-dac.dac6-main-benefit-test", "title": "DAC6 main-benefit test assessed for hallmarks that require it", "framework": "eu-dac", "framework_version": "dac6-dac7", "framework_category": "DAC6 hallmark screening", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Several DAC6 hallmarks (categories A, B, and parts of C) are reportable only if the main-benefit test is met — that obtaining a tax advantage is the main, or one of the main, benefits. KYE requires the main-benefit-test assessment to be recorded in the due-diligence result before an AI-generated arrangement proceeds. Enforced by tax_due_diligence_before_action. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-dac.dac6-disclosure-window", "title": "DAC6 30-day disclosure obligation flagged and signed off", "framework": "eu-dac", "framework_version": "dac6-dac7", "framework_category": "DAC6 disclosure & reporting window", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "DAC6 imposes a 30-day window to file the reportable arrangement once it is made available / ready for implementation. KYE holds a reportable AI-generated arrangement advisory until a named preparer / signing professional records sign-off acknowledging the disclosure obligation and window, via the §36 GovernedUI surface. Enforced by tax_signoff_gate. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "eu-dac.dac7-platform-reporting", "title": "DAC7 platform-operator reporting data provenance-pinned", "framework": "eu-dac", "framework_version": "dac6-dac7", "framework_category": "DAC7 platform reporting", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "DAC7 requires digital-platform operators to collect, verify, and report seller information and consideration to tax authorities. KYE requires AI-generated DAC7 report datapoints that proceed to filing to carry a provenance pin establishing their data lineage to the platform's source records, per the §13 Resilience Loop. Enforced by tax_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "eu-evidence-regulation", "display_name": "EU Evidence Regulation 2020/1783 + eIDAS — Evidence Authenticity & Transmission", "framework_version": "Regulation (EU) 2020/1783 (taking of evidence in civil/commercial matters) + eIDAS Regulation (EU) 910/2014 (electronic evidence integrity)", "source": "Regulation (EU) 2020/1783 governs cooperation in the taking of evidence between EU Member State courts in civil and commercial matters, including the transmission and authenticity of evidence across borders; the eIDAS Regulation (EU) 910/2014 establishes the legal effect and integrity guarantees of electronic signatures, seals, and timestamps used to authenticate electronic evidence. KYE Protocol™ governs whether an AI-assisted evidence determination may PROCEED to a consequential cross-border litigation action with a recorded chain-of-custody and a signed, integrity-bound Evidence Pack — so the authenticity and integrity of the evidence transmitted is provable. KYE does not adjudicate the admissibility of the evidence under any Member State's procedural law.", "license": "EU Regulations are published by the Publications Office of the European Union; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Chain-of-custody & integrity for cross-border evidence transmission": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Integrity-bound, contestable Evidence Pack™ (eIDAS-aligned)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Member-State admissibility & substantive evidential assessment": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "eu-evidence-regulation.evidence-authenticity-transmission", "title": "AI-assisted cross-border evidence proceeds only with a recorded chain-of-custody and authenticity record", "framework": "eu-evidence-regulation", "framework_version": "Regulation (EU) 2020/1783 (taking of evidence in civil/commercial matters) + eIDAS Regulation (EU) 910/2014 (electronic evidence integrity)", "framework_category": "Chain-of-custody & integrity for cross-border evidence transmission", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Regulation (EU) 2020/1783 governs the transmission and authenticity of evidence across Member State courts. KYE requires a recorded discovery chain-of-custody (source custodian, every transformation with actor/timestamp, integrity hash as collected and as transmitted) to be captured and bound into a decision map before an AI-reviewed evidence item proceeds to a consequential cross-border action, per the §13 Resilience Loop. Enforced by litigation_discovery_chain_of_custody via the evidence-engine. KYE proves the custody and authenticity record; it does not collect, host, or assess the evidence's substance." }, { "requirement_id": "eu-evidence-regulation.eidas-integrity-evidence-pack", "title": "Integrity-bound, contestable litigation Evidence Pack™ (eIDAS-aligned) for an AI-reviewed item", "framework": "eu-evidence-regulation", "framework_version": "Regulation (EU) 2020/1783 (taking of evidence in civil/commercial matters) + eIDAS Regulation (EU) 910/2014 (electronic evidence integrity)", "framework_category": "Integrity-bound, contestable Evidence Pack™ (eIDAS-aligned)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The eIDAS Regulation (EU) 910/2014 establishes the integrity and legal effect of electronic signatures, seals, and timestamps used to authenticate electronic evidence. KYE emits a signed, integrity-bound, replay-provable litigation Evidence Pack per AI-reviewed item under a context seal, derivable from published keys alone and valid at T=0, retained under §30 WORM, plus a contestability record so the determination is reconstructable when challenged. Enforced by litigation_evidence_capture + litigation_contestability_record via the evidence-engine + replay-engine. KYE proves the record's integrity and reconstructability; it does not adjudicate its admissibility." }, { "requirement_id": "eu-evidence-regulation.member-state-admissibility", "title": "Member-State admissibility and substantive evidential assessment", "framework": "eu-evidence-regulation", "framework_version": "Regulation (EU) 2020/1783 (taking of evidence in civil/commercial matters) + eIDAS Regulation (EU) 910/2014 (electronic evidence integrity)", "framework_category": "Member-State admissibility & substantive evidential assessment", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Whether evidence is admissible under a given Member State's procedural law, and the substantive evidential assessment of its content, are judgments belonging to the seised court. KYE™ is an AI-authority and evidence-integrity layer, not an admissibility-judgment engine — out of scope by design (§0 honest scope). KYE proves the evidence's chain-of-custody and integrity are reconstructable; it does not decide whether it is admissible or what it proves.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "eu-whistleblower-directive", "display_name": "EU Whistleblower Directive — Directive (EU) 2019/1937", "framework_version": "Directive (EU) 2019/1937 (protection of persons who report breaches of Union law)", "source": "Directive (EU) 2019/1937 establishes common minimum standards for the protection of persons who report breaches of Union law. Article 9 requires internal reporting channels to acknowledge receipt within 7 days and to provide feedback within a reasonable timeframe (not exceeding 3 months); Article 11 requires diligent follow-up by a designated impartial person or department; Article 16 requires the identity of the reporting person to be kept confidential and disclosed only to authorised staff on a need-to-know basis; Article 19 prohibits any form of retaliation. KYE Protocol™ governs whether an AI-assisted intake-triage decision, an access to a reporter's identity, or a case disposition may PROCEED to a consequential action — under a named case-handler's authority, on a recorded need-to-know basis, with confidentiality evidence captured, a signed Evidence Pack, and a contestability record. KYE does not investigate the report, judge the allegation, or decide whether wrongdoing occurred.", "license": "EU Directives are published by the Publications Office of the European Union; KYE registry paraphrases each requirement's intent and cites the official article identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Confidentiality & need-to-know access to a reporter's identity": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Named-authority on the case disposition (acknowledgement / feedback clocks)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & reconstruction of the handling": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Substantive investigation & whether the breach occurred": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "eu-whistleblower-directive.confidentiality-need-to-know-access", "title": "Access to a reporter's identity proceeds only under a recorded need-to-know named-authority decision", "framework": "eu-whistleblower-directive", "framework_version": "Directive (EU) 2019/1937 (protection of persons who report breaches of Union law)", "framework_category": "Confidentiality & need-to-know access to a reporter's identity", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Article 16 requires the identity of the reporting person to be disclosed only to authorised staff on a need-to-know basis. When an AI-assisted intake / triage system moves to access a reporter's identity or identifying content, KYE binds it to a recorded need-to-know named-authority decision (the agent, the report artefact, the access, and the named case-handler under whose authority and need-to-know it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no need-to-know authority is recorded. Enforced by whistleblower_report_access_authority via the authority-engine + decision-engine. KYE proves who accessed the report and under what need-to-know; it does not read, investigate, or judge the report." }, { "requirement_id": "eu-whistleblower-directive.case-disposition-named-authority", "title": "A case disposition (close / escalate) under the acknowledgement / feedback clocks proceeds only under a recorded named-authority decision", "framework": "eu-whistleblower-directive", "framework_version": "Directive (EU) 2019/1937 (protection of persons who report breaches of Union law)", "framework_category": "Named-authority on the case disposition (acknowledgement / feedback clocks)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Article 9 requires acknowledgement within 7 days and feedback within a reasonable timeframe (not exceeding 3 months), and Article 11 requires diligent follow-up by a designated impartial person. KYE binds every AI-assisted case disposition (close / dismiss / escalate / refer / substantiate) to a recorded named-authority decision and a decision map before it commits, so the disposition proceeds under a named, accountable handler within the statutory clocks. Enforced by whistleblower_case_disposition_authority via the authority-engine + evidence-engine. KYE proves who authorised the disposition; it does not investigate the case or judge the allegation." }, { "requirement_id": "eu-whistleblower-directive.handling-contestability-reconstruction", "title": "Contestability & reconstruction of the AI-assisted handling for a confidentiality or follow-up challenge", "framework": "eu-whistleblower-directive", "framework_version": "Directive (EU) 2019/1937 (protection of persons who report breaches of Union law)", "framework_category": "Contestability & reconstruction of the handling", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "When the handling of a report is challenged — a confidentiality-breach complaint under Article 16, a follow-up adequacy challenge under Article 11, a regulator inquiry — KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every AI-assisted determination, so it can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by whistleblower_reporter_contestability_record + whistleblower_confidentiality_evidence_capture via the evidence-engine + replay-engine. KYE proves how the determination was made and makes it contestable; it does not adjudicate the challenge." }, { "requirement_id": "eu-whistleblower-directive.substantive-investigation", "title": "Substantive investigation, assessment of the reported breach, and the remediation decision", "framework": "eu-whistleblower-directive", "framework_version": "Directive (EU) 2019/1937 (protection of persons who report breaches of Union law)", "framework_category": "Substantive investigation & whether the breach occurred", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Investigating the report on its merits, assessing whether the reported breach of Union law in fact occurred, and deciding the remediation are non-delegable organisational and legal judgments belonging to the ethics / legal / compliance function. KYE™ is an AI-authority and evidence layer, not an investigation or adjudication engine — out of scope by design (§0 honest scope). KYE proves who authorised the handling and how it was made; it does not investigate or judge the allegation.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "fatf-40-recommendations", "display_name": "FATF 40 Recommendations — International AML/CFT Standards", "framework_version": "2012 (as amended)", "source": "The Financial Action Task Force (FATF) 40 Recommendations are the global authority anchor for anti-money-laundering and counter-terrorist-financing (AML/CFT). They require a risk-based approach (R.1), customer due diligence and beneficial-ownership identification (R.10), record-keeping (R.11), the FATF Travel Rule for wire transfers and virtual-asset transfers (R.16), and suspicious-transaction reporting to the financial intelligence unit (R.20). KYE Protocol(TM) governs WHETHER an AI agent's AML action may proceed at the action boundary - alert triage, sanctions screening, SAR/STR drafting, KYC/CDD - under a named compliance officer's authority, with due diligence recorded before the action and replay-provable provenance, and section-36 two-person sign-off on consequential filings (SAR/STR). KYE does not run transaction-monitoring models, does not decide whether a transaction is truly money-laundering, and does not replace the institution's AML program.", "license": "The FATF Recommendations are published by the Financial Action Task Force; KYE registry cites their recommendation numbers for mapping purposes.", "total": 5, "declared_total": 5, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 5, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Risk-based approach": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Customer due diligence & beneficial ownership": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Record-keeping": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Travel Rule (wire / virtual-asset transfers)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Suspicious transaction reporting": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "fatf-40-recommendations.r1-risk-based-approach", "title": "Risk-based approach (R.1): an AI AML action proceeds under a named-authority decision proportionate to assessed ML/TF risk", "framework": "fatf-40-recommendations", "framework_version": "2012 (as amended)", "framework_category": "Risk-based approach", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "FATF Recommendation 1 requires financial institutions to identify, assess, and apply a risk-based approach to ML/TF risk. KYE binds every AI-assisted AML action (alert triage, screening, SAR/STR drafting, KYC/CDD) to a named-authority decision under the section-12 Purpose Permission purpose-scope check before it proceeds to a consequential action. Enforced by aml_named_authority. Honest scope: KYE governs whether the AML action may proceed under a named compliance officer's authority; it does not assess ML/TF risk for the institution or run the monitoring model. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fatf-40-recommendations.r10-customer-due-diligence", "title": "Customer due diligence & beneficial ownership (R.10): CDD/KYC result recorded before an AI KYC/CDD action proceeds", "framework": "fatf-40-recommendations", "framework_version": "2012 (as amended)", "framework_category": "Customer due diligence & beneficial ownership", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "FATF Recommendation 10 requires customer due diligence, including identifying and verifying the customer and beneficial owner. KYE requires an AI-assisted KYC/CDD or onboarding decision to carry a recorded due-diligence result (identity / beneficial-ownership / PEP / adverse-media screen) before it proceeds to a consequential action. Enforced by aml_due_diligence_before_action. KYE proves the CDD was performed before the action; it does not perform the identity verification itself. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fatf-40-recommendations.r11-record-keeping", "title": "Record-keeping (R.11): a replay-provable provenance pin preserves the AI AML decision lineage", "framework": "fatf-40-recommendations", "framework_version": "2012 (as amended)", "framework_category": "Record-keeping", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "FATF Recommendation 11 requires records of transactions and CDD to be kept for at least five years and made available to competent authorities. KYE requires an AI-assisted AML action that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin binding the model and version, the screened lists / pinned source data, the due-diligence result, and the named-authority outcome, per the section-13 Resilience Loop. Enforced by aml_provenance_pin. KYE preserves the decision lineage; it does not generate the underlying transaction records. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fatf-40-recommendations.r16-travel-rule", "title": "Travel Rule (R.16): originator/beneficiary data and counterparty VASP due diligence on wire / virtual-asset transfers", "framework": "fatf-40-recommendations", "framework_version": "2012 (as amended)", "framework_category": "Travel Rule (wire / virtual-asset transfers)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:travel-rule-fatf-r16", "kye:rule-pack:aml-financial-crimes" ], "sector_packs": [ "kye:sector-pack:travel-rule-fatf-r16" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/54-SECTOR-PACK-FOUNDRY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "FATF Recommendation 16 (the Travel Rule) requires originator and beneficiary information to accompany wire transfers and virtual-asset transfers, plus counterparty (VASP) due diligence. This requirement is REUSED, not re-mapped (section-0 / section-0.10): it is already deep-mapped by the existing kye:rule-pack:travel-rule-fatf-r16 (kye:sector-pack:travel-rule-fatf-r16). The aml-financial-crimes spine REFERENCES that rule pack via a framework__rule_pack edge for the AML-action boundary (named authority + due diligence + provenance + sign-off on the consequential transfer-blocking / reporting action) - it does NOT introduce a competing R16 mapping. Enforced by the existing travel-rule rule pack plus the aml-financial-crimes spine at the action boundary. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fatf-40-recommendations.r20-suspicious-transaction-reporting", "title": "Suspicious transaction reporting (R.20): SAR/STR filing is the killer consequential action requiring section-36 two-person sign-off", "framework": "fatf-40-recommendations", "framework_version": "2012 (as amended)", "framework_category": "Suspicious transaction reporting", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "FATF Recommendation 20 requires a financial institution that suspects funds are the proceeds of crime to report promptly to the financial intelligence unit (a suspicious transaction report / STR; in the US a Suspicious Activity Report / SAR). The SAR/STR filing is the killer consequential action - a regulator-facing submission that concentrates accountability. KYE holds an AI-drafted SAR/STR advisory until a named MLRO / nominated officer records sign-off, and the filing additionally requires section-36 GovernedUI two-person sign-off (the drafting analyst AND an approving MLRO). Enforced by aml_signoff_gate + aml_named_authority. KYE governs whether the filing may proceed; the MLRO's professional judgment that a transaction is suspicious is not made by the AI. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "fca-cobs", "display_name": "FCA COBS — Conduct of Business Sourcebook (UK Investment Conduct)", "framework_version": "FCA Handbook COBS", "source": "The FCA Conduct of Business Sourcebook (COBS) is part of the UK Financial Conduct Authority Handbook and governs the conduct of investment business with clients — the client's best interests rule (COBS 2.1.1R), suitability (COBS 9 / 9A), appropriateness (COBS 10 / 10A), and best execution (COBS 11.2 / 11.2A). KYE Protocol governs whether an AI-assisted investment decision/action is within mandate, authorised, evidenced, contestable, and final at the action boundary, and proves the basis. KYE does not produce investment intelligence, perform the suitability assessment, judge whether a recommendation is correct, or act as an investment adviser.", "license": "The FCA Handbook (COBS) is published by the UK Financial Conduct Authority under Crown copyright / Open Government Licence. KYE registry cites its conduct rules for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Client's best interests rule (COBS 2.1.1R)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Suitability (COBS 9 / 9A)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Best execution (COBS 11.2 / 11.2A)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Recordkeeping of advice & orders": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "fca-cobs.client-best-interests-rule", "title": "Client's best interests rule (COBS 2.1.1R): an AI-generated decision proceeds only under recorded named authority", "framework": "fca-cobs", "framework_version": "FCA Handbook COBS", "framework_category": "Client's best interests rule (COBS 2.1.1R)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "COBS 2.1.1R requires a firm to act honestly, fairly and professionally in accordance with the best interests of its client. KYE binds every AI-generated investment decision that moves toward a consequential action to a recorded named-authority decision and holds it advisory until the named adviser / portfolio manager / committee records sign-off, via the §36 GovernedUI human-control surface. Enforced by investment_named_authority + investment_committee_signoff_gate. KYE governs whether the decision may proceed and under whose authority; it does not judge whether the decision serves the client's best interests. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fca-cobs.suitability-cobs9", "title": "Suitability (COBS 9 / 9A): the suitability basis is recorded as a mandate check before the action", "framework": "fca-cobs", "framework_version": "FCA Handbook COBS", "framework_category": "Suitability (COBS 9 / 9A)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "COBS 9 / 9A requires a firm making a personal recommendation or managing investments to ensure the recommendation / decision is suitable for the client. KYE requires an AI-generated recommendation to carry a recorded mandate-check result confirming it is within the client's recorded mandate / suitability profile before it proceeds, under the §12 Purpose Permission purpose-scope check; an out-of-mandate or unassessed recommendation is refused at the action-admissibility gate. Enforced by investment_mandate_check_before_action. KYE proves the suitability basis was recorded before the action; it does not perform the suitability assessment. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fca-cobs.best-execution-cobs11", "title": "Best execution (COBS 11.2 / 11.2A): a trade recommendation proceeds only with a recorded mandate check and named authority", "framework": "fca-cobs", "framework_version": "FCA Handbook COBS", "framework_category": "Best execution (COBS 11.2 / 11.2A)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "COBS 11.2 / 11.2A requires a firm to take all sufficient steps to obtain the best possible result for its clients when executing orders. KYE treats an AI-generated trade recommendation as a consequential action requiring a recorded mandate-check (within the firm's order-execution policy and the client mandate) and named authority before it proceeds, under the §25 Edge Governance Safety Floor; a recommendation that breaches the recorded execution mandate is refused and routed dual-channel. Enforced by investment_mandate_check_before_action. KYE governs whether the trade recommendation may proceed within mandate; it does not select the venue or judge execution quality. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fca-cobs.recordkeeping-advice-orders", "title": "Recordkeeping of advice & orders: replay-provable provenance of the basis on which an AI-assisted decision proceeded", "framework": "fca-cobs", "framework_version": "FCA Handbook COBS", "framework_category": "Recordkeeping of advice & orders", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "COBS (with SYSC) requires firms to keep adequate records of the advice given and orders handled, including a suitability report where applicable. KYE requires an AI-generated decision that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin binding the model and version, the inputs and pinned evidence-backed research relied on, the mandate / suitability check result, and the named-authority outcome, per the §13 Resilience Loop — verifiable offline by the FCA or the client. Enforced by investment_provenance_pin. KYE preserves the basis and its lineage; it does not reproduce the underlying research. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "fda-ema", "display_name": "FDA + EMA — AI / Provenance Expectations for AI-Derived Candidates in Regulated Pipelines", "framework_version": "2024-2025", "source": "FDA's framework / draft guidance on the use of AI in the development of drug and biological products, and the EMA's reflection paper on the use of AI across the medicinal-product lifecycle, set expectations for AI-derived candidates entering regulated drug / device pipelines: documented provenance of AI-generated designs, reproducibility, model transparency, and GxP data-integrity (ALCOA+) for AI-supported decisions. KYE Protocol™ governs whether an AI-derived candidate may PROCEED to a regulated stage, binding replay-provable provenance and human oversight. KYE does not design candidates, run trials, or determine clinical efficacy.", "license": "FDA and EMA guidance / reflection-paper documents are published by the agencies; KYE registry cites their AI-provenance and data-integrity expectations for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "AI design provenance & reproducibility": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "GxP data integrity (ALCOA+)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Human oversight & accountability": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "fda-ema.design-provenance", "title": "AI-derived candidate carries documented design provenance into the pipeline", "framework": "fda-ema", "framework_version": "2024-2025", "framework_category": "AI design provenance & reproducibility", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "FDA / EMA AI guidance expects documented provenance of AI-generated designs entering a regulated drug / device pipeline. KYE refuses an AI-derived candidate that proceeds to a regulated stage without a signed, replay-derivable provenance pin (model + version, inputs, pinned reference data, screening result). Enforced by biochem_provenance_pin. Honest scope: KYE proves provenance; it does not assess efficacy. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fda-ema.reproducibility", "title": "AI-derived candidate's generation is reproducible from the provenance record", "framework": "fda-ema", "framework_version": "2024-2025", "framework_category": "AI design provenance & reproducibility", "level": "recommended", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Regulators expect AI-supported decisions to be reproducible / traceable. KYE's provenance pin binds the pinned inputs and model version so a reviewer can replay how the candidate was produced from public keys alone. Enforced by biochem_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fda-ema.gxp-data-integrity", "title": "GxP data integrity (ALCOA+) for AI-supported regulated decisions", "framework": "fda-ema", "framework_version": "2024-2025", "framework_category": "GxP data integrity (ALCOA+)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "GxP data integrity (ALCOA+: attributable, legible, contemporaneous, original, accurate, +complete/consistent/enduring/available) applies to AI-supported decisions in regulated pipelines. KYE's provenance pin is attributable + contemporaneous + enduring via §30 WORM retention; the action is refused absent it. Enforced by biochem_provenance_pin + §30 audit-WORM. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "fda-ema.human-accountability", "title": "Named human accountability for an AI-derived candidate entering a regulated stage", "framework": "fda-ema", "framework_version": "2024-2025", "framework_category": "Human oversight & accountability", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "FDA / EMA expect a risk-based, human-in-the-loop posture for AI in the medicinal-product lifecycle. KYE holds an AI-derived candidate advisory until a named human oversight sign-off is recorded before it enters a regulated stage; unreviewed actions are refused and routed dual-channel. Enforced by biochem_oversight_gate. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "fed-sr-11-7", "display_name": "Fed SR 11-7 — Supervisory Guidance on Model Risk Management", "framework_version": "SR 11-7 / OCC 2011-12 (Supervisory Guidance on Model Risk Management, April 2011)", "source": "Federal Reserve SR Letter 11-7, issued jointly with the OCC as Bulletin 2011-12, is the US supervisory guidance on model risk management. Section IV governs model development, implementation, and use; Section V governs model validation (evaluation of conceptual soundness, ongoing monitoring, and outcomes analysis); Section VI governs governance, policies, and controls — including the model inventory, named ownership, change control, and effective challenge. KYE Protocol™ governs whether a model-driven output may PROCEED to a consequential decision — only a currently-validated model used within its approved scope, with the model change a named-authority decision with evidence, and every consequential decision carrying a resolvable provenance pin (model_id + version + validation reference). KYE does not develop or validate models, perform the quantitative work, or judge model quality.", "license": "SR 11-7 / OCC 2011-12 is a US government work in the public domain; the KYE registry paraphrases each requirement's intent and cites the official section identifier for mapping purposes only.", "total": 5, "declared_total": 5, "coverage_pct": 80, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Validated-model use authority at the decision boundary": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Model change control as a named-authority decision": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Decision traceability to model version & validation reference": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Model inventory & policy controls on model use": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Quantitative model development, validation & capital mathematics": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "fed-sr-11-7.model-use-named-authority", "title": "A consequential decision relies only on a currently-validated model used within its approved scope, under a recorded named-authority decision", "framework": "fed-sr-11-7", "framework_version": "SR 11-7 / OCC 2011-12 (Supervisory Guidance on Model Risk Management, April 2011)", "framework_category": "Validated-model use authority at the decision boundary", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "SR 11-7 §V requires that models be validated before reliance and that use stay within the conditions for which the model was assessed; §IV warns against using a model outside its intended purpose. When a model-driven output moves toward a consequential decision, KYE checks the model register entry (current validated status + approved scope) and binds a recorded named-authority decision at the §12 Purpose Permission action-admissibility gate, refusing dual-channel when validation has lapsed, the use is out of scope, or no register entry resolves. Enforced by model_use_authority via the authority-engine + decision-engine. KYE proves the model was validated, in scope, and the use authorised; it does not perform or judge the validation." }, { "requirement_id": "fed-sr-11-7.model-change-control", "title": "A model version change / recalibration takes effect only as a named-authority decision with evidence", "framework": "fed-sr-11-7", "framework_version": "SR 11-7 / OCC 2011-12 (Supervisory Guidance on Model Risk Management, April 2011)", "framework_category": "Model change control as a named-authority decision", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SR 11-7 §VI requires governance, policies, and controls over the model lifecycle — including change control: material changes to a model trigger revalidation, and the inventory records who owns and approved each model version in use. KYE binds every model version change, recalibration, parameter override, or AI/ML retrain to a recorded named-authority decision (model, from/to versions, rationale, revalidation outcome or interim-use restriction, named model owner / model risk officer) and a signed Evidence Pack before the change takes effect for consequential use, per §12 + §13. Enforced by model_change_authority via the authority-engine + evidence-engine. KYE proves who authorised the change and binds the evidence; it does not perform the revalidation." }, { "requirement_id": "fed-sr-11-7.decision-provenance-traceability", "title": "Every consequential decision records model_id + version + validation reference — no untraceable model output proceeds", "framework": "fed-sr-11-7", "framework_version": "SR 11-7 / OCC 2011-12 (Supervisory Guidance on Model Risk Management, April 2011)", "framework_category": "Decision traceability to model version & validation reference", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1", "kye.evidence.pack.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SR 11-7 §IV/§V rest on effective challenge — a supervisor or independent reviewer must be able to establish which model, which version, and which validation a decision relied on. KYE emits a signed, replay-derivable provenance pin per consequential decision (model_id, exact version, validation reference in force, inputs, named-authority outcome) sealed under a context seal, so the decision is reconstructable and valid at T=0 and derivable from published keys alone, per §13 + §21. An output whose model version or validation reference does not resolve is refused and never proceeds. Enforced by model_decision_provenance_pin via the evidence-engine + replay-engine. KYE pins which model version produced the number; it does not judge whether the number is right." }, { "requirement_id": "fed-sr-11-7.inventory-policy-controls", "title": "Policy controls on model use — declared restrictions checked and the basis recorded before a model-driven action proceeds", "framework": "fed-sr-11-7", "framework_version": "SR 11-7 / OCC 2011-12 (Supervisory Guidance on Model Risk Management, April 2011)", "framework_category": "Model inventory & policy controls on model use", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "SR 11-7 §VI requires that policies define acceptable model use and that restrictions on use (limits, conditions, compensating controls) are enforced, not aspirational. KYE evaluates the declared regulatory + internal-policy obligations bound to an action class at the moment a model-driven action (including a portfolio restructuring action) proceeds, and records the basis — obligations checked, policy versions in force, the recommendation's provenance pin, the named authority — per §12 + the §25 policy bundle. Enforced by portfolio_action_policy_conformance + model_use_authority via the decision-engine + evidence-engine. KYE proves the action conformed to its declared obligations; it does not author the bank's policies or advise on the action's merit (not investment advice)." }, { "requirement_id": "fed-sr-11-7.quantitative-development-validation", "title": "Quantitative model development, validation mathematics, and capital computation on the merits", "framework": "fed-sr-11-7", "framework_version": "SR 11-7 / OCC 2011-12 (Supervisory Guidance on Model Risk Management, April 2011)", "framework_category": "Quantitative model development, validation & capital mathematics", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Developing the model, performing the validation (conceptual soundness review, backtesting, benchmarking, sensitivity analysis, outcomes analysis), judging model quality, and computing capital or other regulatory quantities are the bank's own quantitative work, owned by its quant, risk, and independent validation teams and their model stack. KYE™ is an AI-authority and evidence layer, not a model-development or model-validation engine — out of scope by design (§0 honest scope). KYE proves who authorised the model's use and how the decision traced to it; it does not make or grade the model.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "fedramp", "display_name": "FedRAMP — Federal Risk and Authorization Management Program", "framework_version": "Rev 5", "source": "GSA FedRAMP PMO — Rev 5 baselines (Low / Moderate / High) cross-walked via NIST SP 800-53 Rev 5", "license": "Public Domain (U.S. Federal Government)", "total": 159, "declared_total": 159, "coverage_pct": 93, "status_counts": { "enforced": 144, "designed": 0, "advisory": 15, "deferred": 0, "out-of-scope": 0 }, "by_category": { "AC — Access Control": { "total": 39, "enforced": 35, "designed": 0, "advisory": 4, "deferred": 0, "out-of-scope": 0, "coverage_pct": 92 }, "AU — Audit & Accountability": { "total": 20, "enforced": 20, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "FedRAMP Baselines": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "CM — Configuration Management": { "total": 10, "enforced": 9, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 93 }, "CP — Contingency Planning": { "total": 8, "enforced": 7, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 91 }, "IR — Incident Response": { "total": 9, "enforced": 8, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 92 }, "RA — Risk Assessment": { "total": 6, "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "IA — Identification & Authentication": { "total": 19, "enforced": 17, "designed": 0, "advisory": 2, "deferred": 0, "out-of-scope": 0, "coverage_pct": 92 }, "SC — System & Communications Protection": { "total": 27, "enforced": 22, "designed": 0, "advisory": 5, "deferred": 0, "out-of-scope": 0, "coverage_pct": 86 }, "SI — System & Information Integrity": { "total": 18, "enforced": 17, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 96 } }, "requirements": [ { "requirement_id": "fedramp.AC-1", "title": "AC-1 — Policy and procedures for access control", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Access-control policy is constitutional (§12); ≤90-day review cadence enforced." }, { "requirement_id": "fedramp.AC-2", "title": "AC-2 — Account management — establishment, activation, modification, review, removal", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Account lifecycle is fully event-emitting; SCIM v2 + IdP-bound JIT provisioning." }, { "requirement_id": "fedramp.AC-2.1", "title": "AC-2(1) — Automated system account management", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Account-management is fully programmatic; manual ops route through GovernedUI dual-channel approval." }, { "requirement_id": "fedramp.AC-2.2", "title": "AC-2(2) — Automated temporary + emergency account management", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.entitlement.expired.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authority grants carry TTL; temporary/emergency are time-bound by construction." }, { "requirement_id": "fedramp.AC-2.3", "title": "AC-2(3) — Disable accounts after defined period of inactivity", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.entitlement.expired.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Inactivity-driven expiry is cadence-enforced." }, { "requirement_id": "fedramp.AC-2.4", "title": "AC-2(4) — Automated audit actions for account creation, modification, enable/disable, removal", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.authority.grant.v1", "kye.admin.tenant.revoked.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "All account-lifecycle actions emit to the WORM audit chain." }, { "requirement_id": "fedramp.AC-2.5", "title": "AC-2(5) — Inactivity logout", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Session TTL is bounded; idle session triggers re-auth." }, { "requirement_id": "fedramp.AC-2.7", "title": "AC-2(7) — Privileged user accounts — role-based, tracked, audited", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.governedui.approval.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "Privileged grants are role-typed + GovernedUI-mediated." }, { "requirement_id": "fedramp.AC-2.9", "title": "AC-2(9) — Restrictions on use of shared / group accounts", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/01-NAMING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "KYE URN format guarantees individual identifiers; no shared-account path exists." }, { "requirement_id": "fedramp.AC-2.12", "title": "AC-2(12) — Account monitoring — atypical usage detected and reported", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift detector monitors authority usage; deviation raises an incident." }, { "requirement_id": "fedramp.AC-3", "title": "AC-3 — Access enforcement", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PDP at every PEP; absence of an admissible grant = denial." }, { "requirement_id": "fedramp.AC-3.4", "title": "AC-3(4) — Discretionary access control — DAC for non-organisational use cases", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.delegation.v1", "kye.consent.acceptance.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Delegation envelope encodes DAC; consent acceptance binds discretionary grants." }, { "requirement_id": "fedramp.AC-4", "title": "AC-4 — Information flow enforcement", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Information flow is purpose-scoped; cross-jurisdiction returns HTTP 451." }, { "requirement_id": "fedramp.AC-4.4", "title": "AC-4(4) — Flow control of encrypted information", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Encrypted flows still emit tool-call pins; metadata-driven flow control." }, { "requirement_id": "fedramp.AC-4.21", "title": "AC-4(21) — Physical / logical separation of information flows", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Per-tenant DO isolation provides logical separation." }, { "requirement_id": "fedramp.AC-5", "title": "AC-5 — Separation of duties", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.purpose.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "GovernedUI two_person modes enforce separation of duties on privileged ops." }, { "requirement_id": "fedramp.AC-6", "title": "AC-6 — Least privilege", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Two-stage authority + purpose model; scope_min on every grant." }, { "requirement_id": "fedramp.AC-6.1", "title": "AC-6(1) — Authorise access to security functions", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.governedui.approval.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Security-function access requires explicit authority grant." }, { "requirement_id": "fedramp.AC-6.2", "title": "AC-6(2) — Non-privileged access for non-security functions", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Role separation enforces non-priv accounts for non-security work." }, { "requirement_id": "fedramp.AC-6.5", "title": "AC-6(5) — Privileged accounts restricted to specific personnel + roles", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Privileged grants are role-bound; assignment audited." }, { "requirement_id": "fedramp.AC-6.7", "title": "AC-6(7) — Review of user privileges", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Cadenced privilege review attested ≤90 days." }, { "requirement_id": "fedramp.AC-6.9", "title": "AC-6(9) — Log use of privileged functions", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every privileged function-call emits to WORM audit chain." }, { "requirement_id": "fedramp.AC-6.10", "title": "AC-6(10) — Prohibit non-privileged users from executing privileged functions", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.signal.decision.denied.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PDP rejects non-priv principals for privileged purpose classes." }, { "requirement_id": "fedramp.AC-7", "title": "AC-7 — Unsuccessful logon attempts — limit + lockout", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "advisory", "notes": "Logon-attempt limit is enforced by customer IdP." }, { "requirement_id": "fedramp.AC-8", "title": "AC-8 — System use notification", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "System-use banner is canonical at login; acceptance is event-emitting." }, { "requirement_id": "fedramp.AC-11", "title": "AC-11 — Device lock after period of inactivity", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "advisory", "notes": "Endpoint device lock is a customer-MDM responsibility." }, { "requirement_id": "fedramp.AC-12", "title": "AC-12 — Session termination — idle + absolute", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Idle + absolute session timeout enforced at the gateway." }, { "requirement_id": "fedramp.AC-14", "title": "AC-14 — Permitted actions without identification or authentication", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Allowlist of unauthenticated paths is explicit; PDP gates everything else." }, { "requirement_id": "fedramp.AC-17", "title": "AC-17 — Remote access — authorised, monitored, encrypted", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Remote access requires WebAuthn + TLS 1.3 + audit ledger." }, { "requirement_id": "fedramp.AC-17.1", "title": "AC-17(1) — Automated monitoring + control of remote access", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift detector monitors remote-access patterns." }, { "requirement_id": "fedramp.AC-17.2", "title": "AC-17(2) — Protection of confidentiality + integrity using cryptography", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "TLS 1.3 + mTLS for remote access." }, { "requirement_id": "fedramp.AC-17.3", "title": "AC-17(3) — Managed access control points", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Single ingress per tenant via the gateway." }, { "requirement_id": "fedramp.AC-17.4", "title": "AC-17(4) — Privileged commands + access via dedicated, documented channels", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "Privileged commands route through GovernedUI with dual-channel approval." }, { "requirement_id": "fedramp.AC-18", "title": "AC-18 — Wireless access — authorisation + monitoring", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Wireless infrastructure is customer-operated." }, { "requirement_id": "fedramp.AC-19", "title": "AC-19 — Access control for mobile devices", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Mobile-device management is customer-MDM." }, { "requirement_id": "fedramp.AC-20", "title": "AC-20 — Use of external information systems", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "External systems bound via cross-org delegation envelope." }, { "requirement_id": "fedramp.AC-20.1", "title": "AC-20(1) — Limits on use of external systems", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Allowlist + tool-call pin bounds external system use." }, { "requirement_id": "fedramp.AC-21", "title": "AC-21 — Information sharing — purpose-bounded", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Purpose-bounded sharing canonical; transparency log records." }, { "requirement_id": "fedramp.AC-22", "title": "AC-22 — Publicly accessible content — controlled disclosure", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AC — Access Control", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/06-WEBSITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Public surfaces explicitly tagged; patent-safety scan blocks mechanism leakage." }, { "requirement_id": "fedramp.AU-1", "title": "AU-1 — Policy and procedures for audit + accountability", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Audit + Accountability policy is constitutional (§30); ≤90-day review." }, { "requirement_id": "fedramp.AU-2", "title": "AU-2 — Event logging — every PEP / PDP / engine emits to the chain", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every privileged op emits to the WORM hash-chain." }, { "requirement_id": "fedramp.AU-3", "title": "AU-3 — Content of audit records — who / what / when / where / outcome / source / identity", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Schema-mandated audit record shape (JSON Schema 2020-12 validated at ingest)." }, { "requirement_id": "fedramp.AU-3.1", "title": "AU-3(1) — Additional audit information — decision inputs, model + prompt hashes, tool-call ledger pointer", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.observed_action.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Observed action carries decision inputs + replay context." }, { "requirement_id": "fedramp.AU-4", "title": "AU-4 — Audit log storage capacity", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Cloudflare D1 hot + R2 cold tier with per-tenant retention; capacity alarm at 70%." }, { "requirement_id": "fedramp.AU-5", "title": "AU-5 — Response to audit logging failures — fail-closed", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PEP denies if ledger write fails; SIEM alert raised." }, { "requirement_id": "fedramp.AU-6", "title": "AU-6 — Audit record review + reporting", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SIEM export + drift detector; continuous review." }, { "requirement_id": "fedramp.AU-6.1", "title": "AU-6(1) — Automated process integration", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "CEF / OCSF / Splunk HEC outputs; automated correlation." }, { "requirement_id": "fedramp.AU-6.3", "title": "AU-6(3) — Correlate audit record repositories", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Per-tenant audit ledger correlates events across sources via signed envelopes (algorithm internals patent-track)." }, { "requirement_id": "fedramp.AU-7", "title": "AU-7 — Audit reduction + report generation", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Evidence-pack assembler produces filtered + signed report artefacts." }, { "requirement_id": "fedramp.AU-7.1", "title": "AU-7(1) — Automatic processing", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Programmatic pack assembly + signing." }, { "requirement_id": "fedramp.AU-8", "title": "AU-8 — Time stamps — UTC, RFC 3339 nanosecond precision", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NTP attestation pinned per engine; drift > 200ms blocks engine." }, { "requirement_id": "fedramp.AU-9", "title": "AU-9 — Protection of audit information", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Append-only ledger + COSE_Sign1 epoch seals + BYOK envelope cold tier." }, { "requirement_id": "fedramp.AU-9.2", "title": "AU-9(2) — Store on separate physical systems / components", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Cross-region R2 replication separates audit storage from compute." }, { "requirement_id": "fedramp.AU-9.3", "title": "AU-9(3) — Cryptographic protection — signed events + integrity verification", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Per-event Ed25519 signature + epoch COSE_Sign1." }, { "requirement_id": "fedramp.AU-9.4", "title": "AU-9(4) — Access by subset of privileged users", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit-read is a typed purpose; PDP enforces." }, { "requirement_id": "fedramp.AU-10", "title": "AU-10 — Non-repudiation", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Per-event Ed25519 signature + WebAuthn binding for human-actor events." }, { "requirement_id": "fedramp.AU-11", "title": "AU-11 — Audit record retention — 3 years online, 6 years total (FedRAMP-Mod default)", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "Per-table retention policy with FedRAMP defaults." }, { "requirement_id": "fedramp.AU-12", "title": "AU-12 — Audit generation — every engine emits to a single global chain per tenant", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "No log-less path; coverage gate enforces." }, { "requirement_id": "fedramp.AU-12.1", "title": "AU-12(1) — Compile records from across the system", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "AU — Audit & Accountability", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Single global chain per tenant compiles all records." }, { "requirement_id": "fedramp.baseline.low", "title": "FedRAMP Low baseline — minimum NIST SP 800-53 Rev 5 controls for low-impact federal systems", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "FedRAMP Baselines", "level": "L1", "primary_role": "D/O", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "notes": "FedRAMP Low cross-walked via the NIST 800-53 Rev 5 hub (internal). KYE primitives cover the authority + evidence subset; physical + personnel controls inherited from the cloud provider.", "verification": { "npm_gate": "test:compliance-attestation" } }, { "requirement_id": "fedramp.baseline.moderate", "title": "FedRAMP Moderate baseline — NIST SP 800-53 Rev 5 controls for moderate-impact federal systems", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "FedRAMP Baselines", "level": "L2", "primary_role": "D/O", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1", "kye.purpose.admissibility.v1", "kye.compliance.attestation.v1", "kye.audit_retention_policy.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "FedRAMP Moderate cross-walked via the NIST 800-53 Rev 5 hub. KYE primitives materially cover Authority + Evidence + Audit + Decision-replay families; CIDR/network and physical inherited from the cloud provider.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "fedramp.baseline.high", "title": "FedRAMP High baseline — NIST SP 800-53 Rev 5 controls for high-impact federal systems", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "FedRAMP Baselines", "level": "L3", "primary_role": "D/O/R", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1", "kye.purpose.admissibility.v1", "kye.purpose.grant.v1", "kye.compliance.attestation.v1", "kye.audit_retention_policy.v1", "kye.federation.cross_org_delegation.v1", "kye.evidence.trace_replay_spec.v1" ], "engines": [ "internal", "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "FedRAMP High — strongest mapping via Authority Chain™ + WORM audit + cross-org federation envelope + trace-replay binding. Continuous monitoring + SAR cadence + 3PAO assessment are operationalised via the §30 audit-retention policy + §51 SPOF registry decay gates.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "fedramp.CM-1", "title": "CM-1 — Policy and procedures for configuration management", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "CM policy is constitutional (§40)." }, { "requirement_id": "fedramp.CM-2", "title": "CM-2 — Baseline configuration", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ], "rule_packs": [ "kye:rule-pack:public-sector-governance" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Signed Helm chart configuration_hash; drift events on change." }, { "requirement_id": "fedramp.CM-3", "title": "CM-3 — Configuration change control", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "Signed merges + CAB record; CI gate blocks unsigned." }, { "requirement_id": "fedramp.CM-4", "title": "CM-4 — Impact analyses", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk engine assesses every change." }, { "requirement_id": "fedramp.CM-5", "title": "CM-5 — Access restrictions for change", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "Prod merges require dual-control approval." }, { "requirement_id": "fedramp.CM-6", "title": "CM-6 — Configuration settings — declarative + hashed", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Declarative + hashed configuration; drift detected." }, { "requirement_id": "fedramp.CM-7", "title": "CM-7 — Least functionality", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Engine manifests declare exposed endpoints; PDP denies undeclared." }, { "requirement_id": "fedramp.CM-8", "title": "CM-8 — System component inventory", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "§40 Implementation Canonical Registry + CycloneDX SBOM." }, { "requirement_id": "fedramp.CM-10", "title": "CM-10 — Software usage restrictions", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Licence register + dataset provenance." }, { "requirement_id": "fedramp.CM-11", "title": "CM-11 — User-installed software", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CM — Configuration Management", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Endpoint software install is customer-MDM." }, { "requirement_id": "fedramp.CP-1", "title": "CP-1 — Policy and procedures for contingency planning", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CP — Contingency Planning", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "CP policy is constitutional (§13)." }, { "requirement_id": "fedramp.CP-2", "title": "CP-2 — Contingency plan", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CP — Contingency Planning", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Contingency plan + DR runbook." }, { "requirement_id": "fedramp.CP-3", "title": "CP-3 — Contingency training", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CP — Contingency Planning", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Training is customer-HR; Learn Rail provides curriculum." }, { "requirement_id": "fedramp.CP-4", "title": "CP-4 — Contingency plan testing — replay rail validates RPO/RTO", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CP — Contingency Planning", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Replay-rail validates RPO/RTO against synthetic outage; semi-annual cadence." }, { "requirement_id": "fedramp.CP-6", "title": "CP-6 — Alternate storage site — cross-region R2 replication", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CP — Contingency Planning", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Cross-region R2 replication is design-locked." }, { "requirement_id": "fedramp.CP-7", "title": "CP-7 — Alternate processing site", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CP — Contingency Planning", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Multi-region engine topology." }, { "requirement_id": "fedramp.CP-9", "title": "CP-9 — System backup", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CP — Contingency Planning", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Append-only ledger replicated. RPO 15min, RTO 4h (FedRAMP-Mod targets)." }, { "requirement_id": "fedramp.CP-10", "title": "CP-10 — Recovery and reconstitution", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "CP — Contingency Planning", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Replay rail reconstructs decisions from ledger." }, { "requirement_id": "fedramp.IR-1", "title": "IR-1 — Policy and procedures for incident response", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IR — Incident Response", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "IR policy is constitutional (§13)." }, { "requirement_id": "fedramp.IR-2", "title": "IR-2 — Incident response training", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IR — Incident Response", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Training is customer-HR; Learn Rail provides curriculum." }, { "requirement_id": "fedramp.IR-3", "title": "IR-3 — Incident response testing", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IR — Incident Response", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Tabletop + revocation cascade SLO test." }, { "requirement_id": "fedramp.IR-4", "title": "IR-4 — Incident handling", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IR — Incident Response", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.revocation.cascaded.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Triage → cascade revocation is canonical." }, { "requirement_id": "fedramp.IR-5", "title": "IR-5 — Incident monitoring", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IR — Incident Response", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SIEM export + Resilience Loop." }, { "requirement_id": "fedramp.IR-6", "title": "IR-6 — Incident reporting — US-CERT channel", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IR — Incident Response", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Incident channel canonical; US-CERT delivery format in build." }, { "requirement_id": "fedramp.IR-7", "title": "IR-7 — Incident response assistance", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IR — Incident Response", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident-response assistance is part of Resilience Loop." }, { "requirement_id": "fedramp.IR-8", "title": "IR-8 — Incident response plan", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IR — Incident Response", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "IR plan signed, versioned, distributed." }, { "requirement_id": "fedramp.IR-9", "title": "IR-9 — Information spillage response", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IR — Incident Response", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Cascade revocation + retention enforcement." }, { "requirement_id": "fedramp.RA-1", "title": "RA-1 — Policy and procedures for risk assessment", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "RA — Risk Assessment", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "RA policy is constitutional." }, { "requirement_id": "fedramp.RA-2", "title": "RA-2 — Security categorisation — FIPS 199 mapping", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "RA — Risk Assessment", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose grant data_classes + FIPS 199 mapping." }, { "requirement_id": "fedramp.RA-3", "title": "RA-3 — Risk assessment", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "RA — Risk Assessment", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Semi-annual risk register review." }, { "requirement_id": "fedramp.RA-5", "title": "RA-5 — Vulnerability monitoring + scanning", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "RA — Risk Assessment", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SBOM + vuln feed + weekly authenticated scan." }, { "requirement_id": "fedramp.RA-5.2", "title": "RA-5(2) — Update vulnerabilities to be scanned", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "RA — Risk Assessment", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "CVE feed continuously updated." }, { "requirement_id": "fedramp.RA-7", "title": "RA-7 — Risk response — POA&M", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "RA — Risk Assessment", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "POA&M generator design-locked." }, { "requirement_id": "fedramp.IA-1", "title": "IA-1 — Policy and procedures for identification + authentication", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "IA policy is constitutional + ≤90-day reviewed." }, { "requirement_id": "fedramp.IA-2", "title": "IA-2 — Identification and authentication (organizational users)", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SAML 2.0 + SCIM v2 IdP-bound; no local password store." }, { "requirement_id": "fedramp.IA-2.1", "title": "IA-2(1) — MFA for privileged accounts", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "WebAuthn step-up for tier-0 delegations." }, { "requirement_id": "fedramp.IA-2.2", "title": "IA-2(2) — MFA for non-privileged accounts", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "IdP amr/acr consumed; PDP denies below assurance floor." }, { "requirement_id": "fedramp.IA-2.5", "title": "IA-2(5) — Individual authentication with group authentication", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Individual identity always carried regardless of group context." }, { "requirement_id": "fedramp.IA-2.8", "title": "IA-2(8) — Replay-resistant authentication", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.replay.proof.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "WebAuthn FIDO2 is replay-resistant by construction." }, { "requirement_id": "fedramp.IA-2.12", "title": "IA-2(12) — Acceptance of PIV credentials", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SAML 2.0 + customer-IdP PIV bridge consumes PIV-backed assertions." }, { "requirement_id": "fedramp.IA-3", "title": "IA-3 — Device identification + authentication", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "mTLS at engine boundary; device-identity record where supplied." }, { "requirement_id": "fedramp.IA-4", "title": "IA-4 — Identifier management — uniqueness + lifecycle", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/01-NAMING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "KYE URN format guarantees uniqueness." }, { "requirement_id": "fedramp.IA-4.4", "title": "IA-4(4) — Identify status of users — active / inactive / suspended", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.entitlement.expired.v1", "kye.admin.entitlement.renewed.v1", "kye.admin.tenant.revoked.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Entitlement lifecycle events expose status." }, { "requirement_id": "fedramp.IA-5", "title": "IA-5 — Authenticator management — generation, distribution, storage, rotation", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "HSM/KMS-backed signing keys; rotation runbook." }, { "requirement_id": "fedramp.IA-5.1", "title": "IA-5(1) — Password-based authentication (when applicable)", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "advisory", "notes": "Password authn is delegated to customer IdP; WebAuthn is primary." }, { "requirement_id": "fedramp.IA-5.2", "title": "IA-5(2) — PKI-based authentication", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Ed25519 + X.509 chain engine-to-engine." }, { "requirement_id": "fedramp.IA-5.6", "title": "IA-5(6) — Protection of authenticators — private key never leaves boundary", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "HSM/KMS custody; signing path never exfiltrates key material." }, { "requirement_id": "fedramp.IA-6", "title": "IA-6 — Authentication feedback — does not reveal enumeration", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Step-up UI is enumeration-safe." }, { "requirement_id": "fedramp.IA-7", "title": "IA-7 — Cryptographic module authentication", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "FIPS 140-3 validated module via KMS adapter is in-flight." }, { "requirement_id": "fedramp.IA-8", "title": "IA-8 — Identification and authentication (non-organizational users)", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Cross-org federation envelope binds external identities." }, { "requirement_id": "fedramp.IA-11", "title": "IA-11 — Re-authentication at risk threshold", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "WebAuthn step-up at risk threshold + idle timeout." }, { "requirement_id": "fedramp.IA-12", "title": "IA-12 — Identity proofing", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "IA — Identification & Authentication", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "advisory", "notes": "Identity proofing is delegated to customer IdP (IAL claim consumed)." }, { "requirement_id": "fedramp.SC-1", "title": "SC-1 — Policy and procedures for system + communications protection", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "SC policy is constitutional + reviewed." }, { "requirement_id": "fedramp.SC-2", "title": "SC-2 — Separation of system and user functionality", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Engine-per-concern architecture; admin console isolated." }, { "requirement_id": "fedramp.SC-4", "title": "SC-4 — Information in shared system resources — no residual disclosure", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Per-tenant Durable Object + namespace isolation." }, { "requirement_id": "fedramp.SC-5", "title": "SC-5 — Denial-of-service protection", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Cloudflare edge + quota grants provide DoS mitigation; structured posture attestation in build." }, { "requirement_id": "fedramp.SC-7", "title": "SC-7 — Boundary protection — tenant proxy + mTLS engine-to-engine", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Tenant proxy at the Directory edge; mTLS engine-to-engine." }, { "requirement_id": "fedramp.SC-7.3", "title": "SC-7(3) — Limit number of access points", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Single ingress per tenant." }, { "requirement_id": "fedramp.SC-7.4", "title": "SC-7(4) — External telecommunications services", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "External telecom = Cloudflare edge; subprocessor schema records." }, { "requirement_id": "fedramp.SC-7.5", "title": "SC-7(5) — Deny by default — allow by exception", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Default-deny is constitutional." }, { "requirement_id": "fedramp.SC-7.7", "title": "SC-7(7) — Prevent split tunneling for remote devices", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Endpoint network policy is customer-MDM." }, { "requirement_id": "fedramp.SC-7.8", "title": "SC-7(8) — Route traffic to authenticated proxy servers", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "All traffic routes through the authenticated gateway." }, { "requirement_id": "fedramp.SC-8", "title": "SC-8 — Transmission confidentiality + integrity", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "TLS 1.3 + mTLS + signed bodies." }, { "requirement_id": "fedramp.SC-8.1", "title": "SC-8(1) — Cryptographic protection", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Ed25519 + AES-GCM; FIPS-mode adapter in flight." }, { "requirement_id": "fedramp.SC-10", "title": "SC-10 — Network disconnect — session timeout + re-auth", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Session timeout + WebAuthn re-auth." }, { "requirement_id": "fedramp.SC-12", "title": "SC-12 — Cryptographic key establishment + management", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "HSM/KMS-backed key management with rotation runbook." }, { "requirement_id": "fedramp.SC-12.1", "title": "SC-12(1) — Availability — backup of cryptographic keys", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Key backup posture design-locked; cross-region attestation in build." }, { "requirement_id": "fedramp.SC-13", "title": "SC-13 — Cryptographic protection — approved algorithms", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Ed25519, ECDH-P256, AES-256-GCM, SHA-256; FIPS 140-3 module in flight." }, { "requirement_id": "fedramp.SC-15", "title": "SC-15 — Collaborative computing devices — explicit user activation", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Collaborative computing devices are customer-endpoint." }, { "requirement_id": "fedramp.SC-17", "title": "SC-17 — PKI certificates — internal CA for engine certs", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Internal CA for engine certs; customer PKI for partner connectors." }, { "requirement_id": "fedramp.SC-18", "title": "SC-18 — Mobile code — none in PDP/PEP path", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "No mobile code in security path; enforced by architecture." }, { "requirement_id": "fedramp.SC-20", "title": "SC-20 — Secure name + address resolution (authoritative)", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "DNSSEC via Cloudflare CSP." }, { "requirement_id": "fedramp.SC-21", "title": "SC-21 — Secure name + address resolution (recursive)", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Resolver redundancy via CSP." }, { "requirement_id": "fedramp.SC-22", "title": "SC-22 — Architecture + provisioning for name + address resolution", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "DNS architecture is CSP-tier inherited." }, { "requirement_id": "fedramp.SC-23", "title": "SC-23 — Session authenticity", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Signed session tokens + WebAuthn binding." }, { "requirement_id": "fedramp.SC-28", "title": "SC-28 — Protection of information at rest — BYOK envelope encryption", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "BYOK envelope encryption for D1 + R2; per-tenant CMK." }, { "requirement_id": "fedramp.SC-28.1", "title": "SC-28(1) — Cryptographic protection of at-rest information", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "AES-256-GCM; FIPS 140-3 validation in flight." }, { "requirement_id": "fedramp.SC-39", "title": "SC-39 — Process isolation", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Worker isolates per tenant." }, { "requirement_id": "fedramp.SC-45", "title": "SC-45 — System time synchronization", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SC — System & Communications Protection", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NTP attestation per engine; drift > 200ms blocks." }, { "requirement_id": "fedramp.SI-1", "title": "SI-1 — Policy and procedures for system + information integrity", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "SI policy is constitutional." }, { "requirement_id": "fedramp.SI-2", "title": "SI-2 — Flaw remediation — patch SLO per severity", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SBOM + CVE feed + patch SLO; drift detector raises on breach." }, { "requirement_id": "fedramp.SI-2.2", "title": "SI-2(2) — Automated flaw remediation status", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Automated status via SBOM + drift-detector." }, { "requirement_id": "fedramp.SI-2.3", "title": "SI-2(3) — Time-to-remediation tracking", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.resilience.improvement_record.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "MTTR per severity tracked by resilience-loop." }, { "requirement_id": "fedramp.SI-3", "title": "SI-3 — Malicious code protection", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Signal ingest + endpoint AV at CSP-tier." }, { "requirement_id": "fedramp.SI-4", "title": "SI-4 — System monitoring", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift + incident detectors + SIEM export." }, { "requirement_id": "fedramp.SI-4.2", "title": "SI-4(2) — Automated tools for real-time analysis", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Streaming logs ≤5s + drift-detector." }, { "requirement_id": "fedramp.SI-4.4", "title": "SI-4(4) — Inbound + outbound communications traffic monitoring", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Gateway logs all in/out traffic; tool-call pin for egress." }, { "requirement_id": "fedramp.SI-4.5", "title": "SI-4(5) — System-generated alerts", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Auto-generated incident signals." }, { "requirement_id": "fedramp.SI-5", "title": "SI-5 — Security alerts + advisories", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Vuln feed + transparency log + Comms Rail." }, { "requirement_id": "fedramp.SI-6", "title": "SI-6 — Security and privacy function verification", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Audit-chain integrity check daily; failure raises P1." }, { "requirement_id": "fedramp.SI-7", "title": "SI-7 — Software, firmware, information integrity", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Signed Helm charts + image digests + configuration_hash; drift events → cascade revocation." }, { "requirement_id": "fedramp.SI-7.1", "title": "SI-7(1) — Integrity checks performed at startup + periodically", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Periodic + startup integrity checks." }, { "requirement_id": "fedramp.SI-7.7", "title": "SI-7(7) — Detect unauthorised changes", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift detector + cascade revocation on unauthorised change." }, { "requirement_id": "fedramp.SI-10", "title": "SI-10 — Information input validation", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "JSON Schema 2020-12 validation at every ingest; ajv in CI." }, { "requirement_id": "fedramp.SI-11", "title": "SI-11 — Error handling — no PII / no stack in client errors", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Problem-Details RFC 9457; no PII or stack in errors." }, { "requirement_id": "fedramp.SI-12", "title": "SI-12 — Information management + retention", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "Per-tenant retention policy + cascade purge." }, { "requirement_id": "fedramp.SI-16", "title": "SI-16 — Memory protection — CSP-inherited", "framework": "fedramp", "framework_version": "Rev 5", "framework_category": "SI — System & Information Integrity", "level": "L2", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Memory protection inherited from CSP (Cloudflare Workers isolates)." } ], "resolution_framing": null }, { "framework": "fi-tietosuojalaki", "display_name": "Tietosuojalaki (1050/2018) — Data Protection Act", "framework_version": "1050/2018", "source": "Tietosuojalaki (1050/2018) — Data Protection Act. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Finland. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Finland-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "fi-tietosuojalaki.gdpr-transposition", "title": "Tietosuojalaki (1050/2018) — Data Protection Act transposes / supplements the GDPR (Reg. (EU) 2016/679) into Finland national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "fi-tietosuojalaki", "framework_version": "Tietosuojalaki (1050/2018) — Data Protection Act", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Tietosuojalaki (1050/2018) — Data Protection Act is the national implementing/supplementing statute for the GDPR in Finland. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔finland. This registry maps only the Finland-specific national deltas below." }, { "requirement_id": "fi-tietosuojalaki.supervisory-authority", "title": "Cooperation with the national supervisory authority (the Tietosuojavaltuutettu (Data Protection Ombudsman)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "fi-tietosuojalaki", "framework_version": "fi-tietosuojalaki national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the Tietosuojavaltuutettu (Data Protection Ombudsman) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the Tietosuojavaltuutettu (Data Protection Ombudsman) remain tenant-side." }, { "requirement_id": "fi-tietosuojalaki.breach-notification", "title": "Personal-data breach notification to the Tietosuojavaltuutettu (Data Protection Ombudsman) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "fi-tietosuojalaki", "framework_version": "fi-tietosuojalaki national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the Tietosuojavaltuutettu (Data Protection Ombudsman)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "fr-lil", "display_name": "Loi Informatique et Libertés (Act No. 78-17, as amended) + CNIL", "framework_version": "Act No. 78-17 (as amended)", "source": "Loi Informatique et Libertés (Act No. 78-17, as amended) + CNIL. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in France. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the France-specific national deltas.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Health-data hosting (national delta)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "fr-lil.gdpr-transposition", "title": "Loi Informatique et Libertés (Act No. 78-17, as amended) + CNIL transposes / supplements the GDPR (Reg. (EU) 2016/679) into France national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "fr-lil", "framework_version": "Loi Informatique et Libertés (Act No. 78-17, as amended) + CNIL", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Loi Informatique et Libertés (Act No. 78-17, as amended) + CNIL is the national implementing/supplementing statute for the GDPR in France. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔france. This registry maps only the France-specific national deltas below." }, { "requirement_id": "fr-lil.supervisory-authority", "title": "Cooperation with the national supervisory authority (the CNIL) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "fr-lil", "framework_version": "fr-lil national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the CNIL can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the CNIL remain tenant-side." }, { "requirement_id": "fr-lil.breach-notification", "title": "Personal-data breach notification to the CNIL (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "fr-lil", "framework_version": "fr-lil national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the CNIL's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." }, { "requirement_id": "fr-lil.health-data-hds", "title": "Health-data hosting must use an HDS-certified (Hébergeur de Données de Santé) host; CNIL reference methodologies (MR) govern health-research processing", "framework": "fr-lil", "framework_version": "LIL health-data / HDS", "framework_category": "Health-data hosting (national delta)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Data Classification Engine flags health-category data and the Authority Gate restricts the processing surface; binding the residency to an HDS-certified host is designed pending the per-jurisdiction residency-attestation connector. The HDS certification itself is a host-side accreditation." } ], "resolution_framing": null }, { "framework": "frc-ethical-standard", "display_name": "FRC Ethical Standard — Integrity, Objectivity & Independence for Auditors & Accountants", "framework_version": "2024", "source": "The Financial Reporting Council's Ethical Standard sets the ethical requirements for auditors and (through the overarching principles) the broader expectations for professional accountants. It is built on the fundamental principles of integrity, objectivity, independence, professional competence and due care, and confidentiality, supported by a framework of threats (self-interest, self-review, advocacy, familiarity, intimidation) and safeguards. KYE Protocol™ governs whether an AI-generated entry / statement / audit conclusion may PROCEED to a consequential action under a named professional's authority, with the objectivity / independence / competence basis recorded before the action and replay-provable. KYE does not perform the professional judgement, resolve the ethical threat, or judge whether the work is correct.", "license": "The FRC Ethical Standard is issued by the Financial Reporting Council; KYE registry cites its principles for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Integrity": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Objectivity & independence": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Professional competence & due care": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Threats & safeguards framework": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "frc-ethical-standard.integrity", "title": "Integrity: AI-generated entry attributable to a named accountable professional", "framework": "frc-ethical-standard", "framework_version": "2024", "framework_category": "Integrity", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "The FRC Ethical Standard's integrity principle requires a professional to be straightforward and honest and to stand behind the work. KYE binds every AI-generated entry / statement to a named-authority decision so the integrity chain is unbroken and the figure remains attributable to a named accountable professional. Enforced by accounting_named_authority. Honest scope: KYE proves the authority; it does not perform the professional judgement. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "frc-ethical-standard.objectivity-independence", "title": "Objectivity & independence: determination recorded before an AI-generated conclusion proceeds", "framework": "frc-ethical-standard", "framework_version": "2024", "framework_category": "Objectivity & independence", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "The FRC Ethical Standard requires objectivity (no bias, conflict of interest, or undue influence) and, for auditors, independence in mind and appearance. KYE requires the objectivity / independence determination of the named professional to be recorded in the due-diligence result that gates the action; an AI-generated conclusion cannot proceed under an authority lacking a recorded objectivity / independence determination. Enforced by accounting_due_diligence_before_action + accounting_named_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "frc-ethical-standard.professional-competence", "title": "Professional competence & due care (§10.35-equivalent): competence determined before the action", "framework": "frc-ethical-standard", "framework_version": "2024", "framework_category": "Professional competence & due care", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "The FRC Ethical Standard requires a professional to maintain professional knowledge and skill and to act diligently (professional competence and due care). KYE binds the competence determination of the named professional into the due-diligence result that gates the action; an AI-generated entry cannot proceed under an authority lacking a recorded competence determination. Enforced by accounting_due_diligence_before_action. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "frc-ethical-standard.threats-safeguards", "title": "Threats & safeguards framework: AI-generated conclusion held advisory pending named sign-off", "framework": "frc-ethical-standard", "framework_version": "2024", "framework_category": "Threats & safeguards framework", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "The FRC Ethical Standard requires identifying threats to compliance with the fundamental principles (self-interest, self-review, advocacy, familiarity, intimidation) and applying safeguards, with a named professional responsible. KYE holds an AI-generated conclusion advisory until a named professional records sign-off, via the §36 GovernedUI human-control surface; unreviewed AI-driven conclusions are refused and routed dual-channel. Enforced by accounting_signoff_gate + accounting_named_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "frcp-ediscovery", "display_name": "FRCP e-Discovery — Rules 26 / 34 / 37 + FRE 502 (privilege)", "framework_version": "FRCP (2015 e-discovery amendments; Rules 26 / 34 / 37 + FRE 502)", "source": "The Federal Rules of Civil Procedure govern discovery in US federal litigation. Rule 26(b)(5) governs privilege claims; Rule 26(g) requires an attorney to certify that every discovery response is complete and reasonable; Rule 34 governs production of electronically stored information (ESI); Rule 37(e) governs sanctions for failure to preserve ESI; and Federal Rule of Evidence 502 governs privilege waiver and clawback. KYE Protocol™ governs whether an AI-assisted privilege determination / production decision / discovery certification may PROCEED to a consequential litigation action — under a named supervising attorney's authority, with chain-of-custody recorded, with a signed Evidence Pack, and a contestability record so the determination can be reconstructed and challenged. KYE does not do the legal research, judge whether a document is in fact privileged, or render the attorney's certification judgment.", "license": "The Federal Rules of Civil Procedure and the Federal Rules of Evidence are US government works in the public domain; KYE registry paraphrases each requirement's intent and cites the official rule identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Named-authority on the privilege / discovery determination": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Discovery chain-of-custody for produced / withheld ESI": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & sanctions-reconstruction of the determination": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Substantive privilege judgment & attorney certification on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "frcp-ediscovery.rule26g-discovery-certification", "title": "An AI-assisted privilege / discovery determination proceeds only under a recorded named-authority decision", "framework": "frcp-ediscovery", "framework_version": "FRCP (2015 e-discovery amendments; Rules 26 / 34 / 37 + FRE 502)", "framework_category": "Named-authority on the privilege / discovery determination", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "FRCP 26(g) requires an attorney to certify that every discovery response is complete and reasonable, and 26(b)(5) governs privilege claims — both non-delegable attorney judgments. When an AI review produces a privilege call or production decision that moves toward a consequential litigation action, KYE binds it to a recorded named-authority decision (the agent, the determination artefact, the action, and the named supervising attorney under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by litigation_privilege_determination_authority via the authority-engine + decision-engine. KYE proves who authorised the determination to proceed; it does not render the privilege judgment or the attorney's certification." }, { "requirement_id": "frcp-ediscovery.rule34-esi-chain-of-custody", "title": "Produced / withheld ESI proceeds only with a recorded discovery chain-of-custody", "framework": "frcp-ediscovery", "framework_version": "FRCP (2015 e-discovery amendments; Rules 26 / 34 / 37 + FRE 502)", "framework_category": "Discovery chain-of-custody for produced / withheld ESI", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "FRCP 34 governs production of ESI and the form in which it is produced; a defensible production requires the provenance and integrity of each produced or withheld item to be recorded. KYE requires the discovery chain-of-custody (source custodian, every transformation with actor/timestamp, integrity hash as collected and as produced) to be captured and bound into a decision map before an AI-reviewed document proceeds to production or withholding, per the §13 Resilience Loop. Enforced by litigation_discovery_chain_of_custody via the evidence-engine. KYE proves the custody record was captured; it does not host, collect, or review the documents' substance." }, { "requirement_id": "frcp-ediscovery.rule37-sanctions-reconstruction", "title": "Contestability & reconstruction of an AI-assisted determination for a sanctions / spoliation inquiry", "framework": "frcp-ediscovery", "framework_version": "FRCP (2015 e-discovery amendments; Rules 26 / 34 / 37 + FRE 502)", "framework_category": "Contestability & sanctions-reconstruction of the determination", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "FRCP 37(e) governs sanctions for failure to preserve ESI and requires the court to reconstruct what happened. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every AI-assisted determination, so when the determination is challenged in a motion to compel, a spoliation inquiry, or a privilege clawback dispute, it can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by litigation_contestability_record + litigation_evidence_capture via the evidence-engine + replay-engine. KYE proves how the determination was made and makes it contestable; it does not adjudicate the challenge." }, { "requirement_id": "frcp-ediscovery.substantive-privilege-judgment", "title": "Substantive privilege judgment, document review on the merits, and the attorney's reasonableness certification", "framework": "frcp-ediscovery", "framework_version": "FRCP (2015 e-discovery amendments; Rules 26 / 34 / 37 + FRE 502)", "framework_category": "Substantive privilege judgment & attorney certification on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Deciding whether a document is in fact privileged, reviewing documents on their substantive merits, and the attorney's reasonableness certification under Rule 26(g) are non-delegable legal judgments belonging to counsel. KYE™ is an AI-authority and evidence layer, not a legal-research or legal-judgment engine — out of scope by design (§0 honest scope). KYE proves who authorised the call and how it was made; it does not make the call.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "fre-authentication", "display_name": "FRE 901 / 902 — Authentication & Self-Authentication of Evidence", "framework_version": "FRE 901 / 902 (Authentication & Self-Authentication; 2017 ESI amendments)", "source": "Federal Rules of Evidence 901 and 902 govern the authentication of evidence in US courts. Rule 901 requires evidence to be authenticated — proof that it is what its proponent claims. Rule 902(13) and 902(14) (the 2017 amendments) make certain electronic records and copies authenticated by a qualified-person certification of a hash / digital process self-authenticating. KYE Protocol™ governs whether an AI-generated assertion / characterisation may PROCEED to a consequential litigation action with a replay-provable provenance pin and a signed, hash-bound Evidence Pack, so the AI review is authenticable under FRE 901/902 and no AI-asserted fact or citation is relied on without a pinned, verifiable source. KYE does not judge the substantive admissibility or relevance of the evidence.", "license": "The Federal Rules of Evidence are a US government work in the public domain; KYE registry paraphrases each requirement's intent and cites the official rule identifier for mapping purposes only.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "No-hallucinated-citation provenance pin for AI assertions": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Hash-bound self-authenticating Evidence Pack™": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Substantive admissibility, relevance & weight of the evidence": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "fre-authentication.rule901-authentication-evidence", "title": "Every AI-asserted fact / citation is pinned to a verifiable source before it is relied on (no-hallucinated-citation)", "framework": "fre-authentication", "framework_version": "FRE 901 / 902 (Authentication & Self-Authentication; 2017 ESI amendments)", "framework_category": "No-hallucinated-citation provenance pin for AI assertions", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "FRE 901 requires evidence to be authenticated as what it claims to be. When an AI review asserts a fact, a case citation, or a document characterisation that proceeds toward a consequential litigation action, KYE binds a signed, replay-derivable provenance pin to each assertion (the model + version, the pinned source for each asserted fact or citation, the review basis, the named-authority outcome) under a context seal — so no AI-asserted fact or citation is relied on without a pinned, verifiable source (the no-hallucinated-citation rule the Mata v. Avianca fake-citation sanctions made non-negotiable). An assertion without a resolvable source is refused. Enforced by litigation_ai_review_provenance_pin via the evidence-engine. KYE proves the assertion's source lineage; it does not judge its substantive admissibility." }, { "requirement_id": "fre-authentication.rule902-self-authenticating-record", "title": "Signed, hash-bound litigation Evidence Pack for an AI-reviewed item (self-authenticating under FRE 902(13)/(14))", "framework": "fre-authentication", "framework_version": "FRE 901 / 902 (Authentication & Self-Authentication; 2017 ESI amendments)", "framework_category": "Hash-bound self-authenticating Evidence Pack™", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "FRE 902(13) and 902(14) (the 2017 amendments) make electronic records and copies self-authenticating when authenticated by a qualified-person certification of a hash / digital process. KYE emits a signed, hash-bound, replay-provable litigation Evidence Pack per AI-reviewed item, derivable from published keys alone and valid at T=0, retained under §30 WORM — the self-authenticating defensibility artefact a court or opposing counsel can verify offline. Enforced by litigation_evidence_capture via the evidence-engine + replay-engine. KYE proves the record's authenticity and lineage; it does not judge its weight." }, { "requirement_id": "fre-authentication.substantive-admissibility", "title": "Substantive admissibility, relevance, hearsay, and weight of the evidence", "framework": "fre-authentication", "framework_version": "FRE 901 / 902 (Authentication & Self-Authentication; 2017 ESI amendments)", "framework_category": "Substantive admissibility, relevance & weight of the evidence", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Whether evidence is relevant, admissible, hearsay, or what weight it should be given are judgments belonging to the court and counsel under the Federal Rules of Evidence. KYE™ is an AI-authority and evidence-provenance layer, not an admissibility-judgment engine — out of scope by design (§0 honest scope). KYE proves the record is authenticable and reconstructable; it does not decide whether it comes in or what it proves.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "gdpr", "display_name": "GDPR — General Data Protection Regulation", "framework_version": "Regulation (EU) 2016/679", "source": "Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016", "license": "EU Public", "total": 92, "declared_total": 92, "coverage_pct": 88, "status_counts": { "enforced": 79, "designed": 1, "advisory": 6, "deferred": 0, "out-of-scope": 6 }, "by_category": { "Controller & Processor (Art. 24-28, 30)": { "total": 9, "enforced": 8, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 92 }, "Data Subject Rights (Art. 15-22)": { "total": 12, "enforced": 11, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 94 }, "Chapter I — General provisions": { "total": 4, "enforced": 3, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 81 }, "Principles & Lawfulness (Art. 5-9)": { "total": 25, "enforced": 25, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Transparency (Art. 12-14)": { "total": 3, "enforced": 2, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 83 }, "Security & Breach (Art. 32-34)": { "total": 11, "enforced": 10, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 93 }, "DPIA & DPO (Art. 35, 37-39)": { "total": 12, "enforced": 11, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 94 }, "International Transfers (Art. 44-49)": { "total": 6, "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Chapter VI — Independent supervisory authorities": { "total": 2, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 50 }, "Chapter VIII — Remedies, liability and penalties": { "total": 7, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 5, "coverage_pct": 29 }, "Chapter XI — Final provisions": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 } }, "requirements": [ { "requirement_id": "gdpr.A24", "title": "Responsibility of the controller — appropriate technical and organisational measures", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Controller & Processor (Art. 24-28, 30)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Per-control attestations (≤90-day cadence) form the technical-measure evidence bundle; the §0.3 chain is the canonical record." }, { "requirement_id": "gdpr.A25.1", "title": "Data protection by design — implement principles at design time", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Controller & Processor (Art. 24-28, 30)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.purpose.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Default-deny admissibility (no grant → no access) is privacy-by-design at the protocol layer; schema defaults enforce data-protection principles by construction." }, { "requirement_id": "gdpr.A25.2", "title": "Data protection by default — only personal data necessary for each specific purpose", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Controller & Processor (Art. 24-28, 30)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data minimisation enforced at admissibility — only grant-declared data_classes are released; super-set queries denied." }, { "requirement_id": "gdpr.A28", "title": "Processor relationships governed by contract and chain-of-custody", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Controller & Processor (Art. 24-28, 30)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.partner.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Cross-org delegation envelope records processor + sub-processor chain; signed-DPA contract artefact tracked in P4.1." }, { "requirement_id": "gdpr.A30", "title": "Records of processing activities (RoPA) — controller and processor", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Controller & Processor (Art. 24-28, 30)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Every Purpose Grant carries Art. 30 fields (purposes, data-subject classes, recipient classes, retention, transfers); RoPA is generated from the WORM-table grant set — the §0.3 chain is the record of processing." }, { "requirement_id": "gdpr.A15", "title": "Right of access — confirmation of processing and copy of the personal data", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.signal.dsar.requested.v1", "kye.signal.dsar.fulfilled.v1", "kye.dsar.workflow.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "DSAR Agent walks the data-flow graph and assembles a signed DSAR Evidence Pack; signal lifecycle emitted on requested + fulfilled." }, { "requirement_id": "gdpr.A17", "title": "Right to erasure / right to be forgotten", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.dsar.workflow.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Cascade-revoke clears live grants for the subject and forwards an erasure-workflow envelope; WORM-table tombstones (not deletion) are recorded for accountability per §30." }, { "requirement_id": "gdpr.A18", "title": "Right to restriction of processing", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Restriction flag on the grant flips admissibility to deny for the affected purpose scope until lifted." }, { "requirement_id": "gdpr.A20", "title": "Right to data portability — machine-readable, interoperable export", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.dsar.workflow.v1", "kye.signal.dsar.fulfilled.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Portability export uses the DSAR Evidence Pack with machine-readable JSON; interoperable schema export tracked in P4.1." }, { "requirement_id": "gdpr.A21", "title": "Right to object to processing based on legitimate interests or direct marketing", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.dsar.workflow.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Objection signal denies admissibility on all grants for the affected subject + purpose unless the controller cites compelling legitimate grounds." }, { "requirement_id": "gdpr.A22.1", "title": "No solely-automated decision with legal or similarly significant effects without safeguards", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1", "kye.evidence.trace_replay_spec.v1", "kye.evidence.replay_proof.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every solely-automated decision emits a Decision Map (inputs → rules → obligations → output) + Trace Replay Spec — making the logic involved both reproducible and explainable; Replay Proof seals the public-key-derivable chain." }, { "requirement_id": "gdpr.A22.3", "title": "Right to obtain human intervention, express a point of view, and contest the decision", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.approval_decision.approved_with_restrictions.v1", "kye.signal.approval_evidence_pack.generated.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "GovernedUI™ approval modules expose human-intervention + appeal paths; appeal generates a fresh Decision Map referencing the original. Operator surface live; subject-facing appeal widget in build." }, { "requirement_id": "gdpr.A1", "title": "Subject matter and objectives — protection of natural persons with regard to processing of personal data, free movement of personal data", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter I — General provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "advisory", "notes": "Article 1 is a scope declaration; KYE's Data Governance Pack honours both protection-of-persons and free-movement objectives." }, { "requirement_id": "gdpr.A2", "title": "Material scope — applies to processing of personal data wholly or partly by automated means", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter I — General provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Use Manifest declares personal-data scope per processing activity; PDP refuses automated processing outside the manifest." }, { "requirement_id": "gdpr.A3", "title": "Territorial scope — establishment in Union, monitoring or offering goods/services to data subjects in Union", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter I — General provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.jurisdiction.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:sku-jurisdiction-canonical" }, "notes": "Jurisdiction Resolver records EU-subject monitoring posture; jurisdiction attestation binds GDPR applicability." }, { "requirement_id": "gdpr.A4", "title": "Definitions — including personal data, processing, controller, processor, data subject, consent, special category data", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter I — General provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/24-DESIGN-DICTIONARY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:terminology" }, "notes": "Article-4 definitions encoded as canonical terms in the Design Dictionary; terminology gate enforces consistent use." }, { "requirement_id": "gdpr.A5.1.a", "title": "Lawfulness, fairness and transparency principle", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Lawfulness checked at PDP admissibility; transparency surfaced via Decision Map." }, { "requirement_id": "gdpr.A5.1.d", "title": "Accuracy principle — personal data shall be accurate and kept up to date", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data accuracy attribute on Data Use Manifest; Drift Detector flags stale data." }, { "requirement_id": "gdpr.A5.1.f", "title": "Integrity and confidentiality principle — appropriate security", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_chain_entry.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Integrity ensured by WORM audit + hash-chained logs; confidentiality by key-custody + edge-bound mTLS." }, { "requirement_id": "gdpr.A6.1.a", "title": "Lawful basis — consent", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consent acceptance is the canonical record; PDP requires it for consent-basis processing." }, { "requirement_id": "gdpr.A6.1.b", "title": "Lawful basis — contract performance", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.purpose.admissibility.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Contract-performance basis declared on Purpose Permission; PDP refuses non-contract-aligned use." }, { "requirement_id": "gdpr.A6.1.c", "title": "Lawful basis — legal obligation", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Legal-obligation basis tagged on Purpose Permission with citation to the source Union/Member-State law." }, { "requirement_id": "gdpr.A6.1.d", "title": "Lawful basis — vital interests", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Vital-interests basis declared on Purpose Permission with the necessity attestation." }, { "requirement_id": "gdpr.A6.1.e", "title": "Lawful basis — public task / official authority", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Public-task basis declared with the source-authority attestation." }, { "requirement_id": "gdpr.A6.1.f", "title": "Lawful basis — legitimate interests", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Legitimate-interest balancing test recorded on the Decision Map; PDP refuses if balancing fails." }, { "requirement_id": "gdpr.A7.2", "title": "Conditions for consent — clearly distinguishable, intelligible and easily-accessible form", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1" ], "constitution_refs": [ "constitution/11-CONTENT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consent UI/wording bound to the content-clarity score floor; consent acceptance event seals the presented form." }, { "requirement_id": "gdpr.A7.4", "title": "Consent — utmost account shall be taken whether performance of contract conditional on consent", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consent records the conditional-on-performance flag; PDP refuses if the flag is set in violation of Art 7(4)." }, { "requirement_id": "gdpr.A8", "title": "Conditions applicable to child's consent in relation to information society services (under 16 / Member-State-set age)", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Child-consent age attribute on consent record; parental-verification flow in build." }, { "requirement_id": "gdpr.A9.2.a", "title": "Special-category processing — explicit consent", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Explicit-consent flag required for Art-9 special-category processing; PDP refuses absent the flag." }, { "requirement_id": "gdpr.A9.2.g", "title": "Special-category processing — substantial public interest", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Substantial-public-interest basis carried on Purpose Permission with citation to the source Union/Member-State law." }, { "requirement_id": "gdpr.A9.2.h", "title": "Special-category processing — preventive or occupational medicine, medical diagnosis, healthcare", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Healthcare-purpose basis carried with the healthcare-sector pack alignment (HAARF + IMDRF + MHRA)." }, { "requirement_id": "gdpr.A10", "title": "Processing of personal data relating to criminal convictions and offences", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Criminal-conviction data treated as Art-10 special class; processing denied at PDP without official-authority attribute." }, { "requirement_id": "gdpr.A11", "title": "Processing which does not require identification — controller not obliged to maintain identifying information", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Pseudonymisation status carried on Data Use Manifest; subject rights gated accordingly." }, { "requirement_id": "gdpr.A14", "title": "Information where personal data not obtained from the data subject", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Transparency (Art. 12-14)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.data_use_manifest.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Indirect-collection notification template in Comms Manifest; auto-trigger on data-import via the connector pipeline in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "gdpr.A16", "title": "Right to rectification", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.dsar_request.v1", "kye.dsar_evidence_pack.v1" ], "agents": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "DSAR Agent handles the rectification request; DSAR Evidence Agent assembles the proof of rectification." }, { "requirement_id": "gdpr.A19", "title": "Notification obligation regarding rectification or erasure or restriction of processing", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.federation.cross_org_delegation.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Downstream-recipient notification fanned out via the federation delegation chain + Comms Rail dispatch." }, { "requirement_id": "gdpr.A22.4", "title": "Automated decisions — decisions based on special-category data only with explicit consent or substantial public interest, and suitable safeguards", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.consent.acceptance.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Special-category automated-decision denied at PDP without explicit-consent or substantial-PI basis attribute." }, { "requirement_id": "gdpr.A23", "title": "Restrictions — Union/Member-State law may restrict obligations for objectives such as national security or public safety", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "advisory", "notes": "Article-23 restrictions are state-law overrides; KYE provides the citation-attestation field on Purpose Permission." }, { "requirement_id": "gdpr.A26", "title": "Joint controllers — transparent arrangement determining respective responsibilities", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Controller & Processor (Art. 24-28, 30)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Joint-controller arrangement encoded as a cross-org delegation with declared role allocation." }, { "requirement_id": "gdpr.A27", "title": "Representatives of controllers or processors not established in the Union", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Controller & Processor (Art. 24-28, 30)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "Article-27 representative appointment is a corporate act; SKU agreement carries the rep-identity field." }, { "requirement_id": "gdpr.A29", "title": "Processing under authority of controller or processor — only on instructions", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Controller & Processor (Art. 24-28, 30)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Only-on-instructions principle is the PDP's core contract — every action is admitted only within the declared purpose envelope." }, { "requirement_id": "gdpr.A31", "title": "Cooperation with the supervisory authority", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Controller & Processor (Art. 24-28, 30)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Regulator Replay Agent provides the scoped-access channel for supervisory authority cooperation." }, { "requirement_id": "gdpr.A32.1.c", "title": "Security — ability to restore availability and access to personal data in a timely manner", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof_registry.v1", "kye.dr_manifest.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "DR Manifest + No-SPOF registry attest to timely-restore capability; per-component RTO declared." }, { "requirement_id": "gdpr.A32.1.d", "title": "Security — process for regularly testing, assessing and evaluating effectiveness of security measures", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Security-test scenarios run on Change Calendar cadence; effectiveness logged in compliance attestation." }, { "requirement_id": "gdpr.A33.2", "title": "Processor breach notification — notify controller without undue delay", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector emits the breach signal; Comms Rail dispatches to the controller-of-record per the subprocessor relationship." }, { "requirement_id": "gdpr.A33.3", "title": "Breach notification — minimum content (nature, contact, consequences, measures)", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Breach-notification template encodes the 4 mandatory content fields; comms-manifest gate enforces presence." }, { "requirement_id": "gdpr.A33.4", "title": "Breach notification — phased provision of information where not all available within 72 hours", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident lifecycle supports phased dispatch with delta-notification templates per phase." }, { "requirement_id": "gdpr.A33.5", "title": "Breach documentation — controller shall document any personal-data breach", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Every breach signal seals an evidence pack with WORM retention." }, { "requirement_id": "gdpr.A35.2", "title": "DPIA — advice from DPO if designated", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.approval_decision.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "DPO-approval mode wired via Action Approval surface; decision records the DPO sign-off." }, { "requirement_id": "gdpr.A35.3.a", "title": "DPIA mandatory case — systematic and extensive evaluation including profiling with legal or similarly significant effects", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence map computes legal-effect attribute; PDP requires DPIA when profiling + legal-effect attributes present." }, { "requirement_id": "gdpr.A35.3.b", "title": "DPIA mandatory case — processing on a large scale of special-category data", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Large-scale + special-category attributes carried on Data Use Manifest; PDP demands DPIA before processing admitted." }, { "requirement_id": "gdpr.A35.3.c", "title": "DPIA mandatory case — systematic monitoring of publicly accessible area on a large scale", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Public-monitoring attribute carried on Purpose Permission; PDP demands DPIA." }, { "requirement_id": "gdpr.A35.7", "title": "DPIA — minimum content (description, necessity assessment, risk assessment, measures)", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk_assessment.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "DPIA evidence pack assembled with the 4 mandatory content sections." }, { "requirement_id": "gdpr.A36", "title": "Prior consultation — consult supervisory authority before processing if DPIA shows high residual risk", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "High-residual-risk threshold on Risk Score triggers the supervisory-authority consultation dispatch template." }, { "requirement_id": "gdpr.A38", "title": "Position of the DPO — involved in all issues which relate to protection of personal data; resources", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "DPO principal bound to data-protection authority class; GovernedUI surfaces DPO involvement on every privacy decision." }, { "requirement_id": "gdpr.A39", "title": "DPO tasks — informing, monitoring compliance, advising on DPIA, cooperating with supervisory authority", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.approval_decision.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "DPO-task decisions surfaced via Action Approval queue; attestation closes the lifecycle." }, { "requirement_id": "gdpr.A45", "title": "Transfers on the basis of an adequacy decision", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "International Transfers (Art. 44-49)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.cross_border.transfer.v1", "kye.jurisdiction.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Cross-Border Evidence Agent records the adequacy-decision basis per transfer; jurisdiction attestation binds destination." }, { "requirement_id": "gdpr.A47", "title": "Binding corporate rules — approved by competent supervisory authority", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "International Transfers (Art. 44-49)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.cross_border.transfer.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "BCR basis tagged on cross-border transfer; BCR-template repository in build." }, { "requirement_id": "gdpr.A48", "title": "Transfers or disclosures not authorised by Union law — third-country court / authority requests", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "International Transfers (Art. 44-49)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.cross_border.transfer.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Third-country-authority transfer denied at PDP without an MLAT or Union-law basis." }, { "requirement_id": "gdpr.A49", "title": "Derogations for specific situations — explicit consent, contract necessity, important public-interest reasons, etc.", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "International Transfers (Art. 44-49)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.cross_border.transfer.v1", "kye.consent.acceptance.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Derogation basis flag carried on the cross-border transfer record per Art 49(1)(a-g)." }, { "requirement_id": "gdpr.A57", "title": "Tasks of the supervisory authority — monitor, complaint handling, investigation", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter VI — Independent supervisory authorities", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Article-57 binds the supervisory authority, not the controller/processor.", "owning_role": "customer" }, { "requirement_id": "gdpr.A58", "title": "Powers of the supervisory authority — investigative, corrective, advisory, authorisation", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter VI — Independent supervisory authorities", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Investigative + corrective powers met by the Regulator Replay Agent's scoped-access channel + the Authority Revocation primitive." }, { "requirement_id": "gdpr.A77", "title": "Right to lodge a complaint with a supervisory authority", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter VIII — Remedies, liability and penalties", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Article-77 is a data-subject right exercised externally; KYE provides the evidence trail that supports a complaint response.", "owning_role": "customer" }, { "requirement_id": "gdpr.A78", "title": "Right to an effective judicial remedy against a supervisory authority", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter VIII — Remedies, liability and penalties", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Article-78 is a data-subject right exercised externally.", "owning_role": "customer" }, { "requirement_id": "gdpr.A79", "title": "Right to an effective judicial remedy against a controller or processor", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter VIII — Remedies, liability and penalties", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Decision Map + Evidence Pack supply the per-subject decision record needed for judicial-remedy proceedings." }, { "requirement_id": "gdpr.A82", "title": "Right to compensation — any person who has suffered material or non-material damage from infringement has the right to receive compensation", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter VIII — Remedies, liability and penalties", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Evidence pack assembles the proof needed for Art-82 damage proceedings." }, { "requirement_id": "gdpr.A83.1", "title": "General conditions for imposing administrative fines — effective, proportionate, dissuasive", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter VIII — Remedies, liability and penalties", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Article-83 binds the supervisory authority.", "owning_role": "customer" }, { "requirement_id": "gdpr.A83.4", "title": "Administrative fines up to EUR 10M or 2% global annual turnover (lesser obligations)", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter VIII — Remedies, liability and penalties", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Article-83(4) penalty band; KYE provides the evidence to defend against alleged breach.", "owning_role": "customer" }, { "requirement_id": "gdpr.A83.5", "title": "Administrative fines up to EUR 20M or 4% global annual turnover (principal obligations)", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter VIII — Remedies, liability and penalties", "level": "mandatory", "primary_role": "D", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Article-83(5) penalty band; KYE provides the evidence to defend against alleged breach.", "owning_role": "customer" }, { "requirement_id": "gdpr.A99", "title": "Entry into force and application — applicable from 25 May 2018", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Chapter XI — Final provisions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "Applicability date past; jurisdiction binding always carries GDPR for EU-subject processing." }, { "requirement_id": "gdpr.R71", "title": "Recital 71 — Right not to be subject to a solely automated decision producing legal effects, with right to obtain human intervention, express point of view and contest decision", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Data Subject Rights (Art. 15-22)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.approval_decision.v1", "kye.evidence.decision_map.v1" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Recital 71 expanded right to obtain human intervention — implemented via Action Approval surface + Decision Map evidence." }, { "requirement_id": "gdpr.R85", "title": "Recital 85 — Breach notification — without delay and where feasible within 72 hours", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "72-hour SLA encoded as comms-rail dispatch deadline keyed off the incident-open signal timestamp." }, { "requirement_id": "gdpr.R91", "title": "Recital 91 — DPIA scope (large scale processing, monitoring publicly accessible area, biometric/genetic, vulnerable individuals)", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Recital-91 trigger attributes (large-scale / public-monitoring / biometric / vulnerable) carried on the consequence map and gated at the PDP." }, { "requirement_id": "gdpr.A35.1", "title": "Data Protection Impact Assessment when processing is likely to result in high risk", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Risk-engine auto-classifies high-risk grants (solely-automated, special-category, large-scale monitoring); DPIA generator assembles Art. 35(7)(a-d) sections from the grant + evidence; DPO sign-off is an organisational gate." }, { "requirement_id": "gdpr.A35.11", "title": "Reviewing the DPIA when there is a change of risk", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Drift detector emits change-of-risk events that auto-trigger DPIA refresh; review workflow integrated with the §0.3 attestation cadence." }, { "requirement_id": "gdpr.A37", "title": "Designation of a Data Protection Officer where required", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "DPIA & DPO (Art. 35, 37-39)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.transparency.statement.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "advisory", "notes": "DPO is an organisational role of the controller; KYE surfaces DPO contact in the transparency statement schema but does not appoint or supervise." }, { "requirement_id": "gdpr.A44", "title": "General principle for transfers of personal data outside the EU", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "International Transfers (Art. 44-49)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.cross_border.transfer.v1", "kye.jurisdiction.attestation.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data-residency router pins requests to tenant-approved Cloudflare colos; cross-jurisdiction requests return HTTP 451; tool_call_pin side_effects include `cross-border` flag emitting a transfer envelope." }, { "requirement_id": "gdpr.A46", "title": "Transfers subject to appropriate safeguards (SCCs, BCRs)", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "International Transfers (Art. 44-49)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.cross_border.transfer.v1", "kye.jurisdiction.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Per-tenant SCC version recorded in residency policy; BYOK envelope encryption fulfils Schrems II supplementary measures by retaining key authority at the customer." }, { "requirement_id": "gdpr.A5.1.b", "title": "Purpose limitation — personal data collected for specified, explicit, legitimate purposes", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.purpose.admissibility.v1", "kye.purpose.request.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission™ binds every data operation to a declared purpose class; admissibility check denies any out-of-purpose access at the PDP." }, { "requirement_id": "gdpr.A5.1.c", "title": "Data minimisation — adequate, relevant, limited to what is necessary", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Grant's data_classes scope + schema constraints enforce minimum-necessary at admissibility; over-scope requests denied." }, { "requirement_id": "gdpr.A5.1.e", "title": "Storage limitation — retention period bounded to purpose", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "Per-table retention policy enforced by audit-archiver; grant.restrictions.retention_max bounds purpose-driven retention." }, { "requirement_id": "gdpr.A5.2", "title": "Accountability — controller responsible for and able to demonstrate compliance", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every privileged action emits the §0.3 evidence chain (Decision Map + Evidence Pack + Compliance Attestation) — this is continuous demonstration of accountability." }, { "requirement_id": "gdpr.A6.1", "title": "Lawful basis for processing must be cited per processing activity", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose grant requires a lawful_basis_ref enum value (consent / contract / legal-obligation / vital-interest / public-task / legitimate-interest); admissibility fails without it." }, { "requirement_id": "gdpr.A7.1", "title": "Consent — controller must demonstrate that the data subject consented", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.consent.receipt.v1", "kye.opmodel.consent_procedure.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Consent receipt schema locked + admit pipeline ingests it; signed-receipt issuance (COSE-Sign1) tracked in P4.1." }, { "requirement_id": "gdpr.A7.3", "title": "Right to withdraw consent at any time, as easily as given", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.consent.receipt.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Cascade-revoke pathway in Purpose Engine deactivates all grants referencing the withdrawn consent_ref; subsequent admissibility decisions deny." }, { "requirement_id": "gdpr.A9.1", "title": "Special-category data — prohibition by default", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Principles & Lawfulness (Art. 5-9)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.purpose.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose class defaults special_category_processing=false; an Art. 9(2) exception basis must be cited to admit any special-category access." }, { "requirement_id": "gdpr.A32.1.a", "title": "Pseudonymisation and encryption of personal data", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.signature.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Encryption in transit + at rest + signing primitives live on the webhook path; customer-key envelope encryption at the sub-processor boundary; FIPS-validated adapter + detached signing in P4.1." }, { "requirement_id": "gdpr.A32.1.b", "title": "Ongoing confidentiality, integrity, availability, resilience of processing systems", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Resilience Loop emits drift events + sustained attestations; WORM audit chain preserves integrity; hash-linked ledger detects tamper." }, { "requirement_id": "gdpr.A33.1", "title": "Notification of a personal data breach to the supervisory authority within 72 hours", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.resilience.sla_breach.v1", "kye.resilience.drift.detected.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Detection event (drift / sla-breach) opens an Evidence Pack stamped at t0; deployer-side notification dispatch via Comms Rail with 72-hour SLA in P4.1." }, { "requirement_id": "gdpr.A34", "title": "Communication of a personal data breach to the data subject when high risk", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Security & Breach (Art. 32-34)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.resilience.sla_breach.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Subject communication is an organisational duty of the controller; KYE supplies the breach Evidence Pack + Comms Rail templates but does not decide whether to notify." }, { "requirement_id": "gdpr.A12", "title": "Transparent, intelligible and easily accessible information to data subjects", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Transparency (Art. 12-14)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.transparency.statement.v1", "kye.transparency.receipt.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Transparency Statement schema defines the locked notice layout; runtime delivery pathway via the Comms Rail is in build." }, { "requirement_id": "gdpr.A13", "title": "Information provided where personal data is collected from the data subject", "framework": "gdpr", "framework_version": "Regulation (EU) 2016/679", "framework_category": "Transparency (Art. 12-14)", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.transparency.statement.v1", "kye.purpose.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Notice schema carries Art. 13 fields (controller identity, DPO contact, purposes, lawful basis, retention, rights, transfers); deployer-side delivery in build." } ], "resolution_framing": null }, { "framework": "gdpr-automated-decision", "display_name": "GDPR Article 22 — Automated Decision-Making", "framework_version": "Regulation (EU) 2016/679 (GDPR) — Article 22 (automated individual decision-making, including profiling) + Articles 13–15 / Recital 71", "source": "Article 22 of the GDPR (Regulation (EU) 2016/679) gives data subjects the right not to be subject to a decision based solely on automated processing, including profiling, that produces legal or similarly significant effects, save in specified cases where suitable safeguards must apply — including the right to obtain human intervention, to express their point of view, and to contest the decision (Recital 71), and the right to meaningful information about the logic involved (Articles 13–15). In insurance, an automated underwriting decline or claims denial is a similarly-significant-effect decision. KYE Protocol™ governs whether an AI-assisted decision in scope may PROCEED — under a recorded named-authority (the safeguard of human involvement), with a recorded adverse-action reason-code (meaningful information about the logic), and an appeal / contestability record (the right to human intervention and to contest). KYE does not make the underwriting decision, price the risk, or replace the human reviewer.", "license": "Regulation (EU) 2016/679 is published in the Official Journal of the EU; KYE registry paraphrases each requirement's intent and cites the article / recital for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Human involvement / named-authority safeguard (Art. 22(3))": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Right to contest & human intervention (Recital 71)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Meaningful information about the logic / adverse-action reason (Art. 13–15)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Lawful basis, substantive decision & pricing on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "gdpr-automated-decision.art22-human-involvement-safeguard", "title": "A similarly-significant automated decision proceeds only under a recorded named-authority (human-involvement safeguard)", "framework": "gdpr-automated-decision", "framework_version": "Regulation (EU) 2016/679 (GDPR) — Article 22 (automated individual decision-making, including profiling) + Articles 13–15 / Recital 71", "framework_category": "Human involvement / named-authority safeguard (Art. 22(3))", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "GDPR Art. 22(3) requires suitable safeguards including the right to obtain human involvement for similarly-significant automated decisions. KYE binds the decision to a recorded named-authority decision (the human under whose authority the decision proceeds) at the §12 Purpose Permission action-admissibility gate, refusing a solely-automated consequential decision when no human authority is recorded. Enforced by insurance_underwriting_decision_authority + insurance_claims_determination_authority via the authority-engine + decision-engine. KYE proves a human was in the loop and accountable; it does not make the underwriting decision." }, { "requirement_id": "gdpr-automated-decision.art22-contest-human-intervention", "title": "The data subject's right to contest and to human intervention is recorded as an appeal / contestability record", "framework": "gdpr-automated-decision", "framework_version": "Regulation (EU) 2016/679 (GDPR) — Article 22 (automated individual decision-making, including profiling) + Articles 13–15 / Recital 71", "framework_category": "Right to contest & human intervention (Recital 71)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "GDPR Recital 71 gives the data subject the right to obtain human intervention, to express their point of view, and to contest a similarly-significant automated decision. KYE binds an appeal / contestability record (a stable decision identifier, the inputs and authority and evidence, the right to human intervention, and a reconstruction / appeal route), signed and replay-provable, to every consequential AI-assisted decision, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by insurance_appeal_contestability_record via the evidence-engine + replay-engine. KYE proves the contest route exists and the decision is reconstructable; it does not adjudicate the contest." }, { "requirement_id": "gdpr-automated-decision.art13-15-meaningful-information-logic", "title": "The data subject receives meaningful information about the logic — a recorded adverse-action reason-code", "framework": "gdpr-automated-decision", "framework_version": "Regulation (EU) 2016/679 (GDPR) — Article 22 (automated individual decision-making, including profiling) + Articles 13–15 / Recital 71", "framework_category": "Meaningful information about the logic / adverse-action reason (Art. 13–15)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "GDPR Articles 13–15 require the controller to provide meaningful information about the logic involved in automated decision-making. KYE requires the adverse-action reason-code and the evidence the reason rests on (the principal factors and the pinned source for each material factor) to be recorded before an AI-assisted decision proceeds to a consequential adverse action, at the §13 envelopes. Enforced by insurance_adverse_action_explainability via the decision-engine + evidence-engine. KYE proves the meaningful-information reason-code was recorded; it does not judge whether the reason is correct." }, { "requirement_id": "gdpr-automated-decision.lawful-basis-substantive-decision", "title": "Lawful basis for the processing, the substantive decision, and risk pricing on the merits", "framework": "gdpr-automated-decision", "framework_version": "Regulation (EU) 2016/679 (GDPR) — Article 22 (automated individual decision-making, including profiling) + Articles 13–15 / Recital 71", "framework_category": "Lawful basis, substantive decision & pricing on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Establishing the lawful basis for the automated processing under Art. 22(2), making the substantive underwriting / claims decision, and pricing the risk are the controller's / insurer's own legal and actuarial judgments. KYE™ is an AI-authority and evidence layer at the action boundary, not a legal-basis, decision, or pricing engine — out of scope by design (§0 honest scope). KYE proves the safeguards (human involvement, meaningful information, contest route) were present; it does not establish the lawful basis or make the decision.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "gdpr-whistleblower", "display_name": "GDPR (Whistleblowing) — Special-Category & Data-Minimisation in Reports", "framework_version": "Regulation (EU) 2016/679 (GDPR) — whistleblowing data-protection slice (Art. 5, 6, 9, 15, 21)", "source": "The General Data Protection Regulation (Regulation (EU) 2016/679) applies to the personal data processed within a whistleblowing report. Article 5(1)(c) requires data minimisation; Article 9 restricts the processing of special-category data (which a report may contain — health, criminal allegations under Art. 10, trade-union membership); access to a reporter's and an accused person's identity must be limited to authorised staff on a need-to-know basis; and Articles 15 and 21 give data subjects rights of access and objection. KYE Protocol™ governs whether an AI-assisted access to the personal / special-category data in a report may PROCEED — on a recorded need-to-know authority, with data-minimisation evidence captured, a signed Evidence Pack, and a contestability record so a data-subject access or objection can be reconstructed. KYE does not perform the lawful-basis assessment for the underlying processing or adjudicate the data-subject claim.", "license": "EU Regulations are published by the Publications Office of the European Union; KYE registry paraphrases each requirement's intent and cites the official article identifier for mapping purposes only.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Need-to-know access & data-minimisation evidence for special-category report data": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Data-subject contestability (access / objection) reconstruction": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Lawful-basis assessment, DPIA & data-subject adjudication": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "gdpr-whistleblower.special-category-need-to-know-access", "title": "Access to the personal / special-category data in a report proceeds only under a recorded need-to-know authority with data-minimisation evidence", "framework": "gdpr-whistleblower", "framework_version": "Regulation (EU) 2016/679 (GDPR) — whistleblowing data-protection slice (Art. 5, 6, 9, 15, 21)", "framework_category": "Need-to-know access & data-minimisation evidence for special-category report data", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Article 5(1)(c) requires data minimisation and Article 9 restricts the processing of special-category data a report may contain; access must be limited to authorised staff on a need-to-know basis. KYE binds every AI-assisted access to the personal / special-category data in a report to a recorded need-to-know named-authority decision at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no need-to-know authority is recorded, and capturing the data-minimisation basis (what identifying / special-category fields were exposed and why). Enforced by whistleblower_report_access_authority via the authority-engine + decision-engine. KYE proves the need-to-know and data-minimisation; it does not perform the lawful-basis assessment of the underlying processing." }, { "requirement_id": "gdpr-whistleblower.data-subject-contestability", "title": "Data-subject contestability (access / objection) reconstruction of the AI-assisted handling", "framework": "gdpr-whistleblower", "framework_version": "Regulation (EU) 2016/679 (GDPR) — whistleblowing data-protection slice (Art. 5, 6, 9, 15, 21)", "framework_category": "Data-subject contestability (access / objection) reconstruction", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Articles 15 and 21 give data subjects rights of access and objection over the personal data in a report. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every AI-assisted access / determination, so when a data subject exercises access or objection it can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by whistleblower_reporter_contestability_record + whistleblower_confidentiality_evidence_capture via the evidence-engine + replay-engine. KYE proves how the access / determination was made and makes it contestable; it does not adjudicate the data-subject claim." }, { "requirement_id": "gdpr-whistleblower.lawful-basis-and-dpia", "title": "Lawful-basis assessment of the underlying processing, the DPIA, and data-subject adjudication", "framework": "gdpr-whistleblower", "framework_version": "Regulation (EU) 2016/679 (GDPR) — whistleblowing data-protection slice (Art. 5, 6, 9, 15, 21)", "framework_category": "Lawful-basis assessment, DPIA & data-subject adjudication", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Establishing the lawful basis for the underlying whistleblowing processing under Articles 6 and 9, conducting the DPIA, and adjudicating a data-subject complaint are determinations belonging to the controller, the DPO, and the supervisory authority. KYE™ is an AI-authority and evidence layer, not a data-protection-compliance or adjudication engine — out of scope by design (§0 honest scope). KYE proves the need-to-know access was authorised and evidenced and makes it contestable; it does not perform the lawful-basis assessment.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "google-sre-change-management", "display_name": "Google SRE — Change Management (progressive rollout & rollback)", "framework_version": "SRE Book", "source": "Google SRE — Change Management (progressive rollout & rollback) — Site-reliability-engineering practice framework. KYE Protocol™ governs the SUBSET that resolves at the action boundary — the moment an AI-driven production action (a rollback / hotfix / infra-change) moves toward a consequential effect — under a recorded change-authority decision, with the change-class due-diligence recorded, replay-provable provenance, and named sign-off. KYE does not detect the incident, perform RCA, monitor the system, or operate the change-management tooling.", "license": "Google SRE change-management practice is described in the publicly available Google SRE Book; KYE registry references the practice descriptively for mapping purposes and asserts no ownership.", "total": 2, "declared_total": 2, "coverage_pct": 50, "status_counts": { "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Change management — rollout authority & rollback readiness (enforced action-boundary subset)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Monitoring & rollout tooling (out-of-scope — sre / platform)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "google-sre-change-management.progressive-rollout-authority", "title": "Progressive rollout & rollback readiness: an AI-proposed production change proceeds only under a recorded rollout-authority decision with a rollback plan", "framework": "google-sre-change-management", "framework_version": "SRE Book", "framework_category": "Change management — rollout authority & rollback readiness (enforced action-boundary subset)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:production-action-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Google SRE change-management practice holds that most outages are caused by changes, so changes should be progressive, monitored, and rapidly rollback-able, under a clear authority to roll forward or back. KYE resolves the authority-and-readiness subset at the action boundary: it refuses an AI-proposed production change (rollback / hotfix / canary promote) whose rollout-authority decision and rollback-plan are not recorded, binding the agent, the change artefact, the blast-radius assessment, and the named change-owner, and emits a signed provenance record (authority-engine + decision-engine + evidence-engine). Honest scope (§70): KYE governs WHETHER the change may proceed and proves it — it does not run the rollout tooling, the monitoring, or judge whether the change is technically correct." }, { "requirement_id": "google-sre-change-management.monitoring-rollout-tooling", "title": "Monitoring, canary analysis, and rollout-automation tooling", "framework": "google-sre-change-management", "framework_version": "SRE Book", "framework_category": "Monitoring & rollout tooling (out-of-scope — sre / platform)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "sre", "notes": "Running the monitoring, the canary analysis, and the rollout-automation tooling (the detection and execution machinery) is an SRE / platform function and is exactly the substance ceded to incident-intelligence / rollout tools (Autoheal / PagerDuty / Datadog / deployment systems). KYE™ enforces the rollout-authority decision and its evidence at the action boundary; it does not monitor, analyse the canary, or execute the rollout. Out of scope (§0 complement-not-compete) — owned by SRE / platform." } ], "resolution_framing": null }, { "framework": "gr-law-4624-2019", "display_name": "Law 4624/2019 (measures implementing the GDPR)", "framework_version": "Law 4624/2019", "source": "Law 4624/2019 (measures implementing the GDPR). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Greece. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Greece-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "gr-law-4624-2019.gdpr-transposition", "title": "Law 4624/2019 (measures implementing the GDPR) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Greece national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "gr-law-4624-2019", "framework_version": "Law 4624/2019 (measures implementing the GDPR)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Law 4624/2019 (measures implementing the GDPR) is the national implementing/supplementing statute for the GDPR in Greece. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔greece. This registry maps only the Greece-specific national deltas below." }, { "requirement_id": "gr-law-4624-2019.supervisory-authority", "title": "Cooperation with the national supervisory authority (the HDPA (Hellenic Data Protection Authority)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "gr-law-4624-2019", "framework_version": "gr-law-4624-2019 national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the HDPA (Hellenic Data Protection Authority) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the HDPA (Hellenic Data Protection Authority) remain tenant-side." }, { "requirement_id": "gr-law-4624-2019.breach-notification", "title": "Personal-data breach notification to the HDPA (Hellenic Data Protection Authority) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "gr-law-4624-2019", "framework_version": "gr-law-4624-2019 national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the HDPA (Hellenic Data Protection Authority)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "haarf", "display_name": "HAARF — Healthcare AI Agents Regulatory Framework", "framework_version": "1.0", "source": "medrxiv 10.64898/2026.04.09.26350519v1", "license": "CC-BY-SA-4.0", "total": 279, "declared_total": 279, "coverage_pct": 97, "status_counts": { "enforced": 262, "designed": 15, "advisory": 0, "deferred": 2, "out-of-scope": 0 }, "by_category": { "C1 Unified Risk & Lifecycle Assessment": { "total": 30, "enforced": 29, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 98 }, "C2 Model Passport & Provenance": { "total": 34, "enforced": 34, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "C3 Cybersecurity for AI Agents": { "total": 35, "enforced": 33, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 97 }, "C4 Human Oversight & Accountability": { "total": 38, "enforced": 33, "designed": 4, "advisory": 0, "deferred": 1, "out-of-scope": 0, "coverage_pct": 92 }, "C5 Agent Registration & Identity": { "total": 30, "enforced": 26, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 93 }, "C6 Autonomy Governance": { "total": 35, "enforced": 35, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "C7 Bias, Equity & Fairness": { "total": 35, "enforced": 32, "designed": 2, "advisory": 0, "deferred": 1, "out-of-scope": 0, "coverage_pct": 94 }, "C8 Tool Use & Integration Security": { "total": 42, "enforced": 40, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 98 } }, "requirements": [ { "requirement_id": "haarf.C1.1.1", "title": "Three-factor risk assessment (autonomy × consequence × population)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "agents": [ "internal" ], "workers": [ "kye-risk-agent" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk score combines autonomy level, blast radius, and affected population — emitted per decision via Decision Map™." }, { "requirement_id": "haarf.C1.1.2", "title": "Autonomy-level classification (advisory → fully autonomous)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Adoption Stage ladder: observe → evidence → alert → guard → enforce → expand." }, { "requirement_id": "haarf.C1.1.3", "title": "Consequence-tier classification (reversible → irreversible / safety-critical)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.decision.commit_boundary.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence Mapping Engine classifies decisions by reversibility before commit." }, { "requirement_id": "haarf.C1.1.4", "title": "Population-impact classification (single patient → cohort → population)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Population-impact classifier wired through risk-engine; sector pack supplies cohort dictionaries." }, { "requirement_id": "haarf.C1.1.5", "title": "Pre-deployment risk register entry", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Every new agent/model registered in the Risk Register before deploy." }, { "requirement_id": "haarf.C1.1.6", "title": "Lifecycle stage gating (design → train → validate → deploy → monitor → retire)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.assurance.review_cycle.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Lifecycle stages enforced by State Engine; advance only on attestation." }, { "requirement_id": "haarf.C1.1.7", "title": "Pre-deployment threat model", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.threat_model.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Threat model required before promotion past 'designed' status." }, { "requirement_id": "haarf.C1.1.8", "title": "Independent risk review", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.internal_audit.v1", "kye.assurance.audit_pilot.v1" ], "agents": [ "internal" ], "workers": [ "kye-audit-pilot-agent" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot™ performs delegated independent review." }, { "requirement_id": "haarf.C1.1.9", "title": "Periodic risk re-assessment (≤90 days)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H", "kye_enforcement": { "schemas": [ "kye.compliance.attestation.v1" ], "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "≤90-day attestation cadence baked into Compliance Card refresh." }, { "requirement_id": "haarf.C1.1.10", "title": "Risk re-assessment on material change", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift Detector re-fires risk-assessment on material drift." }, { "requirement_id": "haarf.C1.1.11", "title": "Risk-tiered approval modes (auto / single / two-person / two-person+legal)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "GovernedUI™ approval modes locked at §36." }, { "requirement_id": "haarf.C1.1.12", "title": "Risk-tiered authority scope minimisation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.scope.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Gate enforces minimum-necessary scope per purpose." }, { "requirement_id": "haarf.C1.1.13", "title": "Risk register WORM persistence", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H", "kye_enforcement": { "schemas": [ "kye.audit.event.v1" ], "audit_events": [ "kye.assurance.risk_register.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Risk Register entries land in WORM audit chain." }, { "requirement_id": "haarf.C1.1.14", "title": "Pre-clinical-deployment red-team", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.threat_model.v1" ], "engines": [ "internal", "internal" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Scenario Engine plus Silent Compromise agent execute red-team battery; runtime emission still in build." }, { "requirement_id": "haarf.C1.1.15", "title": "Sub-population fairness pre-check", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Sub-population analysis wired to analytics plane; sector-specific fairness deltas in roadmap." }, { "requirement_id": "haarf.C1.1.16", "title": "Risk classification for AI-as-medical-device class", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk-class dictionary maps to UK MDR 2002 class boundaries." }, { "requirement_id": "haarf.C1.1.17", "title": "Lifecycle stage transition evidence pack", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Evidence Pack assembled and sealed at each stage transition." }, { "requirement_id": "haarf.C1.1.18", "title": "Decommissioning plan attached to every agent", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_register.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ], "registries": [ "internal" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-30", "notes": "Decommissioning plan field on agent manifest; reconciler not yet authored. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "haarf.C1.1.19", "title": "Retirement triggers (drift / failure / breach / regulatory)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.resilience.intent_drift.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-revocation-cascade" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift-triggered authority revocation cascades through revocation-cascade engine." }, { "requirement_id": "haarf.C1.1.20", "title": "Risk register publication to regulators on demand", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L2", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.report.quarterly_drift.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-oscal-exporter" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-30", "notes": "OSCAL exporter emits risk register on demand; regulator portal binding still in build." }, { "requirement_id": "haarf.C1.1.21", "title": "Risk-acceptance sign-off by accountable executive", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.management_review.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Two-person approval mode with explicit role binding." }, { "requirement_id": "haarf.C1.1.22", "title": "Risk-budget envelope per agent", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Risk-budget envelope per agent encoded in Authority Grant; runtime metering still in build." }, { "requirement_id": "haarf.C1.1.23", "title": "Lifecycle audit trail end-to-end", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "schemas": [ "kye.audit.event.v1" ], "audit_events": [ "kye.audit.event.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Every lifecycle event lands in the WORM audit chain." }, { "requirement_id": "haarf.C1.1.24", "title": "Risk-class governance differential (low vs high)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "workers": [ "kye-rules-gateway-worker" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "Rules Gateway routes by risk-class; differential policies enforced." }, { "requirement_id": "haarf.C1.1.25", "title": "Risk-disclosure to clinical end-user", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.consent.receipt.v1", "kye.consent.acceptance.v1" ], "engines": [ "internal" ], "comms_templates": [ "expert-review.brief.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:comms-manifest-alive" }, "notes": "Disclosure template for clinical end-user wired through Comms Engine." }, { "requirement_id": "haarf.C1.1.26", "title": "Population-level risk reporting cadence", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L2", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.report.quarterly_drift.v1", "kye.report.monthly_decision_summary.v1" ], "engines": [ "internal" ], "workers": [ "kye-reporting-worker" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Monthly + quarterly drift reports emitted by Reporting Engine." }, { "requirement_id": "haarf.C1.1.27", "title": "Risk-assessment replay-proof", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.replay_proof.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "workers": [ "kye-replay-proof-generator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Replay-Proof generator emits detached signatures; verifier path P4.1 in-flight." }, { "requirement_id": "haarf.C1.1.28", "title": "Sector-specific risk extensions (healthcare)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:profile-discipline" }, "notes": "Healthcare sector pack carries clinical-specific risk extensions." }, { "requirement_id": "haarf.C1.1.29", "title": "Risk re-classification on safety-critical update", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Safety-critical updates re-trigger risk-class evaluation through drift-detector." }, { "requirement_id": "haarf.C1.1.30", "title": "Cross-tenant risk-class isolation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C1 Unified Risk & Lifecycle Assessment", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Tenant isolation enforced at Gateway + Authority Gate." }, { "requirement_id": "haarf.C2.2.1", "title": "Unique model identifier (kye:model:<...>)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Models registered in Directory with KYE URN scheme." }, { "requirement_id": "haarf.C2.2.2", "title": "Model passport — declared capabilities, scope, intended use", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "GovernedUI™ Entity Passport renders the live model passport." }, { "requirement_id": "haarf.C2.2.3", "title": "Training-data provenance disclosure", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Training-data provenance schema declared; runtime ingestion pipeline being wired." }, { "requirement_id": "haarf.C2.2.4", "title": "Training-data licence audit", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Licence-audit schema locked; manual review process today." }, { "requirement_id": "haarf.C2.2.5", "title": "Training-data deduplication & contamination check", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Deduplication step in train pipeline; deterministic-trace not yet emitted." }, { "requirement_id": "haarf.C2.2.6", "title": "Model version pinning", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Model version captured in every Decision Map." }, { "requirement_id": "haarf.C2.2.7", "title": "Model artefact integrity hash", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.signature.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Model artefact hash signed via key-custody; included in Evidence Pack." }, { "requirement_id": "haarf.C2.2.8", "title": "Model card published", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Model card surfaced via Entity Passport module." }, { "requirement_id": "haarf.C2.2.9", "title": "Capability declaration (read / write / autonomous-action)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Capabilities declared on Authority Grant; minimum-necessary enforced." }, { "requirement_id": "haarf.C2.2.10", "title": "Limitations disclosure", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Known-limitations field on model passport." }, { "requirement_id": "haarf.C2.2.11", "title": "Intended-population declaration", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Intended population captured in model passport; sector pack supplies cohort defs." }, { "requirement_id": "haarf.C2.2.12", "title": "Off-label / out-of-scope detection", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.resilience.intent_drift.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Meaning-continuity evaluator detects off-label use; alert path P4.2." }, { "requirement_id": "haarf.C2.2.13", "title": "Model provenance chain (training → fine-tune → deploy)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Provenance steps appended to WORM audit chain." }, { "requirement_id": "haarf.C2.2.14", "title": "Model passport WORM persistence", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "schemas": [ "kye.audit.event.v1" ], "audit_events": [ "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Passport changes append-only in audit chain." }, { "requirement_id": "haarf.C2.2.15", "title": "Model validation reports linked", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "workers": [ "kye-conformance-runner" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Validation reports emitted by Conformance Runner." }, { "requirement_id": "haarf.C2.2.16", "title": "Pre-deployment validation evidence pack", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Validation pack assembled and sealed before deploy." }, { "requirement_id": "haarf.C2.2.17", "title": "External audit hook (Approved Body, CE, third-party)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.assurance.audit_replay_report.v1" ], "agents": [ "internal" ], "workers": [ "kye-audit-pilot-agent" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot™ surface designed for external Approved Body access." }, { "requirement_id": "haarf.C2.2.18", "title": "Model passport machine-readable export (OSCAL / SCAP / OpenC2)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "workers": [ "kye-oscal-exporter" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-30", "notes": "OSCAL exporter wired; SCAP/OpenC2 in roadmap." }, { "requirement_id": "haarf.C2.2.19", "title": "Pre-training risk classification", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk class fixed before training begins." }, { "requirement_id": "haarf.C2.2.20", "title": "Training pipeline reproducibility", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "workers": [ "kye-replay-proof-generator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Training reproducibility evidence emitted by replay-proof generator (in build)." }, { "requirement_id": "haarf.C2.2.21", "title": "Model dataset card published", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Dataset card field on passport; population not yet automated." }, { "requirement_id": "haarf.C2.2.22", "title": "Model deprecation lifecycle", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-30", "notes": "Deprecation path declared on adoption-stage ladder; automated lockdown in build." }, { "requirement_id": "haarf.C2.2.23", "title": "Model recall mechanism", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-revocation-cascade" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Revocation Cascade pulls grants on model recall." }, { "requirement_id": "haarf.C2.2.24", "title": "Patch / re-training change-control", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.assurance.management_review.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Approval Brief surface for any model change." }, { "requirement_id": "haarf.C2.2.25", "title": "Fine-tuning provenance disclosure", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Fine-tune events appended to WORM chain." }, { "requirement_id": "haarf.C2.2.26", "title": "Foundation-model parent declaration", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Parent foundation model captured in passport." }, { "requirement_id": "haarf.C2.2.27", "title": "Model passport signing", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.signature.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Passport signed via key-custody." }, { "requirement_id": "haarf.C2.2.28", "title": "Model passport public verifier", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.replay_proof.v1" ], "engines": [ "internal" ], "workers": [ "kye-replay-proof-generator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Replay-Proof™ public verifier (P4.1 in-flight)." }, { "requirement_id": "haarf.C2.2.29", "title": "Cross-model lineage graph", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Lineage graph rendered in Directory; cross-tenant linkage in design." }, { "requirement_id": "haarf.C2.2.30", "title": "Sector-specific model passport extensions", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:profile-discipline" }, "notes": "Healthcare sector pack carries clinical model-passport extensions." }, { "requirement_id": "haarf.C2.2.31", "title": "Approved-Body assessment evidence linkage", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.evidence.pack.v1" ], "agents": [ "internal" ], "workers": [ "kye-audit-pilot-agent" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-30", "notes": "Approved-Body evidence pack — MHRA-MDR-2002 alignment, in build." }, { "requirement_id": "haarf.C2.2.32", "title": "Substantial-change re-assessment trigger", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Substantial change automatically re-fires risk + validation." }, { "requirement_id": "haarf.C2.2.33", "title": "Model passport history (append-only)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Every passport mutation lands in WORM chain." }, { "requirement_id": "haarf.C2.2.34", "title": "Inference-time model passport reference", "framework": "haarf", "framework_version": "1.0", "framework_category": "C2 Model Passport & Provenance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map references model passport at inference." }, { "requirement_id": "haarf.C3.3.1", "title": "TLS-everywhere on agent traffic", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-gateway" ], "probes": [ "tls-valid" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "probe": "tls-valid" }, "notes": "Edge TLS enforced; liveness probe verifies." }, { "requirement_id": "haarf.C3.3.2", "title": "Authentication on every privileged action", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.authority.decision.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "PDP enforces auth on every privileged call." }, { "requirement_id": "haarf.C3.3.3", "title": "Step-up authentication for high-risk actions", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "WebAuthn step-up wired to approval mode." }, { "requirement_id": "haarf.C3.3.4", "title": "Secret rotation cadence", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Key-custody rotation tied to attestation cadence." }, { "requirement_id": "haarf.C3.3.5", "title": "Least-privilege scope per agent", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.scope.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Gate enforces least-privilege scopes." }, { "requirement_id": "haarf.C3.3.6", "title": "Prompt-injection defence", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.intent_drift.v1", "kye.agency_drift.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Meaning-continuity + drift catches injection-induced intent drift; runtime emission in build." }, { "requirement_id": "haarf.C3.3.7", "title": "Output sanitisation / filtering", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.synthetic_content_label.v1", "kye.decision.record.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/37-EVENT-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Synthetic-content label attached to model outputs." }, { "requirement_id": "haarf.C3.3.8", "title": "Adversarial-prompt logging", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Adversarial prompts append-only in WORM chain." }, { "requirement_id": "haarf.C3.3.9", "title": "Rate-limiting per actor", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-rate-limiter" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "probe": "worker-fleet-health" }, "notes": "Rate-limiter worker enforces per-actor budgets." }, { "requirement_id": "haarf.C3.3.10", "title": "Anomaly detection on agent behaviour", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agency_drift.event.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident-detector watches behavioural anomalies." }, { "requirement_id": "haarf.C3.3.11", "title": "Incident response runbook", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-30", "notes": "Incident-detector runbook wired to ops-agent; full runbook documentation in build." }, { "requirement_id": "haarf.C3.3.12", "title": "Audit logs encrypted at rest", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Encrypted via key-custody at the storage layer." }, { "requirement_id": "haarf.C3.3.13", "title": "Audit logs tamper-evident", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "schemas": [ "kye.audit.event.v1" ], "audit_events": [ "kye.audit.event.appended.v1", "kye.audit.integrity_check.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Hash-chained, integrity-checked, WORM." }, { "requirement_id": "haarf.C3.3.14", "title": "Tool-call sandboxing", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PEP-Express isolates tool calls." }, { "requirement_id": "haarf.C3.3.15", "title": "Network egress controls", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal", "internal" ], "workers": [ "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "probe": "worker-fleet-health" }, "notes": "Edge Arbiter governs all egress." }, { "requirement_id": "haarf.C3.3.16", "title": "Supply-chain verification (SBOM, signature)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.signature.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "SBOM emitted by build; signature verification in build." }, { "requirement_id": "haarf.C3.3.17", "title": "Vulnerability scanning", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "workers": [ "kye-self-audit-daemon" ], "constitution_refs": [ "constitution/44-LIVENESS-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "probe": "security-headers" }, "notes": "Self-audit daemon runs vulnerability checks." }, { "requirement_id": "haarf.C3.3.18", "title": "Penetration test cadence", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.threat_model.v1" ], "engines": [ "internal" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Pen-test scenario via Silent Compromise agent; cadence schedule in build." }, { "requirement_id": "haarf.C3.3.19", "title": "Break-glass procedure", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.break_glass.event.v1", "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Break-glass event family emitted on emergency override." }, { "requirement_id": "haarf.C3.3.20", "title": "Kill-switch per agent", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agent.killed.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "workers": [ "kye-revocation-cascade" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Revocation Cascade implements kill-switch." }, { "requirement_id": "haarf.C3.3.21", "title": "DDoS protection", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-gateway" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "probe": "apex-alive" }, "notes": "Cloudflare DDoS at the edge." }, { "requirement_id": "haarf.C3.3.22", "title": "Logging streamed to SIEM", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-siem-export" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SIEM exporter pushes log stream per §35." }, { "requirement_id": "haarf.C3.3.23", "title": "Crypto-agility (algorithm rotation)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Crypto-agility supported via key-custody rotation; PQC migration roadmap. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "haarf.C3.3.24", "title": "BYOK / HYOK support", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "BYOK module live; HYOK in design." }, { "requirement_id": "haarf.C3.3.25", "title": "Sensitive-data classification", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.audit_event.v1" ], "engines": [ "internal" ], "agents": [ "internal" ], "dictionaries": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Classification Engine + dictionaries." }, { "requirement_id": "haarf.C3.3.26", "title": "Personal-data minimisation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.scope.v1", "kye.purpose.restrictions.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission enforces data minimisation." }, { "requirement_id": "haarf.C3.3.27", "title": "Data-residency controls", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "probe": "worker-fleet-health" }, "notes": "Data Residency Router enforces region pinning." }, { "requirement_id": "haarf.C3.3.28", "title": "Offline-evidence handling", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.audit_event.v1" ], "engines": [ "internal" ], "workers": [ "kye-offline-evidence-log" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Offline Evidence Log handles air-gapped sites." }, { "requirement_id": "haarf.C3.3.29", "title": "Tenant isolation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Tenant-scoped Authority Grants." }, { "requirement_id": "haarf.C3.3.30", "title": "Continuous control monitoring", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.signal.compliance_card.refreshed.v1" ], "workers": [ "kye-compliance-card-refresh" ], "reconcilers": [ "pages-bindings-alive", "worker-deploy-alive" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Card refresh continuous; reconcilers enforce alive-ness." }, { "requirement_id": "haarf.C3.3.31", "title": "Backup + restore drill", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Audit archiver does daily backup; restore drill cadence in roadmap." }, { "requirement_id": "haarf.C3.3.32", "title": "Disaster-recovery RTO/RPO targets", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "RTO/RPO declared in runbook; chaos-drill cadence in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "haarf.C3.3.33", "title": "Subprocessor inventory", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "schemas": [ "kye.subprocessor.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Subprocessor schema + registry." }, { "requirement_id": "haarf.C3.3.34", "title": "Security-headers verification", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-gateway" ], "probes": [ "security-headers" ], "constitution_refs": [ "constitution/44-LIVENESS-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "probe": "security-headers" }, "notes": "Probe verifies CSP / HSTS / etc. on every surface." }, { "requirement_id": "haarf.C3.3.35", "title": "Insider-threat detection (silent compromise)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C3 Cybersecurity for AI Agents", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agency_drift.event.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Silent-compromise agent detects insider drift; emission live, full alerting in build." }, { "requirement_id": "haarf.C4.4.1", "title": "Human-in-the-loop for high-risk decisions", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "C/D", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1", "kye.decision.commit_boundary.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Approval Brief Engine + GovernedUI™ approval module." }, { "requirement_id": "haarf.C4.4.2", "title": "Two-person sign-off on irreversible action", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.management_review.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Two-person approval mode locked at §36." }, { "requirement_id": "haarf.C4.4.3", "title": "Clinician override mechanism", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1", "kye.break_glass.event.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.critical_point_review.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Critical Point Review module captures clinician overrides." }, { "requirement_id": "haarf.C4.4.4", "title": "Override audit + reason capture", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Override reason captured + WORM-appended." }, { "requirement_id": "haarf.C4.4.5", "title": "Accountability chain (who-approved-what)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.assurance.management_review.v1", "kye.authority.delegation.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Authority Delegation chain captured end-to-end." }, { "requirement_id": "haarf.C4.4.6", "title": "Role-based access control", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Engine RBAC." }, { "requirement_id": "haarf.C4.4.7", "title": "Purpose-bounded data processing", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.purpose.admission.v1", "kye.purpose.request.v1" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Purpose Permission™ — issue / admit / revoke." }, { "requirement_id": "haarf.C4.4.8", "title": "Decision Map visible to authorised reviewer", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "V/C", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Evidence Timeline module renders Decision Map per call." }, { "requirement_id": "haarf.C4.4.9", "title": "Evidence Pack downloadable on demand", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Evidence Pack assembled on request." }, { "requirement_id": "haarf.C4.4.10", "title": "Replay-Proof verification (public-key only)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.replay_proof.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "workers": [ "kye-replay-proof-generator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Replay-Proof verifier path P4.1 in-flight." }, { "requirement_id": "haarf.C4.4.11", "title": "User-facing AI disclosure", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.consent.receipt.v1" ], "engines": [ "internal" ], "comms_templates": [ "expert-review.brief.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:comms-manifest-alive" }, "notes": "Disclosure surfaced via Comms Engine templates." }, { "requirement_id": "haarf.C4.4.12", "title": "Patient consent capture", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.consent.receipt.v1" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Consent capture schema declared in sector pack; runtime emission in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "haarf.C4.4.13", "title": "Clinician training attestation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "agents": [ "internal" ], "workers": [ "kye-training-agent" ], "constitution_refs": [ "constitution/10-PARTNER.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Training Agent records attestations." }, { "requirement_id": "haarf.C4.4.14", "title": "Continuous-clinician feedback loop", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L2", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1", "kye.resilience.loop_iteration.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Resilience Loop captures clinician feedback; UI in build." }, { "requirement_id": "haarf.C4.4.15", "title": "Escalation path for disputed decisions", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1", "kye.assurance.management_review.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.critical_point_review.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Critical Point Review module is the escalation path." }, { "requirement_id": "haarf.C4.4.16", "title": "Patient-rights notice", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.consent.receipt.v1" ], "comms_templates": [ "audit-pilot.applicant-confirmation.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Patient-rights template adapted from audit-pilot acknowledgement; clinical variant in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "haarf.C4.4.17", "title": "DSAR (data-subject-access) handling", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H", "kye_enforcement": { "agents": [ "internal", "internal" ], "workers": [ "kye-dsar-agent", "kye-dsar-evidence-agent" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "DSAR Agent + DSAR Evidence Agent." }, { "requirement_id": "haarf.C4.4.18", "title": "Right to human review", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1", "kye.assurance.management_review.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.critical_point_review.v1", "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Critical Point Review module + Action Approval module." }, { "requirement_id": "haarf.C4.4.19", "title": "Right to explanation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map = the explanation; Evidence Pack delivers it." }, { "requirement_id": "haarf.C4.4.20", "title": "Right to redress", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L2", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1" ], "governedui_modules": [ "kye.governedui.module.critical_point_review.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Redress path designed; full process documentation in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "haarf.C4.4.21", "title": "Approval queue dashboard", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H", "kye_enforcement": { "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Approval Queue module live." }, { "requirement_id": "haarf.C4.4.22", "title": "Action-approval modes per risk-tier", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Approval modes: none / single / two_person / two_person_with_legal / delegated / auto." }, { "requirement_id": "haarf.C4.4.23", "title": "Delegated authority chain", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.delegation.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Delegation chained + audited." }, { "requirement_id": "haarf.C4.4.24", "title": "Authority Gap detection", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.authority.gap.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Gap Detector engine emits gap events." }, { "requirement_id": "haarf.C4.4.25", "title": "Authority Proof Bundle", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L2", "primary_role": "V", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-authority-proof-bundle-worker" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authority Proof Bundle worker." }, { "requirement_id": "haarf.C4.4.26", "title": "Authority Revocation Cascade", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-revocation-cascade", "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Revocation Cascade live." }, { "requirement_id": "haarf.C4.4.27", "title": "Audit-pilot delegated review", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1" ], "agents": [ "internal" ], "workers": [ "kye-audit-pilot-agent" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot™ agent." }, { "requirement_id": "haarf.C4.4.28", "title": "Per-decision liability assignment", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1", "kye.authority.delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map captures responsible-party chain." }, { "requirement_id": "haarf.C4.4.29", "title": "Conflict-of-interest disclosure", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L2", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.management_review.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "COI disclosure on Management Review surface; structured capture in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "haarf.C4.4.30", "title": "Continuous accountability monitoring", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.signal.compliance_card.refreshed.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Card refresh." }, { "requirement_id": "haarf.C4.4.31", "title": "Documented chain-of-command", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority delegation tree." }, { "requirement_id": "haarf.C4.4.32", "title": "Liability insurance evidence", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L2", "primary_role": "H", "kye_enforcement": { "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "deferred", "decay_deadline": "2027-03-31", "notes": "Liability-insurance evidence schema not yet declared; tracked for V1.5." }, { "requirement_id": "haarf.C4.4.33", "title": "Patient-safety officer sign-off", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.management_review.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Two-person approval mode supports clinical-safety officer role." }, { "requirement_id": "haarf.C4.4.34", "title": "Regulator notification on serious incident", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "workers": [ "kye-webhook-dispatcher" ], "comms_templates": [ "audit-pilot.admin-alert.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-30", "notes": "Webhook-dispatcher path to regulator; specific MHRA endpoint binding in build." }, { "requirement_id": "haarf.C4.4.35", "title": "Investigator support evidence pack", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Evidence Pack on demand for investigators." }, { "requirement_id": "haarf.C4.4.36", "title": "Healthcare-org accountable executive register", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.management_review.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Entity Passport carries accountable-executive field." }, { "requirement_id": "haarf.C4.4.37", "title": "Third-party verifier read-access", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L2", "primary_role": "V", "kye_enforcement": { "agents": [ "internal" ], "workers": [ "kye-audit-pilot-agent" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot™ delegated read." }, { "requirement_id": "haarf.C4.4.38", "title": "Public attestation page", "framework": "haarf", "framework_version": "1.0", "framework_category": "C4 Human Oversight & Accountability", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.report.annual_conformance_attestation.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Public compliance card + annual conformance attestation." }, { "requirement_id": "haarf.C5.5.1", "title": "Agent unique identity (kye:agent:<...>)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ], "registries": [ "internal" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:manifest-canonical" }, "notes": "Agent identity in canonical agent manifest." }, { "requirement_id": "haarf.C5.5.2", "title": "Agent passport published", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Entity Passport renders agent passport." }, { "requirement_id": "haarf.C5.5.3", "title": "Agent class declaration (advisory / autonomous)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Class declared on adoption stage + authority grant." }, { "requirement_id": "haarf.C5.5.4", "title": "Agent scope binding to authority", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.scope.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Grant binds scope." }, { "requirement_id": "haarf.C5.5.5", "title": "Agent registration in central directory", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "reconcilers": [ "agent-manifest-alive" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ], "registries": [ "internal" ] }, "coverage_status": "enforced", "verification": { "reconciler": "agent-manifest-alive" }, "notes": "Agent Manifest + alive reconciler." }, { "requirement_id": "haarf.C5.5.6", "title": "Agent passport WORM persistence", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "schemas": [ "kye.audit.event.v1" ], "audit_events": [ "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Passport mutations append-only." }, { "requirement_id": "haarf.C5.5.7", "title": "Agent metadata: capability + risk + autonomy", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Captured at registration." }, { "requirement_id": "haarf.C5.5.8", "title": "Agent owner / responsible party declared", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.management_review.v1", "kye.authority.delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Owner field on agent manifest." }, { "requirement_id": "haarf.C5.5.9", "title": "Agent lifecycle stage tracking", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "State Engine tracks lifecycle stage." }, { "requirement_id": "haarf.C5.5.10", "title": "Agent retirement marker", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agent.killed.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "workers": [ "kye-revocation-cascade" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Revocation Cascade marks retirement." }, { "requirement_id": "haarf.C5.5.11", "title": "Agent re-registration on substantial change", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift-detector triggers re-registration." }, { "requirement_id": "haarf.C5.5.12", "title": "Agent inventory machine-readable", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "reconcilers": [ "agent-manifest-alive" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ], "registries": [ "internal" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:manifest-canonical" }, "notes": "Agent manifest is canonical." }, { "requirement_id": "haarf.C5.5.13", "title": "Agent inventory regulator export", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L2", "primary_role": "H", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-oscal-exporter" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "OSCAL exporter ships agent inventory; regulator portal binding in build. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "haarf.C5.5.14", "title": "Authority Grant per agent", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Every agent has explicit Authority Grant." }, { "requirement_id": "haarf.C5.5.15", "title": "Authority Grant revocation cascade", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-revocation-cascade", "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Revoke cascades through all delegated grants." }, { "requirement_id": "haarf.C5.5.16", "title": "Agent purpose binding", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.purpose.binding.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Purpose Permission bound per agent." }, { "requirement_id": "haarf.C5.5.17", "title": "Tenant-scoped agent registration", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Tenant isolation enforced at registration." }, { "requirement_id": "haarf.C5.5.18", "title": "Agent runtime attestation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.agent.run.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Card refresh attests agent runtime." }, { "requirement_id": "haarf.C5.5.19", "title": "Agent identity signing", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.signature.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Agent identity signed via key-custody." }, { "requirement_id": "haarf.C5.5.20", "title": "Agent capability manifest", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Capability dictionary + Authority Grant." }, { "requirement_id": "haarf.C5.5.21", "title": "Cross-agent dependency graph", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L2", "primary_role": "D", "kye_enforcement": { "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Directory builds dependency graph; full visualisation in build. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "haarf.C5.5.22", "title": "Agent versioning", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Version pinned per agent at registration." }, { "requirement_id": "haarf.C5.5.23", "title": "Agent deployment audit", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "reconcilers": [ "worker-deploy-alive" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "reconciler": "worker-deploy-alive" }, "notes": "Deploys append to WORM chain + reconciler verifies." }, { "requirement_id": "haarf.C5.5.24", "title": "Agent retirement audit", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agent.killed.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Retirement recorded in WORM chain." }, { "requirement_id": "haarf.C5.5.25", "title": "Agent reputation score", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Reputation score field on passport; scoring pipeline in build." }, { "requirement_id": "haarf.C5.5.26", "title": "Agent compliance card per agent", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.compliance_card.v1", "kye.signal.compliance_card.refreshed.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Card per agent." }, { "requirement_id": "haarf.C5.5.27", "title": "Public discoverability (where required)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L2", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Public discoverability gated by tenant scope; healthcare-specific portal in build. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "haarf.C5.5.28", "title": "Cross-jurisdiction registration support", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L2", "primary_role": "H", "kye_enforcement": { "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2027-03-31", "notes": "Jurisdiction tagging via data-residency router; cross-jurisdiction registry V1.5. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "haarf.C5.5.29", "title": "Agent passport API", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-gateway" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Agent passport accessible via gateway." }, { "requirement_id": "haarf.C5.5.30", "title": "Onboarding agent", "framework": "haarf", "framework_version": "1.0", "framework_category": "C5 Agent Registration & Identity", "level": "L1", "primary_role": "D", "kye_enforcement": { "agents": [ "internal" ], "workers": [ "kye-onboarding-agent" ], "comms_templates": [ "onboarding-agent.pilot-approved.v1", "onboarding-agent.commercial-menu.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Onboarding Agent + dedicated comms templates." }, { "requirement_id": "haarf.C6.6.1", "title": "Autonomy ladder (advisory / supervised / autonomous / fully autonomous)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Adoption Stage ladder." }, { "requirement_id": "haarf.C6.6.2", "title": "Commit-boundary control", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision.commit_boundary.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Commit Boundary in Decision Engine." }, { "requirement_id": "haarf.C6.6.3", "title": "Shadow Mode (observe-without-effect)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision.shadow_evaluation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Shadow Mode in Decision Engine." }, { "requirement_id": "haarf.C6.6.4", "title": "Graduated autonomy progression", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Adoption Stage → State Engine ↔ Authority Engine." }, { "requirement_id": "haarf.C6.6.5", "title": "Autonomy rollback mechanism", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-revocation-cascade" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Revocation Cascade pulls grant on rollback." }, { "requirement_id": "haarf.C6.6.6", "title": "Automated drift detection", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.resilience.intent_drift.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift Detector." }, { "requirement_id": "haarf.C6.6.7", "title": "Agency-drift event", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "schemas": [ "kye.agency_drift.event.v1" ], "audit_events": [ "kye.agency_drift.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Agency Drift Event schema + emission." }, { "requirement_id": "haarf.C6.6.8", "title": "Authority gap detection", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.authority.gap.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Gap Detector engine." }, { "requirement_id": "haarf.C6.6.9", "title": "Guard recommendation engine", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.operating_model.guard_recommendation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Guard Recommendation engine emits guard suggestions." }, { "requirement_id": "haarf.C6.6.10", "title": "Resilience Loop (detect → revoke → re-grant → replay → improve)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.loop.v1", "kye.resilience.loop_iteration.v1", "kye.resilience.improvement_record.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Resilience Loop end-to-end." }, { "requirement_id": "haarf.C6.6.11", "title": "Authority scope minimisation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.scope.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Minimum-necessary scope enforced." }, { "requirement_id": "haarf.C6.6.12", "title": "Time-bounded authority", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Grants expire; re-attested at cadence." }, { "requirement_id": "haarf.C6.6.13", "title": "Action-budget envelope", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.meter.decision.v1" ], "engines": [ "internal" ], "workers": [ "kye-rate-limiter" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Rate-limiter implements action budget." }, { "requirement_id": "haarf.C6.6.14", "title": "Cost-budget envelope", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.meter.decision.v1" ], "engines": [ "internal" ], "workers": [ "kye-stripe-meter" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Stripe Meter tracks cost." }, { "requirement_id": "haarf.C6.6.15", "title": "Decision-budget envelope", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.meter.decision.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Rate-limiter + meter for decision budget." }, { "requirement_id": "haarf.C6.6.16", "title": "Anomaly-triggered authority freeze", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agency_drift.event.v1", "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-revocation-cascade" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift → revocation freeze." }, { "requirement_id": "haarf.C6.6.17", "title": "Periodic authority re-confirmation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.reconfirmation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Purpose Reconfirmation cadence." }, { "requirement_id": "haarf.C6.6.18", "title": "Multi-agent coordination governance", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agent.workflow.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Ecosystem Engine handles multi-agent flows; full coordination governance in build." }, { "requirement_id": "haarf.C6.6.19", "title": "Autonomy-aware authority decision", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.decision.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "PDP scores risk × autonomy." }, { "requirement_id": "haarf.C6.6.20", "title": "Resilience loop iteration metrics", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.loop_iteration.v1", "kye.resilience.measurement_record.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Loop iteration measurement record emitted." }, { "requirement_id": "haarf.C6.6.21", "title": "Improvement record per loop", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement.v1", "kye.resilience.improvement_record.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Improvement records persisted." }, { "requirement_id": "haarf.C6.6.22", "title": "Suppression-reason capture", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.suppression_reason.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Suppression Reason captured when shadow mode suppresses." }, { "requirement_id": "haarf.C6.6.23", "title": "Adoption-stage gating", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Stage transitions gated." }, { "requirement_id": "haarf.C6.6.24", "title": "Goal-coherence verification", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.intent_drift.v1" ], "engines": [ "internal" ], "workers": [ "kye-meaning-continuity-evaluator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Meaning Continuity Evaluator." }, { "requirement_id": "haarf.C6.6.25", "title": "Out-of-scope action blocking", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.gate.v1", "kye.signal.decision.denied.v1" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Out-of-scope actions denied at gate." }, { "requirement_id": "haarf.C6.6.26", "title": "Decision-map for every autonomous action", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map per autonomous action." }, { "requirement_id": "haarf.C6.6.27", "title": "Autonomy-class compliance attestation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.adoption_stage.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Card refresh." }, { "requirement_id": "haarf.C6.6.28", "title": "Reality-coupling check", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.intent_drift.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Reality-Coupling engine declared; runtime emission in build." }, { "requirement_id": "haarf.C6.6.29", "title": "Authority delegation transparency", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.authority.delegation.v1" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Delegation chain transparent." }, { "requirement_id": "haarf.C6.6.30", "title": "Self-governance attestation (governance-of-governance)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.constitution.compliance.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/45-SELF-DESCRIPTION-GATE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-description" }, "notes": "Constitution Engine attests self-governance; §45 Self-Description Gate." }, { "requirement_id": "haarf.C6.6.31", "title": "Authority audit replay", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-replay-orchestrator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Audit Replay Orchestrator; P4.1." }, { "requirement_id": "haarf.C6.6.32", "title": "Authority compliance attestation seat (per-seat)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/23-BILLING-METERING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Card per attestation seat." }, { "requirement_id": "haarf.C6.6.33", "title": "Per-decision risk score", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.decision.record.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk score per decision." }, { "requirement_id": "haarf.C6.6.34", "title": "Off-ladder action blocking", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.gate.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Adoption Stage gates authority decisions." }, { "requirement_id": "haarf.C6.6.35", "title": "Sector-specific autonomy policy", "framework": "haarf", "framework_version": "1.0", "framework_category": "C6 Autonomy Governance", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-rules-gateway-worker" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:profile-discipline" }, "notes": "Healthcare sector pack carries autonomy ceilings." }, { "requirement_id": "haarf.C7.7.1", "title": "Pre-deployment bias audit", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Bias-audit checklist via conformance runner; statistical-fairness suite in build." }, { "requirement_id": "haarf.C7.7.2", "title": "Sub-population performance metrics", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Sub-population metrics in healthcare sector pack; analytics-plane integration in build." }, { "requirement_id": "haarf.C7.7.3", "title": "Demographic-disparity monitoring", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.resilience.measurement_record.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Drift Detector flags demographic deltas; emission live, dashboard in build." }, { "requirement_id": "haarf.C7.7.4", "title": "Fairness threshold per use-case", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Fairness thresholds configurable via Rules Gateway." }, { "requirement_id": "haarf.C7.7.5", "title": "Fairness re-assessment cadence", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Card refresh fires fairness re-assessment." }, { "requirement_id": "haarf.C7.7.6", "title": "Bias-incident reporting", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector emits bias incidents." }, { "requirement_id": "haarf.C7.7.7", "title": "Equitable access (no demographic gating)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.authority.decision.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority decisions cannot rely on protected attributes — enforced via reason-codes dictionary." }, { "requirement_id": "haarf.C7.7.8", "title": "Protected-class detection", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.audit_event.v1" ], "engines": [ "internal" ], "agents": [ "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Classification Engine + PII dictionary." }, { "requirement_id": "haarf.C7.7.9", "title": "Counterfactual analysis", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Replay Engine supports counterfactual; UI in build." }, { "requirement_id": "haarf.C7.7.10", "title": "Bias-mitigation strategy declared", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Strategy field on model passport; structured capture in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "haarf.C7.7.11", "title": "Demographic-representative test set", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "workers": [ "kye-conformance-runner" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Conformance Runner exercises test sets; demographic stratification in build." }, { "requirement_id": "haarf.C7.7.12", "title": "Outcome-equity dashboard", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.report.quarterly_drift.v1", "kye.report.monthly_decision_summary.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Outcome-equity dashboard in build via reporting engine." }, { "requirement_id": "haarf.C7.7.13", "title": "Bias-incident response runbook", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-30", "notes": "Incident runbook authored; final automation in build." }, { "requirement_id": "haarf.C7.7.14", "title": "Public bias-transparency report", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.report.annual_conformance_attestation.v1" ], "engines": [ "internal" ], "workers": [ "kye-reporting-worker" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Annual conformance attestation includes fairness section." }, { "requirement_id": "haarf.C7.7.15", "title": "Patient-cohort impact assessment", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Patient-cohort impact via healthcare sector pack; runtime emission in build." }, { "requirement_id": "haarf.C7.7.16", "title": "Reason-code accountability", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1", "kye.signal.decision.denied.v1" ], "engines": [ "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Reason codes canonical dictionary." }, { "requirement_id": "haarf.C7.7.17", "title": "Equitable language in outputs", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.synthetic_content_label.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Synthetic content label includes language-equity flag; classifier in build." }, { "requirement_id": "haarf.C7.7.18", "title": "Translation / multilingual support attested", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "designed", "decay_deadline": "2027-03-31", "notes": "Multilingual support attestation in roadmap V1.5. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "haarf.C7.7.19", "title": "Accessibility (WCAG) attestation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/03-DESIGN-MIGRATION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Constitution §3 WCAG floor enforced via design-system gates." }, { "requirement_id": "haarf.C7.7.20", "title": "Patient-language disclosure", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.consent.receipt.v1" ], "engines": [ "internal" ], "comms_templates": [ "audit-pilot.applicant-confirmation.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Patient-language disclosure template in build." }, { "requirement_id": "haarf.C7.7.21", "title": "Healthcare equity sector overlay", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "H", "kye_enforcement": { "engines": [ "internal" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:profile-discipline" }, "notes": "Healthcare sector pack equity overlay." }, { "requirement_id": "haarf.C7.7.22", "title": "Fairness compliance attestation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Card refresh includes fairness controls." }, { "requirement_id": "haarf.C7.7.23", "title": "Bias-mitigation evidence pack", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Evidence Pack bundles mitigation evidence." }, { "requirement_id": "haarf.C7.7.24", "title": "Demographic-data-residency", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "probe": "worker-fleet-health" }, "notes": "Data Residency Router enforces residency." }, { "requirement_id": "haarf.C7.7.25", "title": "Demographic-data minimisation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.scope.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose-bounded data minimisation." }, { "requirement_id": "haarf.C7.7.26", "title": "Bias-drift detection", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.resilience.measurement_record.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift Detector watches bias drift." }, { "requirement_id": "haarf.C7.7.27", "title": "Bias-incident root-cause analysis", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1", "kye.resilience.improvement.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Audit Replay Orchestrator supports root-cause replay; full RCA tooling in build." }, { "requirement_id": "haarf.C7.7.28", "title": "Bias-mitigation update lifecycle", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Mitigation updates ratchet through stage gates." }, { "requirement_id": "haarf.C7.7.29", "title": "Equity-board oversight", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.management_review.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Equity board route via Action Approval module." }, { "requirement_id": "haarf.C7.7.30", "title": "Patient-feedback bias channel", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1" ], "engines": [ "internal" ], "comms_templates": [ "expert-review.brief.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Patient feedback flows through Comms Engine + Improvement Records." }, { "requirement_id": "haarf.C7.7.31", "title": "Fairness conformance run", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "workers": [ "kye-conformance-runner" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Conformance Runner executes fairness suite." }, { "requirement_id": "haarf.C7.7.32", "title": "Bias-class dictionary", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "dictionaries": [ "internal", "internal" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "PII + reason-codes dictionaries." }, { "requirement_id": "haarf.C7.7.33", "title": "Cross-jurisdiction equity comparison", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "H", "kye_enforcement": { "engines": [ "internal" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "deferred", "decay_deadline": "2027-06-30", "notes": "Cross-jurisdiction equity comparison V1.5+ feature." }, { "requirement_id": "haarf.C7.7.34", "title": "Clinical-effectiveness equity check", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L1", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.evidence.healthcare.cdss.v1" ], "engines": [ "internal" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Healthcare CDSS evidence schema supports equity check." }, { "requirement_id": "haarf.C7.7.35", "title": "Equity attestation to regulator", "framework": "haarf", "framework_version": "1.0", "framework_category": "C7 Bias, Equity & Fairness", "level": "L2", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.report.annual_conformance_attestation.v1", "kye.compliance.attestation.v1" ], "workers": [ "kye-compliance-card-refresh", "kye-reporting-worker" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Annual attestation includes equity controls." }, { "requirement_id": "haarf.C8.8.1", "title": "Tool registry (declared catalogue)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:manifest-canonical" }, "notes": "Tool dictionary + Entity engine." }, { "requirement_id": "haarf.C8.8.2", "title": "Tool authority binding", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Grant binds tools." }, { "requirement_id": "haarf.C8.8.3", "title": "Tool-call evidence emission", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/37-EVENT-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Tool-call event emitted per call." }, { "requirement_id": "haarf.C8.8.4", "title": "Tool-call decision-map inclusion", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Tool calls in Decision Map." }, { "requirement_id": "haarf.C8.8.5", "title": "MCP tool registration", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-mcp-server" ], "reconcilers": [ "mcp-tool-bijection" ], "constitution_refs": [ "constitution/15-MCP-AND-SDK.md" ] }, "coverage_status": "enforced", "verification": { "reconciler": "mcp-tool-bijection" }, "notes": "MCP Tool Bijection reconciler." }, { "requirement_id": "haarf.C8.8.6", "title": "MCP gateway", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-mcp-server" ], "constitution_refs": [ "constitution/15-MCP-AND-SDK.md" ] }, "coverage_status": "enforced", "verification": { "reconciler": "worker-deploy-alive" }, "notes": "KYE MCP Gateway™." }, { "requirement_id": "haarf.C8.8.7", "title": "Tool-call authentication", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.decision.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "PDP authenticates every tool call." }, { "requirement_id": "haarf.C8.8.8", "title": "Tool-call rate limiting", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-rate-limiter" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "probe": "worker-fleet-health" }, "notes": "Rate-limiter per actor + tool." }, { "requirement_id": "haarf.C8.8.9", "title": "Tool-call timeout / circuit-breaker", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-gateway" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "probe": "worker-fleet-health" }, "notes": "Gateway enforces timeouts." }, { "requirement_id": "haarf.C8.8.10", "title": "Tool error-handling", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/46-FLOW-CONTRACTS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:flow-contracts" }, "notes": "Flow contracts capture tool errors." }, { "requirement_id": "haarf.C8.8.11", "title": "Tool input validation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "probe": "worker-fleet-health" }, "notes": "Gateway + Rules Gateway validate inputs." }, { "requirement_id": "haarf.C8.8.12", "title": "Tool output validation / sanitisation", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.synthetic_content_label.v1", "kye.evidence.audit_event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/37-EVENT-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Output sanitisation + classification." }, { "requirement_id": "haarf.C8.8.13", "title": "Tool replay-proof", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.replay_proof.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "workers": [ "kye-replay-proof-generator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Replay-Proof for tool calls; P4.1 in-flight." }, { "requirement_id": "haarf.C8.8.14", "title": "External-API integration audit", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "External tool calls in WORM chain." }, { "requirement_id": "haarf.C8.8.15", "title": "API-key rotation enforced", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "schemas": [ "kye.admin.workflow.approved.v1" ], "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "API key rotation evented." }, { "requirement_id": "haarf.C8.8.16", "title": "Webhook subscriber active", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-webhook-dispatcher" ], "reconcilers": [ "webhook-subscriber-active" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "reconciler": "webhook-subscriber-active" }, "notes": "Webhook subscriber reconciler." }, { "requirement_id": "haarf.C8.8.17", "title": "OAuth scope enforcement", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "OAuth scopes mapped to Authority Grants." }, { "requirement_id": "haarf.C8.8.18", "title": "Tool-call sandboxing", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L2", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PEP-Express sandboxes." }, { "requirement_id": "haarf.C8.8.19", "title": "Tool-result caching governance", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L2", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-gateway" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Cache headers governed at gateway; cache-invalidation rules in build. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "haarf.C8.8.20", "title": "Tool secrets never logged", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-stubs" }, "notes": "Data-classification engine filters secrets before persistence." }, { "requirement_id": "haarf.C8.8.21", "title": "Tool-call audit chain", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Tool calls hash-chained." }, { "requirement_id": "haarf.C8.8.22", "title": "Tool integration risk-class", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk-classed at integration time." }, { "requirement_id": "haarf.C8.8.23", "title": "External-system access via gateway only", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "probe": "worker-fleet-health" }, "notes": "Edge Arbiter + Gateway are the only external paths." }, { "requirement_id": "haarf.C8.8.24", "title": "Connector certification", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L2", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "agents": [ "internal" ], "workers": [ "kye-connector-certifier", "kye-conformance-runner" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Connector Certifier worker." }, { "requirement_id": "haarf.C8.8.25", "title": "Subprocessor inventory", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "schemas": [ "kye.subprocessor.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Subprocessor schema." }, { "requirement_id": "haarf.C8.8.26", "title": "Tool-call evidence pack", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Evidence Pack bundles tool-call evidence." }, { "requirement_id": "haarf.C8.8.27", "title": "Streaming logs (tool calls)", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1" ], "engines": [ "internal" ], "workers": [ "kye-siem-export" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "§35 Streaming Logs Contract." }, { "requirement_id": "haarf.C8.8.28", "title": "Tool-call deterministic replay", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L2", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.replay.proof.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Replay Engine handles tool-call replay; divergence detection in build." }, { "requirement_id": "haarf.C8.8.29", "title": "Tool catalogue publish to MCP server", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-mcp-server" ], "reconcilers": [ "mcp-tool-bijection" ], "constitution_refs": [ "constitution/15-MCP-AND-SDK.md" ] }, "coverage_status": "enforced", "verification": { "reconciler": "mcp-tool-bijection" }, "notes": "MCP server reconciler." }, { "requirement_id": "haarf.C8.8.30", "title": "Tool deprecation lifecycle", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Tool deprecation through state engine." }, { "requirement_id": "haarf.C8.8.31", "title": "Cross-tool dependency map", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L2", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Directory builds dependency map. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "haarf.C8.8.32", "title": "Tool-error compensating action", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "schemas": [ "kye.lifecycle.compensating.v1" ], "audit_events": [ "kye.lifecycle.compensating.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/46-FLOW-CONTRACTS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:flow-contracts" }, "notes": "Compensating-action flow contracts." }, { "requirement_id": "haarf.C8.8.33", "title": "Synthetic-content labelling", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.synthetic_content_label.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/37-EVENT-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Synthetic-content label emitted." }, { "requirement_id": "haarf.C8.8.34", "title": "AI Call Ledger", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Per-call ledger." }, { "requirement_id": "haarf.C8.8.35", "title": "MCP-server liveness", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-mcp-server" ], "probes": [ "worker-fleet-health" ], "constitution_refs": [ "constitution/44-LIVENESS-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "probe": "worker-fleet-health" }, "notes": "Worker-fleet liveness probe." }, { "requirement_id": "haarf.C8.8.36", "title": "Tool-API contract testing", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L2", "primary_role": "V", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-conformance-runner" ], "reconcilers": [ "openapi-worker-routes" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "reconciler": "openapi-worker-routes" }, "notes": "OpenAPI-worker-routes reconciler." }, { "requirement_id": "haarf.C8.8.37", "title": "Tool-action commit-boundary check", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision.commit_boundary.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Commit Boundary checks before tool side-effect." }, { "requirement_id": "haarf.C8.8.38", "title": "Webhook delivery audit", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-webhook-dispatcher" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "reconciler": "webhook-subscriber-active" }, "notes": "Webhook delivery WORM chain." }, { "requirement_id": "haarf.C8.8.39", "title": "Tool-call denial reason", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.decision.denied.v1" ], "engines": [ "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Denial reason captured." }, { "requirement_id": "haarf.C8.8.40", "title": "Tool risk-class differential policy", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "workers": [ "kye-rules-gateway-worker" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "Rules Gateway applies differential policy." }, { "requirement_id": "haarf.C8.8.41", "title": "Cross-tool action authority check", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.gate.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Per-tool authority check." }, { "requirement_id": "haarf.C8.8.42", "title": "Sector-specific tool catalogue", "framework": "haarf", "framework_version": "1.0", "framework_category": "C8 Tool Use & Integration Security", "level": "L1", "primary_role": "D", "kye_enforcement": { "engines": [ "internal" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:profile-discipline" }, "notes": "Healthcare sector pack carries clinical tool catalogue." } ], "resolution_framing": null }, { "framework": "hu-info-act", "display_name": "Act CXII of 2011 on Informational Self-Determination and Freedom of Information (Info Act, GDPR-aligned)", "framework_version": "Act CXII of 2011", "source": "Act CXII of 2011 on Informational Self-Determination and Freedom of Information (Info Act, GDPR-aligned). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Hungary. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Hungary-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "hu-info-act.gdpr-transposition", "title": "Act CXII of 2011 on Informational Self-Determination and Freedom of Information (Info Act, GDPR-aligned) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Hungary national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "hu-info-act", "framework_version": "Act CXII of 2011 on Informational Self-Determination and Freedom of Information (Info Act, GDPR-aligned)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Act CXII of 2011 on Informational Self-Determination and Freedom of Information (Info Act, GDPR-aligned) is the national implementing/supplementing statute for the GDPR in Hungary. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔hungary. This registry maps only the Hungary-specific national deltas below." }, { "requirement_id": "hu-info-act.supervisory-authority", "title": "Cooperation with the national supervisory authority (the NAIH) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "hu-info-act", "framework_version": "hu-info-act national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the NAIH can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the NAIH remain tenant-side." }, { "requirement_id": "hu-info-act.breach-notification", "title": "Personal-data breach notification to the NAIH (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "hu-info-act", "framework_version": "hu-info-act national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the NAIH's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "ich-q1", "display_name": "ICH Q1 — Stability Testing", "framework_version": "ICH Q1A(R2) (2003)", "source": "The Stability Testing guideline (ICH Q1 — Stability Testing) defines the ICH Q-series quality expectations for stability data. KYE Protocol™ governs whether an AI-generated summary in this area may PROCEED to a consequential action — reliance in a dossier or Quality-Unit approval — under a named authority, with the justification recorded before the action and replay-provable provenance. KYE does not perform the underlying science or judge whether the quality is acceptable.", "license": "ICH guidelines are published by the International Council for Harmonisation; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 2, "declared_total": 2, "coverage_pct": 25, "status_counts": { "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Authority over an AI stability summary at the action boundary": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Stability study science & shelf-life determination": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ich-q1.named-authority", "title": "AI-generated stability summary proceeds only under a recorded named-authority decision", "framework": "ich-q1", "framework_version": "ICH Q1A(R2) (2003)", "framework_category": "Authority over an AI stability summary at the action boundary", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "ICH Q1A(R2) governs stability testing to establish a retest period or shelf life. When an AI agent assembles a stability summary that moves toward reliance in a dossier, KYE requires a recorded named-authority decision before it proceeds. PROOF-BAR: stays designed — no sector-dedicated stability-authority runtime wired; the ich-authority rule pack binds the named-authority decision, wire a runtime engine to enforce." }, { "requirement_id": "ich-q1.science", "title": "Stability study science & shelf-life determination", "framework": "ich-q1", "framework_version": "ICH Q1A(R2) (2003)", "framework_category": "Stability study science & shelf-life determination", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Conducting the stability study, storing samples under defined conditions, measuring degradation, and determining the retest period / shelf life are the firm's own stability program and scientific judgement. KYE™ is an AI-authority and evidence layer, not a stability-science engine — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ich-q10", "display_name": "ICH Q10 — Pharmaceutical Quality System", "framework_version": "ICH Q10 (2008)", "source": "ICH Q10 describes a model for an effective Pharmaceutical Quality System (PQS) based on ISO quality concepts, incorporating applicable GMP and supporting ICH Q8 and Q9. It covers management responsibility, the four PQS elements (process performance & product quality monitoring, CAPA, change management, management review), and knowledge management across the lifecycle. KYE Protocol™ governs whether an AI-generated PQS record (a CAPA record, a change-control record, a management-review input, a deviation disposition) may PROCEED to a consequential action under a named management / Quality Unit authority, with competence and justification recorded before the action and replay-provable provenance. KYE does not run the quality system, perform the CAPA investigation, or judge whether the disposition is correct.", "license": "ICH guidelines are published by the International Council for Harmonisation; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 5, "declared_total": 5, "coverage_pct": 70, "status_counts": { "enforced": 3, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Management responsibility & named-authority": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Change-management authority at the action boundary": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Management review control (sign-off gate)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Personnel competence recorded before the action": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Quality-system substance (CAPA / change science)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ich-q10.management-responsibility-authority", "title": "AI-generated PQS record proceeds only under a recorded named-management / Quality-Unit authority decision", "framework": "ich-q10", "framework_version": "ICH Q10 (2008)", "framework_category": "Management responsibility & named-authority", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ICH Q10 §2 makes management responsible for the PQS, including establishing authority for decisions. When an AI agent produces a PQS record (a CAPA disposition, a change record, a management-review input) that moves toward a consequential action, KYE binds it to a recorded named-authority decision at the §12 Purpose Permission action-admissibility gate via the authority-engine + PDP, refusing it dual-channel when no authority is recorded. Enforced by ich_named_authority. KYE proves who authorised the record to proceed; it does not run the quality system." }, { "requirement_id": "ich-q10.change-management-authority", "title": "AI-generated change-control record proceeds only with recorded authority + justification before the change", "framework": "ich-q10", "framework_version": "ICH Q10 (2008)", "framework_category": "Change-management authority at the action boundary", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ICH Q10 §3.2.3 requires a change management system that evaluates, approves and implements changes under appropriate authority. KYE requires an AI-generated change-control record to carry a recorded due-diligence result (competence + change justification) before the change proceeds, bound into a decision map, per the §13 Resilience Loop. Enforced by ich_due_diligence_before_action via the decision-engine. KYE proves the justification was recorded before the change; it does not perform the change impact assessment." }, { "requirement_id": "ich-q10.management-review-control", "title": "AI-generated PQS output stays advisory until a named reviewer records sign-off (management review control)", "framework": "ich-q10", "framework_version": "ICH Q10 (2008)", "framework_category": "Management review control (sign-off gate)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ICH Q10 §3.2.4 / §4.1 require management review of process performance, product quality and the PQS. KYE holds an AI-generated PQS output advisory until a named reviewer (Quality Unit head / responsible management) records sign-off via the §36 GovernedUI human-control surface, with §36 two-person sign-off on the irreversible release / submission; unreviewed AI-driven dispositions are refused and routed dual-channel. Enforced by ich_signoff_gate via the decision-engine. KYE proves the review occurred; it does not make the quality decision." }, { "requirement_id": "ich-q10.personnel-competence", "title": "AI agent competence for the quality task recorded before the action (personnel competence)", "framework": "ich-q10", "framework_version": "ICH Q10 (2008)", "framework_category": "Personnel competence recorded before the action", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "ICH Q10 §2.4 requires personnel performing PQS activities to be competent. KYE requires a competence determination (the agent / model is authorised and fit for the quality task) to be recorded in the due-diligence result before an AI output proceeds. PROOF-BAR: stays designed — competence-attestation wiring to a runtime engine not yet deployed; wire a runtime engine to enforce." }, { "requirement_id": "ich-q10.quality-system-substance", "title": "CAPA investigation, change impact assessment and product-quality monitoring science", "framework": "ich-q10", "framework_version": "ICH Q10 (2008)", "framework_category": "Quality-system substance (CAPA / change science)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Conducting the CAPA root-cause investigation, performing the change impact assessment, and monitoring process performance and product quality are the firm's own Pharmaceutical Quality System and scientific judgement. KYE™ is an AI-authority and evidence layer, not a quality-system engine — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ich-q2", "display_name": "ICH Q2(R2) — Validation of Analytical Procedures", "framework_version": "ICH Q2(R2) (2023)", "source": "ICH Q2(R2) provides guidance on the validation of analytical procedures, defining the validation characteristics (specificity / selectivity, accuracy, precision, range, detection / quantitation limits, robustness) and the data to be reported to demonstrate a procedure is fit for its intended purpose. KYE Protocol™ governs whether an AI-generated analytical-method-validation package may PROCEED to a consequential action — Quality-Unit approval or reliance in a dossier — under a named authority, with the validation conclusion's justification recorded before the action and replay-provable provenance. KYE does not run the analytical method, compute the validation statistics, or judge whether the method is fit for purpose.", "license": "ICH guidelines are published by the International Council for Harmonisation; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Validation-package authority at the action boundary": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Validation-conclusion justification recorded before the action": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Replay-provable validation-package provenance": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Analytical-method science & validation statistics": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ich-q2.validation-package-authority", "title": "AI-generated analytical-validation package proceeds only under a recorded named-authority decision", "framework": "ich-q2", "framework_version": "ICH Q2(R2) (2023)", "framework_category": "Validation-package authority at the action boundary", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ICH Q2(R2) requires the validation of an analytical procedure to be documented and approved as fit for its intended purpose. When an AI agent assembles an analytical-method-validation package that moves toward a consequential action (Quality-Unit approval, reliance in a dossier), KYE binds it to a recorded named-authority decision at the §12 Purpose Permission action-admissibility gate via the authority-engine + decision-engine, refusing it dual-channel when no authority is recorded. Enforced by ich_named_authority. KYE proves who authorised the package to proceed; it does not validate the method." }, { "requirement_id": "ich-q2.validation-conclusion-justification", "title": "AI validation conclusion proceeds only with its justification recorded before the action", "framework": "ich-q2", "framework_version": "ICH Q2(R2) (2023)", "framework_category": "Validation-conclusion justification recorded before the action", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ICH Q2(R2) requires the reported validation data to support the conclusion that the procedure is fit for purpose. KYE requires the validation-conclusion justification (the recorded rationale the 'fit-for-purpose' conclusion rests on) to be captured in the due-diligence result, bound into a decision map, before the AI validation package proceeds, per the §13 Resilience Loop. Enforced by ich_due_diligence_before_action via the decision-engine. KYE proves the justification was recorded before the action; it does not compute the validation statistics." }, { "requirement_id": "ich-q2.validation-package-provenance", "title": "Replay-provable provenance pin for an AI-generated validation package relied on in a dossier", "framework": "ich-q2", "framework_version": "ICH Q2(R2) (2023)", "framework_category": "Replay-provable validation-package provenance", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "When an AI-generated validation package is relied on in a regulatory dossier (CTD Module 3), KYE binds a signed, replay-derivable provenance pin (the model + version, the pinned analytical raw data, the validation-conclusion basis, the named-authority outcome) under a context seal so the package is reconstructable and valid at T=0, verifiable offline by a reviewer from published keys, per the §13 Resilience Loop. Enforced by ich_provenance_pin via the evidence-engine. KYE proves the lineage of the AI package; it does not run the analytical method." }, { "requirement_id": "ich-q2.analytical-method-science", "title": "Running the analytical method, computing accuracy / precision / specificity and judging fitness for purpose", "framework": "ich-q2", "framework_version": "ICH Q2(R2) (2023)", "framework_category": "Analytical-method science & validation statistics", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Running the analytical procedure, computing the validation characteristics (accuracy, precision, specificity, range, detection / quantitation limits, robustness), and judging whether the method is fit for its intended purpose are the firm's own analytical laboratory system and scientific judgement. KYE™ is an AI-authority and evidence layer, not an analytical method or statistics engine — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ich-q3", "display_name": "ICH Q3 — Impurities", "framework_version": "ICH Q3A(R2)/Q3B(R2)/Q3C(R8)/Q3D(R2)", "source": "The Impurities guideline (ICH Q3 — Impurities) defines the ICH Q-series quality expectations for impurity thresholds. KYE Protocol™ governs whether an AI-generated summary in this area may PROCEED to a consequential action — reliance in a dossier or Quality-Unit approval — under a named authority, with the justification recorded before the action and replay-provable provenance. KYE does not perform the underlying science or judge whether the quality is acceptable.", "license": "ICH guidelines are published by the International Council for Harmonisation; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 2, "declared_total": 2, "coverage_pct": 25, "status_counts": { "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Authority over an AI impurity-assessment summary at the action boundary": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Impurity science & threshold determination": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ich-q3.named-authority", "title": "AI-generated impurity-assessment summary proceeds only under a recorded named-authority decision", "framework": "ich-q3", "framework_version": "ICH Q3A(R2)/Q3B(R2)/Q3C(R8)/Q3D(R2)", "framework_category": "Authority over an AI impurity-assessment summary at the action boundary", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The ICH Q3 family governs reporting, identification and qualification thresholds for impurities, residual solvents and elemental impurities. When an AI agent assembles an impurity-assessment summary that moves toward reliance in a dossier, KYE requires a recorded named-authority decision before it proceeds. PROOF-BAR: stays designed — no sector-dedicated impurity-authority runtime wired; the ich-authority rule pack binds the named-authority decision, wire a runtime engine to enforce." }, { "requirement_id": "ich-q3.science", "title": "Impurity science & threshold determination", "framework": "ich-q3", "framework_version": "ICH Q3A(R2)/Q3B(R2)/Q3C(R8)/Q3D(R2)", "framework_category": "Impurity science & threshold determination", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Setting impurity reporting / identification / qualification thresholds, determining permitted daily exposures for residual solvents and elemental impurities, and the toxicological qualification of impurities are the firm's own quality and toxicology systems and scientific judgement. KYE™ is an AI-authority and evidence layer, not an impurity-science or toxicology engine — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ich-q5", "display_name": "ICH Q5 — Quality of Biotechnological Products", "framework_version": "ICH Q5A(R2)/Q5B/Q5C/Q5D/Q5E", "source": "The Quality of Biotechnological Products guideline (ICH Q5 — Quality of Biotechnological Products) defines the ICH Q-series quality expectations for biotech product quality. KYE Protocol™ governs whether an AI-generated summary in this area may PROCEED to a consequential action — reliance in a dossier or Quality-Unit approval — under a named authority, with the justification recorded before the action and replay-provable provenance. KYE does not perform the underlying science or judge whether the quality is acceptable.", "license": "ICH guidelines are published by the International Council for Harmonisation; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 2, "declared_total": 2, "coverage_pct": 25, "status_counts": { "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Authority over an AI biotech-quality summary at the action boundary": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Biotech product science (viral safety / comparability / stability)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ich-q5.named-authority", "title": "AI-generated biotech-quality summary proceeds only under a recorded named-authority decision", "framework": "ich-q5", "framework_version": "ICH Q5A(R2)/Q5B/Q5C/Q5D/Q5E", "framework_category": "Authority over an AI biotech-quality summary at the action boundary", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The ICH Q5 family governs the quality of biotechnological / biological products — viral safety, cell substrates, stability, and comparability after manufacturing changes. When an AI agent assembles a biotech-quality summary that moves toward reliance in a dossier, KYE requires a recorded named-authority decision before it proceeds. PROOF-BAR: stays designed — no sector-dedicated biotech-quality-authority runtime wired; the ich-authority rule pack binds the named-authority decision, wire a runtime engine to enforce." }, { "requirement_id": "ich-q5.science", "title": "Biotech product science (viral safety / comparability / stability)", "framework": "ich-q5", "framework_version": "ICH Q5A(R2)/Q5B/Q5C/Q5D/Q5E", "framework_category": "Biotech product science (viral safety / comparability / stability)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Evaluating viral safety, characterising cell substrates, assessing biological stability, and judging comparability after a manufacturing change are the firm's own biologics development and quality systems and scientific judgement. KYE™ is an AI-authority and evidence layer, not a biologics-science engine — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ich-q6", "display_name": "ICH Q6 — Specifications", "framework_version": "ICH Q6A/Q6B", "source": "The Specifications guideline (ICH Q6 — Specifications) defines the ICH Q-series quality expectations for specifications & acceptance criteria. KYE Protocol™ governs whether an AI-generated summary in this area may PROCEED to a consequential action — reliance in a dossier or Quality-Unit approval — under a named authority, with the justification recorded before the action and replay-provable provenance. KYE does not perform the underlying science or judge whether the quality is acceptable.", "license": "ICH guidelines are published by the International Council for Harmonisation; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 2, "declared_total": 2, "coverage_pct": 25, "status_counts": { "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Authority over an AI specification-justification summary at the action boundary": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Specification science & acceptance-criteria setting": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ich-q6.named-authority", "title": "AI-generated specification-justification summary proceeds only under a recorded named-authority decision", "framework": "ich-q6", "framework_version": "ICH Q6A/Q6B", "framework_category": "Authority over an AI specification-justification summary at the action boundary", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "ICH Q6A/Q6B govern specifications — the test procedures and acceptance criteria for new drug substances, products and biotech products. When an AI agent assembles a specification-justification summary that moves toward reliance in a dossier, KYE requires a recorded named-authority decision before it proceeds. PROOF-BAR: stays designed — no sector-dedicated specification-authority runtime wired; the ich-authority rule pack binds the named-authority decision, wire a runtime engine to enforce." }, { "requirement_id": "ich-q6.science", "title": "Specification science & acceptance-criteria setting", "framework": "ich-q6", "framework_version": "ICH Q6A/Q6B", "framework_category": "Specification science & acceptance-criteria setting", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Selecting the test procedures, setting the acceptance criteria, and justifying the specification scientifically are the firm's own quality system and scientific judgement. KYE™ is an AI-authority and evidence layer, not a specification-science engine — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ich-q7", "display_name": "ICH Q7 — Good Manufacturing Practice for Active Pharmaceutical Ingredients", "framework_version": "ICH Q7 (2000)", "source": "ICH Q7 provides guidance on Good Manufacturing Practice for the manufacturing of Active Pharmaceutical Ingredients (APIs), covering quality management and the independent Quality Unit, records and data integrity, batch production and release, and the responsibilities for releasing or rejecting APIs. KYE Protocol™ governs whether an AI-generated GMP record (a batch record entry, a deviation, a release recommendation) may PROCEED to a consequential action — Quality-Unit approval, lot release, or use in a dossier — under a named Quality Unit / QP authority, with a data-integrity / ALCOA+ screen recorded before the action and replay-provable provenance, with §36 two-person sign-off on the irreversible lot release. KYE does not manufacture the API, run the analysis, or judge whether the batch meets specification.", "license": "ICH guidelines are published by the International Council for Harmonisation; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 5, "declared_total": 5, "coverage_pct": 80, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Quality-Unit release authority at the action boundary": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Records & data integrity (ALCOA+) screened before the action": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Replay-provable GMP-record provenance": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Batch release sign-off gate (§36 two-person)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Physical API manufacture & analytical testing": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ich-q7.quality-unit-batch-release", "title": "AI-generated GMP record proceeds only under a recorded Quality-Unit / QP named-authority decision", "framework": "ich-q7", "framework_version": "ICH Q7 (2000)", "framework_category": "Quality-Unit release authority at the action boundary", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ICH Q7 §2.2 vests responsibility for releasing or rejecting APIs in an independent Quality Unit. When an AI agent produces a GMP record (a batch record entry, a deviation, a release recommendation) that moves toward a consequential action, KYE binds it to a recorded named Quality-Unit / QP authority decision at the §12 Purpose Permission action-admissibility gate via the authority-engine + PDP, refusing it dual-channel when no authority is recorded. Enforced by ich_named_authority. KYE proves who authorised the record to proceed; it does not perform the release decision's science." }, { "requirement_id": "ich-q7.data-integrity-alcoa", "title": "Data-integrity / ALCOA+ screen of the GMP data behind an AI record recorded before the action", "framework": "ich-q7", "framework_version": "ICH Q7 (2000)", "framework_category": "Records & data integrity (ALCOA+) screened before the action", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ICH Q7 §6 requires records to be controlled and data to be attributable, legible, contemporaneous, original and accurate (ALCOA+). KYE requires a data-integrity / ALCOA+ screen of the GMP data the AI record relies on to be recorded in the due-diligence result, bound to the tool-call evidence and decision map, before the record proceeds, per the §13 Resilience Loop. Enforced by ich_due_diligence_before_action via the evidence-engine + decision-engine. KYE proves the integrity of the AI-captured record; it does not validate the scientific content." }, { "requirement_id": "ich-q7.gmp-record-provenance", "title": "Replay-provable provenance pin for an AI-generated GMP record relied on in a consequential action", "framework": "ich-q7", "framework_version": "ICH Q7 (2000)", "framework_category": "Replay-provable GMP-record provenance", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ICH Q7 §6.1 requires GMP records to be retained and reconstructable. KYE binds a signed, replay-derivable provenance pin (the model + version, the pinned GMP source data, the data-integrity basis, the named-authority outcome) under a context seal so an AI-generated GMP record is reconstructable and valid at T=0, verifiable offline by an inspector or QP from published keys, per the §13 Resilience Loop. Enforced by ich_provenance_pin via the evidence-engine. KYE proves the lineage of the AI record; it does not manufacture the API." }, { "requirement_id": "ich-q7.batch-release-signoff", "title": "Lot release stays advisory until §36 two-person Quality-Unit / QP sign-off is recorded (irreversible release)", "framework": "ich-q7", "framework_version": "ICH Q7 (2000)", "framework_category": "Batch release sign-off gate (§36 two-person)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ICH Q7 §2.2 requires the Quality Unit to approve or reject all API batches; the lot release is the killer consequential action — once a lot is released it cannot be unwound. KYE holds an AI-generated release recommendation advisory until a named Quality Unit / QP records sign-off, with §36 GovernedUI two-person sign-off (the preparing quality reviewer AND an approving QP) on the irreversible release; unreviewed AI-driven releases are refused and routed dual-channel. Enforced by ich_signoff_gate via the decision-engine. KYE proves the sign-off occurred; it does not certify the batch's quality." }, { "requirement_id": "ich-q7.physical-api-manufacture", "title": "Physical API manufacture, process control and analytical testing", "framework": "ich-q7", "framework_version": "ICH Q7 (2000)", "framework_category": "Physical API manufacture & analytical testing", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "The physical manufacture of the API, in-process control, the analytical testing of samples, and the judgement of whether a batch conforms to specification are the firm's own GMP manufacturing and laboratory systems. KYE™ is an AI-authority and evidence layer, not a manufacturing or laboratory system — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ich-q8", "display_name": "ICH Q8(R2) — Pharmaceutical Development", "framework_version": "ICH Q8(R2) (2009)", "source": "ICH Q8(R2) describes the contents of the pharmaceutical development section (P.2) of a regulatory submission and the principles of Quality by Design — the quality target product profile, critical quality attributes, the design space, and the control strategy. KYE Protocol™ governs whether AI-generated development-report content (a QbD justification, a design-space rationale, a CQA-linkage narrative) may PROCEED to a consequential action — Quality-Unit approval or reliance in a dossier — under a named authority, with the development justification recorded before the action and replay-provable provenance. KYE does not perform the development science, define the design space, or judge whether the justification is scientifically sound.", "license": "ICH guidelines are published by the International Council for Harmonisation; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Development-content authority at the action boundary": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Development justification recorded before the action": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Replay-provable development-content provenance": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Development science (QbD / design space / control strategy)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ich-q8.development-justification-provenance", "title": "AI-generated development content proceeds only under a recorded named-authority decision", "framework": "ich-q8", "framework_version": "ICH Q8(R2) (2009)", "framework_category": "Development-content authority at the action boundary", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ICH Q8(R2) describes the development content that justifies the formulation and process in a dossier. When an AI agent produces development-report content (a QbD justification, a design-space rationale) that moves toward a consequential action (Quality-Unit approval, reliance in a dossier), KYE binds it to a recorded named-authority decision at the §12 Purpose Permission action-admissibility gate via the authority-engine + decision-engine, refusing it dual-channel when no authority is recorded. Enforced by ich_named_authority. KYE proves who authorised the content to proceed; it does not perform the development science." }, { "requirement_id": "ich-q8.justification-recorded-before-action", "title": "AI development justification proceeds only with its rationale recorded before the action", "framework": "ich-q8", "framework_version": "ICH Q8(R2) (2009)", "framework_category": "Development justification recorded before the action", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ICH Q8(R2) requires the development section to present the rationale linking critical quality attributes, the design space and the control strategy. KYE requires the development justification (the recorded rationale the content rests on) to be captured in the due-diligence result, bound into a decision map, before the AI development content proceeds, per the §13 Resilience Loop. Enforced by ich_due_diligence_before_action via the decision-engine. KYE proves the justification was recorded before the action; it does not assess the soundness of the development science." }, { "requirement_id": "ich-q8.development-content-provenance", "title": "Replay-provable provenance pin for AI-generated development content relied on in a dossier", "framework": "ich-q8", "framework_version": "ICH Q8(R2) (2009)", "framework_category": "Replay-provable development-content provenance", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "When AI-generated development content is relied on in a regulatory dossier (CTD Module 3 P.2), KYE binds a signed, replay-derivable provenance pin (the model + version, the pinned development data, the justification basis, the named-authority outcome) under a context seal so the content is reconstructable and valid at T=0, verifiable offline by a reviewer from published keys, per the §13 Resilience Loop. Enforced by ich_provenance_pin via the evidence-engine. KYE proves the lineage of the AI content; it does not perform the development science." }, { "requirement_id": "ich-q8.development-science", "title": "Defining the QTPP, identifying CQAs and establishing the design space & control strategy", "framework": "ich-q8", "framework_version": "ICH Q8(R2) (2009)", "framework_category": "Development science (QbD / design space / control strategy)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Defining the quality target product profile, identifying critical quality attributes, establishing the design space, and selecting the control strategy are the firm's own pharmaceutical development system and scientific judgement. KYE™ is an AI-authority and evidence layer, not a development-science engine — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ich-q9", "display_name": "ICH Q9(R1) — Quality Risk Management", "framework_version": "ICH Q9(R1) (2023)", "source": "ICH Q9(R1) Quality Risk Management provides principles and tools for a systematic process for the assessment, control, communication and review of risks to the quality of a medicinal product across its lifecycle. It anchors risk-based decision-making (formality of the risk assessment, subjectivity of risk decisions, and the role of risk in supply chain and product availability). KYE Protocol™ governs whether an AI-generated QRM output (a risk assessment, a risk-based decision, an FMEA record) may PROCEED to a consequential action — Quality-Unit approval, reliance in a dossier, or use to release a lot — under a named Quality Unit / QP authority, with the risk-decision justification recorded before the action and replay-provable provenance. KYE does not perform the risk science, set the risk thresholds, or judge whether the risk decision is correct.", "license": "ICH guidelines are published by the International Council for Harmonisation; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Risk-based decision authority at the action boundary": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Risk-decision justification recorded before the action": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Replay-provable QRM provenance": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Risk-assessment science & control-strategy selection": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "ich-q9.qrm-decision-authority", "title": "Risk-based decision by an AI QRM output proceeds only under a recorded named-authority decision", "framework": "ich-q9", "framework_version": "ICH Q9(R1) (2023)", "framework_category": "Risk-based decision authority at the action boundary", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ICH Q9(R1) requires the formality and accountability of risk-based decisions to be commensurate with the level of risk. When an AI agent produces a risk-based decision that moves toward a consequential action, KYE binds it to a recorded named-authority decision (the agent, the QRM artefact, the action, and the named Quality Unit / QP under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by ich_named_authority via the authority-engine + decision-engine. KYE proves who authorised the decision to proceed; it does not perform the risk assessment or judge whether the risk decision is correct." }, { "requirement_id": "ich-q9.risk-decision-justification", "title": "An AI risk-based decision proceeds only with its risk-decision justification recorded before the action", "framework": "ich-q9", "framework_version": "ICH Q9(R1) (2023)", "framework_category": "Risk-decision justification recorded before the action", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ICH Q9(R1) addresses the subjectivity of risk-based decisions and requires the basis of a decision to be recorded. KYE requires the risk-decision justification (the recorded rationale the decision rests on) to be captured in the due-diligence result, bound into a decision map, before the AI QRM output proceeds to a consequential action, per the §13 Resilience Loop. Enforced by ich_due_diligence_before_action via the decision-engine. KYE proves the justification was recorded before the action; it does not assess the soundness of the risk science." }, { "requirement_id": "ich-q9.qrm-provenance", "title": "Replay-provable provenance pin for an AI QRM output relied on in a consequential action", "framework": "ich-q9", "framework_version": "ICH Q9(R1) (2023)", "framework_category": "Replay-provable QRM provenance", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:ich-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "When an AI-generated QRM output is relied on to release a lot or in a dossier, KYE binds a signed, replay-derivable provenance pin (the model + version, the pinned inputs, the risk-decision basis, the named-authority outcome) under a context seal so the record is reconstructable and valid at T=0, per the §13 Resilience Loop. Enforced by ich_provenance_pin via the evidence-engine. KYE proves the lineage of the AI record; it does not validate the scientific content." }, { "requirement_id": "ich-q9.risk-assessment-science", "title": "Hazard identification, probability / severity scoring and control-strategy selection", "framework": "ich-q9", "framework_version": "ICH Q9(R1) (2023)", "framework_category": "Risk-assessment science & control-strategy selection", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Identifying hazards, scoring probability and severity, selecting the QRM tool (FMEA / FMECA / HACCP), and choosing the risk-control strategy are the firm's own quality risk management system and scientific judgement. KYE™ is an AI-authority and evidence layer, not a risk-science engine — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "ie-dpa-2018", "display_name": "Data Protection Act 2018", "framework_version": "DPA 2018", "source": "Data Protection Act 2018. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Ireland. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Ireland-specific national deltas.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Lead supervisory authority (national delta)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "ie-dpa-2018.gdpr-transposition", "title": "Data Protection Act 2018 transposes / supplements the GDPR (Reg. (EU) 2016/679) into Ireland national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "ie-dpa-2018", "framework_version": "Data Protection Act 2018", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Data Protection Act 2018 is the national implementing/supplementing statute for the GDPR in Ireland. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔ireland. This registry maps only the Ireland-specific national deltas below." }, { "requirement_id": "ie-dpa-2018.supervisory-authority", "title": "Cooperation with the national supervisory authority (the DPC (Data Protection Commission)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "ie-dpa-2018", "framework_version": "ie-dpa-2018 national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the DPC (Data Protection Commission) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the DPC (Data Protection Commission) remain tenant-side." }, { "requirement_id": "ie-dpa-2018.breach-notification", "title": "Personal-data breach notification to the DPC (Data Protection Commission) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "ie-dpa-2018", "framework_version": "ie-dpa-2018 national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the DPC (Data Protection Commission)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." }, { "requirement_id": "ie-dpa-2018.lead-supervisory-oss", "title": "One-Stop-Shop lead-supervisory-authority role — the DPC is the GDPR lead authority for many cross-border controllers established in Ireland; demonstrable cross-border processing accountability", "framework": "ie-dpa-2018", "framework_version": "DPA 2018 / GDPR OSS", "framework_category": "Lead supervisory authority (national delta)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "For controllers whose main establishment is in Ireland, the DPC acts as GDPR lead supervisory authority; the Evidence Pack is the cross-border processing account the OSS consistency mechanism can demand. The Art. 60 cooperation procedure itself is a regulator-to-regulator process." } ], "resolution_framing": null }, { "framework": "iec-61508", "display_name": "IEC 61508:2010 — Functional safety of electrical/electronic/programmable electronic safety-related systems", "framework_version": "2010", "source": "IEC 61508:2010 Parts 1-7 — the umbrella functional-safety standard defining Safety Integrity Levels (SIL 1-4), the safety lifecycle, and the management of functional safety. KYE governs the AUTHORITY, EVIDENCE and FINALITY of an AI-recommended physical-safety action against a SIL-validated model-authority claim; KYE does not perform the SIL determination nor certify the safety instrumented function. Starter requirement set (Wave-Ralph-Industrial); deepen by graft per the Foundry productisation template.", "license": "IEC — standard text is copyrighted; KYE registry paraphrases each requirement's intent and cites the official clause identifier for mapping purposes only.", "total": 6, "declared_total": 6, "coverage_pct": 46, "status_counts": { "enforced": 0, "designed": 5, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Part 1 — General requirements": { "total": 3, "enforced": 0, "designed": 3, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Part 2 — E/E/PE safety-related systems": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Part 3 — Software requirements": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "iec-61508.part-1.7.6", "title": "SIL determination and allocation to safety functions", "framework": "iec-61508", "framework_version": "2010", "framework_category": "Part 1 — General requirements", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "KYE binds an AI-recommended physical_safety_action to a SIL-validated model-authority record (sil_validated_model_authority) — the SIL level is reference data the action is checked against, not a value KYE derives. Enforced by the industrial_physical_safety_floor rule. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iec-61508.part-1.7.14", "title": "Functional safety assessment and decision accountability", "framework": "iec-61508", "framework_version": "2010", "framework_category": "Part 1 — General requirements", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "AI-recommended shutdown/derate/dispatch is advisory pending named-engineer sign-off (named_accountable_engineer); finality requires a named accountable owner. Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iec-61508.part-1.5.2", "title": "Documentation and evidence of functional-safety decisions", "framework": "iec-61508", "framework_version": "2010", "framework_category": "Part 1 — General requirements", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Every governed physical_safety_action emits a replay-derivable Evidence Pack binding the SIL-authority state, the asset criticality and the decision finality (§13). PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iec-61508.part-2.7.4", "title": "Common-cause failure consideration in the safety function", "framework": "iec-61508", "framework_version": "2010", "framework_category": "Part 2 — E/E/PE safety-related systems", "level": "mandatory", "kye_enforcement": { "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "Common-cause failure is reference data (failure_mode_common_cause) the model-authority claim must account for. KYE records the failure-mode vocabulary; the engineering determination of common-cause defences is out-of-scope for KYE." }, { "requirement_id": "iec-61508.part-3.7.2", "title": "Software safety requirements specification", "framework": "iec-61508", "framework_version": "2010", "framework_category": "Part 3 — Software requirements", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "The AI model's authority scope (target_in_authority_scope) is purpose-bound (§12); a model authorised for one asset/site may not action another. Enforced by industrial_authority_scope. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iec-61508.part-3.7.9", "title": "Software verification and contestable outcomes", "framework": "iec-61508", "framework_version": "2010", "framework_category": "Part 3 — Software requirements", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Both false-trip and missed-failure outcomes of an AI-recommended action are contestable with a replay-derivable record (§21). Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "iec-61511", "display_name": "IEC 61511:2016 — Functional safety: Safety instrumented systems for the process industry sector", "framework_version": "2016", "source": "IEC 61511:2016 Parts 1-3 — the process-sector application of IEC 61508 defining safety instrumented systems (SIS), the safety lifecycle for process plant, and proof-test / management requirements. KYE governs the authority, evidence and finality of an AI-recommended physical-safety action (turbine trip, unit shutdown, derate) against a SIL-validated model-authority claim and the §25 safety floor. Starter requirement set (Wave-Ralph-Industrial); deepen by graft.", "license": "IEC — standard text is copyrighted; KYE registry paraphrases each requirement's intent and cites the official clause identifier for mapping purposes only.", "total": 5, "declared_total": 5, "coverage_pct": 45, "status_counts": { "enforced": 0, "designed": 4, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Clause 8 — Process hazard and risk assessment": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Clause 9 — Allocation of safety functions": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Clause 11 — SIS design and engineering": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Clause 16 — SIS operation and maintenance": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "iec-61511.clause-8.2", "title": "Process hazard and risk assessment informs the safety function", "framework": "iec-61511", "framework_version": "2016", "framework_category": "Clause 8 — Process hazard and risk assessment", "level": "mandatory", "kye_enforcement": { "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "Asset criticality (asset_criticality_safety_critical) is reference data that determines whether an AI recommendation resolves to the physical_safety action class. KYE records the criticality vocabulary; the process hazard analysis itself is out-of-scope for KYE." }, { "requirement_id": "iec-61511.clause-9.2", "title": "Allocation of safety functions to protection layers", "framework": "iec-61511", "framework_version": "2016", "framework_category": "Clause 9 — Allocation of safety functions", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-recommended physical_safety_action is admitted only under the §25 Edge Governance Safety Floor with a SIL-validated model-authority record. Enforced by industrial_physical_safety_floor. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iec-61511.clause-11.3", "title": "SIS design — required SIL and authority of the actuating decision", "framework": "iec-61511", "framework_version": "2016", "framework_category": "Clause 11 — SIS design and engineering", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "The safety-floor selection record (kye.edge.safety-floor.v1) governs the actuating decision when authority cannot be proven. KYE governs the finality, not the SIS hardware design. Enforced by industrial_physical_safety_floor. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iec-61511.clause-11.9", "title": "Contestable and reviewable SIS decisions", "framework": "iec-61511", "framework_version": "2016", "framework_category": "Clause 11 — SIS design and engineering", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Both false-trip (spurious shutdown) and missed-failure outcomes are contestable with a replay-derivable evidence record (§21). Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iec-61511.clause-16.2", "title": "Operation, maintenance and named accountability", "framework": "iec-61511", "framework_version": "2016", "framework_category": "Clause 16 — SIS operation and maintenance", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Shutdown/derate/dispatch finality requires named-engineer sign-off (named_accountable_engineer). Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "imda-ai-verify", "display_name": "IMDA AI Verify", "framework_version": "AI Verify (IMDA / AI Verify Foundation)", "source": "Infocomm Media Development Authority (IMDA) Singapore / AI Verify Foundation — AI Verify testing framework and toolkit aligned to internationally-recognised AI governance principles.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Transparency": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Human agency & oversight": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Robustness & security": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "imda-ai-verify.transparency", "title": "AI Verify — transparency testing: the organisation can provide appropriate information to those who may be affected by the AI system's decisions", "framework": "imda-ai-verify", "framework_version": "AI Verify (IMDA / AI Verify Foundation) testing framework", "framework_category": "Transparency", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AI Verify's transparency principle is process-checked against the contemporaneous Decision Map + Evidence Pack: KYE supplies the verifiable evidence that the affected-party information AI Verify asks for actually exists and is reconstructable." }, { "requirement_id": "imda-ai-verify.accountability", "title": "AI Verify — accountability: clear internal governance and identifiable persons accountable for the AI system", "framework": "imda-ai-verify", "framework_version": "AI Verify (IMDA / AI Verify Foundation) testing framework", "framework_category": "Accountability", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission™ binds every AI action to an identifiable accountable purpose-holder; the §0.3 attestation is the machine-checkable accountability record AI Verify tests for." }, { "requirement_id": "imda-ai-verify.human-agency-oversight", "title": "AI Verify — human agency and oversight: appropriate human oversight is in place for the AI system's decisions", "framework": "imda-ai-verify", "framework_version": "AI Verify (IMDA / AI Verify Foundation) testing framework", "framework_category": "Human agency & oversight", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "GovernedUI™ approval modes put a human in the loop for high-authority AI actions, and Authority Resolution refuses actions exceeding granted scope — the human agency and oversight AI Verify evaluates." }, { "requirement_id": "imda-ai-verify.robustness", "title": "AI Verify — robustness and security: the AI system behaves reliably and the deployment is monitored for drift", "framework": "imda-ai-verify", "framework_version": "AI Verify (IMDA / AI Verify Foundation) testing framework", "framework_category": "Robustness & security", "level": "recommended", "primary_role": "D/V", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.resilience.measurement_record.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Conformance Runner tests behaviour against declared acceptance criteria and the Drift Detector monitors the deployed system — supplying the robustness/monitoring evidence AI Verify's testing process consumes." } ], "resolution_framing": null }, { "framework": "investment-mandate-ips", "display_name": "Investment Mandate / IPS — Investment Policy Statement & Discretionary Mandate Authority", "framework_version": "2026", "source": "The Investment Policy Statement (IPS) and the discretionary investment mandate are the contractual instruments that delegate investment authority from an asset owner (client, pension trustee, endowment, board) to a discretionary manager or adviser, and define the bounds of that authority — objectives, permitted investments, prohibited investments, concentration and liquidity limits, benchmark, risk tolerance, and reporting obligations. They are the authority anchor for any AI-assisted investment decision: an AI-generated thesis, portfolio recommendation, or trade recommendation may only proceed to a consequential action if it is within mandate. KYE Protocol governs whether an AI-assisted investment decision/action is within the recorded mandate, under whose authority it proceeds, evidenced, contestable, and final at the action boundary — and PROVES the basis. KYE does not produce investment intelligence, judge whether a thesis is correct, render any view on alpha / returns / suitability of outcome, and is not an investment adviser.", "license": "The Investment Policy Statement / discretionary mandate is a private contractual and industry-practice instrument (CFA Institute IPS guidance; standard discretionary investment management agreement schedules). KYE registry cites the mandate-constraint constructs for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Mandate scope & permitted investments": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Constraints, limits & prohibitions": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Named authority & delegation": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Reporting & evidence obligations": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "investment-mandate-ips.mandate-scope-permitted-investments", "title": "Mandate scope & permitted investments: an AI-generated decision must be within the recorded investment mandate before it proceeds", "framework": "investment-mandate-ips", "framework_version": "2026", "framework_category": "Mandate scope & permitted investments", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The Investment Policy Statement / discretionary mandate defines the asset classes, instruments, strategies, and markets the manager is authorised to use, and those that are prohibited. KYE requires an AI-generated thesis, portfolio recommendation, or trade recommendation to be checked against the recorded permitted-investments scope before it proceeds to a consequential action, under the §12 Purpose Permission purpose-scope check. An out-of-mandate instrument or strategy is refused at the action-admissibility gate. Enforced by investment_mandate_check_before_action. Honest scope: KYE proves the decision was within the recorded mandate scope; it does not judge whether the investment is a good one. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "investment-mandate-ips.constraints-limits-prohibitions", "title": "Constraints, limits & prohibitions: concentration / liquidity / risk limits enforced as a mandate check before the action", "framework": "investment-mandate-ips", "framework_version": "2026", "framework_category": "Constraints, limits & prohibitions", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The mandate specifies concentration limits (single-issuer / sector / geography), liquidity floors, leverage / derivatives constraints, and the risk tolerance / benchmark band. KYE requires an AI-generated recommendation to carry a recorded mandate-check result confirming the consequential action does not breach those limits, under the §25 Edge Governance Safety Floor, before it proceeds. A limit-breaching recommendation is refused and routed dual-channel to the responsible portfolio manager. Enforced by investment_mandate_check_before_action. KYE proves the limit check was performed; it does not set the limits or judge whether they are prudent. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "investment-mandate-ips.named-authority-delegation", "title": "Named authority & delegation: every consequential investment action maps to a named portfolio manager / committee under whose authority it proceeds", "framework": "investment-mandate-ips", "framework_version": "2026", "framework_category": "Named authority & delegation", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The mandate delegates investment authority to named individuals (portfolio managers) and bodies (the investment committee) within defined bounds. KYE binds every AI-generated decision that moves toward a consequential action to a recorded named-authority decision — the agent, the recommendation artefact, the intended action, and the named portfolio manager / committee under whose authority it proceeds — and holds it advisory until the named authority records sign-off, via the §36 GovernedUI human-control surface. Enforced by investment_named_authority + investment_committee_signoff_gate. The named authority remains personally accountable; the accountability does not transfer to the AI. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "investment-mandate-ips.reporting-evidence-obligations", "title": "Reporting & evidence obligations: replay-provable provenance of the basis on which a consequential investment action proceeded", "framework": "investment-mandate-ips", "framework_version": "2026", "framework_category": "Reporting & evidence obligations", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The mandate obliges the manager to maintain records and report to the asset owner on how authority was exercised. KYE requires an AI-generated decision that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin binding the model and version, the inputs and pinned evidence-backed research relied on, the mandate-check result, and the named-authority outcome, per the §13 Resilience Loop — so the basis on which the action proceeded is verifiable offline by the asset owner, an auditor, or a regulator. Enforced by investment_provenance_pin. KYE preserves the basis and its lineage; it does not reproduce the underlying research or judge its quality. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "irs-circular-230", "display_name": "IRS Circular 230 — Regulations Governing Practice before the Internal Revenue Service", "framework_version": "2014-rev", "source": "Treasury Department Circular No. 230 (31 CFR Part 10) sets the standards of practice for attorneys, CPAs, enrolled agents, and other practitioners before the IRS. It mandates due diligence (§10.22), competence (§10.35), the standards for tax-return positions and reliance on information (§10.34), the requirements for written advice (§10.37), and procedures to ensure firm compliance (§10.36). KYE Protocol™ governs whether an AI-generated tax position/filing/advice may PROCEED to a consequential action under a named preparer's authority, with the Circular 230 due-diligence and competence obligations recorded before the action and replay-provable. KYE does not compute tax, determine the correct treatment, or judge whether a position is correct.", "license": "Treasury Department Circular No. 230 (31 CFR Part 10) is US federal regulation in the public domain; KYE registry cites its sections for mapping purposes.", "total": 5, "declared_total": 5, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 5, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Due diligence & competence": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Tax-return positions & written advice": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Practitioner authority & sign-off": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "irs-circular-230.10.22-due-diligence", "title": "Due diligence as to accuracy (§10.22) recorded before a consequential tax action", "framework": "irs-circular-230", "framework_version": "2014-rev", "framework_category": "Due diligence & competence", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Circular 230 §10.22 requires a practitioner to exercise due diligence in preparing and filing returns and other documents and in determining the correctness of representations. KYE classifies an AI-generated position moving toward a filing/advice/booking as a tax action and refuses it absent a recorded preparer due-diligence result, under the §12 Purpose Permission purpose-scope check. Enforced by tax_due_diligence_before_action. Honest scope: KYE proves due diligence was performed before the action; it does not perform the substantive tax analysis. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "irs-circular-230.10.35-competence", "title": "Competence (§10.35) of the responsible practitioner determined before the action", "framework": "irs-circular-230", "framework_version": "2014-rev", "framework_category": "Due diligence & competence", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Circular 230 §10.35 requires a practitioner to possess the necessary competence (knowledge, skill, thoroughness, and preparation) for the matter. KYE binds the competence determination of the named preparer into the due-diligence result that gates the action; an AI-generated position cannot proceed under an authority lacking a recorded competence determination. Enforced by tax_due_diligence_before_action + tax_named_preparer_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "irs-circular-230.10.34-positions", "title": "Standards for tax-return positions (§10.34): reasonable basis / substantial authority", "framework": "irs-circular-230", "framework_version": "2014-rev", "framework_category": "Tax-return positions & written advice", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Circular 230 §10.34 prohibits a practitioner from signing or advising a position lacking a reasonable basis / substantial authority (or, where required, adequate disclosure). KYE requires the reasonable-basis / substantial-authority determination to be recorded in the due-diligence result before the AI-generated position proceeds; a low-confidence or undisclosed reportable position is refused under the §25 Edge Governance Safety Floor. Enforced by tax_due_diligence_before_action. KYE proves the standard was assessed; it does not assess substantial authority itself. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "irs-circular-230.10.37-written-advice", "title": "Requirements for written advice (§10.37) provenance-pinned", "framework": "irs-circular-230", "framework_version": "2014-rev", "framework_category": "Tax-return positions & written advice", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Circular 230 §10.37 requires written advice to be based on reasonable factual and legal assumptions, to consider all relevant facts the practitioner knows or should know, and to rely on representations only when reasonable. KYE requires every AI-generated advisory memo that proceeds to be issued to a client to emit a signed, replay-derivable provenance pin binding the model, inputs, pinned source authorities, and due-diligence result, per the §13 Resilience Loop. Enforced by tax_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "irs-circular-230.preparer-signoff", "title": "Named practitioner authority & sign-off before a consequential action", "framework": "irs-circular-230", "framework_version": "2014-rev", "framework_category": "Practitioner authority & sign-off", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Circular 230 (with §10.36 procedures to ensure compliance) requires a named, accountable practitioner to stand behind a filed return or issued opinion. KYE holds an AI-generated tax position advisory until the named preparer / signing professional records sign-off, via the §36 GovernedUI human-control surface; unreviewed AI-driven consequential actions are refused and routed dual-channel. Enforced by tax_signoff_gate + tax_named_preparer_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "isa-uk", "display_name": "ISA (UK) — International Standards on Auditing (UK)", "framework_version": "2024", "source": "The International Standards on Auditing (UK), as adopted by the Financial Reporting Council, set the requirements for the audit of financial statements. ISA (UK) 200 establishes the overall objectives and the requirement to obtain reasonable assurance and exercise professional scepticism; ISA (UK) 240 sets the auditor's responsibilities relating to fraud; ISA (UK) 315 requires identifying and assessing the risks of material misstatement through understanding the entity; ISA (UK) 330 sets the auditor's responses to assessed risks; and ISA (UK) 700 governs forming an opinion and reporting on the financial statements. KYE Protocol™ governs whether an AI-generated audit working-paper, conclusion, or statement may PROCEED to a consequential action under a named auditor's authority, with the ISA (UK) responsibilities recorded before the action and replay-provable. KYE does not perform the audit, form the audit opinion, or judge whether the financial statements are correct.", "license": "The ISAs (UK) are issued by the Financial Reporting Council; KYE registry cites the standards for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Professional scepticism & reasonable assurance (ISA 200)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Fraud responsibilities (ISA 240)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Risk identification & assessment (ISA 315)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Forming the opinion & reporting (ISA 700)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "isa-uk.isa200-professional-scepticism", "title": "ISA (UK) 200: professional scepticism & reasonable assurance recorded before an AI-generated conclusion proceeds", "framework": "isa-uk", "framework_version": "2024", "framework_category": "Professional scepticism & reasonable assurance (ISA 200)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "ISA (UK) 200 requires the auditor to plan and perform the audit with professional scepticism and to obtain reasonable assurance about whether the financial statements are free from material misstatement. KYE requires the scepticism / reasonable-assurance basis to be recorded in the due-diligence result before an AI-generated audit conclusion proceeds; a low-confidence or unsupported conclusion is refused under the §25 Edge Governance Safety Floor. Enforced by accounting_due_diligence_before_action. KYE proves the standard was assessed; it does not perform the audit. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "isa-uk.isa240-fraud-responsibilities", "title": "ISA (UK) 240: fraud-risk screen recorded before an AI-generated audit-support entry proceeds", "framework": "isa-uk", "framework_version": "2024", "framework_category": "Fraud responsibilities (ISA 240)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "ISA (UK) 240 sets the auditor's responsibilities relating to fraud in an audit, including the requirement to identify and assess the risks of material misstatement due to fraud and to design responses. KYE requires a fraud-risk screen to be recorded in the due-diligence result before an AI-generated audit-support entry or conclusion proceeds to a consequential action, under the §12 Purpose Permission purpose-scope check. Enforced by accounting_due_diligence_before_action. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "isa-uk.isa315-risk-assessment", "title": "ISA (UK) 315: risk-of-material-misstatement assessment provenance-pinned", "framework": "isa-uk", "framework_version": "2024", "framework_category": "Risk identification & assessment (ISA 315)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "ISA (UK) 315 requires the auditor to identify and assess the risks of material misstatement, whether due to fraud or error, through understanding the entity and its environment and the entity's system of internal control. KYE requires every AI-generated risk-assessment working paper that proceeds to be relied upon to emit a signed, replay-derivable provenance pin binding the model, the inputs and pinned source data, and the due-diligence result, per the §13 Resilience Loop. Enforced by accounting_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "isa-uk.isa700-forming-opinion", "title": "ISA (UK) 700: named-auditor authority & sign-off before the opinion is formed", "framework": "isa-uk", "framework_version": "2024", "framework_category": "Forming the opinion & reporting (ISA 700)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "ISA (UK) 700 governs the auditor forming an opinion on the financial statements and the form and content of the auditor's report, which a named responsible audit partner must sign. KYE holds an AI-generated audit conclusion advisory until the named engagement partner / responsible auditor records sign-off, via the §36 GovernedUI human-control surface; unreviewed AI-driven audit conclusions are refused and routed dual-channel. Enforced by accounting_signoff_gate + accounting_named_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "iso-14001", "display_name": "ISO 14001 — Environmental Management Systems", "framework_version": "2015", "source": "ISO 14001:2015, the international standard for environmental management systems (EMS) — operational planning and control, emergency preparedness, and evaluation of compliance. KYE governs the authority, evidence and finality of AI-authored or AI-approved environmental HSE documents and instructions that discharge an EMS control; KYE does not run the firm's EMS. Starter requirement set (KYE HSE Authority Pack™); deepen by graft.", "license": "ISO standard text is copyrighted by ISO; KYE registry cites clause numbers for mapping purposes only and reproduces no clause text.", "total": 3, "declared_total": 3, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 3, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Clause 8.1 — Operational planning and control": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Clause 8.2 — Emergency preparedness and response": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Clause 9.1.2 — Evaluation of compliance": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "iso-14001.8.1", "title": "Operational planning and control — AI-authored environmental instructions are authority-bound", "framework": "iso-14001", "framework_version": "2015", "framework_category": "Clause 8.1 — Operational planning and control", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI agent that authors or interprets a safety-critical environmental instruction (containment, discharge-control, hazardous-material handling) classifies the instruction under the §25 safety floor with a validated model-authority record. Enforced by industrial_physical_safety_floor. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-14001.8.2", "title": "Emergency preparedness and response — scoped to authorised environmental action", "framework": "iso-14001", "framework_version": "2015", "framework_category": "Clause 8.2 — Emergency preparedness and response", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-issued environmental emergency instruction is bound to the authorised site, asset, and scope; cross-site or out-of-scope instructions are refused at the action-admissibility gate. Enforced by industrial_authority_scope. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-14001.9.1.2", "title": "Evaluation of compliance — contestable and evidenced", "framework": "iso-14001", "framework_version": "2015", "framework_category": "Clause 9.1.2 — Evaluation of compliance", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-authored environmental-compliance evaluation is contestable with a replay-derivable Evidence Pack supporting the EMS compliance record. Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "iso-15189", "display_name": "ISO 15189:2022 — Medical laboratories — Requirements for quality and competence", "framework_version": "2022", "source": "ISO 15189:2022 specifies requirements for quality and competence in medical laboratories, including patient-safety risk management. KYE Protocol™ governs the §7.6 reporting-integrity and §8.4 record-control slices, the §5 impartiality/authority slice, and the §8.5 risk/patient-safety evidence slice where a medical laboratory uses AI-supported or automated decisioning. KYE™ does not perform examinations, validate examination procedures, manage biological reference intervals, or assess personnel competence.", "license": "ISO — clause text is copyrighted; KYE registry paraphrases each clause's intent and cites the official identifier for mapping purposes only.", "total": 6, "declared_total": 6, "coverage_pct": 83, "status_counts": { "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Reporting of results & integrity of the report (7.4-7.6)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Control of records & audit trail (8.4)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Information management & data integrity (7.6, 8.4)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Impartiality & authorised decision-making (5.1, 6.2)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Risk management & patient-safety evidence (8.5)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Examination processes & technical competence (6, 7.3)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "iso-15189.7.4-report-integrity", "title": "7.4-7.6 — Examination results are reported accurately and any amended report is traceable", "framework": "iso-15189", "framework_version": "ISO 15189:2022 §7.4, §7.6", "framework_category": "Reporting of results & integrity of the report (7.4-7.6)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "§7.4 governs reporting of results and the handling of amended reports. Where an AI-supported examination contributes to a reported result, KYE™ binds the decision map under a context seal so the AI contribution is attributable and any amendment is itself an appended, signed evidence event. Covers the AI contribution; the laboratory's LIS report controls are its own system." }, { "requirement_id": "iso-15189.8.4-record-control", "title": "8.4 — Records are retained, legible and protected from unauthorised alteration", "framework": "iso-15189", "framework_version": "ISO 15189:2022 §8.4", "framework_category": "Control of records & audit trail (8.4)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "worm_tables": [ "evidence_events" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "§8.4 requires records to be controlled, retained, and protected from unauthorised alteration. KYE writes AI-action evidence to a §30 WORM append-only hash-chain so every AI-driven change to a medical-laboratory record is tamper-evident. Covers the AI-action audit trail only." }, { "requirement_id": "iso-15189.7.6-data-integrity", "title": "7.6 — Laboratory information systems preserve the integrity of examination data", "framework": "iso-15189", "framework_version": "ISO 15189:2022 §7.6 (with §8.4)", "framework_category": "Information management & data integrity (7.6, 8.4)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.proof.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "§7.6 requires information management to preserve data integrity. KYE's tool-call evidence + replay proof make an AI-derived examination data point reproducible from its pinned inputs and model version. Covers AI-derived data; the laboratory's primary LIS integrity controls are its own system." }, { "requirement_id": "iso-15189.5.1-impartiality-authority", "title": "5.1 / 6.2 — Impartial, authorised personnel (or governed agents) make laboratory decisions", "framework": "iso-15189", "framework_version": "ISO 15189:2022 §5.1, §6.2", "framework_category": "Impartiality & authorised decision-making (5.1, 6.2)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-06", "notes": "§5.1 requires impartiality and §6.2 requires personnel to be competent and authorised. KYE's Purpose Permission™ scopes an AI agent's authority over a medical-laboratory decision to an explicit grant. Designed: the 15189-role → KYE-authorisation binding is in build; the admissibility primitive is live." }, { "requirement_id": "iso-15189.8.5-risk-patient-safety", "title": "8.5 — Risk to patient safety from an AI-supported step is assessed and evidenced", "framework": "iso-15189", "framework_version": "ISO 15189:2022 §8.5", "framework_category": "Risk management & patient-safety evidence (8.5)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.resilience.drift_event.v1", "kye.resilience.loop_iteration.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-06", "notes": "§8.5 newly requires medical laboratories to manage risk to patient safety. KYE's §13 Resilience Loop captures drift and improvement evidence for an AI-supported examination step. Designed: the patient-safety risk register → resilience-loop binding is in build; the drift/loop primitives are live." }, { "requirement_id": "iso-15189.6-examination-competence", "title": "Clause 6 / 7.3 — Examination processes, validation and technical competence", "framework": "iso-15189", "framework_version": "ISO 15189:2022 Clause 6, §7.3", "framework_category": "Examination processes & technical competence (6, 7.3)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Validation and verification of examination procedures, biological reference intervals, equipment and reagents, and demonstrated technical competence of personnel are the medical laboratory's own quality system. Out of scope for an AI-authority-governance protocol (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "iso-15489", "display_name": "ISO 15489-1:2016 — Information and Documentation · Records Management", "framework_version": "2016", "source": "ISO 15489-1:2016 (Information and documentation — Records management — Part 1: Concepts and principles) sets the principles for creating, capturing and managing authentic, reliable, usable records with documented metadata, retention authority, and access controls. KYE Protocol™ does NOT manage, store, classify, or retain records — Iron Mountain governs INFORMATION (records, custody, retention, classification, IDP). KYE Protocol™ governs ACTION: who was authorised to act on a record, whether that action was admissible, evidenced, final, and revocable. KYE Protocol™ retains its OWN proof-of-governance evidence chain (NOT the customer's records). The records-storage / retention-schedule / disposition requirements are records-management's job and map out-of-scope; the chain-of-authority overlay (the moment a custodied/classified record drives a consequential AI action) is KYE Protocol™'s job and maps enforced.", "license": "ISO copyright — citation only; KYE registry cites clause structure for mapping purposes (no normative text reproduced).", "total": 6, "declared_total": 6, "coverage_pct": 50, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 3 }, "by_category": { "Records authenticity & reliability (authority overlay)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Records access & permissions (authority overlay)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Records creation, capture & metadata (records-management)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Retention schedule & disposition authority (records-management)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Records storage & preservation (records-management)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "iso-15489.authenticity-authority-binding", "title": "Record authenticity at the action boundary: a custodied record may only drive a consequential AI action under a recorded named-authority decision", "framework": "iso-15489", "framework_version": "2016", "framework_category": "Records authenticity & reliability (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "ISO 15489-1 §5 requires records to be authentic — what they purport to be, created by the agent purporting to create them. KYE's chain-of-authority overlay binds the moment a custodied/authentic record drives a consequential AI action to a recorded named-authority decision (which agent, which record, which action, under whose authority) at the §12 Purpose Permission action-admissibility gate, via the authority-engine + decision-engine. This is KYE's job (ACTION authority), not Iron Mountain's (records authenticity-of-storage). Honest scope: KYE proves who was authorised to act on the record; it does not establish the record's content-authenticity or store the record." }, { "requirement_id": "iso-15489.reliability-evidence-pin", "title": "Record reliability: every authority decision over a custodied record emits a signed, replay-provable evidence pin", "framework": "iso-15489", "framework_version": "2016", "framework_category": "Records authenticity & reliability (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "ISO 15489-1 §5 requires records to be reliable — a full and accurate representation that can be depended upon. KYE's overlay emits a signed, replay-derivable evidence pin (the §13 Resilience Loop) for every authority/admissibility decision taken over a custodied record, so the proof-of-governance is reconstructable offline from public keys alone. Enforced by the evidence-engine + audit-chain. Honest scope: KYE proves the GOVERNANCE decision is reliable and replay-provable; it does not vouch for the reliability of the record's content." }, { "requirement_id": "iso-15489.access-permission-overlay", "title": "Records access & permissions: an AI action on a record is refused unless the actor holds the required permission scope", "framework": "iso-15489", "framework_version": "2016", "framework_category": "Records access & permissions (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "ISO 15489-1 §8.4 requires access rules / permissions governing who may act on records. KYE's overlay evaluates whether the acting principal holds the required purpose-scope at the §12 PDP before a consequential action on a custodied record is admitted, refusing and routing dual-channel otherwise. Enforced by the pdp + authority-engine. Honest scope: KYE governs the AUTHORITY to act; the records-management system still owns the underlying access-control list over the stored record." }, { "requirement_id": "iso-15489.records-capture-metadata", "title": "Records creation, capture & metadata (records-management — owned by the information custodian, not KYE)", "framework": "iso-15489", "framework_version": "2016", "framework_category": "Records creation, capture & metadata (records-management)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "out-of-scope", "owning_role": "records-manager", "notes": "ISO 15489-1 §9.3–§9.4 require records to be created and captured with point-of-capture metadata. This is the records-management system's job (Iron Mountain InSight DXP — IDP, capture, classification, metadata extraction). KYE does NOT capture, classify, or store records. §0 BOUNDARY: Iron Mountain governs INFORMATION; KYE governs ACTION. KYE only CONSUMES the captured classification/metadata as an input signal at the action boundary (the connector contract maps InSight metadata → KYE entity/evidence model), never re-implementing records capture. Out-of-scope, owned by the records-manager / information-custodian." }, { "requirement_id": "iso-15489.retention-disposition-authority", "title": "Retention schedule & disposition authority (records-management — KYE's audit-retention is NOT the customer's records-retention)", "framework": "iso-15489", "framework_version": "2016", "framework_category": "Retention schedule & disposition authority (records-management)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "out-of-scope", "owning_role": "records-manager", "notes": "ISO 15489-1 §9.9 requires authorised retention schedules and disposition (transfer / destruction) decisions for records. This is Iron Mountain's records-retention business. KYE does NOT set, apply, or execute records-retention schedules or disposition. §0 HARD LINE: do NOT blur §30 KYE audit-WORM-retention (KYE's OWN proof-of-governance evidence, retained under framework-justified years) with the customer's records-retention. KYE retains PROOF-OF-GOVERNANCE, NOT Iron Mountain's records. Out-of-scope, owned by the records-manager." }, { "requirement_id": "iso-15489.storage-preservation", "title": "Records storage & preservation (records-management — owned by the information custodian, not KYE)", "framework": "iso-15489", "framework_version": "2016", "framework_category": "Records storage & preservation (records-management)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "out-of-scope", "owning_role": "information-custodian", "notes": "ISO 15489-1 §9.6 requires records to be stored and preserved in conditions that protect them for as long as required. This is the storage/preservation custodian's job (Iron Mountain physical + digital vaulting, InSight DXP storage). KYE does NOT store or preserve records. §0 BOUNDARY: KYE retains only its own evidence chain on Cloudflare-native infra (§16) — never the customer's records. Out-of-scope, owned by the information-custodian." } ], "resolution_framing": null }, { "framework": "iso-16175", "display_name": "ISO 16175-1:2020 — Processes and Functional Requirements for Software for Managing Records (digital records)", "framework_version": "2020", "source": "ISO 16175-1:2020 specifies the principles and functional requirements for software that creates and manages digital records — capture, identification, classification, access control, retention/disposition, and audit trail. KYE Protocol™ is NOT records-management software — Iron Mountain InSight DXP is. KYE Protocol™ governs ACTION (who was authorised to act on a digital record at the moment it drives a consequential AI action), not the management of the record itself. The capture / classification / retention functional requirements map out-of-scope (records-management software); the audit-trail and access-decision overlay at the action boundary maps enforced (KYE Protocol™'s chain-of-authority).", "license": "ISO copyright — citation only; KYE registry cites clause structure for mapping purposes (no normative text reproduced).", "total": 5, "declared_total": 5, "coverage_pct": 60, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 2 }, "by_category": { "Action-decision audit trail (authority overlay)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Access-control decision at the action boundary (authority overlay)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Capture & classification functional requirements (records-software)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Retention & disposition functional requirements (records-software)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "iso-16175.action-audit-trail", "title": "Action-decision audit trail: every consequential AI action over a digital record emits an immutable, tamper-evident governance audit entry", "framework": "iso-16175", "framework_version": "2020", "framework_category": "Action-decision audit trail (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.proof.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "ISO 16175-1 requires records software to maintain an audit trail of actions taken on records. KYE's overlay maintains a tamper-evident, WORM-backed audit trail OF THE AUTHORITY/ADMISSIBILITY DECISION taken when a digital record drives a consequential AI action (§30 WORM + §13 replay-proof), enforced by the audit-chain + evidence-engine. Honest scope: this is the audit trail of the GOVERNANCE DECISION, NOT the records-management audit trail (which Iron Mountain InSight DXP maintains)." }, { "requirement_id": "iso-16175.replayable-decision-record", "title": "Replayable decision record: the action decision is reconstructable offline from public keys alone", "framework": "iso-16175", "framework_version": "2020", "framework_category": "Action-decision audit trail (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "ISO 16175-1 requires the integrity of records-software audit data over time. KYE's overlay makes the action-decision record Replay-Proof — derivable offline from published JWKS public keys alone (§13 Resilience Loop), via the audit-replay-orchestrator + evidence-engine. Honest scope: KYE proves the GOVERNANCE decision was final and reconstructable; it does not preserve the digital record's bytes (that is the records-software's job)." }, { "requirement_id": "iso-16175.access-control-decision", "title": "Access-control decision at the action boundary: refuse an unauthorised AI action on a classified digital record", "framework": "iso-16175", "framework_version": "2020", "framework_category": "Access-control decision at the action boundary (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "ISO 16175-1 requires records software to enforce access controls. KYE's overlay decides, at the §12 action-admissibility gate, whether the acting principal may take the consequential action on the record given its InSight classification (e.g. a higher-sensitivity classification raises the authority bar), refusing and routing dual-channel otherwise — via the pdp + decision-engine. Honest scope: KYE governs the AUTHORITY-to-act decision; InSight DXP still owns the records access-control list." }, { "requirement_id": "iso-16175.capture-classification-functional", "title": "Capture & classification functional requirements (records-software — owned by Iron Mountain InSight DXP, not KYE)", "framework": "iso-16175", "framework_version": "2020", "framework_category": "Capture & classification functional requirements (records-software)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/15-MCP-AND-SDK.md" ] }, "coverage_status": "out-of-scope", "owning_role": "information-custodian", "notes": "ISO 16175-1 requires records software to capture and classify digital records. This is Iron Mountain InSight DXP's job (IDP, document classification, records metadata). KYE does NOT capture or classify records; the §15 connector CONSUMES InSight's classification output as an input signal at the action boundary, never re-implementing it. §0 BOUNDARY: Iron Mountain governs INFORMATION; KYE governs ACTION. Out-of-scope, owned by the information-custodian." }, { "requirement_id": "iso-16175.retention-disposition-functional", "title": "Retention & disposition functional requirements (records-software — owned by Iron Mountain, not KYE)", "framework": "iso-16175", "framework_version": "2020", "framework_category": "Retention & disposition functional requirements (records-software)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "out-of-scope", "owning_role": "records-manager", "notes": "ISO 16175-1 requires records software to apply retention schedules and execute disposition. This is Iron Mountain's records-retention business. KYE does NOT apply records-retention or disposition. §0 HARD LINE: KYE's §30 audit-WORM-retention governs KYE's OWN proof-of-governance evidence — never the customer's records-retention. Out-of-scope, owned by the records-manager." } ], "resolution_framing": null }, { "framework": "iso-17025", "display_name": "ISO/IEC 17025:2017 — General requirements for the competence of testing and calibration laboratories", "framework_version": "2017", "source": "ISO/IEC 17025:2017 specifies the general requirements for the competence, impartiality and consistent operation of testing and calibration laboratories. KYE Protocol™ governs the §7.11 control of data & information management, the §7.5/§7.8 technical-record and reporting-integrity slices, the §8 management-system records, and the impartiality/authority slice where a laboratory uses AI-supported or automated decisioning. KYE™ does not perform measurements, calibrate equipment, estimate measurement uncertainty, or assess technical competence.", "license": "ISO/IEC — clause text is copyrighted; KYE registry paraphrases each clause's intent and cites the official identifier for mapping purposes only.", "total": 6, "declared_total": 6, "coverage_pct": 58, "status_counts": { "enforced": 3, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 2 }, "by_category": { "Control of data & information management (7.11)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Technical records & integrity of results (7.5, 7.8)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Control of management-system records & audit trail (8.4)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Impartiality & authority over automated decisions (4.1, 6.2)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Metrological traceability & measurement uncertainty (6.5, 7.6)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Equipment, facilities & technical competence (6.3-6.4)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "iso-17025.7.11-data-management", "title": "7.11 — Laboratory information-management systems protect data integrity and record changes with an audit trail", "framework": "iso-17025", "framework_version": "ISO/IEC 17025:2017 §7.11", "framework_category": "Control of data & information management (7.11)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "worm_tables": [ "evidence_events" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "§7.11 requires the laboratory information-management system to safeguard the integrity of data and to record system changes. For AI-supported data handling, KYE writes the AI-action evidence to a §30 WORM append-only hash-chain — tamper-evident, with every change recorded. Covers the AI/automated data path; the laboratory's primary LIMS integrity controls are its own system." }, { "requirement_id": "iso-17025.7.5-technical-records", "title": "7.5 / 7.8 — Technical records and reported results are reproducible and any amendment is traceable", "framework": "iso-17025", "framework_version": "ISO/IEC 17025:2017 §7.5, §7.8", "framework_category": "Technical records & integrity of results (7.5, 7.8)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.replay.proof.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "§7.5 requires technical records sufficient to reproduce the activity and to identify factors affecting uncertainty; §7.8.8 controls amendments to reported results. KYE's decision map + replay proof make an AI-derived result reproducible from its pinned inputs and model version, and any amendment is itself an appended, signed evidence event. Covers AI-derived results only." }, { "requirement_id": "iso-17025.8.4-management-records", "title": "8.4 — Management-system records are retained, legible and protected from unauthorised change", "framework": "iso-17025", "framework_version": "ISO/IEC 17025:2017 §8.4", "framework_category": "Control of management-system records & audit trail (8.4)", "level": "mandatory", "kye_enforcement": { "engines": [ "internal" ], "r2_buckets": [ "kye-evidence-archive" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "§8.4 requires retention of management-system records under controlled access and protection from loss/unauthorised change. KYE's §30 retention policy + R2 Object Lock archive holds the AI-action evidence accordingly. Designed: binding the laboratory-defined ISO 17025 retention period to the §30 retention-policy table is in build. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "iso-17025.4.1-impartiality-authority", "title": "4.1 / 6.2 — Impartial, authorised personnel (or governed agents) make laboratory decisions", "framework": "iso-17025", "framework_version": "ISO/IEC 17025:2017 §4.1, §6.2", "framework_category": "Impartiality & authority over automated decisions (4.1, 6.2)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-06", "notes": "§4.1 requires impartiality and §6.2 requires personnel to be authorised to perform specific laboratory activities. KYE's Purpose Permission™ scopes an AI agent's authority over a laboratory decision to an explicit grant. Designed: the 17025-role → KYE-authorisation binding is in build; the admissibility primitive is live." }, { "requirement_id": "iso-17025.6.5-traceability", "title": "6.5 / 7.6 — Metrological traceability and evaluation of measurement uncertainty", "framework": "iso-17025", "framework_version": "ISO/IEC 17025:2017 §6.5, §7.6", "framework_category": "Metrological traceability & measurement uncertainty (6.5, 7.6)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Metrological traceability to SI units and the evaluation of measurement uncertainty are metrology functions owned by the laboratory's technical system and calibration providers. KYE™ is an AI-authority and evidence layer, not a metrology system — out of scope (§0 honest scope).", "owning_role": "customer" }, { "requirement_id": "iso-17025.6.3-equipment-competence", "title": "6.3 / 6.4 — Facilities, equipment and demonstrated technical competence", "framework": "iso-17025", "framework_version": "ISO/IEC 17025:2017 §6.3, §6.4", "framework_category": "Equipment, facilities & technical competence (6.3-6.4)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Suitability of facilities and environmental conditions, equipment maintenance and calibration, and demonstrated technical competence of personnel are the laboratory's own quality system. Out of scope for an AI-authority-governance protocol (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "iso-23081", "display_name": "ISO 23081-1:2017 — Managing Metadata for Records (records metadata)", "framework_version": "2017", "source": "ISO 23081-1:2017 specifies the framework for creating, managing and using records-management metadata — describing the record, the agents, the business activity, and the relationships and events over the record's lifecycle. KYE Protocol™ does NOT generate or manage records metadata — Iron Mountain InSight DXP does. KYE Protocol™ CONSUMES records metadata (agent, classification, business activity) as the input signal at the action boundary: the §15 connector maps InSight DXP records-metadata fields → the KYE Protocol™ entity/evidence model. The metadata-creation and metadata-management requirements map out-of-scope; the metadata-driven action-decision (a classification/agent metadata field raising the authority bar before a consequential action) maps enforced.", "license": "ISO copyright — citation only; KYE registry cites clause structure for mapping purposes (no normative text reproduced).", "total": 5, "declared_total": 5, "coverage_pct": 60, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 2 }, "by_category": { "Metadata-driven authority decision (authority overlay)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Agent-metadata binding to a KYE-resolved principal (authority overlay)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Metadata creation & capture (records-management)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Metadata management & maintenance (records-management)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "iso-23081.classification-driven-authority", "title": "Classification-driven authority: a record's metadata classification sets the authority bar for a consequential AI action", "framework": "iso-23081", "framework_version": "2017", "framework_category": "Metadata-driven authority decision (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "ISO 23081-1 requires records metadata to describe the record's classification and sensitivity. KYE CONSUMES the InSight DXP classification metadata field at the §12 action-admissibility gate — a higher-sensitivity classification (e.g. restricted / regulated-records) raises the authority bar required before a consequential AI action proceeds, via the data-classification-engine + decision-engine. This is the classification-driven-action specialization. Honest scope: KYE READS the classification InSight assigned; it does not assign or manage the classification." }, { "requirement_id": "iso-23081.event-history-evidence", "title": "Event-history evidence: the record's custody/event metadata is bound into the KYE evidence pin for the action decision", "framework": "iso-23081", "framework_version": "2017", "framework_category": "Metadata-driven authority decision (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "ISO 23081-1 requires recordkeeping metadata to capture events and relationships over the record's lifecycle. KYE binds the InSight custody/event metadata (the chain-of-custody) into the evidence pin for the action decision — so the proof shows WHICH custodied record, with WHICH custody history, drove the action — via the evidence-engine + audit-chain. This is the custody→authority binding. Honest scope: KYE pins the custody metadata as evidence INPUT; Iron Mountain owns and proves the chain-of-custody itself." }, { "requirement_id": "iso-23081.agent-metadata-principal-binding", "title": "Agent-metadata binding: the record's agent metadata resolves to exactly one KYE-resolved principal in one tenant", "framework": "iso-23081", "framework_version": "2017", "framework_category": "Agent-metadata binding to a KYE-resolved principal (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "ISO 23081-1 requires records metadata to identify the agents (people, systems) associated with a record. KYE's overlay resolves the InSight agent metadata to exactly one KYE principal in exactly one tenant (§0.11 + §0.30 first-class principal) so the named-authority decision is attributable, via the authority-engine + directory-engine. Honest scope: KYE binds the agent identity for the AUTHORITY decision; the records system owns the agent metadata it captured." }, { "requirement_id": "iso-23081.metadata-creation-capture", "title": "Metadata creation & capture (records-management — owned by Iron Mountain InSight DXP, not KYE)", "framework": "iso-23081", "framework_version": "2017", "framework_category": "Metadata creation & capture (records-management)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/15-MCP-AND-SDK.md" ] }, "coverage_status": "out-of-scope", "owning_role": "information-custodian", "notes": "ISO 23081-1 requires records-management metadata to be created and captured at the point of records capture. This is Iron Mountain InSight DXP's job (IDP extraction, classification, records-metadata generation). KYE does NOT create or capture records metadata; the §15 connector only CONSUMES it. §0 BOUNDARY: Iron Mountain governs INFORMATION; KYE governs ACTION. Out-of-scope, owned by the information-custodian." }, { "requirement_id": "iso-23081.metadata-management-maintenance", "title": "Metadata management & maintenance over the lifecycle (records-management — owned by Iron Mountain, not KYE)", "framework": "iso-23081", "framework_version": "2017", "framework_category": "Metadata management & maintenance (records-management)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "out-of-scope", "owning_role": "records-manager", "notes": "ISO 23081-1 requires records metadata to be maintained, updated, and preserved across the record's lifecycle. This is the records-management system's job. KYE does NOT maintain records metadata; KYE only retains its OWN evidence pins (§30 audit-WORM) referencing the metadata as an input snapshot. §0 HARD LINE: KYE audit-retention ≠ records-retention. Out-of-scope, owned by the records-manager." } ], "resolution_framing": null }, { "framework": "iso-27001", "display_name": "ISO/IEC 27001:2022 — Information Security Management Annex A + Clauses 4-10", "framework_version": "2022", "source": "ISO/IEC 27001:2022 Annex A (93 controls, 4 themes): mirrors ISO/IEC 27002:2022 control catalogue. Main-body clauses 4-10 (Context, Leadership, Planning, Support, Operation, Performance evaluation, Improvement) added 2026-05-29 (Wave-Ralph-B) for a regulator-grade ISMS-level deep-mapping.", "license": "ISO — control text is copyrighted; KYE registry paraphrases each control's intent and cites the official identifier for mapping purposes only.", "total": 118, "declared_total": 118, "coverage_pct": 79, "status_counts": { "enforced": 83, "designed": 6, "advisory": 29, "deferred": 0, "out-of-scope": 0 }, "by_category": { "A.5 Organisational controls": { "total": 37, "enforced": 32, "designed": 1, "advisory": 4, "deferred": 0, "out-of-scope": 0, "coverage_pct": 91 }, "A.6 People controls": { "total": 8, "enforced": 3, "designed": 1, "advisory": 4, "deferred": 0, "out-of-scope": 0, "coverage_pct": 56 }, "A.7 Physical controls": { "total": 14, "enforced": 2, "designed": 0, "advisory": 12, "deferred": 0, "out-of-scope": 0, "coverage_pct": 36 }, "A.8 Technological controls": { "total": 34, "enforced": 26, "designed": 3, "advisory": 5, "deferred": 0, "out-of-scope": 0, "coverage_pct": 85 }, "Clause 4 Context of the organisation": { "total": 4, "enforced": 2, "designed": 0, "advisory": 2, "deferred": 0, "out-of-scope": 0, "coverage_pct": 63 }, "Clause 5 Leadership": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Clause 6 Planning": { "total": 5, "enforced": 4, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 85 }, "Clause 7 Support": { "total": 5, "enforced": 4, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 85 }, "Clause 8 Operation": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Clause 9 Performance evaluation": { "total": 3, "enforced": 2, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 83 }, "Clause 10 Improvement": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "iso-27001.A.5.1", "title": "Policies for information security", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.tool.compiled.v1" ], "engines": [ "internal" ], "workers": [ "kye-rules-gateway-worker" ], "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "enforced", "notes": "Rule packs declare policy; Rules Gateway enforces at runtime; CI gate audits canonical rule-pack manifest.", "verification": { "npm_gate": "test:rule-pack-canonical" } }, { "requirement_id": "iso-27001.A.5.2", "title": "Information security roles and responsibilities", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Authority Risk Register binds each authority to a named role; PDP enforces role-scoped grants.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.5.3", "title": "Segregation of duties", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Purpose Permission flags overlapping authorities; GovernedUI two-person mode enforces SoD on irreversibles.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.5.4", "title": "Management responsibilities", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "notes": "Management-review compliance attestation; signed-quarterly cadence in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.5", "title": "Contact with authorities", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Regulator-contact procedure is a customer organisational arrangement; KYE provides the comms manifest path but does not enforce engagement." }, { "requirement_id": "iso-27001.A.5.6", "title": "Contact with special interest groups", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Out-of-scope for runtime KYE — customer organisational arrangement." }, { "requirement_id": "iso-27001.A.5.7", "title": "Threat intelligence", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Drift Detector + Scenario Engine ingest threat signals; external threat-intel feed binding in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.8", "title": "Information security in project management", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "notes": "Project-onboarding kickoff brief carries security-attestation field; runtime gate not yet authored.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.9", "title": "Inventory of information and other associated assets", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "notes": "Authority Risk Register + entity manifest enumerate every governed information asset.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.5.10", "title": "Acceptable use of information and other associated assets", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Purpose Permission encodes acceptable-use as a per-decision admissibility rule.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.5.11", "title": "Return of assets", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.revocation.event.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal" ], "workers": [ "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Revocation cascade removes credentials on departure; physical asset return is out-of-scope.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.12", "title": "Classification of information", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Data Classification Engine tags by sensitivity; classification drives residency + access decisions.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.5.13", "title": "Labelling of information", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Every evidence event carries the classification label end-to-end through the audit chain.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.5.14", "title": "Information transfer", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Data Residency Router enforces lawful-transfer rules per jurisdiction; cross-border events sealed.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.5.15", "title": "Access control", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "PDP is the single canonical access decision point; every access carries a Decision Map.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.5.16", "title": "Identity management", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Entity manifest + Authority Engine bind every identity to a registered, attested record.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.5.17", "title": "Authentication information", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signing.multisig_envelope.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "BYOK + key-custody engines manage authentication-secret lifecycle; rotation cadence in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.18", "title": "Access rights", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Authority Grant is the canonical right-assignment primitive; revocation orchestrator deactivates on schedule.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.5.19", "title": "Information security in supplier relationships", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope binds supplier relationships; supplier-attestation cadence in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.20", "title": "Addressing information security within supplier agreements", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation delegation contract carries security-requirement field; runtime checks in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.21", "title": "Managing information security in the ICT supply chain", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "SBOM + supply-chain attestation outside KYE's runtime scope; published as transparency statement." }, { "requirement_id": "iso-27001.A.5.22", "title": "Monitoring, review and change management of supplier services", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Subprocessor registry monitored on §51 SPOF cadence; supplier-change webhook in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.23", "title": "Information security for use of cloud services", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Cloud-residency declared per tenant; Edge Arbiter enforces at the perimeter.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.5.24", "title": "Information security incident management planning and preparation", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector + Resilience Loop bind every incident class to a defined runbook reference.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.5.25", "title": "Assessment and decision on information security events", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident triage emits canonical opened / classified / closed events with severity binding.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.5.26", "title": "Response to information security incidents", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Containment automation (revocation cascade + sealed evidence pack) declared; SLA-bound runbook in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.27", "title": "Learning from information security incidents", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "Post-incident replay + lesson-attestation declared; lesson-library wiring in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.28", "title": "Collection of evidence", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit chain + Evidence Pack assembler produce signed, replay-derivable evidence per event.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "iso-27001.A.5.29", "title": "Information security during disruption", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "notes": "§51 SPOF Registry declares per-dependency disruption posture; gate ratchets coverage monotonically.", "verification": { "npm_gate": "test:no-spof-coverage" } }, { "requirement_id": "iso-27001.A.5.30", "title": "ICT readiness for business continuity", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "designed", "notes": "SPOF path-to-full runbooks declare RTO/RPO per component; runtime continuity probe in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.5.31", "title": "Legal, statutory, regulatory and contractual requirements", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "enforced", "notes": "Compliance Attestation maps every framework claim to a control row + ≤90-day attestation.", "verification": { "npm_gate": "test:compliance-attestation" } }, { "requirement_id": "iso-27001.A.5.32", "title": "Intellectual property rights", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "IP policy is a customer organisational arrangement; KYE provides the §33 IP/OSS line enforcement for itself." }, { "requirement_id": "iso-27001.A.5.33", "title": "Protection of records", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit + R2 Object Lock provide tamper-evident record protection per retention policy.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "iso-27001.A.5.34", "title": "Privacy and protection of PII", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Data Governance Pack (§31) enforces PDP-bound data_use stage; DSAR evidence pack derives subject view.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.5.35", "title": "Independent review of information security", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "Audit Pilot performs delegated independent review; review report sealed to the WORM chain.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "iso-27001.A.5.36", "title": "Compliance with policies, rules and standards for information security", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "enforced", "notes": "Compliance Card refresh emits attestation per framework on the canonical cadence.", "verification": { "npm_gate": "test:compliance-attestation" } }, { "requirement_id": "iso-27001.A.5.37", "title": "Documented operating procedures", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.5 Organisational controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "notes": "Constitution + implementation registry are the canonical documented procedure set; CI enforces freshness.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.6.1", "title": "Screening", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.6 People controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Pre-employment screening is out-of-scope for KYE runtime." }, { "requirement_id": "iso-27001.A.6.2", "title": "Terms and conditions of employment", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.6 People controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Employment contracts are out-of-scope for KYE runtime." }, { "requirement_id": "iso-27001.A.6.3", "title": "Information security awareness, education and training", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.6 People controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.training.completion.v1" ], "constitution_refs": [ "constitution/10-PARTNER.md" ] }, "coverage_status": "designed", "notes": "Training-completion event family declared; Partner Program carries the canonical curriculum. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.6.4", "title": "Disciplinary process", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.6 People controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "HR disciplinary processes are out-of-scope for KYE runtime." }, { "requirement_id": "iso-27001.A.6.5", "title": "Responsibilities after termination or change of employment", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.6 People controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.revocation.event.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal" ], "workers": [ "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Revocation cascade deactivates credentials on termination; HR-handoff webhook in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.6.6", "title": "Confidentiality or non-disclosure agreements", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.6 People controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "NDA management is out-of-scope for KYE runtime." }, { "requirement_id": "iso-27001.A.6.7", "title": "Remote working", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.6 People controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Remote-working access is governed by the same PDP path as on-premise; location is an admissibility input.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.6.8", "title": "Information security event reporting", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.6 People controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident-opened event is the canonical reporting primitive; channel-agnostic emission via Comms Engine.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.7.1", "title": "Physical security perimeters", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Physical security delegated to Cloudflare (SOC 2/ISO 27001 certified) data centres." }, { "requirement_id": "iso-27001.A.7.2", "title": "Physical entry", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Physical-access procedures are customer-facility scope; data-centre access delegated to Cloudflare." }, { "requirement_id": "iso-27001.A.7.3", "title": "Securing offices, rooms and facilities", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Customer-facility scope." }, { "requirement_id": "iso-27001.A.7.4", "title": "Physical security monitoring", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Customer-facility scope." }, { "requirement_id": "iso-27001.A.7.5", "title": "Protecting against physical and environmental threats", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Delegated to Cloudflare data-centre posture." }, { "requirement_id": "iso-27001.A.7.6", "title": "Working in secure areas", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Customer-facility scope." }, { "requirement_id": "iso-27001.A.7.7", "title": "Clear desk and clear screen", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "End-user-device policy — out-of-scope for KYE runtime." }, { "requirement_id": "iso-27001.A.7.8", "title": "Equipment siting and protection", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Delegated to Cloudflare data-centre posture." }, { "requirement_id": "iso-27001.A.7.9", "title": "Security of assets off-premises", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "End-user-device policy — out-of-scope for KYE runtime." }, { "requirement_id": "iso-27001.A.7.10", "title": "Storage media", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "R2 Object Lock + WORM retention policy cover storage media lifecycle; sanitisation ceremony in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.7.11", "title": "Supporting utilities", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Delegated to Cloudflare data-centre posture." }, { "requirement_id": "iso-27001.A.7.12", "title": "Cabling security", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Delegated to Cloudflare data-centre posture." }, { "requirement_id": "iso-27001.A.7.13", "title": "Equipment maintenance", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Delegated to Cloudflare data-centre posture." }, { "requirement_id": "iso-27001.A.7.14", "title": "Secure disposal or re-use of equipment", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.7 Physical controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "Cryptographic-erasure on Object-Lock release declared in retention policy; ceremony binding in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.1", "title": "User end point devices", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Endpoint posture is customer scope; KYE consumes via Authority Grant admissibility inputs." }, { "requirement_id": "iso-27001.A.8.2", "title": "Privileged access rights", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Authority Grant enforces minimum-necessary scope; risk-tier drives approval mode.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.8.3", "title": "Information access restriction", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "PDP evaluates Purpose Permission + Authority Grant for every access request.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "iso-27001.A.8.4", "title": "Access to source code", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Authority Grant model covers code-repository scope; integration binding to GitHub in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.5", "title": "Secure authentication", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signing.multisig_envelope.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Multi-factor authentication + signing-envelope binding declared in §51 SPOF Phase 2.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.6", "title": "Capacity management", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Capacity is delegated to Cloudflare; usage telemetry surfaced via reporting engine." }, { "requirement_id": "iso-27001.A.8.7", "title": "Protection against malware", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.agent.mcp_allow_list.v1" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "designed", "notes": "§52 Tool-call pinning manifest declares the allow-list of executable code an agent may invoke. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.8", "title": "Management of technical vulnerabilities", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Drift Detector picks up dependency-version drift; CVE-feed binding in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.9", "title": "Configuration management", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "notes": "Reconciliation Engine binds declared vs deployed configuration end-to-end; 22 reconcilers.", "verification": { "npm_gate": "test:reconciliation" } }, { "requirement_id": "iso-27001.A.8.10", "title": "Information deletion", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "Audit retention policy declares per-table deletion; cryptographic-erasure ceremony in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.11", "title": "Data masking", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Data Classification Engine drives masking policy; runtime field-level masking in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.12", "title": "Data leakage prevention", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Data Residency Router blocks egress on classification mismatch; field-level DLP in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.13", "title": "Information backup", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "kye-d1-backup-worker carries scheduled D1 + R2 backup; SPOF entry tracks RPO posture.", "verification": { "npm_gate": "test:audit-retention-policy" } }, { "requirement_id": "iso-27001.A.8.14", "title": "Redundancy of information processing facilities", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "notes": "§51 SPOF Registry tracks per-dependency redundancy posture.", "verification": { "npm_gate": "test:no-spof-coverage" } }, { "requirement_id": "iso-27001.A.8.15", "title": "Logging", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ], "rule_packs": [ "kye:rule-pack:public-sector-governance" ] }, "coverage_status": "enforced", "notes": "Every privileged action emits an audit event; §35 Streaming Logs Contract enforces ≤5s cadence.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "iso-27001.A.8.16", "title": "Monitoring activities", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector + Drift Detector run continuous monitoring; canonical signals surfaced.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.8.17", "title": "Clock synchronisation", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Delegated to Cloudflare edge clock; KYE consumes UTC + monotonic counters." }, { "requirement_id": "iso-27001.A.8.18", "title": "Use of privileged utility programs", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.agent.mcp_allow_list.v1" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "designed", "notes": "§52 MCP allow-list manifest constrains privileged-utility invocation per agent pattern. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.19", "title": "Installation of software on operational systems", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "notes": "Reconciliation Engine blocks unattested-deploy on the deploy lane.", "verification": { "npm_gate": "test:reconciliation" } }, { "requirement_id": "iso-27001.A.8.20", "title": "Networks security", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.decision.admitted.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "notes": "Gateway is the canonical edge PEP; mTLS + OAuth2-CC + WAF policies bound at the perimeter.", "verification": { "npm_gate": "test:edge-binding-coverage" } }, { "requirement_id": "iso-27001.A.8.21", "title": "Security of network services", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.decision.admitted.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "notes": "Edge Arbiter enforces the Compiled Authority Bundle per request.", "verification": { "npm_gate": "test:edge-binding-coverage" } }, { "requirement_id": "iso-27001.A.8.22", "title": "Segregation of networks", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.decision.admitted.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "notes": "Tenant isolation enforced at Gateway + Authority Gate per binding.", "verification": { "npm_gate": "test:edge-binding-coverage" } }, { "requirement_id": "iso-27001.A.8.23", "title": "Web filtering", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "End-user web filtering is customer scope; KYE governs outbound from agents via tool allow-list." }, { "requirement_id": "iso-27001.A.8.24", "title": "Use of cryptography", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signing.multisig_envelope.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Key-custody + BYOK engines manage signing keys; signed envelopes are declared canonically and bound to the §0.3 audit chain.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.8.25", "title": "Secure development life cycle", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.ci.failure.classified.v1" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/42-CONSTITUTION-KIT.md" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "notes": "Constitution + 90+ CI gates enforce secure-by-default; CI is the membrane.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.8.26", "title": "Application security requirements", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.ci.failure.classified.v1" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/42-CONSTITUTION-KIT.md" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "notes": "Constitution §0.4 binds every surface to production-grade + enterprise-grade + banking-grade gates.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.8.27", "title": "Secure system architecture and engineering principles", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.ci.failure.classified.v1" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/42-CONSTITUTION-KIT.md" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "notes": "53-doc constitution is the canonical architecture spec; §0 zero-competing-systems enforces single canonical.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.8.28", "title": "Secure coding", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.ci.failure.classified.v1" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/42-CONSTITUTION-KIT.md" ] }, "coverage_status": "designed", "notes": "Lint + type-check + schema-validate baseline; SAST scanner binding in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.29", "title": "Security testing in development and acceptance", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.ci.failure.classified.v1" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/42-CONSTITUTION-KIT.md" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "notes": "Vitest + pytest + ajv schema validation + framework-coverage-bijection gate on every PR.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.8.30", "title": "Outsourced development", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Vendor-development arrangements are customer scope." }, { "requirement_id": "iso-27001.A.8.31", "title": "Separation of development, test and production environments", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.ci.failure.classified.v1" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/42-CONSTITUTION-KIT.md" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "notes": "Sandbox + dev + prod surfaces are canonically separated per §7 SUBDOMAIN constitution.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.8.32", "title": "Change management", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "notes": "GovernedUI approval modes (two-person + delegated) cover change-management; Change Calendar bounds windows.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "iso-27001.A.8.33", "title": "Test information", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Test-data classification declared; production-data-redaction in build.", "decay_deadline": "2026-12-31" }, { "requirement_id": "iso-27001.A.8.34", "title": "Protection of information systems during audit testing", "framework": "iso-27001", "framework_version": "2022", "framework_category": "A.8 Technological controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "Audit Pilot operates in read-only mode by design; sealed evidence pack carries the access trail.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "iso-27001.cl-4.1", "title": "Understanding the organisation and its context — determine external and internal issues relevant to the ISMS purpose that affect its ability to achieve the intended outcomes.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 4 Context of the organisation", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "ISO/IEC 27001:2022 §4.1. ISMS context determination is an organisational exercise; KYE provides the canonical risk-and-authority register that downstream maps to the ISMS scope statement." }, { "requirement_id": "iso-27001.cl-4.2", "title": "Understanding the needs and expectations of interested parties — determine relevant interested parties and their requirements that relate to information security.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 4 Context of the organisation", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.subprocessor.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "ISO/IEC 27001:2022 §4.2. Interested-party determination is organisational; subprocessor + compliance-attestation schemas carry the structured downstream representation." }, { "requirement_id": "iso-27001.cl-4.3", "title": "Determining the scope of the information security management system — determine the boundaries and applicability of the ISMS taking the context, interested parties and interfaces into account.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 4 Context of the organisation", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "registries": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:implementation-canonical" }, "notes": "ISO/IEC 27001:2022 §4.3. §40 Implementation Registry is the canonical ISMS scope artefact — every governed concept declares its boundary and downstream framework coverage in one place." }, { "requirement_id": "iso-27001.cl-4.4", "title": "Information security management system — establish, implement, maintain and continually improve an ISMS, including the processes needed and their interactions, in accordance with the requirements of this document.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 4 Context of the organisation", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "ISO/IEC 27001:2022 §4.4. The 53-document constitution + §34 Reconciliation Engine form the ISMS process map; Reconciliation Engine drives continual improvement via declared-vs-deployed deltas." }, { "requirement_id": "iso-27001.cl-5.1", "title": "Leadership and commitment — top management demonstrates leadership and commitment with respect to the ISMS.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 5 Leadership", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.compliance.attestation.v1" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ISO/IEC 27001:2022 §5.1. §36 GovernedUI's two-person + delegated approval modes bind top-management commitment to the audit chain; per-approver attestation is the leadership-evidence record." }, { "requirement_id": "iso-27001.cl-5.2", "title": "Policy — top management establishes an information security policy appropriate to the purpose of the organisation, including objectives or framework for setting objectives, commitment to satisfy applicable requirements, and commitment to continual improvement.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 5 Leadership", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "registries": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:implementation-canonical" }, "notes": "ISO/IEC 27001:2022 §5.2. The constitution itself is the canonical information-security policy artefact (§0 governs the protocol; §0.3 self-governance closes continual-improvement)." }, { "requirement_id": "iso-27001.cl-5.3", "title": "Organisational roles, responsibilities and authorities — top management assigns and communicates roles and authorities relevant to information security.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 5 Leadership", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "ISO/IEC 27001:2022 §5.3. Authority Engine is the canonical role-and-responsibility register; every grant carries the issuing authority + scope + revocation path." }, { "requirement_id": "iso-27001.cl-6.1.1", "title": "Actions to address risks and opportunities — general — plan actions to address risks and opportunities to ensure the ISMS can achieve its intended outcomes and to achieve continual improvement.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 6 Planning", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1", "kye.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ISO/IEC 27001:2022 §6.1.1. Risk Engine + Authority Risk Register form the canonical risk-action planning surface; Resilience Loop drives evidence-and-replay closure of identified actions." }, { "requirement_id": "iso-27001.cl-6.1.2", "title": "Information security risk assessment — define and apply an information security risk-assessment process that establishes and maintains risk criteria, ensures repeatability of results, identifies risks, analyses and evaluates them.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 6 Planning", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk_assessment.v1", "kye.risk.score.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "ISO/IEC 27001:2022 §6.1.2. Risk Engine produces deterministic per-decision risk scores against declared criteria; Decision Map records the exact inputs so assessments are replay-derivable." }, { "requirement_id": "iso-27001.cl-6.1.3", "title": "Information security risk treatment — define and apply an information security risk-treatment process to select appropriate options, determine controls, compare to Annex A, produce a Statement of Applicability, and obtain risk-owner approval.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 6 Planning", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.governedui.approval.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ISO/IEC 27001:2022 §6.1.3. The KYE framework-coverage registry (this file + sibling Annex A files) IS the machine-readable Statement of Applicability; Approval Brief carries risk-owner sign-off." }, { "requirement_id": "iso-27001.cl-6.2", "title": "Information security objectives and planning to achieve them — establish information security objectives at relevant functions and levels, consistent with the policy and measurable.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 6 Planning", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "ISO/IEC 27001:2022 §6.2. Objectives are an organisational artefact; KYE supports measurement through the per-control coverage dashboard but does not set the objectives themselves." }, { "requirement_id": "iso-27001.cl-6.3", "title": "Planning of changes — when the organisation determines the need for changes to the ISMS, the changes shall be carried out in a planned manner.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 6 Planning", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.change_calendar.v1", "kye.governedui.approval.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/53-COHESION-CASCADE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:cascade-coverage" }, "notes": "ISO/IEC 27001:2022 §6.3. §53 Cohesion Cascade enforces that every ISMS change ripples coherently through dependents in the same commit; change_calendar carries the planned-window record." }, { "requirement_id": "iso-27001.cl-7.1", "title": "Resources — determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the ISMS.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 7 Support", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "ISO/IEC 27001:2022 §7.1. Resource provisioning is organisational; KYE provides the structured-Implementation Registry view of what is implemented so management can prioritise." }, { "requirement_id": "iso-27001.cl-7.2", "title": "Competence — determine the necessary competence of persons doing work under the organisation's control that affects the ISMS performance, ensure competence on the basis of education, training or experience, and retain documented information as evidence of competence.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 7 Support", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.training.completion.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/10-PARTNER.md", "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "ISO/IEC 27001:2022 §7.2. Training agent + trainer agent emit completion events under the §49 engagement rail; per-role competence-matrix attestation binding in build." }, { "requirement_id": "iso-27001.cl-7.3", "title": "Awareness — persons doing work under the organisation's control are aware of the information security policy, their contribution to the effectiveness of the ISMS, and the implications of not conforming.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 7 Support", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.training.completion.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md", "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "ISO/IEC 27001:2022 §7.3. §39 Learn Rail carries the policy-awareness surface; Comms Rail dispatches role-relevant awareness comms with completion receipts." }, { "requirement_id": "iso-27001.cl-7.4", "title": "Communication — determine the need for internal and external communications relevant to the ISMS, including what, when, with whom, and how to communicate.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 7 Support", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ISO/IEC 27001:2022 §7.4. §38 Comms Engine is the canonical multi-channel dispatch surface; every outbound communication carries a template_id + recipient class + audit receipt." }, { "requirement_id": "iso-27001.cl-7.5", "title": "Documented information — the ISMS shall include documented information required by this document and documented information determined by the organisation as being necessary; documented information shall be controlled regarding distribution, access, retrieval, use, storage, preservation, change control and disposition.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 7 Support", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1", "kye.audit.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "ISO/IEC 27001:2022 §7.5. §30 WORM retention + §43 Machine-Readable-by-Default form the canonical documented-information control surface; every artefact is structured + retention-bound + change-tracked." }, { "requirement_id": "iso-27001.cl-8.1", "title": "Operational planning and control — plan, implement and control the processes needed to meet requirements and to implement the actions to address risks and opportunities; control planned changes and review unintended changes.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 8 Operation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.reconciliation.verdict.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "ISO/IEC 27001:2022 §8.1. §34 Reconciliation Engine is event-driven (not cron) — every privileged operation flows through inline reconcile lane that catches unintended changes at emission." }, { "requirement_id": "iso-27001.cl-8.2", "title": "Information security risk assessment — perform information security risk assessments at planned intervals or when significant changes are proposed or occur, retaining documented information of the results.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 8 Operation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk_assessment.v1", "kye.signal.scenario_run.completed.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ISO/IEC 27001:2022 §8.2. Risk Engine produces per-decision risk assessments + scheduled scenario runs; results land in the WORM chain as immutable evidence." }, { "requirement_id": "iso-27001.cl-8.3", "title": "Information security risk treatment — implement the information security risk-treatment plan and retain documented information of the results.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 8 Operation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "ISO/IEC 27001:2022 §8.3. The framework-coverage-bijection gate enforces that every declared treatment cites a runtime artefact + verification — declared-vs-deployed treatment closure is gate-blocked." }, { "requirement_id": "iso-27001.cl-9.1", "title": "Monitoring, measurement, analysis and evaluation — evaluate the information security performance and the effectiveness of the ISMS; determine what to monitor, the methods, when, by whom, and when results are analysed.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 9 Performance evaluation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ISO/IEC 27001:2022 §9.1. §35 Streaming Logs Contract enforces ≤5s monitoring cadence to tamper-evident sinks; per-control coverage dashboard provides the measurement surface." }, { "requirement_id": "iso-27001.cl-9.2", "title": "Internal audit — conduct internal audits at planned intervals to provide information on whether the ISMS conforms to the requirements and is effectively implemented and maintained.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 9 Performance evaluation", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ISO/IEC 27001:2022 §9.2. §21 Delegated Auditability + Audit Pilot agent run internal-audit replays from the WORM chain; replay-proof artefacts derivable from public keys alone." }, { "requirement_id": "iso-27001.cl-9.3", "title": "Management review — top management shall review the ISMS at planned intervals to ensure its continuing suitability, adequacy and effectiveness.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 9 Performance evaluation", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.compliance.attestation.v1" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "ISO/IEC 27001:2022 §9.3. GovernedUI Evidence Timeline + Action Approval modules carry the management-review canvas; scheduled-review SLA + minutes-attestation binding in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-27001.cl-10.1", "title": "Continual improvement — continually improve the suitability, adequacy and effectiveness of the ISMS.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 10 Improvement", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.reconciliation.verdict.v1", "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/53-COHESION-CASCADE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "ISO/IEC 27001:2022 §10.1. §34 Reconciliation + §53 Cohesion Cascade form the canonical continual-improvement engine — every declared-vs-deployed delta ripples coherently to closure." }, { "requirement_id": "iso-27001.cl-10.2", "title": "Nonconformity and corrective action — when a nonconformity occurs, the organisation shall react, evaluate the need for action to eliminate the causes, implement the action, review effectiveness, and retain documented information.", "framework": "iso-27001", "framework_version": "2022", "framework_category": "Clause 10 Improvement", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.ci.failure.classified.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/41-ERROR-HORIZONS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ISO/IEC 27001:2022 §10.2. §41 Error Horizons enforces push-then-convert-to-rule for every nonconformity class; recurrence of a skipped-convertible class is a §0 violation." } ], "resolution_framing": null }, { "framework": "iso-27035", "display_name": "ISO/IEC 27035 — Incident Management", "framework_version": "ISO/IEC 27035 — Information security incident management (Parts 1–3)", "source": "ISO/IEC 27035 specifies a structured approach to information-security incident management — planning, detection and reporting, assessment and decision, responses, and lessons learned — including the careful handling and preservation of incident evidence. KYE Protocol™ governs whether an AI-assisted incident decision under ISO/IEC 27035 may PROCEED to a consequential action — under a named accountable officer's authority, with incident-evidence chain-of-custody recorded, the assessment pinned to verifiable signal sources, and a contestability record for the lessons-learned reconstruction. KYE does not detect the incident, run the response tooling, or perform forensics.", "license": "ISO/IEC 27035 is an ISO/IEC international standard; KYE registry paraphrases each clause's intent and cites the standard identifier for mapping purposes only. The standard text itself is copyright ISO/IEC and is not reproduced.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Incident-evidence chain-of-custody (evidence handling)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Named-authority on the assessment-and-decision response": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & lessons-learned reconstruction": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Detection, response tooling & forensic analysis": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "iso-27035.evidence-chain-of-custody", "title": "Incident evidence proceeds only with a recorded chain-of-custody (evidence handling)", "framework": "iso-27035", "framework_version": "ISO/IEC 27035 — Information security incident management", "framework_category": "Incident-evidence chain-of-custody (evidence handling)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ISO/IEC 27035 requires careful handling and preservation of incident evidence so its integrity and provenance are maintained. KYE requires the incident-evidence chain-of-custody (source system, every transformation with actor/timestamp, integrity hash as collected and as relied on) to be captured and bound into a decision map before AI-collected or AI-classified evidence proceeds to a consequential action, per the §13 Resilience Loop. Enforced by cyber_incident_evidence_chain_of_custody via the evidence-engine. KYE proves the custody record was captured; it does not collect, host, or analyse the evidence's substance." }, { "requirement_id": "iso-27035.assessment-decision-authority", "title": "The assessment-and-decision response proceeds only under a recorded named-authority decision, with the assessment source-pinned", "framework": "iso-27035", "framework_version": "ISO/IEC 27035 — Information security incident management", "framework_category": "Named-authority on the assessment-and-decision response", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ISO/IEC 27035's assessment-and-decision phase decides on the response (including containment). When an AI review produces an incident classification and proposes a response action, KYE binds the response to a recorded named-authority decision and requires the AI-asserted classification to be pinned to a verifiable signal source at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded or the classification is unsourced. Enforced by cyber_containment_action_authority + cyber_ai_triage_provenance_pin via the authority-engine + decision-engine. KYE proves who authorised the response and that the assessment is source-pinned; it does not perform the assessment." }, { "requirement_id": "iso-27035.lessons-learned-reconstruction", "title": "Contestability & lessons-learned reconstruction of the incident decision", "framework": "iso-27035", "framework_version": "ISO/IEC 27035 — Information security incident management", "framework_category": "Contestability & lessons-learned reconstruction", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "ISO/IEC 27035's lessons-learned phase reviews the incident handling and presupposes the decisions can be reconstructed. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every AI-assisted incident decision, so it can be reconstructed exactly as made and contested through a recorded route in the lessons-learned review, an insurer dispute, or litigation, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by cyber_incident_contestability_record via the evidence-engine + replay-engine. KYE proves how the decision was made; it does not adjudicate the review." }, { "requirement_id": "iso-27035.detection-response-forensics", "title": "Detection, response tooling, and forensic analysis", "framework": "iso-27035", "framework_version": "ISO/IEC 27035 — Information security incident management", "framework_category": "Detection, response tooling & forensic analysis", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Detecting the incident, running the response tooling, and performing forensic analysis are the organisation's own security operations. KYE™ is an AI-authority and evidence layer, not a detection, response-tooling, or forensics engine — out of scope by design (§0/§70 honest scope). KYE proves who authorised the response and how the decision was made; it does not detect the incident or perform the forensics.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "iso-31000", "display_name": "ISO 31000:2018 — Risk management — Guidelines", "framework_version": "2018", "source": "ISO 31000:2018 (Risk management — Guidelines): the principles (Clause 4), framework (Clause 5), and process (Clause 6). KYE Protocol governs the AUTHORITY, EVIDENCE and FINALITY of AI-agent actions as a risk-treatment and risk-recording control inside an organisation's ISO 31000 risk-management process — KYE does not run the enterprise risk-management system itself. Starter requirement set; deepen by graft through the §70 rail.", "license": "ISO — standard text is copyrighted; KYE registry paraphrases each clause's intent and cites the official clause identifier for mapping purposes only.", "total": 5, "declared_total": 5, "coverage_pct": 35, "status_counts": { "enforced": 0, "designed": 2, "advisory": 3, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Clause 5 — Framework": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Clause 6 — Process": { "total": 4, "enforced": 0, "designed": 1, "advisory": 3, "deferred": 0, "out-of-scope": 0, "coverage_pct": 31 } }, "requirements": [ { "requirement_id": "iso-31000.5.4.2", "title": "Leadership and commitment — accountability and authority for risk", "framework": "iso-31000", "framework_version": "2018", "framework_category": "Clause 5 — Framework", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "ISO 31000 §5.4.2 asks top management to assign accountability and authority for managing risk. KYE scopes every AI-agent's authority to act (Purpose Permission, §12) and surfaces the human-control / approval boundary (GovernedUI approval modes, §36), so the authority an AI actor holds is explicit and assigned. PROOF-BAR: stays designed — the accountability assignment is a governance concept scoped in chapter, not a single wired runtime emission." }, { "requirement_id": "iso-31000.6.4.2", "title": "Risk identification — surfacing AI-authority risk", "framework": "iso-31000", "framework_version": "2018", "framework_category": "Clause 6 — Process", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "audit_events": [ "kye.evidence.decision_map.v1" ] }, "coverage_status": "advisory", "notes": "ISO 31000 §6.4.2 requires the organisation to identify risks that could affect objectives. For AI-assisted actions, KYE's Decision Map (§13) records what authority was requested, which policy applied, and what was allowed/denied/escalated — making the AI-authority risk surface explicit and reviewable rather than implicit." }, { "requirement_id": "iso-31000.6.5.2", "title": "Risk treatment — admissibility decision at the moment of action", "framework": "iso-31000", "framework_version": "2018", "framework_category": "Clause 6 — Process", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ], "audit_events": [ "kye.evidence.decision_map.v1" ] }, "coverage_status": "advisory", "notes": "ISO 31000 §6.5.2 requires selecting and implementing risk-treatment options. KYE treats AI-authority risk at the action boundary: the admissibility decision (allow / deny / escalate / require-approval) is the treatment, recorded in the Decision Map. The treatment is applied at runtime, not after the fact." }, { "requirement_id": "iso-31000.6.6", "title": "Monitoring and review — contestable outcomes", "framework": "iso-31000", "framework_version": "2018", "framework_category": "Clause 6 — Process", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "ISO 31000 §6.6 requires ongoing monitoring and review of risk and controls. KYE's Delegated Auditability rail (§21) makes every governed AI decision contestable and reviewable by a delegated auditor without a multi-system forensic tour. PROOF-BAR: stays designed — the contestability workflow is scoped in chapter; wire the Audit Pilot runtime to lift to advisory." }, { "requirement_id": "iso-31000.6.7", "title": "Recording and reporting — replay-derivable evidence", "framework": "iso-31000", "framework_version": "2018", "framework_category": "Clause 6 — Process", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "audit_events": [ "kye.evidence.pack.v1", "kye.replay.proof.v1" ] }, "coverage_status": "advisory", "notes": "ISO 31000 §6.7 requires recording and reporting the risk-management process and its outcomes. Every governed AI action emits a replay-derivable Evidence Pack (§13) and a Replay Proof verifiable from public keys alone — the durable record ISO 31000 §6.7 asks for, reconstructable end-to-end from one bundle." } ], "resolution_framing": null }, { "framework": "iso-42001", "display_name": "ISO/IEC 42001:2023 — AI Management System (AIMS)", "framework_version": "2023", "source": "ISO/IEC 42001:2023", "license": "ISO copyright — citation only", "total": 80, "declared_total": 80, "coverage_pct": 97, "status_counts": { "enforced": 76, "designed": 3, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Annex A — AIMS controls": { "total": 48, "enforced": 47, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 99 }, "Clause 10 — Improvement": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Clause 4 — Context of the organisation": { "total": 4, "enforced": 3, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 88 }, "Clause 5 — Leadership": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Clause 6 — Planning (risk + impact assessment)": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Clause 7 — Support": { "total": 6, "enforced": 4, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 79 }, "Clause 8 — Operation (AI system lifecycle)": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Clause 9 — Performance evaluation": { "total": 5, "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Clause 6 — Planning": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Clause 8 — Operation": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "iso-42001.A.2.2", "title": "AI policy — document an organisational AI policy", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission manifest is the machine-enforced AI policy artefact." }, { "requirement_id": "iso-42001.A.3.2", "title": "Roles and responsibilities for the AIMS", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Engine encodes role-scoped grants; cross-org delegation chain makes 'responsibility' traceable end-to-end." }, { "requirement_id": "iso-42001.A.4.2", "title": "AI system impact-assessment process", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.assurance.audit_pilot.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Process declared and the engines exist; structured impact-assessment workflow + ratified report template scheduled." }, { "requirement_id": "iso-42001.A.6.2", "title": "Data for AI systems — quality, provenance, preparation", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.model_params.v1", "kye.model.influence_envelope.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Influence Envelope + Model Params pin provenance; §31 Data Governance Pack carries dataset-quality manifests — runtime ingest of substantive dataset-quality measures is in build." }, { "requirement_id": "iso-42001.A.7.2", "title": "Information for stakeholders of AI systems — transparency to affected parties", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.governedui.evidence_timeline.v1" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1", "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ], "engines": [ "internal" ], "workers": [ "kye-pdp" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Entity Passport renders capability + behaviour for affected parties; Evidence Timeline supports contestability." }, { "requirement_id": "iso-42001.A.8.2", "title": "Use of AI systems — responsible-use policy and lifecycle", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.purpose.grant.v1", "kye.agent.refusal.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-envelope-vs-scope" }, "notes": "PDP enforces responsible-use as admissibility; §52 binds delegated agents to the same policy." }, { "requirement_id": "iso-42001.A.10.3", "title": "Third-party and customer relationships in AI lifecycle", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Cross-org Delegation event chains third-party authority end-to-end; Tool-Call Pin verifies each upstream-vendor call." }, { "requirement_id": "iso-42001.10.1", "title": "Continual improvement of the suitability, adequacy and effectiveness of the AIMS", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 10 — Improvement", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1", "kye.resilience.loop_iteration.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Resilience Loop closes drift → improvement-record → next-iteration in code; continual improvement is therefore a structural property of the system, not a policy." }, { "requirement_id": "iso-42001.10.2", "title": "Nonconformity and corrective action — react, evaluate, implement, review", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 10 — Improvement", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.resilience.improvement_record.v1", "kye.purpose.grant.revoked.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift-Detected → Improvement Record → Grant Revocation forms the corrective-action loop with full evidence-pack trail." }, { "requirement_id": "iso-42001.4.1", "title": "Determine external and internal issues relevant to the AI management system", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 4 — Context of the organisation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Authority Register aggregates risk + control state for board context; structured organisational-context intake form is the scheduled customer-facing surface." }, { "requirement_id": "iso-42001.4.3", "title": "Determine the boundaries and applicability of the AIMS to establish its scope", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 4 — Context of the organisation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.model.capability_profile.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AIMS scope is declared via the canonical Purpose Permission scope vocabulary; PDP refuses out-of-scope decisions, making the scope statement machine-enforced not narrative." }, { "requirement_id": "iso-42001.5.1", "title": "Top management shall demonstrate leadership and commitment with respect to the AIMS", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 5 — Leadership", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.authority_drift.v1", "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Authority Register surfaces to top management through GovernedUI; ≤90-day attestation cadence creates the auditable leadership cycle." }, { "requirement_id": "iso-42001.5.2", "title": "Top management shall establish an AI policy compatible with strategic direction", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 5 — Leadership", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.purpose.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AI policy is implemented as the canonical Purpose Permission manifest — a machine-readable policy that the PDP enforces rather than a paper document." }, { "requirement_id": "iso-42001.6.1.2", "title": "AI risk assessment — identify, analyse, evaluate AI risks", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 6 — Planning (risk + impact assessment)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "rule_packs": [ "kye:rule-pack:public-sector-governance" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine emits per-decision risk score + structured risk-assessment record; aligned with ISO 23894 risk-management guidance." }, { "requirement_id": "iso-42001.6.1.3", "title": "AI risk treatment — define risk-treatment options and produce a Statement of Applicability", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 6 — Planning (risk + impact assessment)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Purpose Grants are the canonical risk-treatment instrument; structured SoA generator (Annex A control × applicability × justification) scheduled." }, { "requirement_id": "iso-42001.6.1.4", "title": "AI system impact assessment — assess consequences for individuals, groups, society", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 6 — Planning (risk + impact assessment)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.assurance.audit_pilot.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Consequence Mapping Engine carries population-impact classification; structured AI-system-impact-assessment workflow + report generator scheduled." }, { "requirement_id": "iso-42001.6.2", "title": "AI objectives shall be measurable, monitored, communicated, updated as appropriate", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 6 — Planning (risk + impact assessment)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Capability Profile carries measurable objectives + measured baselines; attestation cadence enforces the periodic review." }, { "requirement_id": "iso-42001.7.2", "title": "Persons doing work that affects AIMS performance shall be competent", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 7 — Support", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "governedui_modules": [ "kye.governedui.module.trainers.v1" ], "constitution_refs": [ "constitution/10-PARTNER.md", "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Competence is an organisational HR control; KYE provides the Trainers directory + Learn Rail content but does not assert individual competence." }, { "requirement_id": "iso-42001.7.5", "title": "Documented information required by the AIMS shall be controlled and protected", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 7 — Support", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.signal.evidence.sealed.v1" ], "engines": [ "internal", "internal" ], "worm_tables": [ "evidence_pack" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Documented information lives as sealed Evidence Packs in WORM storage with R2 Object Lock — protection-by-construction, not by procedure." }, { "requirement_id": "iso-42001.8.1", "title": "Plan, implement and control operational processes needed to meet AIMS requirements", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 8 — Operation (AI system lifecycle)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Engine + PDP are the canonical operational-control surface — every privileged op carries an admissibility check and a sealed Decision Map." }, { "requirement_id": "iso-42001.8.2", "title": "AI risk assessment shall be performed at planned intervals or when significant changes occur", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 8 — Operation (AI system lifecycle)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine emits per-decision score continuously; Drift-Detected signal is the canonical 'significant change' trigger; ≤90-day attestation closes the interval check." }, { "requirement_id": "iso-42001.8.3", "title": "AI system impact assessment shall be performed at planned intervals", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 8 — Operation (AI system lifecycle)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.risk.score.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Audit Pilot harness re-runs impact-assessment fixtures on cadence; structured report-out template scheduled." }, { "requirement_id": "iso-42001.8.4", "title": "AI system development, deployment, operation lifecycle controls (data, model, system)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 8 — Operation (AI system lifecycle)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1", "kye.evidence.model_params.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Model Params + Tool-Call Pin + Influence Envelope assemble the lifecycle audit trail from dev through prod; Conformance Runner replays each stage transition." }, { "requirement_id": "iso-42001.9.1", "title": "Monitoring, measurement, analysis and evaluation of AIMS performance", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 9 — Performance evaluation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.risk.score.v1", "kye.signal.evidence.sealed.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Attestation event family is the periodic AIMS-performance measurement record; Conformance Runner produces measurable per-control results." }, { "requirement_id": "iso-42001.9.2", "title": "Internal audit shall be conducted at planned intervals", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 9 — Performance evaluation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot harness + Audit Replay Orchestrator deliver internal-audit on a deterministic-replay basis — the auditor verifies the chain, not a sampled subset." }, { "requirement_id": "iso-42001.9.3", "title": "Management review of the AIMS at planned intervals", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 9 — Performance evaluation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.authority_drift.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Authority Register surfaces aggregated state for top-management review; structured management-review report template scheduled." }, { "requirement_id": "iso-42001.4.2", "title": "Understanding the needs and expectations of interested parties relevant to the AI management system", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 4 — Context of the organisation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.stakeholder.v1", "kye.risk.authority_register.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Stakeholder schema declares interested parties; Authority Register binds expectations per party. Stakeholder registry is in build for the AIMS console. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-42001.4.4", "title": "Establish, implement, maintain and continually improve an AI management system", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 4 — Context of the organisation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Implementation Registry + Compliance Attestation function as the AIMS spine; continual-improvement loop closes via Resilience Loop." }, { "requirement_id": "iso-42001.5.3", "title": "Roles, responsibilities and authorities for AI management shall be assigned and communicated", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 5 — Leadership", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Engine binds role + authority per principal; Authority Register surfaces the board-level RACI view." }, { "requirement_id": "iso-42001.6.1.1", "title": "Actions to address risks and opportunities — general (planning)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 6 — Planning", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine planning loop covers Clause 6.1.1." }, { "requirement_id": "iso-42001.6.3", "title": "Planning of changes — when changes to the AIMS are needed, they shall be carried out in a planned manner", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 6 — Planning", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.change_calendar.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Change Calendar records planned AIMS changes; pre-push hook rejects unplanned changes affecting source-of-truth artefacts." }, { "requirement_id": "iso-42001.7.1", "title": "Determine and provide resources needed for the AI management system", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 7 — Support", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Resource provision attested via No-SPOF registry (per-component capacity declaration) and edge-runtime topology binding." }, { "requirement_id": "iso-42001.7.3", "title": "Persons doing work under the AIMS shall be aware of policy, contribution and implications of non-conformance", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 7 — Support", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Learn Rail carries the AIMS policy explainers; per-principal awareness-attestation surface in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-42001.7.4", "title": "Determine the need for internal and external communications relevant to the AI management system", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 7 — Support", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:comms-manifest-alive" }, "notes": "Comms Rail is the canonical internal+external dispatch surface; templates per AIMS event class registered in the Comms Manifest." }, { "requirement_id": "iso-42001.7.5.1", "title": "Documented information shall be controlled (creation, update, version)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 7 — Support", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.audit_chain_entry.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Git + Audit Chain + WORM R2 provide deterministic control over documented information lifecycle." }, { "requirement_id": "iso-42001.8.5", "title": "Operation — actions to address AI system impact assessment results", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 8 — Operation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Impact-assessment outcomes feed directly into PDP admissibility rules via the consequence map." }, { "requirement_id": "iso-42001.9.2.1", "title": "Internal audit — general (plan, conduct, report)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 9 — Performance evaluation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Audit Pilot agent runs the internal-audit scenario; report assembled by the regulator-replay agent in an externally-verifiable form." }, { "requirement_id": "iso-42001.9.2.2", "title": "Internal audit program — establish, implement, maintain", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 9 — Performance evaluation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.change_calendar.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Internal-audit program expressed as a Change Calendar series of Audit Pilot scheduled runs." }, { "requirement_id": "iso-42001.10.3", "title": "Continual improvement — continually improve the suitability, adequacy and effectiveness of the AIMS", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Clause 10 — Improvement", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Resilience Loop is the canonical continual-improvement mechanism; drift detection feeds the loop." }, { "requirement_id": "iso-42001.A.2.3", "title": "Annex A — alignment with other organisational policies (information security, privacy, quality)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Cross-framework alignment captured via the framework_coverage[] bijection across ISO 27001 + ISO 42001 + GDPR." }, { "requirement_id": "iso-42001.A.3.3", "title": "Annex A — reporting of concerns about AI systems (whistleblower channel)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Whistleblower-channel template registered in Comms Manifest; multi-channel intake (web + email) in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-42001.A.4.3", "title": "Annex A — resources for AI systems (data, tooling, personnel, computational)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof_registry.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Resource adequacy attested via No-SPOF registry per resource class." }, { "requirement_id": "iso-42001.A.4.4", "title": "Annex A — tooling resources for AI systems", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/32-AGENT-DEV-KIT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-dev-kit-alive" }, "notes": "Agent Dev Kit is the canonical tooling for AI-system build; manifest-alive gate enforces presence." }, { "requirement_id": "iso-42001.A.4.5", "title": "Annex A — data resources for AI systems", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.data_asset.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Use Manifest + Data Asset declarations form the canonical AI-data-resource register." }, { "requirement_id": "iso-42001.A.4.6", "title": "Annex A — system and computing resources for AI", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof_registry.v1" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Edge-runtime topology + No-SPOF registry cover the system-and-compute resource adequacy." }, { "requirement_id": "iso-42001.A.5.1", "title": "Annex A — AI system impact assessment process", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1", "kye.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence Mapping Engine + Risk Assessment schema form the canonical impact-assessment evidence." }, { "requirement_id": "iso-42001.A.5.2", "title": "Annex A — documentation of AI system impact assessment", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Evidence Pack assembles the impact-assessment dossier with WORM retention." }, { "requirement_id": "iso-42001.A.5.3", "title": "Annex A — assessment of AI system impact on individuals or groups of individuals", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence map carries per-affected-group attribute set." }, { "requirement_id": "iso-42001.A.5.4", "title": "Annex A — assessment of societal impacts of AI systems", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Consequence map carries the societal-impact attribute family (employment, environment, democracy); systematic societal-impact assessment workflow in build." }, { "requirement_id": "iso-42001.A.6.1.1", "title": "Annex A — objectives for responsible AI development", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Responsible-development objectives declared in the implementation registry per concept." }, { "requirement_id": "iso-42001.A.6.1.2", "title": "Annex A — processes for responsible AI design and development", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/32-AGENT-DEV-KIT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-dev-kit-alive" }, "notes": "Agent Dev Kit's self-governing-by-default scaffold enforces responsible design at template level." }, { "requirement_id": "iso-42001.A.6.2.1", "title": "Annex A — AI system requirements and specification", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.entity.model.v1", "kye.model.capability_profile.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile is the canonical machine-readable AI-system specification." }, { "requirement_id": "iso-42001.A.6.2.3", "title": "Annex A — AI system verification and validation", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scenario Engine + Conformance Runner deliver V&V with replay-proof artefacts." }, { "requirement_id": "iso-42001.A.6.2.4", "title": "Annex A — AI system deployment", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Deployment is gated by Purpose Grant; PDP refuses production routing until grant issued." }, { "requirement_id": "iso-42001.A.6.2.5", "title": "Annex A — AI system operation and monitoring", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_chain_entry.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Streaming-logs + audit-chain + drift-detection cover the operation-and-monitoring control." }, { "requirement_id": "iso-42001.A.6.2.6", "title": "Annex A — AI system technical documentation", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.model.capability_profile.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Evidence Pack Assembler produces the per-system technical-documentation bundle in machine-readable form." }, { "requirement_id": "iso-42001.A.6.2.7", "title": "Annex A — AI system recording of event logs", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_chain_entry.v1", "kye.audit_retention_policy.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Audit chain hash-linked per event; WORM R2 enforces immutability; retention policy schema declares per-class retention years." }, { "requirement_id": "iso-42001.A.7.3", "title": "Annex A — data for AI systems: acquisition of data", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.data_asset.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Use Manifest declares source, lawfulness and acquisition method per asset." }, { "requirement_id": "iso-42001.A.7.4", "title": "Annex A — quality of data for AI systems", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data quality attributes (accuracy, completeness, timeliness, representativeness) carried on the Data Use Manifest per asset." }, { "requirement_id": "iso-42001.A.7.5", "title": "Annex A — data provenance", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Use Manifest carries provenance chain (source → ingest → derivation); evidence pack seals lineage." }, { "requirement_id": "iso-42001.A.7.6", "title": "Annex A — data preparation", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.evidence.model_params.v1" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data preparation steps recorded as model-params transformations; evidence pack seals the prepared corpus." }, { "requirement_id": "iso-42001.A.8.3", "title": "Annex A — information for interested parties about AI systems (transparency)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:comms-manifest-alive" }, "notes": "Stakeholder-information templates registered in Comms Manifest; compliance card surfaces the public transparency artefacts." }, { "requirement_id": "iso-42001.A.8.4", "title": "Annex A — external reporting (regulatory or public reporting)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:comms-manifest-alive" }, "notes": "External-reporting templates and recipients registered in the Comms Manifest." }, { "requirement_id": "iso-42001.A.8.5", "title": "Annex A — communication of incidents to interested parties", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident-open signal routes to the interested-party dispatch list per the Comms Manifest mapping." }, { "requirement_id": "iso-42001.A.9.2", "title": "Annex A — processes for responsible use of AI systems", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Responsible-use is the PDP's contract — every action is admitted only within the declared purpose envelope." }, { "requirement_id": "iso-42001.A.9.3", "title": "Annex A — objectives for responsible use of AI systems", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Use-objectives are declared on the Purpose Permission schema; PDP enforces." }, { "requirement_id": "iso-42001.A.9.4", "title": "Annex A — intended use of the AI system", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.model.capability_profile.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Intended use declared on Purpose Permission + Capability Profile; out-of-intended-use action denied at PDP." }, { "requirement_id": "iso-42001.A.10.2", "title": "Annex A — allocating responsibilities (third-party relationships)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Cross-org delegation records third-party authority chains; subprocessor schema documents data-processor relationships." }, { "requirement_id": "iso-42001.A.10.4", "title": "Annex A — suppliers (AI components, data, services)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.spof_registry.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Subprocessor declarations + No-SPOF registry cover supplier governance." }, { "requirement_id": "iso-42001.A.10.5", "title": "Annex A — customers (intended deployment context)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.account.v1", "kye.directory.entry.v1" ], "constitution_refs": [ "constitution/17-DIRECTORY-SEARCH.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:engagement-rail-canonical" }, "notes": "Customer context captured via the engagement rail + directory entry; intended-deployment-context attribute per customer." }, { "requirement_id": "iso-42001.A.2.1", "title": "Annex A — policies for AI (organisational AI policy)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "AI policy declared as a machine-readable artefact via the Implementation Registry." }, { "requirement_id": "iso-42001.A.2.4", "title": "Annex A — review of AI policies", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.change_calendar.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/DECAY-WINDOWS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Policy-review cadence on Change Calendar; decay-window enforces strict-mode after deadline." }, { "requirement_id": "iso-42001.A.3.1", "title": "Annex A — internal organisation roles and responsibilities for AI", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.purpose.permission.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Engine binds role + responsibility per principal." }, { "requirement_id": "iso-42001.A.4.1", "title": "Annex A — resource documentation for AI systems", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof_registry.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Resource documentation lives in the No-SPOF registry per resource class." }, { "requirement_id": "iso-42001.A.6.1.3", "title": "Annex A — documentation of AI design and development", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.model_params.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Design + development documentation produced by the Evidence Pack Assembler in machine-readable form." }, { "requirement_id": "iso-42001.A.6.2.2", "title": "Annex A — documentation of AI system requirements and specification", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile carries the canonical requirements + specification declaration." }, { "requirement_id": "iso-42001.A.7.1", "title": "Annex A — data management process for AI systems", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.data_flow_graph.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data-management process spans the Data Use Manifest + Data Flow Graph + Data Classification Engine." }, { "requirement_id": "iso-42001.A.8.1", "title": "Annex A — information for interested parties about AI systems (objectives)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose_manifest.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Manifest declares the AI-system objectives that interested parties consume." }, { "requirement_id": "iso-42001.A.9.1", "title": "Annex A — processes for responsible use of AI systems (objectives)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Responsible-use objectives carried on Purpose Permission." }, { "requirement_id": "iso-42001.A.10.1", "title": "Annex A — third-party relationships — general (vendor / customer / regulator)", "framework": "iso-42001", "framework_version": "2023", "framework_category": "Annex A — AIMS controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.directory.entry.v1" ], "constitution_refs": [ "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:engagement-rail-canonical" }, "notes": "Universal Engagement Rail is the canonical surface for every third-party relationship; cross-org delegation binds authority chain." } ], "resolution_framing": null }, { "framework": "iso-45001", "display_name": "ISO 45001 — Occupational Health & Safety Management Systems", "framework_version": "2018", "source": "ISO 45001:2018, the international standard for occupational health & safety (OH&S) management systems — operational planning and control, hazard identification, worker participation, and incident investigation. KYE governs the authority, evidence and finality of AI-authored or AI-approved HSE documents (permits-to-work, risk assessments, method statements) that discharge an OH&S management-system control; KYE does not run the firm's OH&S management system. Starter requirement set (KYE HSE Authority Pack™); deepen by graft.", "license": "ISO standard text is copyrighted by ISO; KYE registry cites clause numbers for mapping purposes only and reproduces no clause text.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Clause 8.1 — Operational planning and control": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Clause 8.1.2 — Eliminating hazards and reducing OH&S risks": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Clause 8.2 — Emergency preparedness and response": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Clause 10.2 — Incident, nonconformity and corrective action": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "iso-45001.8.1", "title": "Operational planning and control — AI-authored HSE documents are authority-bound", "framework": "iso-45001", "framework_version": "2018", "framework_category": "Clause 8.1 — Operational planning and control", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI agent that authors or interprets a safety-critical HSE document (permit-to-work, risk assessment, method statement) classifies the instruction as an hse_document_action; admissibility requires the §25 Edge Governance Safety Floor and a validated model-authority record. Enforced by industrial_physical_safety_floor. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-45001.8.1.2", "title": "Eliminating hazards / hierarchy of controls — recommendation advisory pending sign-off", "framework": "iso-45001", "framework_version": "2018", "framework_category": "Clause 8.1.2 — Eliminating hazards and reducing OH&S risks", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI recommendation that selects a control from the hierarchy of controls within a risk assessment is advisory pending sign-off by a named competent person (named_accountable_engineer). Unsigned adverse safety instructions are refused and routed dual-channel. Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-45001.8.2", "title": "Emergency preparedness — permit-to-work scoped to authorised work", "framework": "iso-45001", "framework_version": "2018", "framework_category": "Clause 8.2 — Emergency preparedness and response", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "A permit-to-work an AI agent issues or interprets is bound to the authorised work scope, location, and asset; out-of-scope permit instructions are refused at the action-admissibility gate. Enforced by industrial_authority_scope. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-45001.10.2", "title": "Incident, nonconformity and corrective action — contestable and evidenced", "framework": "iso-45001", "framework_version": "2018", "framework_category": "Clause 10.2 — Incident, nonconformity and corrective action", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-authored incident finding or corrective action is contestable with a replay-derivable Evidence Pack supporting the OH&S corrective-action record; both an over-restrictive and an under-restrictive outcome are contestable. Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "iso-55000", "display_name": "ISO 55000 / ISO 55001:2014 — Asset management — Management systems", "framework_version": "2014", "source": "ISO 55000:2014 (overview, principles, terminology) + ISO 55001:2014 (asset-management system requirements). KYE governs the authority, evidence and finality of AI-recommended asset-management actions (inspect/repair/replace/derate/shutdown) and the scope of the AI's authority over the asset portfolio; KYE does not run the asset-management system itself. Starter requirement set (Wave-Ralph-Industrial); deepen by graft.", "license": "ISO — standard text is copyrighted; KYE registry paraphrases each requirement's intent and cites the official clause identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 44, "status_counts": { "enforced": 0, "designed": 3, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Clause 6 — Planning": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Clause 7 — Support": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Clause 9 — Performance evaluation": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "iso-55001.6.2.1", "title": "Asset-management objectives and decision authority", "framework": "iso-55000", "framework_version": "2014", "framework_category": "Clause 6 — Planning", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI agent's authority over the asset portfolio is purpose-scoped (target_in_authority_scope); cross-asset actions outside scope are refused. Enforced by industrial_authority_scope. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-55001.6.2.2", "title": "Planning of actions on assets — finality and accountability", "framework": "iso-55000", "framework_version": "2014", "framework_category": "Clause 6 — Planning", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "AI-recommended maintenance actions (inspect/repair/replace/derate/shutdown) on high-criticality assets are advisory pending named-engineer sign-off. Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "iso-55001.7.5", "title": "Documented information — decision evidence", "framework": "iso-55000", "framework_version": "2014", "framework_category": "Clause 7 — Support", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Every governed asset action emits a replay-derivable Evidence Pack (§13) — the documented information ISO 55001 §7.5 requires for the decision." }, { "requirement_id": "iso-55001.9.1", "title": "Monitoring and contestable performance review", "framework": "iso-55000", "framework_version": "2014", "framework_category": "Clause 9 — Performance evaluation", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Both false-trip and missed-failure outcomes are contestable in performance review with a replay-derivable record (§21). Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "iso-iec-20000-1", "display_name": "ISO/IEC 20000-1 — Service Management (change management, §8.5.1)", "framework_version": "2018", "source": "ISO/IEC 20000-1 — Service Management (change management, §8.5.1) — International standard (IT service management system). KYE Protocol™ governs the SUBSET that resolves at the action boundary — the moment an AI-driven production action (a rollback / hotfix / infra-change) moves toward a consequential effect — under a recorded change-authority decision, with the change-class due-diligence recorded, replay-provable provenance, and named sign-off. KYE does not detect the incident, perform RCA, monitor the system, or operate the change-management tooling.", "license": "ISO/IEC 20000-1 is published by ISO/IEC; KYE registry references its change-management clause descriptively for mapping purposes and asserts no ownership of the standard text.", "total": 2, "declared_total": 2, "coverage_pct": 50, "status_counts": { "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Change management — authorization & records (enforced action-boundary subset)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Service-management system operation (out-of-scope — service-management / itsm)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "iso-iec-20000-1.clause8-5-1-change-management", "title": "Change management (§8.5.1): an AI-proposed production change is authorized & recorded before deployment", "framework": "iso-iec-20000-1", "framework_version": "2018", "framework_category": "Change management — authorization & records (enforced action-boundary subset)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:production-action-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ISO/IEC 20000-1 §8.5.1 requires changes to services and service components to be assessed, approved, implemented and reviewed in a controlled manner, with change records retained. KYE resolves the authorization-and-record half at the action boundary: it refuses an AI-proposed production change whose authorization is not recorded and emits a signed change-authority + provenance record (authority-engine + decision-engine + evidence-engine). Honest scope (§70): KYE governs WHETHER the change may proceed and proves it — it does not operate the service-management system or implement the change." }, { "requirement_id": "iso-iec-20000-1.smsystem-operation", "title": "Operating the service-management system, SLAs, and continual-improvement programme", "framework": "iso-iec-20000-1", "framework_version": "2018", "framework_category": "Service-management system operation (out-of-scope — service-management / itsm)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "service-management", "notes": "Operating the wider ISO/IEC 20000-1 management system — SLA management, capacity, continual improvement, the full change-implementation lifecycle — is a service-management function. KYE™ enforces the change-authorization decision and its evidence at the action boundary; it does not operate the management system. Out of scope (§0 honest scope) — owned by the service-management / ITSM function." } ], "resolution_framing": null }, { "framework": "it-codice-privacy", "display_name": "Codice in materia di protezione dei dati personali (D.Lgs. 196/2003, as amended by D.Lgs. 101/2018)", "framework_version": "D.Lgs. 196/2003 (am. 101/2018)", "source": "Codice in materia di protezione dei dati personali (D.Lgs. 196/2003, as amended by D.Lgs. 101/2018). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Italy. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Italy-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "it-codice-privacy.gdpr-transposition", "title": "Codice in materia di protezione dei dati personali (D.Lgs. 196/2003, as amended by D.Lgs. 101/2018) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Italy national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "it-codice-privacy", "framework_version": "Codice in materia di protezione dei dati personali (D.Lgs. 196/2003, as amended by D.Lgs. 101/2018)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Codice in materia di protezione dei dati personali (D.Lgs. 196/2003, as amended by D.Lgs. 101/2018) is the national implementing/supplementing statute for the GDPR in Italy. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔italy. This registry maps only the Italy-specific national deltas below." }, { "requirement_id": "it-codice-privacy.supervisory-authority", "title": "Cooperation with the national supervisory authority (the Garante) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "it-codice-privacy", "framework_version": "it-codice-privacy national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the Garante can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the Garante remain tenant-side." }, { "requirement_id": "it-codice-privacy.breach-notification", "title": "Personal-data breach notification to the Garante (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "it-codice-privacy", "framework_version": "it-codice-privacy national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the Garante's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "itil-4-change-enablement", "display_name": "ITIL 4 — Change Enablement (change authority & assessment)", "framework_version": "4", "source": "ITIL 4 — Change Enablement (change authority & assessment) — IT service-management best-practice framework. KYE Protocol™ governs the SUBSET that resolves at the action boundary — the moment an AI-driven production action (a rollback / hotfix / infra-change) moves toward a consequential effect — under a recorded change-authority decision, with the change-class due-diligence recorded, replay-provable provenance, and named sign-off. KYE does not detect the incident, perform RCA, monitor the system, or operate the change-management tooling.", "license": "ITIL® is a registered trademark of AXELOS Limited; KYE registry references ITIL 4 change-enablement practice descriptively for mapping purposes and asserts no ownership of the framework text.", "total": 2, "declared_total": 2, "coverage_pct": 50, "status_counts": { "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Change enablement — authority & assessment (enforced action-boundary subset)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Change-management process (out-of-scope — change-management / sre)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "itil-4-change-enablement.change-authority-assessment", "title": "Change authority: an AI-proposed production change proceeds only under a recorded change-authority assessment & authorization", "framework": "itil-4-change-enablement", "framework_version": "4", "framework_category": "Change enablement — authority & assessment (enforced action-boundary subset)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:production-action-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "ITIL 4 change enablement requires that a change be assessed and authorized by the appropriate change authority before it is deployed. KYE resolves this at the action boundary: the Action Admissibility™ gate refuses an AI-proposed production change (rollback / hotfix / infra-change) whose change-authority decision is not recorded, binding the agent, the proposed change artefact, the intended action class, and the named change-owner under the §12 Purpose Permission purpose-scope check (authority-engine + decision-engine). Honest scope (§70): KYE governs WHETHER the change may proceed and under whose authority — it does not classify the incident, design the change, or assess whether the fix is technically correct." }, { "requirement_id": "itil-4-change-enablement.change-evaluation-technical", "title": "Technical change evaluation, scheduling, and change-model authoring", "framework": "itil-4-change-enablement", "framework_version": "4", "framework_category": "Change-management process (out-of-scope — change-management / sre)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "change-management", "notes": "Authoring change models, building the forward-schedule-of-change, and performing the technical evaluation of a change are change-management process functions. KYE™ ENFORCES the authority decision at the action boundary; it does not run the change-management process, evaluate the technical change, or maintain the schedule. Out of scope (§0 honest scope) — owned by the change-management function / SRE." } ], "resolution_framing": null }, { "framework": "lu-cnpd", "display_name": "Loi du 1er août 2018 portant organisation de la Commission nationale pour la protection des données", "framework_version": "Loi du 1er août 2018", "source": "Loi du 1er août 2018 portant organisation de la Commission nationale pour la protection des données. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Luxembourg. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Luxembourg-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "lu-cnpd.gdpr-transposition", "title": "Loi du 1er août 2018 portant organisation de la Commission nationale pour la protection des données transposes / supplements the GDPR (Reg. (EU) 2016/679) into Luxembourg national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "lu-cnpd", "framework_version": "Loi du 1er août 2018 portant organisation de la Commission nationale pour la protection des données", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Loi du 1er août 2018 portant organisation de la Commission nationale pour la protection des données is the national implementing/supplementing statute for the GDPR in Luxembourg. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔luxembourg. This registry maps only the Luxembourg-specific national deltas below." }, { "requirement_id": "lu-cnpd.supervisory-authority", "title": "Cooperation with the national supervisory authority (the CNPD) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "lu-cnpd", "framework_version": "lu-cnpd national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the CNPD can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the CNPD remain tenant-side." }, { "requirement_id": "lu-cnpd.breach-notification", "title": "Personal-data breach notification to the CNPD (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "lu-cnpd", "framework_version": "lu-cnpd national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the CNPD's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "mas-feat", "display_name": "MAS FEAT Principles", "framework_version": "MAS FEAT Principles (2018) + Veritas", "source": "Monetary Authority of Singapore, Principles to Promote Fairness, Ethics, Accountability and Transparency (FEAT) in the Use of Artificial Intelligence and Data Analytics in Singapore's Financial Sector (2018) + the Veritas methodology.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Fairness": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Ethics": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Transparency": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "mas-feat.fairness", "title": "FEAT — Fairness: decisions made by or with AIDA are regularly reviewed so that the data and models used do not systematically disadvantage individuals or groups unless justifiable", "framework": "mas-feat", "framework_version": "MAS FEAT Principles (2018) + Veritas", "framework_category": "Fairness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "FEAT's fairness principle is a review obligation. KYE records the per-decision fairness/impact assessment in the Risk Engine and the decision rationale in the Decision Map, supplying the contemporaneous evidence the regular fairness review consumes. The fairness judgement itself remains the financial institution's." }, { "requirement_id": "mas-feat.ethics", "title": "FEAT — Ethics: the use of AIDA is held to at least the same ethical standards as decisions made by humans, with accountability for AIDA-driven decisions", "framework": "mas-feat", "framework_version": "MAS FEAT Principles (2018) + Veritas", "framework_category": "Ethics", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "FEAT's ethics + accountability expectation maps to Purpose Permission™: every AIDA decision is bound to an accountable purpose-holder and admissibility-checked against the granted authority — the human-equivalent accountability FEAT requires." }, { "requirement_id": "mas-feat.accountability", "title": "FEAT — Accountability: internal and external accountability for AIDA-driven decisions, with data subjects provided channels to enquire about, and seek review of, decisions", "framework": "mas-feat", "framework_version": "MAS FEAT Principles (2018) + Veritas", "framework_category": "Accountability", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.replay.proof.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Replay-Proof™ + the Regulator Replay agent let a data subject (or MAS) reconstruct an AIDA decision from the publisher's keys alone — the external-accountability review channel FEAT requires." }, { "requirement_id": "mas-feat.transparency", "title": "FEAT — Transparency: to increase public confidence, use of AIDA is disclosed and an explanation of AIDA-driven decisions is provided upon request", "framework": "mas-feat", "framework_version": "MAS FEAT Principles (2018) + Veritas", "framework_category": "Transparency", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Decision Map records that AIDA was used and the basis of the decision; the Evidence Pack is the on-request explanation artefact — the transparency FEAT's fourth principle requires." } ], "resolution_framing": null }, { "framework": "mas-trm", "display_name": "MAS Technology Risk Management Guidelines", "framework_version": "MAS Technology Risk Management Guidelines (Jan 2021)", "source": "Monetary Authority of Singapore, Technology Risk Management Guidelines (January 2021) — access control, audit logging, IT incident management, and third-party risk for financial institutions.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Access control": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Audit logging & retention": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "IT incident management": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Third-party risk management": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "mas-trm.access-control", "title": "MAS TRM Guidelines — strong access controls, including least-privilege and just-in-time privileged access for systems handling financial data", "framework": "mas-trm", "framework_version": "MAS Technology Risk Management Guidelines (Jan 2021)", "framework_category": "Access control", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "MAS TRM's access-control expectations map to Authority Resolution: every privileged AI action is scoped to a granted, time-bound authority (just-in-time), and standing privilege is revoked by the Authority Revocation Orchestrator — least-privilege at the action boundary." }, { "requirement_id": "mas-trm.audit-logging", "title": "MAS TRM Guidelines — comprehensive, tamper-resistant audit logging of system and security events with adequate retention", "framework": "mas-trm", "framework_version": "MAS Technology Risk Management Guidelines (Jan 2021)", "framework_category": "Audit logging & retention", "level": "mandatory", "primary_role": "D/V", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal", "internal" ], "worm_tables": [], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "The §30 WORM audit chain is append-only with per-table retention; the §35 Streaming Logs Contract streams events to a tamper-evident sink at the moment of action — the comprehensive, tamper-resistant logging MAS TRM requires." }, { "requirement_id": "mas-trm.incident-management", "title": "MAS TRM Guidelines — IT incident management, including timely detection, escalation and notification to MAS of relevant incidents", "framework": "mas-trm", "framework_version": "MAS Technology Risk Management Guidelines (Jan 2021)", "framework_category": "IT incident management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector raises the incident signal and the Reporting Engine assembles the MAS notification package; the regulator-side delivery channel to MAS is designed pending the per-jurisdiction reporting connector." }, { "requirement_id": "mas-trm.third-party-risk", "title": "MAS TRM Guidelines — manage technology risk arising from third-party service providers across the lifecycle of the arrangement", "framework": "mas-trm", "framework_version": "MAS Technology Risk Management Guidelines (Jan 2021)", "framework_category": "Third-party risk management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Third-party technology risk maps to the Authority Register (which third-party agent acted under whose authority) + the §51 SPoF registry (each dependency's failure-mode classification) — the lifecycle third-party-risk view MAS TRM requires." } ], "resolution_framing": null }, { "framework": "mastercard-dispute-rules", "display_name": "Mastercard Chargeback Standards — Dispute Resolution & Arbitration", "framework_version": "Mastercard Chargeback Standards — Dispute Resolution & Arbitration (Chargeback Guide)", "source": "The Mastercard Chargeback Standards (the Chargeback Guide) govern the dispute lifecycle on Mastercard transactions: the first chargeback, the merchant's second presentment with supporting documentation, pre-arbitration, and the arbitration case where the network rules on the documented record. The second presentment must carry the documentation that remedies the chargeback reason — order and fulfilment records, authorisation results, proof of delivery, and customer-communication evidence. KYE Protocol™ governs whether the second presentment / case filing may PROCEED — under a named owner's recorded authority, with the supporting evidence captured as evidence events at transaction time, and with the bundle sealed as a signed, hash-bound, WORM-retained, replay-verifiable Evidence Pack so the documented record survives pre-arbitration and arbitration scrutiny. KYE does not decide whether to fight the dispute, generate the dispute narrative, or judge the dispute outcome (the issuer and Mastercard do).", "license": "The Mastercard Chargeback Standards are Mastercard's own publications; the KYE registry paraphrases each requirement's intent and cites the programme name for mapping purposes only. No Mastercard text is reproduced.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Second-presentment evidence captured at transaction time": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Named-authority on the chargeback response": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Arbitration-grade reconstruction of the dispute record": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Dispute merits adjudication & strategy": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "mastercard-dispute-rules.second-presentment-evidence-capture", "title": "The second-presentment supporting documentation is captured as evidence events at transaction time", "framework": "mastercard-dispute-rules", "framework_version": "Mastercard Chargeback Standards — Dispute Resolution & Arbitration (Chargeback Guide)", "framework_category": "Second-presentment evidence captured at transaction time", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "A Mastercard second presentment must carry the documentation that remedies the chargeback reason — order and fulfilment records, the authorisation result, proof of delivery, and the customer-communication trail. KYE requires that supporting evidence to be captured as timestamped, hash-bound evidence events at transaction time and bound into a decision map before the second presentment proceeds — with the honest gap enumerated when fields are missing — per the §13 Resilience Loop. Enforced by chargeback_dispute_evidence_capture via the evidence-engine. KYE proves the documentation was captured and what it contains; it does not judge whether it remedies the chargeback." }, { "requirement_id": "mastercard-dispute-rules.chargeback-response-authority", "title": "The chargeback response (second presentment / pre-arbitration / acceptance) proceeds only under a recorded named-authority decision", "framework": "mastercard-dispute-rules", "framework_version": "Mastercard Chargeback Standards — Dispute Resolution & Arbitration (Chargeback Guide)", "framework_category": "Named-authority on the chargeback response", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Each step of the Mastercard dispute lifecycle — second presentment, pre-arbitration response, accepting the chargeback — is a consequential commercial action with fees and finality. When a response moves toward submission (or a liability acceptance toward commitment), KYE binds it to a recorded named-authority decision (the agent or person proposing it, the dispute artefact, the action, and the named disputes / finance owner under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by chargeback_representment_authority + chargeback_liability_acceptance_record via the authority-engine + decision-engine. KYE proves who authorised the response; it does not choose the strategy." }, { "requirement_id": "mastercard-dispute-rules.arbitration-reconstruction-record", "title": "Arbitration-grade reconstruction: the dispute record is sealed, contestable and replay-verifiable", "framework": "mastercard-dispute-rules", "framework_version": "Mastercard Chargeback Standards — Dispute Resolution & Arbitration (Chargeback Guide)", "framework_category": "Arbitration-grade reconstruction of the dispute record", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "An arbitration case is decided on the documented record — what was submitted, when, and on what basis. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every dispute response and liability acceptance, WORM-retained, so the full dispute record can be reconstructed exactly as assembled and contested through a recorded route when the case reaches pre-arbitration or arbitration, per the §13 Resilience Loop + §21 Delegated Auditability + §30 WORM retention. Enforced by chargeback_evidence_pack_integrity + chargeback_liability_acceptance_record via the evidence-engine + replay-engine. KYE proves the record; it does not argue the case." }, { "requirement_id": "mastercard-dispute-rules.dispute-merits-adjudication", "title": "Dispute merits adjudication, fight/accept strategy, and the dispute narrative", "framework": "mastercard-dispute-rules", "framework_version": "Mastercard Chargeback Standards — Dispute Resolution & Arbitration (Chargeback Guide)", "framework_category": "Dispute merits adjudication & strategy", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Deciding whether to fight a chargeback, composing the second-presentment narrative, scoring the fraud risk, and adjudicating the dispute belong to the merchant, their dispute-management provider, the issuer, and Mastercard. KYE™ is an AI-authority and evidence layer, not a dispute-management or fraud-scoring engine — out of scope by design (§0 honest scope; complement-not-compete vs the dispute-management ecosystem). KYE proves the authority and the evidence; it does not fight the dispute.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "mhra-mdr-2002", "display_name": "MHRA Medical Devices Regulations 2002", "framework_version": "2002-as-amended-2024", "source": "UK Statutory Instrument 2002/618 — Medical Devices Regulations 2002, as amended", "license": null, "total": 53, "declared_total": 53, "coverage_pct": 97, "status_counts": { "enforced": 50, "designed": 3, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Classification Rules (Annex IX)": { "total": 10, "enforced": 10, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Conformity Assessment (declaration / Approved Body / registration)": { "total": 11, "enforced": 10, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 95 }, "Essential Requirements (Annex I, regs 7-12)": { "total": 12, "enforced": 12, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Post-Market Vigilance (regs 44-47)": { "total": 8, "enforced": 8, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Risk classes (Class I / IIa / IIb / III + software class)": { "total": 12, "enforced": 10, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 92 } }, "requirements": [ { "requirement_id": "mhra-mdr-2002.cls.rule-9-active-therapeutic", "title": "Annex IX Rule 9 — Active therapeutic devices (energy delivery)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "Active-therapeutic classification handled in risk-classes dictionary; runtime gating via Rules Gateway." }, { "requirement_id": "mhra-mdr-2002.cls.rule-10-active-diagnostic", "title": "Annex IX Rule 10 — Active diagnostic devices", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "AI imaging triage tools usually land here (Class IIa/IIb)." }, { "requirement_id": "mhra-mdr-2002.cls.rule-11-software-decisions", "title": "MDR Rule 11 — Software for decisions impacting therapy/diagnosis (covers most clinical SaMD)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.model.capability_profile.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "Capability profile drives Rule 11 sub-class (IIa/IIb/III) based on consequence + autonomy." }, { "requirement_id": "mhra-mdr-2002.cls.rule-15-IVD-disinfection", "title": "Annex IX Rule 15 — Devices for disinfection/cleaning of medical devices", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Out-of-scope for AI agents but kept as part of the complete classification map." }, { "requirement_id": "mhra-mdr-2002.cls.intended-purpose-binding", "title": "Intended purpose binding — class flows from declared intended purpose", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission™ binds declared intended purpose; class is derived deterministically." }, { "requirement_id": "mhra-mdr-2002.cls.borderline-products", "title": "Borderline products (drug/device, software/lifestyle) — qualification decision", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Borderline decision-record captured via Decision Map; final qualification stays with MHRA." }, { "requirement_id": "mhra-mdr-2002.cls.accessory", "title": "Accessory to a medical device — class follows its host", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Accessory linkage modelled via directory edge between AI agent and host device." }, { "requirement_id": "mhra-mdr-2002.cls.implementing-rules", "title": "Implementing rules — highest applicable class when multiple rules apply", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "Rules Gateway picks max-class across applicable rules deterministically." }, { "requirement_id": "mhra-mdr-2002.cls.class-change-on-update", "title": "Re-classification trigger when intended purpose/capability changes", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.influence_envelope.v1", "kye.agency_drift.event.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Influence-envelope drift triggers reclassification check via Drift Detector." }, { "requirement_id": "mhra-mdr-2002.cls.class-evidence-recorded", "title": "Classification decision recorded in technical documentation", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Classification Rules (Annex IX)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Decision Map captures the class derivation; evidence pack archives it." }, { "requirement_id": "mhra-mdr-2002.ca.manufacturer-declaration", "title": "Manufacturer Declaration of Conformity (DoC)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.signature.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Signed DoC via key-custody." }, { "requirement_id": "mhra-mdr-2002.ca.MHRA-registration", "title": "MHRA device registration (legal manufacturer + UKRP)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-reporting-worker" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "MHRA-registration submission flow via Reporting Engine." }, { "requirement_id": "mhra-mdr-2002.ca.UKRP-designation", "title": "UK Responsible Person designated (if outside UK)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.management_review.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "UKRP field on Entity Passport." }, { "requirement_id": "mhra-mdr-2002.ca.approved-body-assessment", "title": "Approved Body assessment for IIa/IIb/III + active implantables", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "agents": [ "internal" ], "workers": [ "kye-audit-pilot-agent" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot™ surface for Approved-Body engagement." }, { "requirement_id": "mhra-mdr-2002.ca.QMS-required", "title": "Quality Management System (ISO 13485 equivalent)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.management_review.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "QMS controls attested in Compliance Card." }, { "requirement_id": "mhra-mdr-2002.ca.technical-file", "title": "Technical-file completeness", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Tech-file = Evidence Pack." }, { "requirement_id": "mhra-mdr-2002.ca.design-dossier", "title": "Design dossier (Class IIb / III)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-evidence-pack-assembler", "kye-conformance-runner" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Design dossier assembled by Evidence Pack + Conformance Runner." }, { "requirement_id": "mhra-mdr-2002.ca.declaration-WORM", "title": "Declaration of Conformity WORM-archived", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "DoC append-only in audit chain." }, { "requirement_id": "mhra-mdr-2002.ca.substantial-change-reassessment", "title": "Re-assessment on substantial change", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift Detector triggers re-assessment." }, { "requirement_id": "mhra-mdr-2002.ca.labelling-info", "title": "Labelling and information supplied with device", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.receipt.v1", "kye.agent.workflow.v1" ], "comms_templates": [ "expert-review.brief.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Labelling template via Comms Engine. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "mhra-mdr-2002.ca.clinical-investigation", "title": "Clinical investigation evidence (if applicable)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Conformity Assessment (declaration / Approved Body / registration)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.healthcare.cdss.v1" ], "engines": [ "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Clinical investigation evidence packs via Evidence Pack Assembler." }, { "requirement_id": "mhra-mdr-2002.er.reg-7-general-safety", "title": "Regulation 7 — Essential Requirements: general safety, performance, and acceptable risk-benefit", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.model_validation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-conformance-runner" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk assessment must demonstrate residual risk is acceptable when weighed against benefit and the state of the art — emitted per device evaluation." }, { "requirement_id": "mhra-mdr-2002.er.reg-8-risk-management-process", "title": "Regulation 8 — Risk management process (identify, evaluate, control, monitor)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.resilience.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine emits identification/evaluation; Drift Detector handles monitoring leg." }, { "requirement_id": "mhra-mdr-2002.er.reg-8-residual-risk-disclosure", "title": "Disclose residual risk + intended-use restrictions in labelling and Instructions for Use", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "comms_templates": [], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Labelling-template surface (IFU) ships via Comms Engine; risk-disclosure block sourced from Risk Engine output." }, { "requirement_id": "mhra-mdr-2002.er.reg-9-design-and-construction", "title": "Regulation 9 — Design + construction conform to safety principles (chemical, physical, biological)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "workers": [ "kye-conformance-runner" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Conformance Runner captures construction principles in evidence pack; physical safety belongs to deployer." }, { "requirement_id": "mhra-mdr-2002.er.reg-10-information-supplied", "title": "Regulation 10 — Information supplied by the manufacturer (label + IFU)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Label + IFU content sourced from Conformance Runner evidence and delivered via Comms Engine templates." }, { "requirement_id": "mhra-mdr-2002.er.reg-11-software-lifecycle", "title": "Regulation 11 — Software lifecycle: validation, verification, configuration management (IEC 62304 aligned)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.evidence.model_params.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Software lifecycle artefacts (model_params + validation reports) captured as evidence; WORM retention via §30." }, { "requirement_id": "mhra-mdr-2002.er.reg-11-cybersecurity", "title": "Regulation 11 (software) — cybersecurity considerations across the lifecycle", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Cybersecurity surface: Edge Arbiter (Safety Floor) + Incident Detector + signed bundle versioning per §25." }, { "requirement_id": "mhra-mdr-2002.er.reg-12-clinical-evaluation", "title": "Regulation 12 — Clinical evaluation (pre-market clinical data review)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Clinical-evaluation report is deployer-authored; KYE assembles the evidence pack around it. Honest design status — deployer ships the clinical review." }, { "requirement_id": "mhra-mdr-2002.er.reg-12-clinical-investigation", "title": "Regulation 12 — Clinical investigation governance (when clinical data is insufficient)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Investigation protocols + outcomes captured as evidence; full clinical-trial workflow remains deployer scope." }, { "requirement_id": "mhra-mdr-2002.er.usability-engineering", "title": "Annex I — Usability engineering (IEC 62366 aligned, use-error risk)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.governedui.critical_point_review.v1" ], "engines": [ "internal" ], "governedui_modules": [], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "GovernedUI critical_point_review schema models clinician-facing use-error mitigations; full usability file ships with deployer." }, { "requirement_id": "mhra-mdr-2002.er.ai-validation-data", "title": "Essential Requirement — AI/ML algorithm validation data + acceptance criteria", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.evidence.model_params.v1", "kye.model.capability_profile.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Capability profile fixes permitted tasks; model_params + validation reports sealed in evidence pack." }, { "requirement_id": "mhra-mdr-2002.er.ai-explainability", "title": "Essential Requirement — Explainability commensurate with clinical risk", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Essential Requirements (Annex I, regs 7-12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.trace_replay_spec.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Decision Map captures inputs→rules→output per decision; Replay engine reproduces the trace from public keys alone." }, { "requirement_id": "mhra-mdr-2002.pm.reg-44-incident-reporting", "title": "Regulation 44 — Manufacturer incident reporting to MHRA", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Post-Market Vigilance (regs 44-47)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector", "kye-reporting-worker" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector opens/closes incidents; Reporting Engine surfaces them for MHRA submission." }, { "requirement_id": "mhra-mdr-2002.pm.reg-44-serious-incident-timeline", "title": "Regulation 44 — Serious incident reporting within statutory timelines (10/15-day)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Post-Market Vigilance (regs 44-47)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Incident opened timestamp + reporting-cycle clock captured in audit chain; deployer remains the submitter." }, { "requirement_id": "mhra-mdr-2002.pm.reg-45-trending", "title": "Regulation 45 — Trend reporting (non-serious but statistically significant)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Post-Market Vigilance (regs 44-47)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift Detector emits statistical-trend signals; reporting cadence configurable per device." }, { "requirement_id": "mhra-mdr-2002.pm.reg-46-FSCA", "title": "Regulation 46 — Field Safety Corrective Action notification", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Post-Market Vigilance (regs 44-47)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "FSCA notification template ships via Comms Engine; deployer initiates the action." }, { "requirement_id": "mhra-mdr-2002.pm.reg-47-FSN", "title": "Regulation 47 — Field Safety Notice to users/customers", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Post-Market Vigilance (regs 44-47)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Customer notification flow via Comms Engine; deployer authors the FSN content." }, { "requirement_id": "mhra-mdr-2002.pm.MIR-vigilance", "title": "Manufacturer Incident Report (MIR) — content + WORM retention", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Post-Market Vigilance (regs 44-47)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "MIRs immutable per §30 WORM triggers; evidence-pack assembler builds the structured artefact." }, { "requirement_id": "mhra-mdr-2002.pm.periodic-summary-update", "title": "Periodic Safety Update Report (PSUR) cadence and content", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Post-Market Vigilance (regs 44-47)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.tier1_readiness.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Periodic evidence-pack sealer drives PSUR cadence; deployer authors clinical conclusions." }, { "requirement_id": "mhra-mdr-2002.pm.market-surveillance-cooperation", "title": "Cooperation with MHRA market-surveillance enquiries", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Post-Market Vigilance (regs 44-47)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Regulator Replay Agent + Audit Pilot™ surface evidence on demand for MHRA enquiries." }, { "requirement_id": "mhra-mdr-2002.rc.class-I", "title": "Class I (low-risk) self-declaration of conformity", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Self-declared Class I devices supported via Risk Engine + Rules Gateway." }, { "requirement_id": "mhra-mdr-2002.rc.class-IIa", "title": "Class IIa medium-risk — Approved Body assessment required", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.audit_pilot.v1" ], "engines": [ "internal", "internal" ], "agents": [ "internal" ], "workers": [ "kye-audit-pilot-agent" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot™ surfaces Approved-Body workflows." }, { "requirement_id": "mhra-mdr-2002.rc.class-IIb", "title": "Class IIb higher-medium-risk — Approved Body + design dossier", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.model_validation.v1", "kye.assurance.audit_pilot.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-pilot-agent", "kye-conformance-runner" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Conformance Runner produces design-dossier evidence pack." }, { "requirement_id": "mhra-mdr-2002.rc.class-III", "title": "Class III high-risk — full Approved-Body QA + design examination", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.model_validation.v1", "kye.assurance.audit_pilot.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-audit-pilot-agent", "kye-conformance-runner", "kye-evidence-pack-assembler" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Full Evidence Pack assembled for Class III; Approved Body access via Audit Pilot™." }, { "requirement_id": "mhra-mdr-2002.rc.software-classification", "title": "Software-as-medical-device classification (MEDDEV / Rule 11)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Rule-11 SaMD classifier wired via Rules Gateway." }, { "requirement_id": "mhra-mdr-2002.rc.ai-saMD-classification", "title": "AI-SaMD classification per Change Program alignment", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AI-SaMD classification cross-mapped to MHRA Change Program." }, { "requirement_id": "mhra-mdr-2002.rc.intended-purpose-statement", "title": "Intended Purpose Statement declared", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Intended Purpose declared on Entity Passport." }, { "requirement_id": "mhra-mdr-2002.rc.essential-requirements", "title": "Essential requirements (safety, performance, info-supplied)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Essential-requirements checklist via Compliance Card." }, { "requirement_id": "mhra-mdr-2002.rc.clinical-evaluation", "title": "Clinical evaluation report", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.evidence.pack.v1", "kye.evidence.healthcare.cdss.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Clinical evaluation evidence pack; CDSS schema in healthcare sector pack." }, { "requirement_id": "mhra-mdr-2002.rc.technical-documentation", "title": "Technical documentation (file kept by manufacturer)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-evidence-pack-assembler", "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Technical docs hash-chained, WORM-stored." }, { "requirement_id": "mhra-mdr-2002.rc.UKCA-marking", "title": "UKCA / UK Conformity-Assessment marking", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.ato.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "UKCA-marking attestation flow on Compliance Card. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "mhra-mdr-2002.rc.CE-NI", "title": "CE marking for Northern Ireland (per NI Protocol)", "framework": "mhra-mdr-2002", "framework_version": "2002-as-amended-2024", "framework_category": "Risk classes (Class I / IIa / IIb / III + software class)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "CE-NI marking variant; dual-marking flow in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "mhra-pms-2025", "display_name": "MHRA Post-Market Surveillance Regulations 2025", "framework_version": "2025-06", "source": "MHRA Post-Market Surveillance Regulations 2025 (effective June 2025) — UK Statutory Instrument amending MDR 2002 with explicit PMS obligations", "license": null, "total": 36, "declared_total": 36, "coverage_pct": 100, "status_counts": { "enforced": 36, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Incident Reporting Timelines": { "total": 7, "enforced": 7, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Post-Market Clinical Follow-up (Reg 8)": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "PMS Plan (Reg 7)": { "total": 6, "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Post-Market Surveillance": { "total": 9, "enforced": 9, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Periodic Safety Update Reports (PSURs)": { "total": 6, "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Trend Reporting": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "mhra-pms-2025.ir.serious-incident-15-day", "title": "Serious incident reporting within 15 days", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Incident Reporting Timelines", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector", "kye-reporting-worker" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident timer starts at detection; deadline enforced by Reporting Engine cadence." }, { "requirement_id": "mhra-pms-2025.ir.death-or-serious-injury-10-day", "title": "Death / serious health deterioration — 10-day reporting", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Incident Reporting Timelines", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Severity tag drives the 10-day path; immutable audit chain proves timing." }, { "requirement_id": "mhra-pms-2025.ir.public-health-threat-2-day", "title": "Serious public-health threat — 2-day reporting", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Incident Reporting Timelines", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Edge Arbiter trips Safety Floor + emits public-health-threat severity for fast-path reporting." }, { "requirement_id": "mhra-pms-2025.ir.investigation-record", "title": "Investigate incidents + record root cause", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Incident Reporting Timelines", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.trace_replay_spec.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Replay-derivable trace + Decision Map make root-cause investigation deterministic." }, { "requirement_id": "mhra-pms-2025.ir.corrective-action", "title": "Corrective + preventive action plan after incident", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Incident Reporting Timelines", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.closed.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Close-incident signal carries the CAPA reference; deployer authors the plan." }, { "requirement_id": "mhra-pms-2025.ir.final-report-30-day", "title": "Final incident report within statutory window", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Incident Reporting Timelines", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.closed.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Final report sealed in WORM evidence pack." }, { "requirement_id": "mhra-pms-2025.ir.confidentiality", "title": "Patient confidentiality maintained in incident records", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Incident Reporting Timelines", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_access_evidence_event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Data Classification Engine redacts PHI per §31 DGP before report seal." }, { "requirement_id": "mhra-pms-2025.pmcf.plan", "title": "Reg 8 — Post-Market Clinical Follow-up (PMCF) plan", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Clinical Follow-up (Reg 8)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "PMCF plan authored by deployer; KYE provides evidence-pack scaffold." }, { "requirement_id": "mhra-pms-2025.pmcf.real-world-performance", "title": "Reg 8 — Real-world performance monitoring + clinical outcomes review", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Clinical Follow-up (Reg 8)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.observed_action.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Observed-action stream feeds RWP comparison; drift flags clinical-performance shifts." }, { "requirement_id": "mhra-pms-2025.pmcf.benefit-risk-update", "title": "Reg 8 — Periodic benefit-risk re-evaluation in light of PMCF data", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Clinical Follow-up (Reg 8)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.review_cycle.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk Engine re-runs benefit-risk at sealer cadence." }, { "requirement_id": "mhra-pms-2025.pmcf.deviation-trigger", "title": "Reg 8 — Trigger update to risk management when PMCF shows deviation", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Clinical Follow-up (Reg 8)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agency_drift.event.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift event cascades to risk-management update + Resilience Loop replay." }, { "requirement_id": "mhra-pms-2025.plan.objectives", "title": "Reg 7 — PMS plan must define objectives and scope per device", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "PMS Plan (Reg 7)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Purpose Permission™ binds PMS objectives to device class; deployer authors the plan document." }, { "requirement_id": "mhra-pms-2025.plan.data-sources", "title": "Reg 7 — Identify proactive + reactive PMS data sources", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "PMS Plan (Reg 7)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.observed_action.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Observed-action telemetry + drift events constitute the proactive data stream." }, { "requirement_id": "mhra-pms-2025.plan.indicator-thresholds", "title": "Reg 7 — Define indicators + thresholds for triggering action", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "PMS Plan (Reg 7)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.influence_envelope.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Influence-envelope schema encodes threshold bounds; Drift Detector watches against them." }, { "requirement_id": "mhra-pms-2025.plan.responsibilities", "title": "Reg 7 — Designate qualified person responsible for PMS", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "PMS Plan (Reg 7)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Qualified-person role bound via GovernedUI approval module; deployer assigns the human." }, { "requirement_id": "mhra-pms-2025.plan.review-cadence", "title": "Reg 7 — Define PMS plan review cadence (at least annual for Class IIa+)", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "PMS Plan (Reg 7)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.review_cycle.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Periodic evidence-pack sealer enforces the cadence per class." }, { "requirement_id": "mhra-pms-2025.plan.proportionate-to-class", "title": "Reg 7 — PMS activities proportionate to risk class", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "PMS Plan (Reg 7)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "Rules Gateway scales PMS profile by declared class." }, { "requirement_id": "mhra-pms-2025.req-1", "title": "Have a post-market surveillance system in place", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Surveillance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.resilience.drift.detected.v1", "kye.agency_drift.event.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-drift-detector", "kye-incident-detector", "kye-reporting-worker" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Resilience Loop + Drift Detector + Incident Detector = PMS system." }, { "requirement_id": "mhra-pms-2025.req-2", "title": "Produce a PMS plan and undertake PMS in accordance with the plan", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Surveillance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.review_cycle.v1" ], "engines": [ "internal" ], "workers": [ "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "PMS plan = Review Cycle schema; cadence enforced by Compliance Card." }, { "requirement_id": "mhra-pms-2025.req-3", "title": "Report serious incidents to MHRA", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Surveillance", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.agency_drift.event.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector", "kye-webhook-dispatcher" ], "comms_templates": [ "audit-pilot.admin-alert.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-30", "notes": "Incident Detector emits to MHRA endpoint via Webhook Dispatcher; MHRA-specific endpoint binding in build." }, { "requirement_id": "mhra-pms-2025.req-4", "title": "Investigate serious incidents and report to MHRA on conclusions", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Surveillance", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1", "kye.resilience.improvement.v1", "kye.resilience.improvement_record.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-replay-orchestrator", "kye-reporting-worker" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-30", "notes": "Audit Replay Orchestrator drives investigation; report submission flow in build." }, { "requirement_id": "mhra-pms-2025.req-5", "title": "Undertake preventative and corrective actions as required", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Surveillance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1", "kye.resilience.loop_iteration.v1", "kye.operating_model.guard_recommendation.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-revocation-cascade" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Guard Recommendation + Resilience Loop drive CAPA." }, { "requirement_id": "mhra-pms-2025.req-6", "title": "Undertake field safety corrective actions and issue field safety notices", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Surveillance", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.resilience.improvement_record.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector", "kye-webhook-dispatcher" ], "comms_templates": [ "audit-pilot.admin-alert.v1", "audit-pilot.applicant-confirmation.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "FSN issuance via Comms Engine + Webhook Dispatcher." }, { "requirement_id": "mhra-pms-2025.req-7", "title": "Conduct trend reporting of significant increases in incidents that do not require reporting", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Surveillance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.report.quarterly_drift.v1", "kye.report.monthly_decision_summary.v1", "kye.resilience.measurement_record.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-reporting-worker" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Monthly + quarterly drift reports emitted by Reporting Engine." }, { "requirement_id": "mhra-pms-2025.req-8", "title": "Produce a PMS safety report or periodic safety update report (PSUR)", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Surveillance", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.report.annual_conformance_attestation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "workers": [ "kye-reporting-worker", "kye-compliance-card-refresh" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "PSUR via annual conformance attestation + Reporting Engine." }, { "requirement_id": "mhra-pms-2025.req-9", "title": "Meet documentation and information provision requirements", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Post-Market Surveillance", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-chain-worker", "kye-evidence-pack-assembler" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "All PMS documentation hash-chained, WORM-archived; Evidence Pack on demand." }, { "requirement_id": "mhra-pms-2025.psur.cadence-class-iia", "title": "PSUR every 2 years for Class IIa devices", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Periodic Safety Update Reports (PSURs)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.review_cycle.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Sealer cadence configured per device class." }, { "requirement_id": "mhra-pms-2025.psur.cadence-class-iib-iii", "title": "PSUR annually for Class IIb / III devices", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Periodic Safety Update Reports (PSURs)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.review_cycle.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Annual cadence for higher classes; sealer registers next-due timestamp." }, { "requirement_id": "mhra-pms-2025.psur.content-conclusions", "title": "PSUR conclusions section — benefit-risk + actions taken", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Periodic Safety Update Reports (PSURs)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Benefit-risk re-eval auto-generated; clinical conclusions authored by deployer." }, { "requirement_id": "mhra-pms-2025.psur.statistics", "title": "PSUR statistical summary (usage, complaints, incident rates)", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Periodic Safety Update Reports (PSURs)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.observed_action.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Observed-action telemetry rolled up into PSUR statistical summary." }, { "requirement_id": "mhra-pms-2025.psur.submission-to-approved-body", "title": "PSUR submitted to Approved Body (Class IIa-III)", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Periodic Safety Update Reports (PSURs)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Comms Engine dispatches signed PSUR to nominated Approved Body." }, { "requirement_id": "mhra-pms-2025.psur.WORM-retention-10y", "title": "PSUR retained 10 years post-cessation of device sale", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Periodic Safety Update Reports (PSURs)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "Retention policy registered in §30 WORM table." }, { "requirement_id": "mhra-pms-2025.tr.statistical-trend-monitoring", "title": "Statistical trend monitoring of non-serious incidents", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Trend Reporting", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift Detector emits stable_drift when statistical-trend criteria met." }, { "requirement_id": "mhra-pms-2025.tr.trend-report-threshold", "title": "Trend report when frequency/severity exceeds plan threshold", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Trend Reporting", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.model.influence_envelope.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Influence envelope encodes plan-defined thresholds; Drift Detector fires when breached." }, { "requirement_id": "mhra-pms-2025.tr.30-day-reporting", "title": "Trend report submission within 30 days of detection", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Trend Reporting", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "workers": [ "kye-reporting-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Reporting cadence enforced; deployer submits to MHRA." }, { "requirement_id": "mhra-pms-2025.tr.update-pms-plan", "title": "Update PMS plan in light of trend findings", "framework": "mhra-pms-2025", "framework_version": "2025-06", "framework_category": "Trend Reporting", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.review_cycle.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Sealer schedules next plan-review checkpoint after trend reporting." } ], "resolution_framing": null }, { "framework": "mhra-samd-change-programme", "display_name": "MHRA SaMD & AI Change Program", "framework_version": "2023", "source": "MHRA Software and AI as a Medical Device Change Program (2023) — 15 work-packages covering qualification, classification, PCCP, clinical evidence, post-market scrutiny, transparency, bias, cybersecurity, real-world performance, AI Airlock, adaptive control, failure-mode analysis", "license": null, "total": 41, "declared_total": 41, "coverage_pct": 100, "status_counts": { "enforced": 41, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Change-Class Triggers": { "total": 9, "enforced": 9, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Software and AI as Medical Device Change Program": { "total": 15, "enforced": 15, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Oversight + Bias Mitigation": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Predetermined Change Control Plan (PCCP)": { "total": 7, "enforced": 7, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Transparency Obligations": { "total": 6, "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "mhra-samd-change-programme.cct.intended-purpose-shift", "title": "Change-class trigger — material shift in intended purpose", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Change-Class Triggers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.agency_drift.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Engine binds declared purpose; mismatch fires drift event." }, { "requirement_id": "mhra-samd-change-programme.cct.capability-expansion", "title": "Change-class trigger — capability expansion beyond declared profile", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Change-Class Triggers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.agency_drift.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Capability profile drift is the canonical change-class trigger." }, { "requirement_id": "mhra-samd-change-programme.cct.model-parameter-drift", "title": "Change-class trigger — model_params drift beyond envelope", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Change-Class Triggers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.model_params.v1", "kye.model.influence_envelope.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "model_params hash drift compared against influence envelope bounds." }, { "requirement_id": "mhra-samd-change-programme.cct.training-data-shift", "title": "Change-class trigger — training data distribution shift", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Change-Class Triggers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.stable_drift.detected.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Stable-drift signal flags persistent training-data distributional shift." }, { "requirement_id": "mhra-samd-change-programme.cct.performance-degradation", "title": "Change-class trigger — performance degradation past threshold", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Change-Class Triggers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.assurance.review_cycle.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Performance threshold defined in influence envelope; breach triggers reassessment." }, { "requirement_id": "mhra-samd-change-programme.cct.indication-expansion", "title": "Change-class trigger — clinical indication or patient population expansion", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Change-Class Triggers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Indication-set bound by Purpose Permission; expansion re-runs Risk Engine." }, { "requirement_id": "mhra-samd-change-programme.cct.algorithm-architecture-change", "title": "Change-class trigger — architectural change (model type swap, weights replacement)", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Change-Class Triggers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.model_params.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Architecture hash recorded with each release; mismatch is a trigger." }, { "requirement_id": "mhra-samd-change-programme.cct.dataset-bias-shift", "title": "Change-class trigger — bias profile shift across subgroups", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Change-Class Triggers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Subgroup performance tracked via Drift Detector + Conformance Runner panels." }, { "requirement_id": "mhra-samd-change-programme.cct.deployment-region-shift", "title": "Change-class trigger — deployment region / jurisdiction change", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Change-Class Triggers", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.jurisdiction.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:sku-jurisdiction-canonical" }, "notes": "Jurisdiction attestation reissued on region change." }, { "requirement_id": "mhra-samd-change-programme.wp-1.scope", "title": "Scope of AI/ML as SaMD declared", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scope declared on Entity Passport." }, { "requirement_id": "mhra-samd-change-programme.wp-2.qualification", "title": "Software qualification (is it a medical device?)", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Qualification step via Rules Gateway." }, { "requirement_id": "mhra-samd-change-programme.wp-3.classification", "title": "Classification (Rule 11 SaMD)", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Rule-11 classifier." }, { "requirement_id": "mhra-samd-change-programme.wp-4.pccp", "title": "Predetermined Change Control Plan (PCCP) declared", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.assurance.model_validation.v1", "kye.assurance.management_review.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "PCCP-equivalent flow via Adoption Stage ladder + Action Approval module." }, { "requirement_id": "mhra-samd-change-programme.wp-5.change-control", "title": "Change-control evidence (what can change without re-assessment)", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.resilience.drift.detected.v1", "kye.assurance.management_review.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Change-control via State Engine + Drift Detector." }, { "requirement_id": "mhra-samd-change-programme.wp-6.clinical-evidence", "title": "Clinical evidence (sufficient, current, representative)", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.healthcare.cdss.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-evidence-pack-assembler" ], "sector_packs": [ "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Clinical evidence pack; CDSS schema in healthcare sector pack." }, { "requirement_id": "mhra-samd-change-programme.wp-7.post-market-scrutiny", "title": "Post-market scrutiny (continuous monitoring)", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.drift.detected.v1", "kye.resilience.measurement_record.v1", "kye.report.quarterly_drift.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-drift-detector", "kye-reporting-worker" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Continuous monitoring via Resilience Loop." }, { "requirement_id": "mhra-samd-change-programme.wp-8.transparency-explainability", "title": "Transparency and explainability", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map + Evidence Timeline." }, { "requirement_id": "mhra-samd-change-programme.wp-9.human-interpretation", "title": "Human-interpretation support", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "C", "kye_enforcement": { "audit_events": [ "kye.decision.record.v1", "kye.consent.receipt.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.critical_point_review.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Critical Point Review module." }, { "requirement_id": "mhra-samd-change-programme.wp-10.bias-fairness", "title": "Bias-and-fairness considerations", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Bias-and-fairness suite via Risk + Drift engines; full statistical fairness in build." }, { "requirement_id": "mhra-samd-change-programme.wp-11.cybersecurity", "title": "Cybersecurity of AI-SaMD", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-gateway", "kye-audit-chain-worker" ], "probes": [ "security-headers", "tls-valid" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "probe": "security-headers" }, "notes": "Edge security + WORM audit." }, { "requirement_id": "mhra-samd-change-programme.wp-12.real-world-performance", "title": "Real-world-performance monitoring", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.measurement_record.v1", "kye.report.monthly_decision_summary.v1", "kye.report.quarterly_drift.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-reporting-worker" ], "constitution_refs": [ "constitution/20-ANALYTICS-PLANE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Monthly + quarterly drift reports." }, { "requirement_id": "mhra-samd-change-programme.wp-13.ai-airlock", "title": "AI Airlock alignment (regulatory sandbox)", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.decision.shadow_evaluation.v1", "kye.assurance.adoption_stage.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Shadow Mode + Adoption Stage = AI Airlock equivalent." }, { "requirement_id": "mhra-samd-change-programme.wp-14.adaptive-algorithm-control", "title": "Adaptive-algorithm change control", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.resilience.drift.detected.v1", "kye.assurance.model_validation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Adaptive change control through State Engine + Drift Detector." }, { "requirement_id": "mhra-samd-change-programme.wp-15.failure-mode-analysis", "title": "Failure-mode analysis", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Software and AI as Medical Device Change Program", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.threat_model.v1", "kye.assurance.risk_assessment.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Threat-model + audit-replay-orchestrator; failure-mode catalogue in build." }, { "requirement_id": "mhra-samd-change-programme.ob.subgroup-performance", "title": "Subgroup performance reporting (age, sex, ethnicity, comorbidity)", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Oversight + Bias Mitigation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Conformance runner emits subgroup metrics with each validation cycle." }, { "requirement_id": "mhra-samd-change-programme.ob.bias-mitigation-plan", "title": "Bias mitigation plan + ongoing fairness monitoring", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Oversight + Bias Mitigation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.assurance.review_cycle.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift Detector watches subgroup performance over time." }, { "requirement_id": "mhra-samd-change-programme.ob.human-in-the-loop-at-critical-point", "title": "Human-in-the-loop required at clinical critical points", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Oversight + Bias Mitigation", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.governedui.critical_point_review.v1", "kye.governedui.approval.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "Two-person review at critical-points enforced via GovernedUI." }, { "requirement_id": "mhra-samd-change-programme.ob.override-capture", "title": "Capture clinician override + dissent", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Oversight + Bias Mitigation", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.observed_action.v1", "kye.governedui.critical_point_review.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Override events recorded for trend analysis + bias-feedback loop." }, { "requirement_id": "mhra-samd-change-programme.pccp.declared-changes", "title": "PCCP — declared adaptive-algorithm changes (scope envelope)", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Predetermined Change Control Plan (PCCP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Capability profile + Influence envelope jointly model the declared PCCP scope." }, { "requirement_id": "mhra-samd-change-programme.pccp.modification-protocol", "title": "PCCP — modification protocol describing data/test/release criteria", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Predetermined Change Control Plan (PCCP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.model_validation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Conformance Runner records validation criteria per modification." }, { "requirement_id": "mhra-samd-change-programme.pccp.impact-assessment", "title": "PCCP — impact assessment for each declared change", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Predetermined Change Control Plan (PCCP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map captures rationale; Risk Engine quantifies impact." }, { "requirement_id": "mhra-samd-change-programme.pccp.outside-scope-trigger", "title": "PCCP — change outside declared envelope triggers re-approval", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Predetermined Change Control Plan (PCCP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agency_drift.event.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Edge Arbiter blocks deployment when influence-envelope breach detected." }, { "requirement_id": "mhra-samd-change-programme.pccp.version-traceability", "title": "PCCP — version traceability across change instances", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Predetermined Change Control Plan (PCCP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Compiled Authority Bundle versioning gives per-change cryptographic identity." }, { "requirement_id": "mhra-samd-change-programme.pccp.transparency-disclosure", "title": "PCCP — disclosed to users + Approved Body before deployment", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Predetermined Change Control Plan (PCCP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.transparency.statement.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Transparency Statement published before change activation." }, { "requirement_id": "mhra-samd-change-programme.pccp.ongoing-monitoring", "title": "PCCP — ongoing performance monitoring after each declared change", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Predetermined Change Control Plan (PCCP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.evidence.observed_action.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift Detector watches post-change performance vs pre-change baseline." }, { "requirement_id": "mhra-samd-change-programme.tr.user-facing-disclosure", "title": "User-facing transparency — clinician sees that AI is in the loop", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Transparency Obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.transparency.statement.v1", "kye.transparency.receipt.v1" ], "engines": [ "internal" ], "governedui_modules": [], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "GovernedUI surfaces AI-in-loop disclosure; transparency receipt records acknowledgement." }, { "requirement_id": "mhra-samd-change-programme.tr.confidence-disclosure", "title": "Confidence + uncertainty disclosed alongside output", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Transparency Obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.transparency.statement.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Decision Map carries confidence + bounds per output." }, { "requirement_id": "mhra-samd-change-programme.tr.training-data-summary", "title": "Training data summary published in model passport", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Transparency Obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.transparency.statement.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/17-DIRECTORY-SEARCH.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Directory entry holds the published training-data summary." }, { "requirement_id": "mhra-samd-change-programme.tr.limitations-published", "title": "Known limitations + contraindications published", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Transparency Obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.transparency.statement.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/17-DIRECTORY-SEARCH.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Directory entry surfaces limitations; deployer authors content." }, { "requirement_id": "mhra-samd-change-programme.tr.change-log-public", "title": "Public change log of declared modifications", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Transparency Obligations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.transparency.statement.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Bundle versions surfaced as public change log entries." }, { "requirement_id": "mhra-samd-change-programme.tr.user-recourse", "title": "User recourse — clinician can override + flag concerns", "framework": "mhra-samd-change-programme", "framework_version": "2023", "framework_category": "Transparency Obligations", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.governedui.critical_point_review.v1", "kye.evidence.observed_action.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "GovernedUI critical_point_review records override + clinician concern feedback." } ], "resolution_framing": null }, { "framework": "mifid-ii", "display_name": "MiFID II — Markets in Financial Instruments Directive II (Investment Services Conduct)", "framework_version": "Directive 2014/65/EU", "source": "Directive 2014/65/EU (MiFID II) and Regulation (EU) 600/2014 (MiFIR) govern the provision of investment services in the EU — investment advice, discretionary portfolio management, reception and transmission of orders, and execution of orders. They impose acting honestly, fairly and professionally in the best interests of the client (Art. 24), suitability and appropriateness assessment (Art. 25), best execution (Art. 27), and recordkeeping of the basis of advice and orders. KYE Protocol governs whether an AI-assisted investment decision/action is within mandate, authorised, evidenced, and final at the action boundary, and proves the basis. KYE does not produce investment intelligence, perform the suitability assessment itself, judge whether a recommendation is correct, or act as an investment adviser.", "license": "MiFID II (Directive 2014/65/EU) is EU legislation published in the Official Journal of the European Union. KYE registry cites its conduct articles for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Acting in the client's best interest (Art. 24)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Suitability & appropriateness (Art. 25)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Best execution (Art. 27)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Recordkeeping & basis of advice": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "mifid-ii.art24-best-interest", "title": "Acting in the client's best interest (Art. 24): an AI-generated decision proceeds only under recorded named authority", "framework": "mifid-ii", "framework_version": "Directive 2014/65/EU", "framework_category": "Acting in the client's best interest (Art. 24)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "MiFID II Art. 24 requires an investment firm to act honestly, fairly and professionally in the best interests of its clients. KYE binds every AI-generated investment decision that moves toward a consequential action (a portfolio change, a trade, advice served to a client) to a recorded named-authority decision and holds it advisory until the named portfolio manager / adviser / committee signs off, via the §36 GovernedUI human-control surface. Enforced by investment_named_authority + investment_committee_signoff_gate. KYE governs whether the decision may proceed under whose authority; it does not judge whether the decision is in the client's best interest. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "mifid-ii.art25-suitability", "title": "Suitability & appropriateness (Art. 25): the suitability basis is recorded as a mandate / due-diligence check before the action", "framework": "mifid-ii", "framework_version": "Directive 2014/65/EU", "framework_category": "Suitability & appropriateness (Art. 25)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "MiFID II Art. 25 requires the firm to assess suitability (for advice / portfolio management) or appropriateness before providing the service. KYE requires an AI-generated recommendation to carry a recorded mandate-check result confirming the consequential action is within the recorded client mandate / suitability profile before it proceeds, under the §12 Purpose Permission purpose-scope check. An out-of-mandate or unassessed recommendation is refused at the action-admissibility gate. Enforced by investment_mandate_check_before_action. KYE proves the suitability basis was recorded before the action; it does not perform the suitability assessment itself. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "mifid-ii.art27-best-execution", "title": "Best execution (Art. 27): a trade recommendation proceeds only with a recorded mandate check and named authority", "framework": "mifid-ii", "framework_version": "Directive 2014/65/EU", "framework_category": "Best execution (Art. 27)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "MiFID II Art. 27 requires the firm to take all sufficient steps to obtain the best possible result when executing orders. KYE treats an AI-generated trade recommendation as a consequential action requiring a recorded mandate-check (within the firm's execution policy and the client mandate) and named authority before it proceeds, under the §25 Edge Governance Safety Floor; a recommendation that breaches the recorded execution mandate is refused and routed dual-channel. Enforced by investment_mandate_check_before_action. KYE governs whether the trade recommendation may proceed within mandate; it does not select the venue or judge execution quality. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "mifid-ii.recordkeeping-basis-of-advice", "title": "Recordkeeping & basis of advice: replay-provable provenance of the basis on which an AI-assisted decision proceeded", "framework": "mifid-ii", "framework_version": "Directive 2014/65/EU", "framework_category": "Recordkeeping & basis of advice", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "MiFID II requires firms to keep records of the services, activities, and transactions sufficient to enable the competent authority to monitor compliance, including the basis of advice. KYE requires an AI-generated decision that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin binding the model and version, the inputs and pinned evidence-backed research relied on, the mandate / suitability check result, and the named-authority outcome, per the §13 Resilience Loop — verifiable offline by a competent authority. Enforced by investment_provenance_pin. KYE preserves the basis and its lineage; it does not reproduce the underlying research. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "moreq-2010", "display_name": "MoReq2010 — Modular Requirements for Records Systems", "framework_version": "2011", "source": "MoReq2010 specifies modular, testable requirements for records systems — a core services module (classification, retention-and-disposition, searching, access control) plus pluggable functional modules, every requirement backed by an entity-event audit. KYE Protocol™ is NOT a records system — Iron Mountain InSight DXP plus a records system is. KYE Protocol™ governs ACTION authority at the boundary where a managed record drives a consequential AI action. The records-system core-service requirements (classification, retention/disposition, search) map out-of-scope; the access-control decision and entity-event audit-of-the-action overlay maps enforced.", "license": "MoReq2010 is published by the DLM Forum Foundation under its own licence; KYE registry cites its module/service structure for mapping purposes (no normative text reproduced).", "total": 5, "declared_total": 5, "coverage_pct": 60, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 2 }, "by_category": { "Access-control service at the action boundary (authority overlay)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Entity-event audit of the action decision (authority overlay)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Classification & search core service (records-system)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Retention & disposition core service (records-system)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "moreq-2010.access-control-service-overlay", "title": "Access-control service at the action boundary: refuse a consequential AI action on a records-system entity without authority", "framework": "moreq-2010", "framework_version": "2011", "framework_category": "Access-control service at the action boundary (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "MoReq2010 R6.1 (access control core service) requires the records system to control access to records and metadata. KYE's overlay decides at the §12 action-admissibility gate whether the acting principal may take a consequential action on a records-system entity, refusing and routing dual-channel otherwise — via the pdp + decision-engine. Honest scope: KYE governs the AUTHORITY-to-act decision; the records system owns its access-control service over the stored entity." }, { "requirement_id": "moreq-2010.custody-to-authority-binding", "title": "Custody-to-authority binding: the records-system custody context is bound into the named-authority decision", "framework": "moreq-2010", "framework_version": "2011", "framework_category": "Access-control service at the action boundary (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "MoReq2010 requires every entity to carry its full context and event history. KYE's overlay binds the records-system custody/context (the chain-of-custody an Iron Mountain system proves) into the named-authority decision and its evidence pin — proving WHICH custodied entity, with WHICH custody context, drove the action — via the authority-engine + evidence-engine. This is the custody→authority binding (Chain of Custody → Chain of Authority). Honest scope: KYE binds the custody context as evidence INPUT; Iron Mountain owns the custody record." }, { "requirement_id": "moreq-2010.entity-event-action-audit", "title": "Entity-event audit of the action decision: an immutable governance audit entry for every consequential action", "framework": "moreq-2010", "framework_version": "2011", "framework_category": "Entity-event audit of the action decision (authority overlay)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.proof.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chain-of-authority-insight" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:chain-of-authority-insight-canonical" }, "notes": "MoReq2010 R2.x requires every record/entity to maintain an audit trail of events. KYE's overlay keeps a tamper-evident, WORM-backed (§30), Replay-Proof (§13) audit trail OF THE AUTHORITY/ADMISSIBILITY DECISION taken over a records-system entity, via the audit-chain + evidence-engine. Honest scope: this is the governance-decision audit, NOT the records-system entity-event audit (which the records system / Iron Mountain maintains)." }, { "requirement_id": "moreq-2010.classification-search-service", "title": "Classification & search core service (records-system — owned by Iron Mountain InSight DXP, not KYE)", "framework": "moreq-2010", "framework_version": "2011", "framework_category": "Classification & search core service (records-system)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/15-MCP-AND-SDK.md" ] }, "coverage_status": "out-of-scope", "owning_role": "information-custodian", "notes": "MoReq2010 R4 (classification service) and search requirements are the records system's job (Iron Mountain InSight DXP — classification, IDP, search). KYE does NOT classify or search records; the §15 connector only CONSUMES the classification output at the action boundary. §0 BOUNDARY: Iron Mountain governs INFORMATION; KYE governs ACTION. Out-of-scope, owned by the information-custodian." }, { "requirement_id": "moreq-2010.retention-disposition-service", "title": "Retention & disposition core service (records-system — owned by Iron Mountain, not KYE)", "framework": "moreq-2010", "framework_version": "2011", "framework_category": "Retention & disposition core service (records-system)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "out-of-scope", "owning_role": "records-manager", "notes": "MoReq2010 R5 (retention and disposition service) requires the records system to manage retention schedules and disposition. This is Iron Mountain's records-retention business. KYE does NOT manage records-retention or disposition. §0 HARD LINE: KYE's §30 audit-WORM-retention governs KYE's OWN proof-of-governance evidence — never the customer's records-retention. Out-of-scope, owned by the records-manager." } ], "resolution_framing": null }, { "framework": "msha", "display_name": "MSHA — Mine Safety and Health Administration standards (30 CFR)", "framework_version": "2024", "source": "US Mine Safety and Health Administration standards under 30 CFR governing safety of surface and underground mines — including hoisting equipment, electrical safety, and ground control. KYE governs the authority, evidence and finality of AI-recommended physical-safety actions on mine equipment (e.g. mine-hoist stop, conveyor halt); KYE does not replace the operator's MSHA compliance program. Starter requirement set (Wave-Ralph-Industrial); deepen by graft.", "license": "US federal regulation (public domain); KYE registry cites the CFR section for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 44, "status_counts": { "enforced": 0, "designed": 3, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "30 CFR 56/57 — Surface & underground metal/nonmetal": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "30 CFR 75 — Underground coal mines": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "30 CFR 49 — Mine rescue / emergency": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 } }, "requirements": [ { "requirement_id": "msha.30-cfr-56.18002", "title": "Examination of working places — safety-floor-governed actuation", "framework": "msha", "framework_version": "2024", "framework_category": "30 CFR 56/57 — Surface & underground metal/nonmetal", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-recommended physical_safety_action on mine equipment (e.g. mine-hoist stop) is admitted under the §25 safety floor with SIL-validated authority. Live OT/ICS actuation is Phase-2 behind the safety floor. Enforced by industrial_physical_safety_floor. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "msha.30-cfr-57.19021", "title": "Hoisting equipment — named accountability for stop decisions", "framework": "msha", "framework_version": "2024", "framework_category": "30 CFR 56/57 — Surface & underground metal/nonmetal", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-recommended hoist-stop/shutdown is advisory pending named-engineer sign-off (named_accountable_engineer). Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "msha.30-cfr-75.1725", "title": "Machinery and equipment — contestable safety decisions", "framework": "msha", "framework_version": "2024", "framework_category": "30 CFR 75 — Underground coal mines", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Both a spurious equipment stop (false-trip) and a missed-failure are contestable with a replay-derivable record (§21). Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "msha.30-cfr-49.6", "title": "Emergency action evidence record", "framework": "msha", "framework_version": "2024", "framework_category": "30 CFR 49 — Mine rescue / emergency", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "advisory", "notes": "Emergency physical-safety action decisions emit a WORM-retained Evidence Pack (§30); the mine-rescue program itself is the operator's responsibility." } ], "resolution_framing": null }, { "framework": "naic-model-bulletin-ai", "display_name": "NAIC Model Bulletin on the Use of AI by Insurers", "framework_version": "NAIC Model Bulletin on the Use of Artificial Intelligence Systems by Insurers (adopted December 2023)", "source": "The NAIC Model Bulletin on the Use of Artificial Intelligence Systems by Insurers (adopted by the National Association of Insurance Commissioners in December 2023, and adopted by numerous US states) sets the regulatory expectation that an insurer deploying AI systems maintains a written AI Systems (AIS) Program with named accountability, governance, documentation, and testing for unfair discrimination across the insurance lifecycle (marketing, underwriting, rating, claims). KYE Protocol™ governs whether an AI-assisted underwriting or claims decision may PROCEED to a consequential adverse action — under a named underwriter's / adjuster's authority, with a recorded adverse-action reason-code, with proxy-discrimination / fairness-evidence captured, with a signed Evidence Pack, and an appeal / contestability record. KYE does not price risk, set the risk appetite, validate the actuarial model, or judge whether the decision is correct.", "license": "The NAIC Model Bulletin is a public regulatory model document; KYE registry paraphrases each requirement's intent and cites the bulletin section for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Named accountability & governance of the AI decision": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Adverse-action explainability & documentation": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Unfair-discrimination testing evidence": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Actuarial pricing, risk appetite & model design on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "naic-model-bulletin-ai.governance-named-accountability", "title": "An AI-assisted underwriting / claims decision proceeds only under a recorded named-authority decision", "framework": "naic-model-bulletin-ai", "framework_version": "NAIC Model Bulletin on the Use of Artificial Intelligence Systems by Insurers (adopted December 2023)", "framework_category": "Named accountability & governance of the AI decision", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The NAIC bulletin requires a written AIS Program with named accountability for AI decisions across the insurance lifecycle. When an AI review produces an underwriting or claims decision that moves toward a consequential adverse action, KYE binds it to a recorded named-authority decision (the agent, the decision artefact, the action, and the named underwriter / adjuster under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by insurance_underwriting_decision_authority + insurance_claims_determination_authority via the authority-engine + decision-engine. KYE proves who authorised the decision to proceed; it does not price the risk or set the risk appetite." }, { "requirement_id": "naic-model-bulletin-ai.adverse-action-documentation", "title": "A consequential adverse action proceeds only with a recorded reason-code and supporting evidence", "framework": "naic-model-bulletin-ai", "framework_version": "NAIC Model Bulletin on the Use of Artificial Intelligence Systems by Insurers (adopted December 2023)", "framework_category": "Adverse-action explainability & documentation", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The bulletin requires documentation and explainability of AI-driven decisions affecting consumers. KYE requires the adverse-action reason-code and the evidence the reason rests on to be captured and bound into a decision map before an AI-assisted decision proceeds to a consequential adverse action, per the §13 Resilience Loop. Enforced by insurance_adverse_action_explainability via the evidence-engine. KYE proves the reason-code + evidence was recorded; it does not judge whether the reason is actuarially correct." }, { "requirement_id": "naic-model-bulletin-ai.unfair-discrimination-testing", "title": "Fairness-evidence (proxy-discrimination testing) is captured before a consequential decision proceeds", "framework": "naic-model-bulletin-ai", "framework_version": "NAIC Model Bulletin on the Use of Artificial Intelligence Systems by Insurers (adopted December 2023)", "framework_category": "Unfair-discrimination testing evidence", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The bulletin requires insurers to test AI systems for unfair discrimination across the lifecycle. KYE binds a signed, replay-provable fairness-evidence record (the proxy-discrimination check applied, the disparate-impact result, the data fields tested, the named-authority outcome) under a context seal to every consequential AI-assisted decision, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by insurance_fairness_evidence_capture via the evidence-engine + replay-engine. KYE proves the fairness check evidence was captured and is replay-provable; it does not design the discrimination-testing methodology." }, { "requirement_id": "naic-model-bulletin-ai.actuarial-pricing-model-design", "title": "Actuarial pricing, risk-appetite setting, and model design on the merits", "framework": "naic-model-bulletin-ai", "framework_version": "NAIC Model Bulletin on the Use of Artificial Intelligence Systems by Insurers (adopted December 2023)", "framework_category": "Actuarial pricing, risk appetite & model design on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Setting the price of risk, determining the risk appetite, designing the actuarial / underwriting model, and judging whether a decision is actuarially correct are the insurer's own model-governance and actuarial judgments. KYE™ is an AI-authority and evidence layer, not a pricing, actuarial, or risk-modelling engine — out of scope by design (§0 honest scope). KYE proves who authorised the decision and how it was made; it does not make the pricing call.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "nerc-cip", "display_name": "NERC CIP — Critical Infrastructure Protection Reliability Standards (North American bulk electric system)", "framework_version": "2024", "source": "NERC Critical Infrastructure Protection (CIP) reliability standards governing cyber security of the North American bulk electric system (BES Cyber Systems). KYE governs the authority, evidence and finality of an AI-recommended physical-safety action on grid/power assets and the scope boundary of the AI's authority; KYE does not replace the registered entity's CIP compliance program. Starter requirement set (Wave-Ralph-Industrial); deepen by graft.", "license": "NERC standards are public; KYE registry cites the standard + requirement identifier for mapping purposes.", "total": 5, "declared_total": 5, "coverage_pct": 40, "status_counts": { "enforced": 0, "designed": 3, "advisory": 2, "deferred": 0, "out-of-scope": 0 }, "by_category": { "CIP-002 — BES Cyber System Categorization": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "CIP-004 — Personnel & Training": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "CIP-007 — System Security Management": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "CIP-008 — Incident Reporting and Response": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "CIP-011 — Information Protection": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 } }, "requirements": [ { "requirement_id": "nerc-cip.cip-002-5.1a.r1", "title": "BES Cyber System categorization by impact", "framework": "nerc-cip", "framework_version": "2024", "framework_category": "CIP-002 — BES Cyber System Categorization", "level": "mandatory", "kye_enforcement": { "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "Asset criticality (asset_criticality_high / asset_criticality_safety_critical) is reference data aligning to BES impact categorisation; the categorisation determination itself is the registered entity's responsibility, not KYE's." }, { "requirement_id": "nerc-cip.cip-004-6.r4", "title": "Access management — authorized personnel for cyber-physical actions", "framework": "nerc-cip", "framework_version": "2024", "framework_category": "CIP-004 — Personnel & Training", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI agent's authority to action a grid asset is purpose-scoped (target_in_authority_scope); cross-asset/cross-site actions outside scope are refused. Enforced by industrial_authority_scope. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nerc-cip.cip-007-6.r1", "title": "System security management — controlled actuation of BES assets", "framework": "nerc-cip", "framework_version": "2024", "framework_category": "CIP-007 — System Security Management", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Any AI-recommended physical_safety_action on a grid asset is admitted under the §25 safety floor with SIL-validated authority. Live OT/ICS actuation is Phase-2 behind the safety floor. Enforced by industrial_physical_safety_floor. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nerc-cip.cip-008-6.r1", "title": "Incident response — contestable and evidenced decisions", "framework": "nerc-cip", "framework_version": "2024", "framework_category": "CIP-008 — Incident Reporting and Response", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "A spurious trip or a missed-failure on a grid asset is contestable with a replay-derivable Evidence Pack supporting incident review. Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nerc-cip.cip-011-3.r1", "title": "Information protection — evidence record integrity", "framework": "nerc-cip", "framework_version": "2024", "framework_category": "CIP-011 — Information Protection", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "advisory", "notes": "Decision evidence is retained under §30 WORM/retention; the BES-information classification program is the registered entity's responsibility." } ], "resolution_framing": null }, { "framework": "nis2", "display_name": "NIS2 — Network and Information Security Directive", "framework_version": "Directive (EU) 2022/2555", "source": "Directive (EU) 2022/2555 — Article 20 (Governance / management-body accountability + liability + training), Article 21 (Risk-management measures: 10 categories with sub-clauses + 21(3) supplier-vulnerability + 21(4) corrective measures), Article 23 (Reporting obligations: 4-stage timeline + voluntary disclosure + recipient notification + CSIRT response), Article 32 (Supervision and enforcement of essential entities). Deep-mapping expanded 2026-05-29 (Wave-Ralph-B) from 15 to 46 with full Article 21 sub-clause decomposition and Article 32 supervisory powers.", "license": "EU directives are published in the Official Journal and reproducible for non-commercial reference purposes.", "total": 46, "declared_total": 46, "coverage_pct": 92, "status_counts": { "enforced": 41, "designed": 1, "advisory": 4, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Article 21 — Risk-management measures (detailed)": { "total": 12, "enforced": 12, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Article 21 — Risk-management measures": { "total": 10, "enforced": 9, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 93 }, "Article 23 — Reporting obligations (detailed)": { "total": 8, "enforced": 7, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 91 }, "Article 23 — Reporting obligations": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Article 20 — Governance (detailed)": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Article 24 — Governance": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Article 32 — Supervision and enforcement (essential entities)": { "total": 8, "enforced": 5, "designed": 1, "advisory": 2, "deferred": 0, "out-of-scope": 0, "coverage_pct": 75 } }, "requirements": [ { "requirement_id": "nis2.A21.2.a", "title": "Article 21(2)(a) — Policies on risk analysis and information system security, encompassing technical, operational and organisational measures based on an all-hazards approach.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "NIS2 Art 21(2)(a). All-hazards Risk Engine emits per-decision risk score across technical (drift / SPOF), operational (reconciliation), organisational (governance attestation) dimensions." }, { "requirement_id": "nis2.A21.2.b", "title": "Article 21(2)(b) — Incident handling, including procedures for detection, analysis, containment, eradication, recovery and post-incident review.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.signal.revocation.cascaded.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NIS2 Art 21(2)(b). Incident family covers full lifecycle (detect → classify → contain via Revocation Cascade → recover via DR runbook → review via Replay Orchestrator)." }, { "requirement_id": "nis2.A21.2.c", "title": "Article 21(2)(c) — Business continuity, including backup management and disaster recovery, and crisis management.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1", "kye.audit_retention_policy.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-d1-backup-worker", "kye-dr-orchestrator" ], "registries": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "NIS2 Art 21(2)(c). §51 SPOF Phase-3 path-to-full runbooks + D1 backup worker + DR orchestrator form the canonical continuity surface." }, { "requirement_id": "nis2.A21.2.d", "title": "Article 21(2)(d) — Supply-chain security, including security-related aspects concerning the relationships between each entity and its direct suppliers or service providers.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.federation.cross_org_delegation.v1", "kye.agent.mcp_allow_list.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:delegated-agent-binding-coverage" }, "notes": "NIS2 Art 21(2)(d). Subprocessor schema + §52 Delegated Agent Binding MCP allow-list bind supply-chain (including AI vendor / MCP server) admissibility. Connector onboarding agent gates every new supplier." }, { "requirement_id": "nis2.A21.2.e", "title": "Article 21(2)(e) — Security in network and information systems acquisition, development and maintenance, including vulnerability handling and disclosure.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.evidence.tool_call_pin.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "NIS2 Art 21(2)(e). Reconciliation Engine catches development drift at emission; SBOM-derived tool-call pin envelope captures component integrity for vulnerability tracking. Coordinated-disclosure intake under §13 incident family." }, { "requirement_id": "nis2.A21.2.f", "title": "Article 21(2)(f) — Policies and procedures to assess the effectiveness of cybersecurity risk-management measures.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.assurance.audit_replay_report.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NIS2 Art 21(2)(f). §21 Delegated Auditability + Audit Pilot agent run regular effectiveness replays from the WORM chain — third-party-verifiable from public keys alone." }, { "requirement_id": "nis2.A21.2.g", "title": "Article 21(2)(g) — Basic cyber-hygiene practices and cybersecurity training.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.training.completion.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/10-PARTNER.md", "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 21(2)(g). Training agent + trainer agent emit completion events; §39 Learn Rail carries hygiene content. Role-targeted training-matrix binding in build under §49 engagement rail." }, { "requirement_id": "nis2.A21.2.h", "title": "Article 21(2)(h) — Policies and procedures regarding the use of cryptography and, where appropriate, encryption.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal", "internal" ], "registries": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "NIS2 Art 21(2)(h). Key Custody + Crypto + BYOK form the canonical key-management surface; §51 SPOF Phase-2 closure ratified multi-sig signing posture; FIPS-validated adapter binding in build." }, { "requirement_id": "nis2.A21.2.i", "title": "Article 21(2)(i) — Human-resources security, access-control policies and asset management.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.permission.v1", "kye.signal.revocation.cascaded.v1", "kye.relationship.member_of.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "NIS2 Art 21(2)(i). Authority Engine + Purpose Permission carry the canonical access-control surface; Revocation Orchestrator handles leaver / role-change cascade. HR policy itself is organisational." }, { "requirement_id": "nis2.A21.2.j", "title": "Article 21(2)(j) — Use of multi-factor authentication or continuous authentication solutions, secured voice / video / text communications and secured emergency communication systems where appropriate.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "NIS2 Art 21(2)(j). WebAuthn Step-Up enforces hardware-bound MFA for privileged operations; Purpose Permission re-evaluates per request (continuous-auth equivalent). Voice/video systems are organisational scope." }, { "requirement_id": "nis2.A21.3", "title": "Article 21(3) — When considering which appropriate measures to take under paragraph 2(d), entities shall take into account the vulnerabilities specific to each direct supplier and service provider and the overall quality of products and cybersecurity practices of their suppliers and service providers, including their secure development procedures.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.compliance.attestation.v1", "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "NIS2 Art 21(3). Subprocessor schema carries per-supplier posture; Risk Engine produces per-supplier risk score consumed at admissibility time." }, { "requirement_id": "nis2.A21.4", "title": "Article 21(4) — Where an entity finds it does not comply with the measures provided for in paragraph 2, it shall, without undue delay, take all necessary, appropriate and proportionate corrective measures.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.incident.opened.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/41-ERROR-HORIZONS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "NIS2 Art 21(4). §34 Reconciliation Engine + §41 Error Horizons drive without-undue-delay closure — every detected delta becomes a rule or a tracked deferral with `decay_deadline`." }, { "requirement_id": "nis2.A21.1", "title": "Policies on risk analysis and information system security.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "rule_packs": [ "kye:rule-pack:public-sector-governance" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine binds every privileged action to a per-decision risk score; Authority Risk Register enumerates the risk surface." }, { "requirement_id": "nis2.A21.2", "title": "Incident handling.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector", "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector emits opened / classified / closed events; Revocation Cascade contains blast radius automatically." }, { "requirement_id": "nis2.A21.3", "title": "Business continuity, such as backup management and disaster recovery, and crisis management.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-d1-backup-worker", "kye-audit-archiver" ], "registries": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "§51 SPOF Registry tracks per-dependency continuity posture; scheduled D1 + R2 backups + retention policy bound." }, { "requirement_id": "nis2.A21.4", "title": "Supply chain security, including security-related aspects concerning the relationships between each entity and its direct suppliers or service providers.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Subprocessor registry + Federation cross-org delegation envelope declare the supply-chain surface; per-supplier attestation cadence binding in build." }, { "requirement_id": "nis2.A21.5", "title": "Security in network and information systems acquisition, development and maintenance, including vulnerability handling and disclosure.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.ci.failure.classified.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/41-ERROR-HORIZONS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "CI gate family + Drift Detector catch dependency-version drift; §41 Error Horizons formalises the convertibility heuristic for vulnerability classes." }, { "requirement_id": "nis2.A21.6", "title": "Policies and procedures to assess the effectiveness of cybersecurity risk-management measures.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.audit_pilot.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-replay-orchestrator" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Card refresh + Audit Pilot + Replay Orchestrator produce ≤90-day effectiveness attestations end-to-end." }, { "requirement_id": "nis2.A21.7", "title": "Basic cyber hygiene practices and cybersecurity training.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.training.completion.v1" ], "constitution_refs": [ "constitution/10-PARTNER.md" ] }, "coverage_status": "advisory", "notes": "Customer-personnel cyber-hygiene training is out-of-scope for KYE runtime; Partner Program provides the canonical training surface but does not enforce per-customer completion." }, { "requirement_id": "nis2.A21.8", "title": "Policies and procedures regarding the use of cryptography and, where appropriate, encryption.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signing.multisig_envelope.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Key-custody + BYOK engines manage signing-key lifecycle; multisig envelope is the canonical at-rest + in-transit attestation." }, { "requirement_id": "nis2.A21.9", "title": "Human resources security, access control policies and asset management.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.permission.v1", "kye.revocation.event.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-pdp", "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Engine binds every access right to a named identity; Revocation Orchestrator deactivates on HR-handoff event. HR pre-employment screening is customer scope." }, { "requirement_id": "nis2.A21.10", "title": "The use of multi-factor authentication or continuous authentication solutions, secured voice, video and text communications and secured emergency communication systems within the entity, where appropriate.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 21 — Risk-management measures", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signing.multisig_envelope.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Continuous-authentication path declared through per-request Purpose Permission re-evaluation; MFA binding via Clerk SSO Phase 3 deferral. Secured-comms channel is delegated to Cloudflare TLS posture." }, { "requirement_id": "nis2.A23.1.early", "title": "Article 23(4)(a) — Early-warning notification within 24 hours of becoming aware of a significant incident, indicating whether the significant incident is suspected of being caused by unlawful or malicious acts or could have a cross-border impact.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1", "kye.cross_border.transfer.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector", "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 23(4)(a). 24h early-warning template + CSIRT recipient registry declared; cross-border-impact flag in incident envelope. SLA-bound dispatch timer binding in build." }, { "requirement_id": "nis2.A23.1.update", "title": "Article 23(4)(b) — Incident notification (within 72 hours) updating the early warning and providing an initial assessment of the significant incident, including its severity, impact, and where available the indicators of compromise.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.evidence.pack.v1", "kye.risk.score.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 23(4)(b). Evidence Pack assembler can produce the 72h initial-assessment bundle from WORM chain. SLA timer + severity-classification → impact-derivation binding in build." }, { "requirement_id": "nis2.A23.1.intermediate", "title": "Article 23(4)(c) — Intermediate report (upon request of the CSIRT or, where applicable, the competent authority) on relevant status updates.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations (detailed)", "level": "conditional", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 23(4)(c). On-demand status report shares the Evidence Pack path; per-recipient personalisation layer in build." }, { "requirement_id": "nis2.A23.1.final", "title": "Article 23(4)(d) — Final report no later than one month after submission of the incident notification, with detailed description of the incident, threat type, root cause, mitigation measures, and cross-border impact.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations (detailed)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.closed.v1", "kye.evidence.pack.v1", "kye.assurance.audit_replay_report.v1", "kye.cross_border.transfer.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-replay-orchestrator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 23(4)(d). Replay Orchestrator + Evidence Pack assembler produce the 1-month final-report bundle with root-cause + mitigation + cross-border impact derivation." }, { "requirement_id": "nis2.A23.2", "title": "Article 23(2) — Where appropriate, communicate to the recipients of their services that are potentially affected by a significant cyber threat any measures or remedies that those recipients can take in response.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations (detailed)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.transparency.statement.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 23(2). Multi-recipient comms dispatch with transparency-statement attachment. Affected-recipient identification (purpose-graph traversal) in build." }, { "requirement_id": "nis2.A23.3", "title": "Article 23(3) — Where appropriate, and in particular where the significant cyber threat is likely to materialise, the entity shall inform the recipients of those services of the threat itself.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations (detailed)", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 23(3). Threat-imminence flag in Risk Engine drives proactive notification when probability × impact exceeds template threshold." }, { "requirement_id": "nis2.A23.5", "title": "Article 23(5) — Member-state CSIRT shall provide the notifying entity, without undue delay and where possible within 24 hours, a response including initial feedback on the significant incident and, upon request, guidance on possible mitigation measures.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations (detailed)", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.signal.incident.opened.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "advisory", "notes": "NIS2 Art 23(5). CSIRT response intake is recorded into the WORM chain; CSIRT-side action is regulator scope. KYE provides the inbound ingestion path." }, { "requirement_id": "nis2.A23.6", "title": "Article 23(6) — Where applicable, voluntarily notify significant incidents, significant cyber threats and near-misses to the CSIRT or, where applicable, the competent authority.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations (detailed)", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 23(6). Voluntary-disclosure shares the same incident family path with `voluntary: true` flag on the dispatch envelope." }, { "requirement_id": "nis2.A23.1", "title": "Early warning to the CSIRT or competent authority within 24 hours of becoming aware of a significant incident.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector", "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Incident-opened event carries timestamp + classification; CSIRT-regulator comms template + 24h SLA timer declared, runtime binding in build." }, { "requirement_id": "nis2.A23.2", "title": "Incident notification with an initial assessment within 72 hours of awareness, including severity, impact and indicators of compromise.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Evidence Pack assembler can produce the 72h initial-assessment bundle; SLA-bound dispatch + IoC enrichment binding in build." }, { "requirement_id": "nis2.A23.3", "title": "Final report no later than one month after the incident notification, with detailed description, threat type, mitigation, and cross-border impact.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.closed.v1", "kye.evidence.pack.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-replay-orchestrator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Replay Orchestrator + Evidence Pack assembler can produce the 1-month final-report bundle; cross-border impact enrichment binding in build." }, { "requirement_id": "nis2.A23.4", "title": "Notification of recipients of services affected by a significant cybersecurity threat that may impact them.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 23 — Reporting obligations", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.transparency.statement.v1" ], "engines": [ "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Comms Engine has the canonical multi-recipient dispatch path; affected-recipient identification surface in build." }, { "requirement_id": "nis2.A24.1.approve", "title": "Article 20(1) — Management bodies of essential and important entities shall approve the cybersecurity risk-management measures taken by those entities in order to comply with Article 21, oversee its implementation, and can be held liable for infringements by the entities.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 20 — Governance (detailed)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.governedui.action_proposal.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "NIS2 Art 20(1). §36 GovernedUI Action Approval module binds management-body sign-off to the WORM audit chain; §9 meta-governance gate blocks self-grants." }, { "requirement_id": "nis2.A24.1.training", "title": "Article 20(2) — Member states shall ensure that members of management bodies are required to follow training and shall encourage essential and important entities to offer similar training to their employees on a regular basis.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 20 — Governance (detailed)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.training.completion.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/10-PARTNER.md", "constitution/39-LEARN-RAIL.md", "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 20(2). Training agent + completion-event family declared; per-role completion ledger + management-body cadence binding in build under §49." }, { "requirement_id": "nis2.A24.1.liability", "title": "Article 20(1) — Liability of management bodies for infringements: management bodies can be held liable when they fail to comply with the obligations under this Directive.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 20 — Governance (detailed)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.audit.event.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "NIS2 Art 20(1) (liability). Every approval lands in the WORM chain with named-accountable signer; replay-derivable record supports liability accounting." }, { "requirement_id": "nis2.A24.1", "title": "Management bodies of essential and important entities approve the cybersecurity risk-management measures taken to comply with Article 21, oversee implementation, and can be held liable for infringements; members of management bodies must follow training and offer similar training to staff.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 24 — Governance", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.compliance.attestation.v1", "kye.training.completion.v1", "kye.authority.grant.v1" ], "engines": [ "internal", "internal", "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "GovernedUI two-person + delegated approval modes carry management-body sign-off; Compliance Attestation binds named-accountable parties; training-completion event family declared. Liability accounting binding under Replay-Proof Phase 4 in build." }, { "requirement_id": "nis2.A32.1", "title": "Article 32(1) — Member states shall ensure that the supervisory measures imposed on essential entities are effective, proportionate and dissuasive, taking into account the circumstances of each individual case.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 32 — Supervision and enforcement (essential entities)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "NIS2 Art 32(1). Supervisory authority is regulator scope; KYE provides the regulator-replay surface so the supervisor can derive evidence from public keys alone." }, { "requirement_id": "nis2.A32.2.a", "title": "Article 32(2)(a) — Power to require on-site inspections and off-site supervision, including random checks, conducted by trained professionals.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 32 — Supervision and enforcement (essential entities)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NIS2 Art 32(2)(a). §21 Delegated Auditability is the canonical off-site supervision surface; Regulator Replay Agent runs supervisor-initiated checks against the WORM chain." }, { "requirement_id": "nis2.A32.2.b", "title": "Article 32(2)(b) — Power to require regular and targeted security audits carried out by an independent body or a competent authority.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 32 — Supervision and enforcement (essential entities)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.evidence.pack.v1", "kye.subprocessor.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:engagement-rail-canonical" }, "notes": "NIS2 Art 32(2)(b). §49 Engagement Rail's auditor tier carries independent-auditor admissibility; Evidence Pack assembler produces auditor-ready bundles." }, { "requirement_id": "nis2.A32.2.c", "title": "Article 32(2)(c) — Power to require ad hoc audits, including where justified by a significant incident or an infringement of the Directive.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 32 — Supervision and enforcement (essential entities)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NIS2 Art 32(2)(c). Incident-triggered replay is canonical — Replay Orchestrator can derive an ad-hoc audit pack scoped to the incident time window." }, { "requirement_id": "nis2.A32.2.d", "title": "Article 32(2)(d) — Power to require security scans based on objective, non-discriminatory, fair and transparent risk-assessment criteria.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 32 — Supervision and enforcement (essential entities)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 32(2)(d). Risk Engine produces deterministic per-decision scores; supervisor-initiated scan surface (read-only Regulator endpoint) in build." }, { "requirement_id": "nis2.A32.2.e", "title": "Article 32(2)(e) — Power to request information necessary to assess the cybersecurity risk-management measures adopted by the entity.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 32 — Supervision and enforcement (essential entities)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "NIS2 Art 32(2)(e). The framework-coverage registry + Evidence Pack assembler IS the canonical supervisor-information surface — every control row has runtime-attestable backing." }, { "requirement_id": "nis2.A32.4.binding", "title": "Article 32(4)(b)-(c) — Power to issue binding instructions and orders, including ordering implementation of recommendations from a security audit within a reasonable deadline.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 32 — Supervision and enforcement (essential entities)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.governedui.action_proposal.v1", "kye.governedui.approval.v1", "kye.compliance.attestation.v1" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "NIS2 Art 32(4)(b)-(c). Supervisor-issued binding instruction lands as a GovernedUI action proposal with mandatory-approval mode; per-deadline tracking binding in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nis2.A32.4.disclosure", "title": "Article 32(4)(g) — Power to make public, where appropriate, the names of the natural and legal persons responsible for the breach of obligations.", "framework": "nis2", "framework_version": "Directive (EU) 2022/2555", "framework_category": "Article 32 — Supervision and enforcement (essential entities)", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.transparency.statement.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "advisory", "notes": "NIS2 Art 32(4)(g). Public-naming is regulator scope; KYE provides the transparency-statement schema if customer chooses to mirror the disclosure on its own surface." } ], "resolution_framing": null }, { "framework": "nis2-incident", "display_name": "NIS2 Incident Reporting — Article 23 (24h / 72h)", "framework_version": "NIS2 — Directive (EU) 2022/2555, Article 23 (incident reporting: 24h early warning / 72h notification / final report)", "source": "The NIS2 Directive (Directive (EU) 2022/2555) requires essential and important entities to notify their CSIRT or competent authority of significant incidents on a staged clock: an early warning within 24 hours, an incident notification within 72 hours, and a final report within one month (Article 23). KYE Protocol™ governs whether an AI-assisted disclosure-timing decision / containment action under NIS2 may PROCEED to a consequential incident action — under a named accountable officer's authority, with chain-of-custody recorded, and a contestability record so the timing decision can be reconstructed and challenged. KYE does not detect the incident, run the security stack, or determine the technical impact.", "license": "NIS2 is an EU directive published in the Official Journal of the European Union; KYE registry paraphrases each requirement's intent and cites the official article identifier for mapping purposes only.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Disclosure-timing authority on the 24h / 72h notification clock": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Incident-evidence chain-of-custody for the notification": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Incident detection & impact analysis": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "nis2-incident.notification-clock-authority", "title": "The 24h / 72h notification-clock decision proceeds only under a recorded named-authority decision", "framework": "nis2-incident", "framework_version": "NIS2 — Directive (EU) 2022/2555, Article 23", "framework_category": "Disclosure-timing authority on the 24h / 72h notification clock", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "NIS2 Article 23 requires a 24-hour early warning and a 72-hour incident notification to the CSIRT or competent authority. When an AI review proposes starting or stopping the notification clock or sending the early warning / 72-hour notification, KYE binds it to a recorded named-authority decision (the agent, the incident, the disclosure action and its timing, and the named accountable officer under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by cyber_disclosure_timing_authority via the authority-engine + decision-engine. KYE proves who authorised the timing decision; it does not determine the technical significance or write the notification." }, { "requirement_id": "nis2-incident.notification-evidence-custody", "title": "Incident evidence backing a NIS2 notification proceeds only with a recorded chain-of-custody, contestable in a competent-authority review", "framework": "nis2-incident", "framework_version": "NIS2 — Directive (EU) 2022/2555, Article 23", "framework_category": "Incident-evidence chain-of-custody for the notification", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NIS2 requires the notification to be accurate and the entity may be asked to reconstruct its incident handling. KYE requires the incident-evidence chain-of-custody to be captured and bound into a signed Evidence Pack under a context seal, plus a contestability record, before AI-classified evidence is cited in a notification, so a competent-authority review can reconstruct the decision exactly as made, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by cyber_incident_evidence_chain_of_custody + cyber_incident_contestability_record via the evidence-engine + replay-engine. KYE proves the custody and reconstruction; it does not analyse the incident's substance." }, { "requirement_id": "nis2-incident.detection-impact-analysis", "title": "Incident detection and impact analysis", "framework": "nis2-incident", "framework_version": "NIS2 — Directive (EU) 2022/2555, Article 23", "framework_category": "Incident detection & impact analysis", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Detecting the significant incident, running the security stack, and analysing the operational and cross-border impact are the entity's own security operations. KYE™ is an AI-authority and evidence layer, not a detection or impact-analysis engine — out of scope by design (§0/§70 honest scope). KYE proves who authorised the notification timing and how the decision was made; it does not make the technical impact determination.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "nist-800-207", "display_name": "NIST SP 800-207 — Zero Trust Architecture", "framework_version": "1.0 (August 2020)", "source": "NIST Special Publication 800-207, Zero Trust Architecture (August 2020). §2.1 — seven tenets; §3.1 — four deployment variants; §3.2 — ZTA logical components (PE, PA, PEP + supporting); §3.3 — use cases; §4 — ZTA threats; §7 — migration to ZTA. Deep-mapping expanded 2026-05-29 (Wave-Ralph-B) from 11 to the full §§2-7 surface.", "license": "NIST publications are US-Government works in the public domain.", "total": 40, "declared_total": 40, "coverage_pct": 94, "status_counts": { "enforced": 36, "designed": 2, "advisory": 2, "deferred": 0, "out-of-scope": 0 }, "by_category": { "ZTA Logical Components (§3.2)": { "total": 11, "enforced": 11, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Deployment models (§3.1)": { "total": 4, "enforced": 3, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 88 }, "Migration to ZTA (§7)": { "total": 7, "enforced": 6, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 89 }, "ZTA Use cases (§3.3)": { "total": 5, "enforced": 4, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 90 }, "ZTA Threats (§4)": { "total": 6, "enforced": 5, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 88 }, "Tenets (§2.1)": { "total": 7, "enforced": 7, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "nist-800-207.C.PE", "title": "Policy Engine (PE) — the component ultimately responsible for the decision to grant access to a resource for a given subject; uses enterprise policy + input from external sources to grant, deny, or revoke access.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "NIST 800-207 §3.2.1. Decision Engine + Purpose Engine together form the canonical PE; Decision Map is the trust-algorithm output record." }, { "requirement_id": "nist-800-207.C.PA", "title": "Policy Administrator (PA) — the component responsible for establishing and/or shutting down the communication path between a subject and a resource via commands to the PEP; coordinates with the PE.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.signal.decision.admitted.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "NIST 800-207 §3.2.2. Authority Engine (issue) + Revocation Orchestrator (cascade close) form the canonical PA; pap component carries policy-administration surface." }, { "requirement_id": "nist-800-207.C.PEP", "title": "Policy Enforcement Point (PEP) — the component responsible for enabling, monitoring and eventually terminating connections between a subject and an enterprise resource.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.decision.admitted.v1", "kye.signal.decision.denied.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:edge-binding-coverage" }, "notes": "NIST 800-207 §3.2.3. Edge Arbiter (compiled-authority enforcement) + Gateway (origin-side enforcement) + pep-express (extended PEP for non-edge surfaces) form the canonical PEP layer." }, { "requirement_id": "nist-800-207.C.CDM", "title": "Continuous Diagnostics and Mitigation (CDM) system — gathers information about the enterprise asset's current state and applies updates to configuration and software components, feeding the PE.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "NIST 800-207 §3.2.4 (CDM). Drift Detector + §34 Reconciliation Engine continuously compare declared vs deployed posture across every kernel class and feed the PE risk score." }, { "requirement_id": "nist-800-207.C.IndustryCompliance", "title": "Industry compliance system — ensures the enterprise remains compliant with any regulatory regime it falls under, including any compliance-related policies the enterprise must follow.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "NIST 800-207 §3.2.5. Framework-coverage registry + Compliance Card Refresh form the canonical industry-compliance feed; per-control attestation lands in the PE input set." }, { "requirement_id": "nist-800-207.C.ThreatIntel", "title": "Threat intelligence feed(s) — provide information from internal or external sources about new vulnerabilities, attack methods, and other threats that help the PE make access decisions.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIST 800-207 §3.2.6. Risk Engine consumes threat-intel feeds into the per-decision risk score; silent-compromise agent provides internal-threat enrichment. External-feed adapter library binding in build." }, { "requirement_id": "nist-800-207.C.ActivityLogs", "title": "Network and system activity logs — aggregate near real-time asset, traffic, access and other events that provide feedback on the enterprise's security posture.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-log-stream-bridge" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NIST 800-207 §3.2.7. §35 Streaming Logs Contract enforces ≤5s cadence to tamper-evident sinks; activity logs feed the WORM chain + downstream SIEM." }, { "requirement_id": "nist-800-207.C.DataAccessPolicy", "title": "Data access policies — the attributes, rules and policies about access to enterprise resources that form the starting point for the PE's authorisation decisions.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose_manifest.v1", "kye.access_right.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "NIST 800-207 §3.2.8. Purpose Manifest + Access Right schema + §29 Rules Gateway form the canonical data-access policy surface." }, { "requirement_id": "nist-800-207.C.PKI", "title": "Enterprise public-key infrastructure (PKI) — system responsible for generating and logging certificates issued by the enterprise to resources, subjects, services and applications.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.audit.event.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "NIST 800-207 §3.2.9. Key Custody + Crypto + BYOK form the canonical PKI surface; §51 SPOF registry tracks key-material custody posture with `decay_deadline`." }, { "requirement_id": "nist-800-207.C.IdMgmt", "title": "ID management system — responsible for creating, storing and managing enterprise user accounts and identity records, including the necessary subject information and any role-based or attribute-based access control information.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.entity.created.v1", "kye.signal.entity.updated.v1", "kye.relationship.member_of.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "NIST 800-207 §3.2.10. Entity Engine is the canonical identity record; SAML SSO + Clerk event bridge cover federated identity ingestion; relationship.member_of carries the role binding." }, { "requirement_id": "nist-800-207.C.SIEM", "title": "Security Information and Event Management (SIEM) system — collects security-centric information for later analysis; used to refine policies and warn of possible active attacks against enterprise assets.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Logical Components (§3.2)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-siem-export" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NIST 800-207 §3.2.11. SIEM export worker streams the canonical security-event family to customer SIEMs (Splunk / Datadog / CrowdStrike) via Logpush jobs." }, { "requirement_id": "nist-800-207.D1", "title": "Device-agent / gateway-based deployment — a software agent installed on assets coordinates with a resource gateway that enforces the PEP.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Deployment models (§3.1)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:edge-binding-coverage" }, "notes": "Edge Arbiter is the canonical resource gateway; Compiled Authority Bundle ships device-side admissibility decisions." }, { "requirement_id": "nist-800-207.D2", "title": "Enclave-based deployment — the gateway sits at the boundary of a resource enclave, with the PDP central and the PEP at the enclave edge.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Deployment models (§3.1)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp", "kye-gateway" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Enclave topology supported through Cloudflare zone bindings; per-enclave PEP-PDP wiring documented in build." }, { "requirement_id": "nist-800-207.D3", "title": "Resource portal-based deployment — the PEP is a portal that brokers all access to resources without device-side software.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Deployment models (§3.1)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.decision.admitted.v1" ], "engines": [ "internal" ], "workers": [ "kye-gateway" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:edge-binding-coverage" }, "notes": "Gateway acts as the resource portal; every API call passes through the canonical PEP." }, { "requirement_id": "nist-800-207.D4", "title": "Device application sandboxing — applications run in segmented compartments on the asset, with the agent inside the compartment.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Deployment models (§3.1)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.agent.mcp_allow_list.v1" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "§52 Delegated Agent Binding declares per-pattern MCP allow-list as the canonical sandbox boundary; harness-level intercept (Phase 3) in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-800-207.M.Inventory", "title": "Identify actors on the enterprise — every subject (employee, contractor, NPE) that may request access must be enumerated and attribute-bound.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Migration to ZTA (§7)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.entity.created.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "NIST 800-207 §7.3.1. Entity Engine is the canonical actor register; Authority Risk Register enumerates per-actor scope." }, { "requirement_id": "nist-800-207.M.AssetInventory", "title": "Identify assets owned by the enterprise — all hardware, software, services, and data that the ZTA must protect.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Migration to ZTA (§7)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal", "internal" ], "registries": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:implementation-canonical" }, "notes": "NIST 800-207 §7.3.2. §40 Implementation Registry is the canonical asset inventory; §34 Reconciliation enforces declared-vs-deployed bijection." }, { "requirement_id": "nist-800-207.M.ProcessInventory", "title": "Identify key business processes — understand the data flows and dependencies of the enterprise's mission-critical activities so the ZTA does not block them.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Migration to ZTA (§7)", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.purpose_manifest.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "NIST 800-207 §7.3.3. Purpose Manifest enumerates business purposes; §29 Profiles + rule packs cover sector-specific processes." }, { "requirement_id": "nist-800-207.M.FormulatePolicies", "title": "Formulate policies for the ZTA candidate — translate business requirements into PE-consumable policy attributes and rules.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Migration to ZTA (§7)", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.purpose_manifest.v1", "kye.access_right.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:action-admissibility" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "NIST 800-207 §7.3.4. §29 Rule Packs + Profiles are the canonical policy-formulation extension point; rules-gateway runtime enforces them." }, { "requirement_id": "nist-800-207.M.IdentifySolution", "title": "Identify candidate solutions — evaluate ZTA tooling against enterprise requirements (PE, PA, PEP, supporting components) and acquire / build accordingly.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Migration to ZTA (§7)", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "advisory", "notes": "NIST 800-207 §7.3.5. Solution identification is an organisational exercise; KYE provides the framework-coverage view so customers can assess gap vs requirement." }, { "requirement_id": "nist-800-207.M.InitialDeployment", "title": "Initial deployment and monitoring — deploy the ZTA candidate in monitor mode first; observe enforcement decisions before going fully blocking.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Migration to ZTA (§7)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.scenario_run.completed.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:edge-binding-coverage" }, "notes": "NIST 800-207 §7.3.6. §25 Edge Arbiter supports 4 modes including a monitor-only mode; Scenario Engine drives pre-flip dry-runs." }, { "requirement_id": "nist-800-207.M.ExpandZTA", "title": "Expand the ZTA scope — incrementally widen ZTA enforcement across the enterprise as confidence grows.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Migration to ZTA (§7)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "NIST 800-207 §7.3.7. Reconciliation Engine tracks per-surface ZTA coverage; framework-coverage dashboard surfaces incremental closure." }, { "requirement_id": "nist-800-207.S.EnterpriseHQ", "title": "Use case: enterprise with satellite facilities — remote employees and devices outside the enterprise-owned network must still operate with ZTA assumptions; the PE/PA logic should be cloud-hosted to support remote subjects.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Use cases (§3.3)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.decision.admitted.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp", "kye-gateway" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:edge-binding-coverage" }, "notes": "NIST 800-207 §3.3.1. Cloudflare-native PE/PA/PEP topology runs at every edge — remote subjects hit the nearest PoP rather than back-hauling to HQ." }, { "requirement_id": "nist-800-207.S.MultiCloud", "title": "Use case: multi-cloud / cloud-to-cloud — the PE/PA must allow direct application-to-application access across cloud providers without traversing the enterprise network.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Use cases (§3.3)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "NIST 800-207 §3.3.2. Cross-org delegation envelope carries cloud-to-cloud admissibility. Multi-vendor deploy posture is on §51 Phase 2 path-to-full closure; per-cloud PE wiring tracked under SPOF registry." }, { "requirement_id": "nist-800-207.S.Contracted", "title": "Use case: enterprise with contracted services and/or non-employee access — the ZTA must accommodate visitors, contractors and partners whose devices and identities are not enterprise-managed.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Use cases (§3.3)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:engagement-rail-canonical" }, "notes": "NIST 800-207 §3.3.3. §49 Engagement Rail is the canonical intake for external parties (partners/trainers/auditors); §52 Delegated Agent Binding governs non-enterprise agents. Per-engagement Purpose Permission scope is single-purpose." }, { "requirement_id": "nist-800-207.S.Collaboration", "title": "Use case: collaboration across enterprise boundaries — projects that include subjects, services and resources from multiple enterprises require coordinated PE decisions without each side fully trusting the other.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Use cases (§3.3)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.evidence.tool_call_pin.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "NIST 800-207 §3.3.4. Cross-org delegation envelope + tool-call pin carry per-collaboration admissibility. Multi-party PE federation protocol declared in §21; runtime federation handshake in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-800-207.S.PublicSafety", "title": "Use case: public-facing services — the enterprise must allow public access (e.g. marketing site) while keeping internal resources tightly scoped under ZTA assumptions.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Use cases (§3.3)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/06-WEBSITE.md", "constitution/33-IP-OSS-LINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:edge-binding-coverage" }, "notes": "NIST 800-207 §3.3 (public-facing variant). §33 IP/OSS Line + §06 Website constitution split the public surface from the IP-track surface; Gateway PEP runs on every subdomain regardless of audience." }, { "requirement_id": "nist-800-207.TH.SubvertedPE", "title": "Threat: subversion of ZTA decision process — an attacker who manages to influence the PE or PA components (configuration tampering, supply-chain compromise, insider) can grant illegitimate access.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Threats (§4)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.agency_drift.event.v1", "kye.reconciliation.verdict.v1", "kye.governedui.approval.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "NIST 800-207 §4.1. §34 Reconciliation Engine binds declared-vs-deployed PE/PA posture; §36 GovernedUI §9 meta-governance gate blocks self-grants at the PDP layer." }, { "requirement_id": "nist-800-207.TH.DDoS", "title": "Threat: denial-of-service or network disruption against the PE/PA — if the ZTA control plane is unreachable, enterprise access must degrade gracefully without becoming permissive.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Threats (§4)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "registries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "NIST 800-207 §4.2. §25 Edge Arbiter operates in 4 modes including offline + safety-floor; Compiled Authority Bundle keeps the PEP decisional during control-plane outages. Offline Evidence Log captures the denied-decisions ledger." }, { "requirement_id": "nist-800-207.TH.StolenCreds", "title": "Threat: stolen credentials / insider — credential compromise should not yield broad access because the PE re-evaluates context per request and detects anomalous behaviour.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Threats (§4)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.signal.revocation.cascaded.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "NIST 800-207 §4.3. Purpose Permission is single-purpose + per-request; Risk Engine elevates score on anomaly; WebAuthn step-up forces re-auth; Revocation Cascade contains blast radius." }, { "requirement_id": "nist-800-207.TH.NetworkVisibility", "title": "Threat: visibility into the ZTA network — adversaries who can observe ZTA traffic patterns may infer policy structure; the architecture must minimise the information leaked through metadata.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Threats (§4)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "NIST 800-207 §4.4. Edge Arbiter enforces mTLS uniformly across surfaces — observable metadata is minimal. Padding-and-jitter posture inherited from Cloudflare's edge." }, { "requirement_id": "nist-800-207.TH.ProprietaryData", "title": "Threat: storage of system and network information — the data used to inform PE decisions (logs, configs, scores) is itself a high-value target.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Threats (§4)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "NIST 800-207 §4.5. §30 WORM triggers + R2 Object Lock protect the decision-context store; access to PE-input data is itself a Purpose Permission decision." }, { "requirement_id": "nist-800-207.TH.NonPersonEntities", "title": "Threat: reliance on proprietary data formats / vendor lock-in — heterogeneous identity / NPE (service / agent) management increases the risk of policy gaps and inconsistent enforcement.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "ZTA Threats (§4)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agent.governance.v1", "kye.agent.completion.v1", "kye.agent.mcp_allow_list.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md", "constitution/32-AGENT-DEV-KIT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:delegated-agent-binding-coverage" }, "notes": "NIST 800-207 §4.6 (NPE coverage). §52 Delegated Agent Binding extends §0.3 self-governance to subagents + MCP servers via canonical envelopes; agent-dev-kit scaffolds self-governing agents by default." }, { "requirement_id": "nist-800-207.T1", "title": "All data sources and computing services are considered resources.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Tenets (§2.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Every governed thing — data source, service, agent — is a kye.entity; Authority Register enumerates the resource surface end-to-end." }, { "requirement_id": "nist-800-207.T2", "title": "All communication is secured regardless of network location.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Tenets (§2.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.decision.admitted.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:edge-binding-coverage" }, "notes": "Edge Arbiter enforces mTLS + OAuth2-CC at the perimeter; every request carries an admissibility decision regardless of origin network." }, { "requirement_id": "nist-800-207.T3", "title": "Access to individual enterprise resources is granted on a per-session basis.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Tenets (§2.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Purpose Permission is single-purpose, time-boxed, per-request; PDP re-evaluates on every action — no implicit session trust." }, { "requirement_id": "nist-800-207.T4", "title": "Access to resources is determined by dynamic policy — including the observable state of client identity, application/service, the requesting asset — and may include other behavioural and environmental attributes.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Tenets (§2.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.purpose.permission.v1", "kye.risk.score.v1", "kye.model.influence_envelope.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "PDP composes Purpose + Authority + Risk Score + Model Influence Envelope into a per-request dynamic policy decision." }, { "requirement_id": "nist-800-207.T5", "title": "The enterprise monitors and measures the integrity and security posture of all owned and associated assets.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Tenets (§2.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "Drift Detector + Reconciliation Engine continuously compare declared vs deployed posture; audit-integrity check verifies the chain." }, { "requirement_id": "nist-800-207.T6", "title": "All resource authentication and authorisation are dynamic and strictly enforced before access is allowed.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Tenets (§2.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-pdp", "kye-gateway" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Engine + PDP perform dynamic per-request authorisation; Gateway is the strict-enforce PEP." }, { "requirement_id": "nist-800-207.T7", "title": "The enterprise collects as much information as possible about the current state of assets, network infrastructure and communications and uses it to improve its security posture.", "framework": "nist-800-207", "framework_version": "1.0 (August 2020)", "framework_category": "Tenets (§2.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1", "kye.evidence.decision_map.v1", "kye.evidence.trace_replay_spec.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "WORM audit chain + Streaming Logs (≤5s) collect comprehensive posture telemetry; Trace Replay Spec lets KYE re-derive the decision context offline." } ], "resolution_framing": null }, { "framework": "nist-800-53-cm", "display_name": "NIST SP 800-53 Rev 5 — Configuration Management (CM) family", "framework_version": "Rev 5", "source": "NIST SP 800-53 Rev 5 — Configuration Management (CM) family — US federal control catalogue (security & privacy controls). KYE Protocol™ governs the SUBSET that resolves at the action boundary — the moment an AI-driven production action (a rollback / hotfix / infra-change) moves toward a consequential effect — under a recorded change-authority decision, with the change-class due-diligence recorded, replay-provable provenance, and named sign-off. KYE does not detect the incident, perform RCA, monitor the system, or operate the change-management tooling.", "license": "NIST SP 800-53 is a US federal publication in the public domain; KYE registry cites the CM control family for mapping purposes.", "total": 2, "declared_total": 2, "coverage_pct": 50, "status_counts": { "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Configuration change control — authority & impact analysis (enforced action-boundary subset)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Configuration baseline & inventory (out-of-scope — config-management / devsecops)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "nist-800-53-cm.cm-3-configuration-change-control", "title": "CM-3 Configuration change control: an AI-proposed change is approved & impact-analysed before commit, with a retained change record", "framework": "nist-800-53-cm", "framework_version": "Rev 5", "framework_category": "Configuration change control — authority & impact analysis (enforced action-boundary subset)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:production-action-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "NIST 800-53 CM-3 requires configuration-controlled changes to be proposed, reviewed, approved/disapproved, and documented, with CM-4 impact analysis. KYE resolves the authority-and-evidence subset at the action boundary: the Action Admissibility™ gate refuses an AI-proposed production change whose approval and impact-analysis (blast-radius / rollback-plan) result is not recorded, binding the agent, the change artefact, and the named approver, and emits a signed CM-3-aligned change record (authority-engine + decision-engine + evidence-engine). Honest scope (§70): KYE governs WHETHER the change may proceed and proves it — it does not perform the security impact analysis itself or operate the CM system." }, { "requirement_id": "nist-800-53-cm.cm-2-baseline-inventory", "title": "CM-2 baseline configuration & CM-8 component inventory maintenance", "framework": "nist-800-53-cm", "framework_version": "Rev 5", "framework_category": "Configuration baseline & inventory (out-of-scope — config-management / devsecops)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "config-management", "notes": "Maintaining the CM-2 baseline configuration and the CM-8 information-system component inventory is a configuration-management function. KYE™ enforces the CM-3 change-authority decision at the action boundary; it does not maintain the baseline or the inventory. Out of scope (§0 honest scope) — owned by the configuration-management / DevSecOps function." } ], "resolution_framing": null }, { "framework": "nist-ai-rmf", "display_name": "NIST AI Risk Management Framework 1.0 + Playbook", "framework_version": "1.0", "source": "NIST AI 100-1 (January 2023) + AI RMF Playbook", "license": "US Government — public domain", "total": 101, "declared_total": 101, "coverage_pct": 93, "status_counts": { "enforced": 88, "designed": 9, "advisory": 4, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Govern (GV)": { "total": 31, "enforced": 24, "designed": 5, "advisory": 2, "deferred": 0, "out-of-scope": 0, "coverage_pct": 87 }, "Map (MP)": { "total": 23, "enforced": 19, "designed": 3, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 90 }, "Measure (MS)": { "total": 27, "enforced": 26, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 98 }, "Manage (MG)": { "total": 20, "enforced": 19, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 96 } }, "requirements": [ { "requirement_id": "nist-ai-rmf.GV.1.4", "title": "Govern 1.4 — The risk-management process and its outcomes are established through transparent policies, procedures, and other controls", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Transparent risk-management policies enforced via the implementation registry + purpose permission scheme; policies are machine-readable per §43." }, { "requirement_id": "nist-ai-rmf.GV.1.5", "title": "Govern 1.5 — Ongoing monitoring and periodic review of the risk-management process and its outcomes are planned, and organizational roles and responsibilities clearly defined", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.change_calendar.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Audit Pilot scheduled via Change Calendar provides the periodic-review cadence; Authority Register binds roles." }, { "requirement_id": "nist-ai-rmf.GV.1.6", "title": "Govern 1.6 — Mechanisms are in place to inventory AI systems and are resourced according to organizational risk priorities", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.entity.model.v1", "kye.entity.model_endpoint.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Entity Engine maintains the AI system inventory; risk-priority is the score-driven attribute carried per entity." }, { "requirement_id": "nist-ai-rmf.GV.1.7", "title": "Govern 1.7 — Processes and procedures are in place for decommissioning and phasing out of AI systems safely and in a manner that does not increase risks or decrease the organization's trustworthiness", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.revoked.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Revocation Cascade is the canonical decommissioning surface; grant-revoked + cascade-signal trail the phased-out state." }, { "requirement_id": "nist-ai-rmf.GV.2.2", "title": "Govern 2.2 — The organization's personnel and partners receive AI risk-management training to enable them to perform their duties and responsibilities", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/39-LEARN-RAIL.md", "constitution/10-PARTNER.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Learn Rail surfaces risk-management explainers; partner-programme certification flow tracks per-principal training completion. Material attestation surface in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-ai-rmf.GV.2.3", "title": "Govern 2.3 — Executive leadership of the organization takes responsibility for decisions about risks associated with AI-system development and deployment", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.approval_decision.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Register surfaces executive-level RACI; Action Approval requires named executive principal for high-risk decisions." }, { "requirement_id": "nist-ai-rmf.GV.3.2", "title": "Govern 3.2 — Policies and procedures are in place to define and differentiate roles and responsibilities for human-AI configurations and oversight", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Approval-mode on Purpose Permission encodes the human-AI configuration per action (none/single/two-person/auto)." }, { "requirement_id": "nist-ai-rmf.GV.4.2", "title": "Govern 4.2 — Organizational teams document the risks and potential impacts of AI technology they design, develop, deploy, evaluate, and use", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1", "kye.risk_assessment.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence map + risk assessment carry per-team-attributable risk + impact documentation." }, { "requirement_id": "nist-ai-rmf.GV.4.3", "title": "Govern 4.3 — Organizational practices are in place to enable AI testing, identification of incidents, and information sharing", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scenario Engine for testing; Incident Detector for identification; Comms Rail for information sharing." }, { "requirement_id": "nist-ai-rmf.GV.5.2", "title": "Govern 5.2 — Mechanisms are established to enable the team that develops or deploys AI systems to regularly incorporate adjudicated feedback from relevant AI actors into system design and implementation", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.approval_decision.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Drift signals feed the resilience-loop adjudication queue; structured feedback-intake surface in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-ai-rmf.GV.6.2", "title": "Govern 6.2 — Contingency processes are in place to handle failures or incidents in third-party data or AI systems deemed to be high-risk", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof_registry.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "No-SPOF registry declares per-dependency failure-mode + path-to-full contingency; Incident Detector trips on cross-dependency anomalies." }, { "requirement_id": "nist-ai-rmf.MP.1.2", "title": "Map 1.2 — Inter-disciplinary AI actors, competencies, skills and capacities for establishing context reflect demographic diversity and broad domain and user experience expertise", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.stakeholder.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Inter-disciplinary team composition is an organisational matter; KYE provides the stakeholder schema to document it." }, { "requirement_id": "nist-ai-rmf.MP.1.3", "title": "Map 1.3 — The organization's mission and relevant goals for AI technology are understood and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose_manifest.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Manifest declares mission + relevant goals; KYE PDP refuses purposes outside the declared manifest." }, { "requirement_id": "nist-ai-rmf.MP.1.4", "title": "Map 1.4 — The business value or context of business use has been clearly defined or — in the case of assessing existing AI systems — re-evaluated", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.operating_model.spec.v1" ], "constitution_refs": [ "constitution/18-OPERATING-MODEL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Operating Model spec carries the business-value declaration; Purpose Permission binds it to runtime." }, { "requirement_id": "nist-ai-rmf.MP.1.5", "title": "Map 1.5 — Organizational risk tolerances are determined and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine carries per-authority risk-tolerance threshold; Authority Register documents." }, { "requirement_id": "nist-ai-rmf.MP.1.6", "title": "Map 1.6 — System requirements (e.g., 'the system shall respect the privacy of its users') are elicited from and understood by relevant AI actors", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile carries system-requirements declarations per actor." }, { "requirement_id": "nist-ai-rmf.MP.2.2", "title": "Map 2.2 — Information about the AI system's knowledge limits and how system output may be utilized and overseen by humans is documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile declares knowledge limits; Influence Envelope quantifies oversight thresholds." }, { "requirement_id": "nist-ai-rmf.MP.2.3", "title": "Map 2.3 — Scientific integrity and TEVV considerations are identified and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Trace Replay Spec + Audit Replay Report cover TEVV (Test, Evaluation, Verification, Validation)." }, { "requirement_id": "nist-ai-rmf.MP.3.2", "title": "Map 3.2 — Potential costs, including non-monetary costs, that result from expected or realized AI errors or system functionality and trustworthiness are examined and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence map quantifies monetary + non-monetary costs per failure mode." }, { "requirement_id": "nist-ai-rmf.MP.3.3", "title": "Map 3.3 — Targeted application scope is specified and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scope.v1", "kye.purpose.permission.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scope schema declares targeted application scope; Purpose Permission gates runtime." }, { "requirement_id": "nist-ai-rmf.MP.3.4", "title": "Map 3.4 — Processes for operator and practitioner proficiency with AI system performance and trustworthiness are defined, assessed, and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/10-PARTNER.md", "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Operator-proficiency tied to partner-programme certification levels; assessment workflow in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-ai-rmf.MP.3.5", "title": "Map 3.5 — Processes for human oversight are defined, assessed, and documented in accordance with organizational policies", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.approval_decision.v1" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Human oversight enforced via approval-mode + GovernedUI human-control modules." }, { "requirement_id": "nist-ai-rmf.MP.4.2", "title": "Map 4.2 — Internal risk controls for components of the AI system, including third-party AI technologies, are identified and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.federation.cross_org_delegation.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Third-party AI components declared as subprocessors; cross-org delegation binds the authority chain." }, { "requirement_id": "nist-ai-rmf.MP.5.2", "title": "Map 5.2 — Practices and personnel for supporting regular engagement with relevant AI actors and integrating feedback about positive, negative, and unanticipated impacts are in place and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.signal.incident.opened.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Comms Rail intake templates + incident-detector cover the feedback channel; integration loop in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-ai-rmf.MS.1.2", "title": "Measure 1.2 — Appropriateness of AI metrics and effectiveness of existing controls are regularly assessed", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scenario Engine + Drift Detector continuously re-evaluate metric appropriateness." }, { "requirement_id": "nist-ai-rmf.MS.1.3", "title": "Measure 1.3 — Internal experts who did not serve as front-line developers for the system and/or independent assessors are involved in regular assessments and updates", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Audit Pilot agent runs as an independent assessor; Regulator Replay Agent extends to external auditors." }, { "requirement_id": "nist-ai-rmf.MS.2.2", "title": "Measure 2.2 — Evaluations involving human subjects meet applicable requirements (including human-subject protection) and are representative of the relevant population", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.data_use_manifest.v1" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consent acceptance + data-use manifest cover the human-subject-protection contract." }, { "requirement_id": "nist-ai-rmf.MS.2.3", "title": "Measure 2.3 — AI-system performance or assurance criteria are measured qualitatively or quantitatively and demonstrated for conditions similar to deployment setting", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scenarios are configured per deployment setting; assurance criteria measured each run." }, { "requirement_id": "nist-ai-rmf.MS.2.4", "title": "Measure 2.4 — The functionality and behavior of the AI system and its components — as identified in the MAP function — are monitored when in production", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_chain_entry.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Streaming logs + audit chain cover continuous production monitoring." }, { "requirement_id": "nist-ai-rmf.MS.2.6", "title": "Measure 2.6 — AI system is evaluated regularly for safety risks — as identified in the MAP function", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.scenario_run.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine + Scenario Engine close the safety-evaluation loop on a configurable cadence." }, { "requirement_id": "nist-ai-rmf.MS.2.8", "title": "Measure 2.8 — Risks associated with transparency and accountability — as identified in the MAP function — are examined and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map + Evidence Pack provide the canonical transparency + accountability evidence." }, { "requirement_id": "nist-ai-rmf.MS.2.9", "title": "Measure 2.9 — The AI model is explained, validated, and documented, and AI system output is interpreted within its context — as identified in the MAP function — and to inform responsible use and governance", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.model.capability_profile.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map provides per-output explanation; Capability Profile carries the model-level documentation." }, { "requirement_id": "nist-ai-rmf.MS.2.10", "title": "Measure 2.10 — Privacy risk of the AI system — as identified in the MAP function — is examined and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.dsar_evidence_pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Use Manifest + DSAR Evidence Pack cover privacy-risk examination." }, { "requirement_id": "nist-ai-rmf.MS.2.11", "title": "Measure 2.11 — Fairness and bias — as identified in the MAP function — are evaluated and results are documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Fairness/bias scenarios run via Scenario Engine; canonical fairness metric pack (statistical parity / equal opportunity / calibration) is in build." }, { "requirement_id": "nist-ai-rmf.MS.2.12", "title": "Measure 2.12 — Environmental impact and sustainability of AI model training and management activities — as identified in the MAP function — are assessed and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.model_params.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Model Params event carries FLOP / energy / region attributes; environmental-impact dashboard in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-ai-rmf.MS.2.13", "title": "Measure 2.13 — Effectiveness of the employed TEVV metrics and processes in the MEASURE function are evaluated and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Audit Replay Report carries TEVV-effectiveness metric set; Conformance Runner replays them deterministically." }, { "requirement_id": "nist-ai-rmf.MS.3.2", "title": "Measure 3.2 — Risk tracking approaches are considered for settings where AI risks are difficult to assess using currently available measurement techniques or where metrics are not yet available", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Risk Engine supports qualitative-risk attributes; rigorous proxy-metric framework in build." }, { "requirement_id": "nist-ai-rmf.MS.3.3", "title": "Measure 3.3 — Feedback processes for end users and impacted communities to report problems and appeal system outcomes are established and integrated into AI system evaluation metrics", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Incident-Detector intake supports affected-person reports; appeal-workflow surface in build." }, { "requirement_id": "nist-ai-rmf.MS.4.2", "title": "Measure 4.2 — Measurement results regarding AI system trustworthiness in deployment context(s) and across the AI lifecycle are informed by input from domain experts and relevant AI actors to validate whether the system is performing consistently as intended", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1", "kye.approval_decision.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Audit Replay Report carries domain-expert sign-off; Approval Decision binds the expert principal." }, { "requirement_id": "nist-ai-rmf.MG.1.4", "title": "Manage 1.4 — Negative residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers of AI systems and end users are documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk Engine computes residual risk per principal + downstream acquirer; compliance attestation surfaces." }, { "requirement_id": "nist-ai-rmf.MG.2.2", "title": "Manage 2.2 — Mechanisms are in place and applied to sustain the value of deployed AI systems", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.change_calendar.v1", "kye.signal.drift.detected.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Change Calendar + Drift Detector + Resilience Loop sustain deployed-system value." }, { "requirement_id": "nist-ai-rmf.MG.2.3", "title": "Manage 2.3 — Procedures are followed to respond to and recover from a previously unknown risk when it is identified", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident lifecycle (open / classify / contain / close) covers unknown-risk response + recovery." }, { "requirement_id": "nist-ai-rmf.MG.2.4", "title": "Manage 2.4 — Mechanisms are in place and applied, and responsibilities are assigned and understood, to supersede, disengage, or deactivate AI systems that demonstrate performance or outcomes inconsistent with intended use", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.revoked.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Revocation Cascade is the canonical disengage/deactivate primitive; Authority Engine binds responsibility." }, { "requirement_id": "nist-ai-rmf.MG.3.2", "title": "Manage 3.2 — Pre-trained models which are used for development are monitored as part of AI system regular monitoring and maintenance", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.entity.model.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Pre-trained models registered as entity.model.v1 records; Drift Detector tracks per-component." }, { "requirement_id": "nist-ai-rmf.MG.4.2", "title": "Manage 4.2 — Measurable activities for continual improvements are integrated into AI system updates and include regular engagement with interested parties, including relevant AI actors", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Resilience Loop closes the continual-improvement cycle on measurable signals." }, { "requirement_id": "nist-ai-rmf.MG.4.4", "title": "Manage 4.4 — AI risks and benefits from third-party resources are regularly monitored, and risk controls are applied and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.spof_registry.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Third-party resources tracked via subprocessor + No-SPOF registry; failure-mode declared per dependency." }, { "requirement_id": "nist-ai-rmf.GV.OC-01.2", "title": "Playbook GV.OC-1 — Establish AI organisational risk-tolerance statements (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Playbook GV.OC-1 sub-action — risk-tolerance statements surfaced via the Authority Register." }, { "requirement_id": "nist-ai-rmf.GV.OC-01.3", "title": "Playbook GV.OC-1 — Document organisational risk-tolerance baseline and decay clock (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/DECAY-WINDOWS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Decay-clock pattern (constitution DECAY-WINDOWS) provides the time-boxed risk-tolerance baseline." }, { "requirement_id": "nist-ai-rmf.MP.CT-01.2", "title": "Playbook MP.CT-1 — Document intended purposes and beneficiaries of the AI system (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose_manifest.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Manifest is the canonical declared-purpose record per AI system." }, { "requirement_id": "nist-ai-rmf.MS.AI-01.2", "title": "Playbook MS.AI-1 — Establish thresholds for trustworthiness measurements (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario.v1", "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Thresholds declared per scenario; Risk Score event surfaces threshold breaches." }, { "requirement_id": "nist-ai-rmf.MG.RR-01.2", "title": "Playbook MG.RR-1 — Document residual risk and acceptance criteria per principal (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.approval_decision.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Residual-risk + acceptance bound to named principal via the Authority Register and approval decision." }, { "requirement_id": "nist-ai-rmf.GV.PO-02.1", "title": "Playbook GV.PO-2 — AI-specific procurement policies (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1" ], "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "AI procurement vetting linked to subprocessor onboarding; standardised procurement checklist in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-ai-rmf.GV.AC-01.1", "title": "Playbook GV.AC-1 — Roles and responsibilities for AI accountability (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Engine + Authority Register encode AI-accountability roles." }, { "requirement_id": "nist-ai-rmf.GV.AC-02.1", "title": "Playbook GV.AC-2 — Periodic competency assessment of AI actors (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/10-PARTNER.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Competency assessment tied to Partner Program certification levels; assessment cadence surface in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-ai-rmf.GV.TM-01.1", "title": "Playbook GV.TM-1 — Multi-disciplinary team membership for AI risk management (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.stakeholder.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Multi-disciplinary team composition is an organisational matter; stakeholder schema documents membership." }, { "requirement_id": "nist-ai-rmf.GV.SK-01.1", "title": "Playbook GV.SK-1 — Strategies for engaging stakeholders throughout AI lifecycle (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.stakeholder.v1", "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:comms-manifest-alive" }, "notes": "Stakeholder schema + Comms Rail templates cover lifecycle engagement strategies." }, { "requirement_id": "nist-ai-rmf.MP.CR-01.1", "title": "Playbook MP.CR-1 — Categorise AI system by capability, end users, and deployment context (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.entity.model.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:schemas" }, "notes": "Capability Profile is the canonical capability + deployment-context categorisation." }, { "requirement_id": "nist-ai-rmf.MP.IM-01.1", "title": "Playbook MP.IM-1 — Identify positive and negative impacts (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence map carries both positive and negative impact attributes per affected population." }, { "requirement_id": "nist-ai-rmf.MP.RA-01.1", "title": "Playbook MP.RA-1 — Likelihood and impact mapping per identified risk (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine computes likelihood × impact per risk." }, { "requirement_id": "nist-ai-rmf.MS.ME-01.1", "title": "Playbook MS.ME-1 — Use approved methods and metrics for measurement (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Approved metrics declared on the scenario; Scenario Engine binds the method." }, { "requirement_id": "nist-ai-rmf.MS.DC-01.1", "title": "Playbook MS.DC-1 — Document measurement results and limitations (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Audit Replay Report captures measurement results + declared limitations." }, { "requirement_id": "nist-ai-rmf.MG.IM-01.1", "title": "Playbook MG.IM-1 — Document risk-management decisions (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.approval_decision.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map + Approval Decision pair documents every risk-management decision." }, { "requirement_id": "nist-ai-rmf.MG.RT-01.1", "title": "Playbook MG.RT-1 — Risk treatment selection per identified risk (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk treatments encoded as purpose-admissibility predicates per risk class." }, { "requirement_id": "nist-ai-rmf.MG.CO-01.1", "title": "Playbook MG.CO-1 — Communicate risk-management outcomes to relevant AI actors (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:comms-manifest-alive" }, "notes": "Risk-outcome dispatch templates registered per actor class in the Comms Manifest." }, { "requirement_id": "nist-ai-rmf.GV.AC-03.1", "title": "Playbook GV.AC-3 — Maintain audit-evidence trails for accountability (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_chain_entry.v1", "kye.audit_retention_policy.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Audit chain + WORM retention provide the canonical accountability trail." }, { "requirement_id": "nist-ai-rmf.GV.PO-03.1", "title": "Playbook GV.PO-3 — Periodic policy review (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.change_calendar.v1" ], "constitution_refs": [ "constitution/DECAY-WINDOWS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Policy review cadence carried by the Change Calendar; decay-clock pattern flips to strict after deadline." }, { "requirement_id": "nist-ai-rmf.MS.AI-02.1", "title": "Playbook MS.AI-2 — Evaluate AI-system trustworthiness against the seven trustworthy-AI characteristics (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1", "kye.scenario_run.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Trustworthy-AI characteristics (valid/reliable/safe/secure/accountable/transparent/explainable/privacy/fair) carried as scenario attribute set." }, { "requirement_id": "nist-ai-rmf.MS.RD-01.1", "title": "Playbook MS.RD-1 — Recurrent measurement cadence (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.change_calendar.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/DECAY-WINDOWS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Recurrent-measurement cadence binds to the Change Calendar; ≤90-day attestation per constitution §0.3." }, { "requirement_id": "nist-ai-rmf.MG.MR-01.1", "title": "Playbook MG.MR-1 — Monitor risk after deployment (sub-action)", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.audit_chain_entry.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift Detector + streaming logs provide canonical post-deployment risk monitoring." }, { "requirement_id": "nist-ai-rmf.MG.4.1", "title": "Manage 4.1 — Post-deployment AI system monitoring plans are implemented, including mechanisms for capturing and evaluating input from users and other relevant AI actors", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.audit_chain_entry.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift Detector + streaming logs capture user input + actor signal; Resilience Loop evaluates." }, { "requirement_id": "nist-ai-rmf.GV.6.3", "title": "Govern 6.3 — Third-party data sources, models, and APIs used by the AI system are subject to acquisition and supplier risk-management processes", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.connector.evidence_import.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "Third-party data/model/API governance via subprocessor declarations + connector onboarding flow." }, { "requirement_id": "nist-ai-rmf.GV.1.1", "title": "Legal and regulatory requirements involving AI are understood, managed, and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "Coverage Registry + per-framework requirement bijection are the canonical legal-and-regulatory map; this very file is part of that proof." }, { "requirement_id": "nist-ai-rmf.GV.1.2", "title": "The characteristics of trustworthy AI are integrated into organisational policies and processes", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.purpose.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Trustworthy-AI characteristics (valid, safe, secure, accountable, explainable, privacy-enhanced, fair) map to canonical purpose-scope dimensions enforced by the PDP." }, { "requirement_id": "nist-ai-rmf.GV.1.3", "title": "Processes, procedures, and practices are in place to determine the needed level of risk management", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.model.capability_profile.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine derives the needed level of management from declared capability profile + Annex-III-style use-case classification." }, { "requirement_id": "nist-ai-rmf.GV.2.1", "title": "Roles, responsibilities, and lines of communication related to mapping, measuring, managing AI risks are documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Engine encodes role-scoped grants; Cross-Org Delegation chain provides the line-of-communication audit trail." }, { "requirement_id": "nist-ai-rmf.GV.3.1", "title": "Decision-making related to mapping, measuring, managing AI risks throughout the lifecycle is informed by a diverse team", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "advisory", "notes": "Team diversity is an organisational human-resource control; KYE provides the GovernedUI surface where the team operates but does not assert team composition." }, { "requirement_id": "nist-ai-rmf.GV.4.1", "title": "Organisational policies and practices are in place to foster a critical thinking and safety-first mindset", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.agent.governance.v1", "kye.agent.refusal.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-envelope-vs-scope" }, "notes": "§52 binds every delegated agent to the protocol — refusal-on-violation is the structural safety-first mindset, not a slogan." }, { "requirement_id": "nist-ai-rmf.GV.5.1", "title": "Organisational policies and practices are in place to collect, consider, prioritise, and integrate feedback from external sources", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Improvement-record event family captures the structured feedback intake; external-feedback channel + triage workflow scheduled. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-ai-rmf.GV.6.1", "title": "Policies and procedures are in place to address AI risks arising from third-party software, data, and other supply-chain issues", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.federation.cross_org_delegation.v1", "kye.agent.mcp_allow_list.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-envelope-vs-scope" }, "notes": "Tool-Call Pin verifies third-party tool integrity; MCP allow-list bounds the supply-chain attack surface; Cross-Org Delegation chains third-party authority." }, { "requirement_id": "nist-ai-rmf.GV.OV-1", "title": "AI system performance and trustworthiness is regularly evaluated against agreed-upon metrics", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.trace_replay_spec.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Conformance Runner replays trace specs against pinned versions; ≤90-day attestation cadence ensures regular evaluation." }, { "requirement_id": "nist-ai-rmf.GV.IM-1", "title": "Continual improvement of AI risk management is integrated into organisational decision-making", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Govern (GV)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.loop_iteration.v1", "kye.resilience.improvement_record.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Resilience Loop is the structural continual-improvement primitive: every iteration emits a record that feeds the next." }, { "requirement_id": "nist-ai-rmf.MG.1.1", "title": "A determination is made as to whether the AI system achieves its intended purposes and stated objectives", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.adoption_stage.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Adoption Stage is the canonical 'intended-purpose-being-achieved' ratchet; attestation makes the determination periodic + auditable." }, { "requirement_id": "nist-ai-rmf.MG.1.2", "title": "Treatment of documented AI risks is prioritised based on impact, likelihood, available resources or methods", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Register prioritises by aggregated risk score across the org — the board-facing prioritisation artefact." }, { "requirement_id": "nist-ai-rmf.MG.1.3", "title": "Responses to identified AI risks include plans, follow up, response time, communication, decisions", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1", "kye.purpose.grant.revoked.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Improvement Record + Grant Revocation form the canonical risk-response chain with response-time + decision-map evidence." }, { "requirement_id": "nist-ai-rmf.MG.2.1", "title": "Resources required to manage AI risks are taken into account along with viable non-AI alternatives", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Non-AI alternative cost-benefit is a business-decision artefact owned outside the protocol; KYE does not assert this." }, { "requirement_id": "nist-ai-rmf.MG.3.1", "title": "AI risks and benefits from third-party resources are regularly monitored and risk controls are applied and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.agent.mcp_allow_list.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-envelope-vs-scope" }, "notes": "Tool-Call Pin + MCP allow-list bound the third-party surface; Cross-Org Delegation chains accountability." }, { "requirement_id": "nist-ai-rmf.MG.4.1", "title": "Post-deployment AI system monitoring plans are implemented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stress_test.high_risk_detected.v1", "kye.evidence.observed_action.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Streaming Logs Contract delivers tamper-evident post-deployment telemetry at the moment of event; drift signal closes the monitoring loop." }, { "requirement_id": "nist-ai-rmf.MG.4.3", "title": "Incidents and errors are communicated to relevant AI actors including affected communities", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Manage (MG)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.stress_test.high_risk_detected.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Comms Rail (§38) is the canonical outbound channel; affected-community-notification template + jurisdiction-routing scheduled." }, { "requirement_id": "nist-ai-rmf.MP.1.1", "title": "Intended purposes, potentially beneficial uses, context-specific laws, norms, and expectations are understood and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.model.capability_profile.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission is the canonical declaration of intended purpose; Capability Profile carries the matching context-and-norms metadata." }, { "requirement_id": "nist-ai-rmf.MP.2.1", "title": "The specific tasks and methods used to implement the tasks that the AI system will support are defined", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Capability Profile enumerates supported tasks + prohibited tasks; Influence Envelope declares the system-prompt + tool-manifest that implement them." }, { "requirement_id": "nist-ai-rmf.MP.3.1", "title": "Categorisation of the AI system is performed", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine categorises by autonomy × consequence × population (HAARF C1 model) — same primitive answers the NIST-style categorisation." }, { "requirement_id": "nist-ai-rmf.MP.4.1", "title": "Approaches for mapping AI technology and legal risks are followed", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "Framework Coverage Bijection is the canonical legal-risk mapping artefact — every framework requirement is bound to a KYE primitive or marked honestly advisory." }, { "requirement_id": "nist-ai-rmf.MP.5.1", "title": "Likelihood and magnitude of each identified impact based on expected use are identified and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence Mapping Engine classifies magnitude (reversibility tier); Risk Engine attaches likelihood — both pinned to each Decision Map." }, { "requirement_id": "nist-ai-rmf.MP.6.1", "title": "Practices and personnel for supporting regular engagement with relevant AI actors and integrating feedback are documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Map (MP)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1" ], "governedui_modules": [ "kye.governedui.module.consultants.v1", "kye.governedui.module.auditors.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Consultants + Auditors GovernedUI modules surface the AI-actor engagement registry; structured engagement-cadence record scheduled. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-ai-rmf.MS.1.1", "title": "Approaches and metrics for measurement of AI risks enumerated during Map function are selected for implementation", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk Engine emits canonical score-space; Conformance Runner measures against declared metrics on every release." }, { "requirement_id": "nist-ai-rmf.MS.2.1", "title": "Test sets, metrics, and details about the tools used during TEVV are documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.evidence.tool_call_pin.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Trace Replay Spec carries the test-set + metric definition; Tool-Call Pin records the exact tooling — deterministic TEVV record." }, { "requirement_id": "nist-ai-rmf.MS.2.5", "title": "AI system performance or assurance criteria are measured qualitatively or quantitatively", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Audit Replay Report carries quantitative measurement vs declared baseline; attestation cadence enforces refresh." }, { "requirement_id": "nist-ai-rmf.MS.2.7", "title": "AI system security and resilience are evaluated and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.stress_test.high_risk_detected.v1", "kye.resilience.drift_event.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Stress-test + drift signal + attestation form the canonical security-and-resilience measurement record." }, { "requirement_id": "nist-ai-rmf.MS.3.1", "title": "Approaches, personnel, and documentation to detect and track existing, unanticipated, and emergent AI risks based on factors such as intended use are in place", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1", "kye.resilience.drift_event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift-detection family captures emergent-risk; meaning-continuity drift is the canonical 'unanticipated' detector." }, { "requirement_id": "nist-ai-rmf.MS.4.1", "title": "Measurement approaches for identifying AI risks are connected to deployment context(s) and informed through consultation with domain experts", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.consultants.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Consultants GovernedUI module surfaces domain-expert engagement; structured consultation-record-per-measure scheduled." }, { "requirement_id": "nist-ai-rmf.MS.4.3", "title": "Measurable performance improvements or declines based on consultations with relevant AI actors are identified and documented", "framework": "nist-ai-rmf", "framework_version": "1.0", "framework_category": "Measure (MS)", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.improvement_record.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Improvement Record is the canonical performance-delta artefact; attestation cadence ensures it is reviewed." } ], "resolution_framing": null }, { "framework": "nist-csf", "display_name": "NIST Cybersecurity Framework 2.0 — Core + Tiers + Profiles", "framework_version": "2.0 (February 2024)", "source": "NIST CSF 2.0 Core (NIST CSWP 29, February 2024) — 6 functions, 22 categories, 106 subcategories — plus Implementation Tiers (§3.1) and Profiles (§4). Deep-mapping extended 2026-05-29 (Wave-Ralph-B) to cover Implementation Tiers across all three dimensions (Risk Governance, Risk Management Process, External Engagement) and Profile creation lifecycle.", "license": "NIST publications are US-Government works in the public domain.", "total": 130, "declared_total": 130, "coverage_pct": 88, "status_counts": { "enforced": 105, "designed": 10, "advisory": 15, "deferred": 0, "out-of-scope": 0 }, "by_category": { "DE Detect": { "total": 11, "enforced": 10, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 93 }, "GV Govern": { "total": 31, "enforced": 23, "designed": 2, "advisory": 6, "deferred": 0, "out-of-scope": 0, "coverage_pct": 82 }, "ID Identify": { "total": 21, "enforced": 19, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 95 }, "Implementation Tiers — Risk Governance": { "total": 4, "enforced": 3, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 81 }, "Implementation Tiers — Risk Management Process": { "total": 4, "enforced": 3, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 81 }, "Implementation Tiers — External Engagement": { "total": 4, "enforced": 3, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 81 }, "Profiles & Tiers (§4)": { "total": 12, "enforced": 10, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 92 }, "PR Protect": { "total": 22, "enforced": 13, "designed": 4, "advisory": 5, "deferred": 0, "out-of-scope": 0, "coverage_pct": 74 }, "RC Recover": { "total": 8, "enforced": 8, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "RS Respond": { "total": 13, "enforced": 13, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "nist-csf.DE.CM-01", "title": "Networks and network services are monitored to find potentially adverse events", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.decision.admitted.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "notes": "Gateway + Edge Arbiter form the canonical edge PEP per zero-trust topology.", "verification": { "npm_gate": "test:edge-binding-coverage" } }, { "requirement_id": "nist-csf.DE.CM-02", "title": "The physical environment is monitored to find potentially adverse events", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Organisational arrangement — out of scope for KYE runtime enforcement; customer governance responsibility." }, { "requirement_id": "nist-csf.DE.CM-03", "title": "Personnel activity and technology usage are monitored to find potentially adverse events", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit chain + Evidence Pack assembler produce tamper-evident records per event.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "nist-csf.DE.CM-06", "title": "External service provider activities and services are monitored to find potentially adverse events", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.DE.CM-09", "title": "Computing hardware and software, runtime environments, and their data are monitored to find potentially adverse events", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Drift Detector emits canonical drift signals on declared-vs-deployed delta.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.DE.AE-02", "title": "Potentially adverse events are analyzed to better understand associated activities", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.DE.AE-03", "title": "Information is correlated from multiple sources", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit chain + Evidence Pack assembler produce tamper-evident records per event.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "nist-csf.DE.AE-04", "title": "The estimated impact and scope of adverse events are understood", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.DE.AE-06", "title": "Information on adverse events is provided to authorized staff and tools", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "notes": "Comms Engine routes the canonical message family on manifest-bound channels.", "verification": { "npm_gate": "test:comms-manifest-alive" } }, { "requirement_id": "nist-csf.DE.AE-07", "title": "Cyber threat intelligence and other contextual information are integrated into the analysis", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Drift Detector emits canonical drift signals on declared-vs-deployed delta.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.DE.AE-08", "title": "Incidents are declared when adverse events meet the defined incident criteria", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "DE Detect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.GV.OC-01", "title": "The organizational mission is understood and informs cybersecurity risk management", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Implementation Registry + Authority Risk Register form the canonical inventory surface." }, { "requirement_id": "nist-csf.GV.OC-02", "title": "Internal and external stakeholders are understood, and their needs and expectations regarding cybersecurity risk management are understood and considered", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Implementation Registry + Authority Risk Register form the canonical inventory surface." }, { "requirement_id": "nist-csf.GV.OC-03", "title": "Legal, regulatory, and contractual requirements regarding cybersecurity — including privacy and civil liberties obligations — are understood and managed", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "enforced", "notes": "Compliance Card refresh emits attestation per framework on the canonical cadence.", "verification": { "npm_gate": "test:compliance-attestation" } }, { "requirement_id": "nist-csf.GV.OC-04", "title": "Critical objectives, capabilities, and services that external stakeholders depend on or expect from the organization are understood and communicated", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.OC-05", "title": "Outcomes, capabilities, and services that the organization depends on are understood and communicated", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "designed", "notes": "§51 SPOF Registry declares per-dependency continuity posture. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "verification": { "npm_gate": "test:no-spof-coverage" }, "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.RM-01", "title": "Risk management objectives are established and agreed to by organizational stakeholders", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.RM-02", "title": "Risk appetite and risk tolerance statements are established, communicated, and maintained", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.RM-03", "title": "Cybersecurity risk management activities and outcomes are included in enterprise risk management processes", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.GV.RM-04", "title": "Strategic direction that describes appropriate risk response options is established and communicated", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.RM-05", "title": "Lines of communication across the organization are established for cybersecurity risks", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "notes": "Comms Engine routes the canonical message family on manifest-bound channels.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.RM-06", "title": "A standardized method for calculating, documenting, categorizing, and prioritizing cybersecurity risks is established and communicated", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.GV.RM-07", "title": "Strategic opportunities (i.e., positive risks) are characterized and included in organizational cybersecurity risk discussions", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities." }, { "requirement_id": "nist-csf.GV.RR-01", "title": "Organizational leadership is responsible and accountable for cybersecurity risk and fosters a culture that is risk-aware, ethical, and continually improving", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "PDP enforces Authority Grant + Purpose Permission per request — this requirement maps to the canonical access-decision primitive.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.GV.RR-02", "title": "Roles, responsibilities, and authorities related to cybersecurity risk management are established, communicated, understood, and enforced", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "PDP enforces Authority Grant + Purpose Permission per request — this requirement maps to the canonical access-decision primitive.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.GV.RR-03", "title": "Adequate resources are allocated commensurate with the cybersecurity risk strategy, roles, responsibilities, and policies", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Implementation Registry + Authority Risk Register form the canonical inventory surface." }, { "requirement_id": "nist-csf.GV.RR-04", "title": "Cybersecurity is included in human resources practices", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "advisory", "notes": "PDP enforces Authority Grant + Purpose Permission per request — this requirement maps to the canonical access-decision primitive." }, { "requirement_id": "nist-csf.GV.PO-01", "title": "Policy for managing cybersecurity risks is established based on organizational context, cybersecurity strategy, and priorities and is communicated and enforced", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "notes": "Implementation Registry + Authority Risk Register form the canonical inventory surface.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.GV.PO-02", "title": "Policy for managing cybersecurity risks is reviewed, updated, communicated, and enforced to reflect changes in requirements, threats, technology, and organizational mission", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "notes": "Implementation Registry + Authority Risk Register form the canonical inventory surface.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.GV.OV-01", "title": "Cybersecurity risk management strategy outcomes are reviewed to inform and adjust strategy and direction", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "enforced", "notes": "Compliance Card refresh emits attestation per framework on the canonical cadence.", "verification": { "npm_gate": "test:compliance-attestation" } }, { "requirement_id": "nist-csf.GV.OV-02", "title": "The cybersecurity risk management strategy is reviewed and adjusted to ensure coverage of organizational requirements and risks", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "enforced", "notes": "Compliance Card refresh emits attestation per framework on the canonical cadence.", "verification": { "npm_gate": "test:compliance-attestation" } }, { "requirement_id": "nist-csf.GV.OV-03", "title": "Organizational cybersecurity risk management performance is evaluated and reviewed for adjustments needed", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "enforced", "notes": "Compliance Card refresh emits attestation per framework on the canonical cadence.", "verification": { "npm_gate": "test:compliance-attestation" } }, { "requirement_id": "nist-csf.GV.SC-01", "title": "A cybersecurity supply chain risk management program, strategy, objectives, policies, and processes are established and agreed to by organizational stakeholders", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.SC-02", "title": "Cybersecurity roles and responsibilities for suppliers, customers, and partners are established, communicated, and coordinated internally and externally", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.SC-03", "title": "Cybersecurity supply chain risk management is integrated into cybersecurity and enterprise risk management, risk assessment, and improvement processes", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.SC-04", "title": "Suppliers are known and prioritized by criticality", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.SC-05", "title": "Requirements to address cybersecurity risks in supply chains are established, prioritized, and integrated into contracts and other types of agreements with suppliers and other relevant third parties", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.SC-06", "title": "Planning and due diligence are performed to reduce risks before entering into formal supplier or other third-party relationships", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "advisory", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface." }, { "requirement_id": "nist-csf.GV.SC-07", "title": "The risks posed by a supplier, their products and services, and other third parties are understood, recorded, prioritized, assessed, responded to, and monitored over the course of the relationship", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.SC-08", "title": "Relevant suppliers and other third parties are included in incident planning, response, and recovery activities", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.SC-09", "title": "Supply chain security practices are integrated into cybersecurity and enterprise risk management programs, and their performance is monitored throughout the technology product and service life cycle", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "designed", "notes": "§51 SPOF Registry declares per-dependency continuity posture. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "verification": { "npm_gate": "test:no-spof-coverage" }, "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.GV.SC-10", "title": "Cybersecurity supply chain risk management plans include provisions for activities that occur after the conclusion of a partnership or service agreement", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "GV Govern", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.revocation.event.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal" ], "workers": [ "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Revocation Cascade engine deactivates authority chains on trigger.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.AM-01", "title": "Inventories of hardware managed by the organization are maintained", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "notes": "Implementation Registry + Authority Risk Register form the canonical inventory surface.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.ID.AM-02", "title": "Inventories of software, services, and systems managed by the organization are maintained", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "notes": "Implementation Registry + Authority Risk Register form the canonical inventory surface.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.ID.AM-03", "title": "Representations of the organization's authorized network communication and internal and external network data flows are maintained", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.decision.admitted.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "notes": "Gateway + Edge Arbiter form the canonical edge PEP per zero-trust topology.", "verification": { "npm_gate": "test:edge-binding-coverage" } }, { "requirement_id": "nist-csf.ID.AM-04", "title": "Inventories of services provided by suppliers are maintained", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.AM-05", "title": "Assets are prioritized based on classification, criticality, resources, and impact on the mission", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.ID.AM-07", "title": "Inventories of data and corresponding metadata for designated data types are maintained", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Data Classification Engine + Residency Router enforce data-handling per jurisdiction.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.ID.AM-08", "title": "Systems, hardware, software, services, and data are managed throughout their life cycles", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "notes": "Implementation Registry + Authority Risk Register form the canonical inventory surface.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.ID.RA-01", "title": "Vulnerabilities in assets are identified, validated, and recorded", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Drift Detector emits canonical drift signals on declared-vs-deployed delta.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.RA-02", "title": "Cyber threat intelligence is received from information sharing forums and sources", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Drift Detector emits canonical drift signals on declared-vs-deployed delta.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.RA-03", "title": "Internal and external threats to the organization are identified and recorded", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.RA-04", "title": "Potential impacts and likelihoods of threats exploiting vulnerabilities are identified and recorded", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.ID.RA-05", "title": "Threats, vulnerabilities, likelihoods, and impacts are used to understand inherent risk and inform risk response prioritization", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.ID.RA-06", "title": "Risk responses are chosen, prioritized, planned, tracked, and communicated", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Risk Engine produces per-decision risk score; Authority Risk Register exposes the risk surface across granted authorities.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.RA-07", "title": "Changes and exceptions are managed, assessed for risk impact, recorded, and tracked", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "notes": "GovernedUI approval modes attach evidence + named approver to each privileged change.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.ID.RA-08", "title": "Processes for receiving, analyzing, and responding to vulnerability disclosures are established", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.RA-09", "title": "The authenticity and integrity of hardware and software are assessed prior to acquisition and use", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.agent.mcp_allow_list.v1" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "designed", "notes": "§52 Delegated Agent Binding declares per-pattern tool allow-list; runtime intercept Phase 3. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.RA-10", "title": "Critical suppliers are assessed prior to acquisition", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Federation cross-org delegation envelope + subprocessor registry bind supplier surface.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.IM-01", "title": "Improvements are identified from evaluations", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit chain + Evidence Pack assembler produce tamper-evident records per event.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "nist-csf.ID.IM-02", "title": "Improvements are identified from security tests and exercises, including those done in coordination with suppliers and relevant third parties", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit chain + Evidence Pack assembler produce tamper-evident records per event.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.IM-03", "title": "Improvements are identified from execution of operational processes, procedures, and activities", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "designed", "notes": "Reconciliation Engine binds declared vs deployed configuration end-to-end. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "verification": { "npm_gate": "test:reconciliation" }, "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.ID.IM-04", "title": "Incident response plans and other cybersecurity plans that affect operations are established, communicated, maintained, and improved", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "ID Identify", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.IT.RG-T1", "title": "Implementation Tier 1 (Partial) — Risk Governance: cybersecurity risk-management practices are not formalised, and risk is managed in an ad hoc and sometimes reactive manner.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — Risk Governance", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "CSF 2.0 §3.1 Tier 1. KYE adoption baseline — the framework-coverage registry reveals current Tier; goal is to move adopters off Tier 1 by binding declared controls to runtime artefacts." }, { "requirement_id": "nist-csf.IT.RG-T2", "title": "Implementation Tier 2 (Risk-Informed) — Risk Governance: risk-management practices are approved by management but may not be established as organisation-wide policy.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — Risk Governance", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.compliance.attestation.v1" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "CSF 2.0 §3.1 Tier 2. §36 GovernedUI approval modes bind management sign-off to the WORM audit chain; per-approval attestation is the formality evidence." }, { "requirement_id": "nist-csf.IT.RG-T3", "title": "Implementation Tier 3 (Repeatable) — Risk Governance: risk-management practices are formally approved and expressed as policy; cybersecurity practices are regularly updated based on the application of risk-management processes to changes in business / mission requirements and a changing threat landscape.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — Risk Governance", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "CSF 2.0 §3.1 Tier 3. The 53-chapter constitution + Reconciliation Engine + framework-coverage registry form the canonical repeatable policy + update cycle; §41 Error Horizons drives convertibility-of-failure-class to rule." }, { "requirement_id": "nist-csf.IT.RG-T4", "title": "Implementation Tier 4 (Adaptive) — Risk Governance: the organisation adapts its cybersecurity practices based on previous and current cybersecurity activities, including lessons learnt and predictive indicators.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — Risk Governance", "level": "conditional", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/41-ERROR-HORIZONS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "CSF 2.0 §3.1 Tier 4. §13 Resilience Loop + §41 Error Horizons fast-behind horizon together drive adaptive closure — every observed deviation becomes a rule unless explicitly classified transient." }, { "requirement_id": "nist-csf.IT.RM-T1", "title": "Implementation Tier 1 (Partial) — Risk Management Process: there is limited awareness of cybersecurity risk at the organisational level, and risk management is implemented case-by-case.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — Risk Management Process", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "CSF 2.0 §3.1 Tier 1 (RMP). Baseline state — KYE enables Tier-2+ uplift by emitting per-decision risk scores even for first-time adopters." }, { "requirement_id": "nist-csf.IT.RM-T2", "title": "Implementation Tier 2 (Risk-Informed) — Risk Management Process: risk-informed, management-approved processes and procedures are defined and implemented; staff has adequate resources.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — Risk Management Process", "level": "conditional", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.risk_assessment.v1", "kye.risk.score.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "CSF 2.0 §3.1 Tier 2 (RMP). Risk Engine produces deterministic risk-informed decisions; Decision Map records the exact input set." }, { "requirement_id": "nist-csf.IT.RM-T3", "title": "Implementation Tier 3 (Repeatable) — Risk Management Process: the organisation's risk-management practices are formally approved and expressed as policy; methods to respond effectively to changes in risk are in place.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — Risk Management Process", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.reconciliation.verdict.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "CSF 2.0 §3.1 Tier 3 (RMP). Revocation Cascade is the canonical response-to-risk-change mechanism; reconciliation provides the structured-feedback loop." }, { "requirement_id": "nist-csf.IT.RM-T4", "title": "Implementation Tier 4 (Adaptive) — Risk Management Process: the organisation uses real-time or near-real-time information to understand and consistently act upon cybersecurity risk associated with the products and services it provides and uses.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — Risk Management Process", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.signal.drift.detected.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "CSF 2.0 §3.1 Tier 4 (RMP). Purpose Permission is per-request, per-action — real-time risk consumption is the canonical mode; §35 ≤5s log cadence makes near-real-time the floor." }, { "requirement_id": "nist-csf.IT.EE-T1", "title": "Implementation Tier 1 (Partial) — External Engagement: the organisation does not understand its role in the larger ecosystem with respect to either its dependencies or dependants.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — External Engagement", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "CSF 2.0 §3.1 Tier 1 (EE). Subprocessor schema provides the baseline external-actor view; KYE moves adopters off Tier 1 by surfacing the dependency graph." }, { "requirement_id": "nist-csf.IT.EE-T2", "title": "Implementation Tier 2 (Risk-Informed) — External Engagement: the organisation collaborates with and receives some information from external parties, generates some of its own, but may not share information externally.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — External Engagement", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.federation.cross_org_delegation.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:engagement-rail-canonical" }, "notes": "CSF 2.0 §3.1 Tier 2 (EE). §49 Engagement Rail provides the canonical bidirectional intake; subprocessor schema declares per-vendor posture." }, { "requirement_id": "nist-csf.IT.EE-T3", "title": "Implementation Tier 3 (Repeatable) — External Engagement: the organisation collaborates with and receives information from partners on a regular basis, and contributes its own information; the organisation is aware of risks associated with its products and services and its place in the larger ecosystem.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — External Engagement", "level": "conditional", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md", "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "CSF 2.0 §3.1 Tier 3 (EE). §38 Comms Rail + §49 Engagement Rail form the canonical bidirectional information-sharing surface; cross-org delegation envelope binds it to audit." }, { "requirement_id": "nist-csf.IT.EE-T4", "title": "Implementation Tier 4 (Adaptive) — External Engagement: the organisation receives, generates and reviews prioritised information that informs continuous analysis of its risks as the threat and technology landscape evolves; the organisation shares information through formal and informal mechanisms.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Implementation Tiers — External Engagement", "level": "conditional", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.signal.drift.detected.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "CSF 2.0 §3.1 Tier 4 (EE). Evidence Pack assembler can produce regulator/peer-shareable bundles; formal information-sharing federation protocol partial — full multi-party federation handshake in build." }, { "requirement_id": "nist-csf.PF.Current", "title": "Current Profile — describes the cybersecurity outcomes that the organisation is currently achieving (or attempting to achieve) and the extent to which each outcome is being achieved.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "CSF 2.0 §4.1. The framework-coverage registry + bijection gate IS the canonical Current Profile — per-control declared-vs-deployed verdict generated on every commit." }, { "requirement_id": "nist-csf.PF.Target", "title": "Target Profile — describes the desired cybersecurity outcomes the organisation has selected and prioritised for achieving its risk-management objectives.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md", "constitution/53-COHESION-CASCADE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "CSF 2.0 §4.1. §53 Cohesion Cascade graph baseline declares target state; per-customer Target Profile generation surface in build (Compliance Card refresh consumes it). PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-csf.PF.Community", "title": "Community Profile — a sectoral, technology- or threat-specific baseline of CSF outcomes for use as a starting point by similar organisations.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "sector_packs": [ "kye:sector-pack:financial-services", "kye:sector-pack:healthcare" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md", "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:engagement-rail-canonical" }, "notes": "CSF 2.0 §4.1. §29 Profiles-Lite + sector packs are the canonical Community-Profile extension point; §49 Engagement Rail amendment allows sector specialisations." }, { "requirement_id": "nist-csf.PF.Org", "title": "Organisational Profile — describes a specific organisation's current and / or target cybersecurity posture in terms of Core outcomes.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "CSF 2.0 §4.1. Per-tenant Organisational Profile generation derives Current + Target from the canonical framework-coverage view; multi-tenant scoping in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nist-csf.PF.Scope", "title": "Scope the Organisational Profile — define the boundaries of the Organisational Profile (entire enterprise, subsidiary, system or service) so the cybersecurity outcomes are clearly bounded.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "CSF 2.0 §4.2. Tenant + Authority Register define scope-of-enforcement; Purpose Permission is single-purpose so scope is concrete per request." }, { "requirement_id": "nist-csf.PF.Gather", "title": "Gather information needed to prepare the Organisational Profile — collect information about the organisation's risks, priorities, dependencies, resources, threats and previous incidents.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.signal.incident.opened.v1", "kye.subprocessor.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "CSF 2.0 §4.2. WORM chain holds the canonical incident + risk + subprocessor record; Profile gathering is a query, not a separate data collection." }, { "requirement_id": "nist-csf.PF.Create", "title": "Create the Organisational Profile — for each selected Core element, document the current and / or target state along with the rationale, considerations and applicability.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "CSF 2.0 §4.2. Every requirement row in this registry IS the canonical state-documentation artefact — current_status + notes + verification together form the per-control rationale." }, { "requirement_id": "nist-csf.PF.Analyse", "title": "Analyse gaps and create an action plan — compare the current and target Profiles, identify gaps, prioritise actions, and assign owners and timeframes.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.spof.path_to_full.v1" ], "engines": [ "internal" ], "registries": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "CSF 2.0 §4.2. SPOF Phase-3 path-to-full runbooks are the canonical gap closure plan (6 required H2 sections); `decay_deadline` enforces timeframe." }, { "requirement_id": "nist-csf.PF.Implement", "title": "Implement the action plan and update the Organisational Profile — execute identified actions, track progress, and update the Profile to reflect the new state.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.reconciliation.verdict.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/53-COHESION-CASCADE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "CSF 2.0 §4.2. §34 Reconciliation Engine binds plan execution to verdict envelopes; §53 Cohesion Cascade ripples the closure across the canonical graph in the same commit." }, { "requirement_id": "nist-csf.PF.Tiers", "title": "Implementation Tiers — characterise the rigour of an organisation's cybersecurity risk-governance and risk-management practices along the Partial / Risk-Informed / Repeatable / Adaptive scale.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "CSF 2.0 §3.1. The IT.* rows in this registry decompose Tiers across all three dimensions (Risk Governance, RMP, External Engagement). The KYE adopter's baseline Tier maps cleanly through declared runtime artefacts." }, { "requirement_id": "nist-csf.PF.Update", "title": "Maintain and continually improve the Organisational Profile — update the Profile on an ongoing basis to reflect the current and target cybersecurity posture, adjusting priorities and actions as needed.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.signal.compliance_card.refreshed.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "CSF 2.0 §4.4. Compliance Card Refresh continuously updates the Profile from canonical artefacts — Profile maintenance is event-driven, not periodic." }, { "requirement_id": "nist-csf.PF.Cybersecurity", "title": "Cybersecurity Supply Chain Risk Management profile — a specialised Community Profile for supply-chain risk that organisations can adopt or adapt.", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "Profiles & Tiers (§4)", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.compliance.attestation.v1", "kye.federation.cross_org_delegation.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:delegated-agent-binding-coverage" }, "notes": "CSF 2.0 §4.3. §52 Delegated Agent Binding + §21 Delegated Auditability bind cybersecurity supply chain (including MCP servers, subprocessors, AI agents) to the canonical evidence chain." }, { "requirement_id": "nist-csf.PR.AA-01", "title": "Identities and credentials for authorized users, services, and hardware are managed by the organization", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "PDP enforces Authority Grant + Purpose Permission per request — this requirement maps to the canonical access-decision primitive.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.PR.AA-02", "title": "Identities are proofed and bound to credentials based on the context of interactions", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "PDP enforces Authority Grant + Purpose Permission per request — this requirement maps to the canonical access-decision primitive.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.PR.AA-03", "title": "Users, services, and hardware are authenticated", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "PDP enforces Authority Grant + Purpose Permission per request — this requirement maps to the canonical access-decision primitive.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.PR.AA-04", "title": "Identity assertions are protected, conveyed, and verified", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signing.multisig_envelope.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "notes": "Key-custody + signing-envelope primitives carry authentication-information lifecycle.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.PR.AA-05", "title": "Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "PDP enforces Authority Grant + Purpose Permission per request — this requirement maps to the canonical access-decision primitive.", "verification": { "npm_gate": "test:pdp-ssot-canonical" } }, { "requirement_id": "nist-csf.PR.AA-06", "title": "Physical access to assets is managed, monitored, and enforced commensurate with risk", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Organisational arrangement — out of scope for KYE runtime enforcement; customer governance responsibility." }, { "requirement_id": "nist-csf.PR.AT-01", "title": "Personnel are provided with awareness and training so they possess the knowledge and skills to perform general tasks with cybersecurity risks in mind", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Comms Engine routes the canonical message family on manifest-bound channels." }, { "requirement_id": "nist-csf.PR.AT-02", "title": "Individuals in specialized roles are provided with awareness and training so they possess the knowledge and skills to perform relevant tasks with cybersecurity risks in mind", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Comms Engine routes the canonical message family on manifest-bound channels." }, { "requirement_id": "nist-csf.PR.DS-01", "title": "The confidentiality, integrity, and availability of data-at-rest are protected", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Data Classification Engine + Residency Router enforce data-handling per jurisdiction.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.PR.DS-02", "title": "The confidentiality, integrity, and availability of data-in-transit are protected", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Data Classification Engine + Residency Router enforce data-handling per jurisdiction.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.PR.DS-10", "title": "The confidentiality, integrity, and availability of data-in-use are protected", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "notes": "Data Classification Engine + Residency Router enforce data-handling per jurisdiction.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.PR.DS-11", "title": "Backups of data are created, protected, maintained, and tested", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver", "kye-d1-backup-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "kye-d1-backup-worker + Audit Archiver carry scheduled backup + retention.", "verification": { "npm_gate": "test:audit-retention-policy" } }, { "requirement_id": "nist-csf.PR.PS-01", "title": "Configuration management practices are established and applied", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "designed", "notes": "Reconciliation Engine binds declared vs deployed configuration end-to-end. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "verification": { "npm_gate": "test:reconciliation" }, "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.PR.PS-02", "title": "Software is maintained, replaced, and removed commensurate with risk", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Drift Detector emits canonical drift signals on declared-vs-deployed delta.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.PR.PS-03", "title": "Hardware is maintained, replaced, and removed commensurate with risk", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Organisational arrangement — out of scope for KYE runtime enforcement; customer governance responsibility." }, { "requirement_id": "nist-csf.PR.PS-04", "title": "Log records are generated and made available for continuous monitoring", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit chain + Evidence Pack assembler produce tamper-evident records per event.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "nist-csf.PR.PS-05", "title": "Installation and execution of unauthorized software are prevented", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.agent.mcp_allow_list.v1" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "designed", "notes": "§52 Delegated Agent Binding declares per-pattern tool allow-list; runtime intercept Phase 3. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.PR.PS-06", "title": "Secure software development practices are integrated and their performance is monitored throughout the software development life cycle", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit chain + Evidence Pack assembler produce tamper-evident records per event.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "nist-csf.PR.IR-01", "title": "Networks and environments are protected from unauthorized logical access and usage", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.signal.decision.admitted.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-edge-arbiter" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "notes": "Gateway + Edge Arbiter form the canonical edge PEP per zero-trust topology.", "verification": { "npm_gate": "test:edge-binding-coverage" } }, { "requirement_id": "nist-csf.PR.IR-02", "title": "The organization's technology assets are protected from environmental threats", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "advisory", "notes": "Organisational arrangement — out of scope for KYE runtime enforcement; customer governance responsibility." }, { "requirement_id": "nist-csf.PR.IR-03", "title": "Mechanisms are implemented to achieve resilience requirements in normal and adverse situations", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "designed", "notes": "§51 SPOF Registry declares per-dependency continuity posture. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "verification": { "npm_gate": "test:no-spof-coverage" }, "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.PR.IR-04", "title": "Adequate resource capacity to ensure availability is maintained", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "PR Protect", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.spof.path_to_full.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "designed", "notes": "§51 SPOF Registry declares per-dependency continuity posture. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce.", "verification": { "npm_gate": "test:no-spof-coverage" }, "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RC.RP-01", "title": "The recovery portion of the incident response plan is executed once initiated from the incident response process", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RC Recover", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RC.RP-02", "title": "Recovery actions are selected, scoped, prioritized, and performed", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RC Recover", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-replay-orchestrator" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "notes": "Replay Orchestrator re-derives decisions from sealed evidence packs.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RC.RP-03", "title": "The integrity of backups and other restoration assets is verified before using them for restoration", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RC Recover", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver", "kye-d1-backup-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "kye-d1-backup-worker + Audit Archiver carry scheduled backup + retention.", "verification": { "npm_gate": "test:audit-retention-policy" } }, { "requirement_id": "nist-csf.RC.RP-04", "title": "Critical mission functions and cybersecurity risk management are considered to establish post-incident operational norms", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RC Recover", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md" ] }, "coverage_status": "enforced", "notes": "Compliance Card refresh emits attestation per framework on the canonical cadence.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RC.RP-05", "title": "The integrity of restored assets is verified, systems and services are restored, and normal operating status is confirmed", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RC Recover", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-replay-orchestrator" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "notes": "Replay Orchestrator re-derives decisions from sealed evidence packs.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RC.RP-06", "title": "The end of incident recovery is declared based on criteria, and incident-related documentation is completed", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RC Recover", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RC.CO-03", "title": "Recovery activities and progress in restoring operational capabilities are communicated to designated internal and external stakeholders", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RC Recover", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "notes": "Comms Engine routes the canonical message family on manifest-bound channels.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RC.CO-04", "title": "Public updates on incident recovery are shared using approved methods and messaging", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RC Recover", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "notes": "Comms Engine routes the canonical message family on manifest-bound channels.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RS.MA-01", "title": "The incident response plan is executed in coordination with relevant third parties once an incident is declared", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RS.MA-02", "title": "Incident reports are triaged and validated", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.RS.MA-03", "title": "Incidents are categorized and prioritized", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.RS.MA-04", "title": "Incidents are escalated or elevated as needed", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.RS.MA-05", "title": "The criteria for initiating incident recovery are applied", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RS.AN-03", "title": "Analysis is performed to establish what has taken place during an incident and the root cause", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-replay-orchestrator" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "notes": "Replay Orchestrator re-derives decisions from sealed evidence packs.", "verification": { "npm_gate": "test:audit-chain-emission-coverage" } }, { "requirement_id": "nist-csf.RS.AN-06", "title": "Actions performed during an investigation are recorded, and the records' integrity and provenance are preserved", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit chain + Evidence Pack assembler produce tamper-evident records per event.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "nist-csf.RS.AN-07", "title": "Incident data and metadata are collected, and their integrity and provenance are preserved", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.appended.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-archiver" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "notes": "WORM audit chain + Evidence Pack assembler produce tamper-evident records per event.", "verification": { "npm_gate": "test:audit-worm-enforced" } }, { "requirement_id": "nist-csf.RS.AN-08", "title": "An incident's magnitude is estimated and validated", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "notes": "Incident Detector emits canonical opened / closed events with severity binding.", "decay_deadline": "2026-12-31" }, { "requirement_id": "nist-csf.RS.CO-02", "title": "Internal and external stakeholders are notified of incidents", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "notes": "Comms Engine routes the canonical message family on manifest-bound channels.", "verification": { "npm_gate": "test:comms-manifest-alive" } }, { "requirement_id": "nist-csf.RS.CO-03", "title": "Information is shared with designated internal and external stakeholders", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "notes": "Comms Engine routes the canonical message family on manifest-bound channels.", "verification": { "npm_gate": "test:comms-manifest-alive" } }, { "requirement_id": "nist-csf.RS.MI-01", "title": "Incidents are contained", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.revocation.event.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal" ], "workers": [ "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Revocation Cascade engine deactivates authority chains on trigger.", "verification": { "npm_gate": "test:self-governance-coverage" } }, { "requirement_id": "nist-csf.RS.MI-02", "title": "Incidents are eradicated", "framework": "nist-csf", "framework_version": "2.0 (February 2024)", "framework_category": "RS Respond", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.revocation.event.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal" ], "workers": [ "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "notes": "Revocation Cascade engine deactivates authority chains on trigger.", "decay_deadline": "2026-12-31" } ], "resolution_framing": null }, { "framework": "nist-csf-2-respond-recover", "display_name": "NIST CSF 2.0 — RESPOND & RECOVER", "framework_version": "NIST Cybersecurity Framework 2.0 (2024) — RESPOND (RS) + RECOVER (RC) Functions", "source": "The NIST Cybersecurity Framework 2.0 (2024) organises cybersecurity outcomes into six Functions; the RESPOND (RS) Function covers incident management, analysis, mitigation, and reporting, and the RECOVER (RC) Function covers recovery execution and communication. KYE Protocol™ governs whether an AI-assisted response / mitigation action under CSF RESPOND/RECOVER may PROCEED to a consequential incident action — under a named accountable officer's authority, with the incident analysis pinned to verifiable signal sources, chain-of-custody recorded, and a contestability record. KYE does not detect the incident, run the response tooling, or execute the recovery.", "license": "The NIST Cybersecurity Framework is a US NIST publication in the public domain; KYE registry paraphrases each subcategory's intent and cites the official Function/Category identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Named-authority on the RESPOND/RECOVER action (RS.MA / RC.RP)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Incident-analysis source pin (RS.AN)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & post-incident reconstruction (RS.MA / improvement)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Threat detection (DETECT) & recovery execution tooling": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "nist-csf-2-respond-recover.rs-action-authority", "title": "An AI-assisted RESPOND / RECOVER action proceeds only under a recorded named-authority decision", "framework": "nist-csf-2-respond-recover", "framework_version": "NIST CSF 2.0 (2024) — RESPOND (RS) + RECOVER (RC)", "framework_category": "Named-authority on the RESPOND/RECOVER action (RS.MA / RC.RP)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "CSF 2.0 RS.MA (Incident Management) and RC.RP (Recovery Plan Execution) cover taking and managing response and recovery actions. When an AI review proposes a containment / mitigation / recovery action that moves toward execution, KYE binds it to a recorded named-authority decision (the agent, the target asset, the action, and the named incident commander under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by cyber_containment_action_authority via the authority-engine + decision-engine. KYE proves who authorised the action to proceed; it does not run the response tooling or execute the recovery." }, { "requirement_id": "nist-csf-2-respond-recover.rs-incident-evidence", "title": "Incident analysis (RS.AN) is pinned to verifiable signal sources before it is relied on", "framework": "nist-csf-2-respond-recover", "framework_version": "NIST CSF 2.0 (2024) — RESPOND (RS) + RECOVER (RC)", "framework_category": "Incident-analysis source pin (RS.AN)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "CSF 2.0 RS.AN (Incident Analysis) requires analysis to establish what happened. KYE requires every AI-asserted incident classification / severity / attribution that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin binding each asserted classification to a pinned, verifiable signal source (the actual EDR alert, the log event, the SIEM correlation), plus the incident-evidence chain-of-custody, per the §13 Resilience Loop tool-call pinning. A classification with no resolvable signal source is refused. Enforced by cyber_ai_triage_provenance_pin + cyber_incident_evidence_chain_of_custody via the evidence-engine + replay-engine. KYE proves the analysis is source-pinned; it does not perform the analysis." }, { "requirement_id": "nist-csf-2-respond-recover.rs-contestability", "title": "Contestability & post-incident reconstruction of the response decision", "framework": "nist-csf-2-respond-recover", "framework_version": "NIST CSF 2.0 (2024) — RESPOND (RS) + RECOVER (RC)", "framework_category": "Contestability & post-incident reconstruction (RS.MA / improvement)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "CSF 2.0's improvement and incident-management outcomes require the organisation to learn from incidents, which presupposes the decisions can be reconstructed. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every AI-assisted incident decision, so that in a post-incident review, an insurer dispute, or litigation it can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by cyber_incident_contestability_record via the evidence-engine + replay-engine. KYE proves how the decision was made; it does not adjudicate the challenge." }, { "requirement_id": "nist-csf-2-respond-recover.detection-recovery-tooling", "title": "Threat detection (DETECT) and recovery execution tooling", "framework": "nist-csf-2-respond-recover", "framework_version": "NIST CSF 2.0 (2024) — RESPOND (RS) + RECOVER (RC)", "framework_category": "Threat detection (DETECT) & recovery execution tooling", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Detecting the cybersecurity event (the DETECT Function), running the response and recovery tooling, and executing the technical recovery are the organisation's own security operations. KYE™ is an AI-authority and evidence layer, not a detection or recovery-execution engine — out of scope by design (§0/§70 honest scope). KYE proves who authorised the response and how the decision was made; it does not detect the event or execute the recovery.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "nl-uavg", "display_name": "UAVG — Uitvoeringswet Algemene verordening gegevensbescherming (GDPR Implementation Act, 2018)", "framework_version": "UAVG 2018", "source": "UAVG — Uitvoeringswet Algemene verordening gegevensbescherming (GDPR Implementation Act, 2018). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Netherlands. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Netherlands-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "nl-uavg.gdpr-transposition", "title": "UAVG — Uitvoeringswet Algemene verordening gegevensbescherming (GDPR Implementation Act, 2018) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Netherlands national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "nl-uavg", "framework_version": "UAVG — Uitvoeringswet Algemene verordening gegevensbescherming (GDPR Implementation Act, 2018)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "UAVG — Uitvoeringswet Algemene verordening gegevensbescherming (GDPR Implementation Act, 2018) is the national implementing/supplementing statute for the GDPR in Netherlands. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔netherlands. This registry maps only the Netherlands-specific national deltas below." }, { "requirement_id": "nl-uavg.supervisory-authority", "title": "Cooperation with the national supervisory authority (the Autoriteit Persoonsgegevens (AP)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "nl-uavg", "framework_version": "nl-uavg national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the Autoriteit Persoonsgegevens (AP) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the Autoriteit Persoonsgegevens (AP) remain tenant-side." }, { "requirement_id": "nl-uavg.breach-notification", "title": "Personal-data breach notification to the Autoriteit Persoonsgegevens (AP) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "nl-uavg", "framework_version": "nl-uavg national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the Autoriteit Persoonsgegevens (AP)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "no-personopplysningsloven", "display_name": "Personopplysningsloven (LOV-2018-06-15-38) — GDPR incorporated via the EEA Agreement", "framework_version": "LOV-2018-06-15-38", "source": "Personopplysningsloven (LOV-2018-06-15-38) — GDPR incorporated via the EEA Agreement. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Norway. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Norway-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "no-personopplysningsloven.gdpr-transposition", "title": "Personopplysningsloven (LOV-2018-06-15-38) — GDPR incorporated via the EEA Agreement transposes / supplements the GDPR (Reg. (EU) 2016/679) into Norway national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "no-personopplysningsloven", "framework_version": "Personopplysningsloven (LOV-2018-06-15-38) — GDPR incorporated via the EEA Agreement", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Personopplysningsloven (LOV-2018-06-15-38) — GDPR incorporated via the EEA Agreement is the national implementing/supplementing statute for the GDPR in Norway. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔norway. This registry maps only the Norway-specific national deltas below." }, { "requirement_id": "no-personopplysningsloven.supervisory-authority", "title": "Cooperation with the national supervisory authority (the Datatilsynet) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "no-personopplysningsloven", "framework_version": "no-personopplysningsloven national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the Datatilsynet can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the Datatilsynet remain tenant-side." }, { "requirement_id": "no-personopplysningsloven.breach-notification", "title": "Personal-data breach notification to the Datatilsynet (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "no-personopplysningsloven", "framework_version": "no-personopplysningsloven national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the Datatilsynet's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "nucleic-acid-synthesis-screening", "display_name": "Nucleic-Acid Synthesis Screening — IBBIS Common Mechanism + IGSC Harmonized Screening Protocol", "framework_version": "2023", "source": "The biosecurity screening regime for synthetic nucleic acids — the International Biosecurity and Biosafety Initiative for Science (IBBIS) Common Mechanism and the International Gene Synthesis Consortium (IGSC) Harmonized Screening Protocol. These screen synthesis orders for sequences of concern (regulated pathogens, toxins, controlled genetic elements) and the customers placing them BEFORE synthesis proceeds. KYE Protocol™ governs whether an AI-generated nucleic-acid sequence may PROCEED to a synthesis order, binding the sequence-of-concern screening result and proving it was checked. KYE does not run the BLAST/HMM screening pipeline or judge whether a sequence is genuinely of concern.", "license": "IBBIS Common Mechanism and IGSC Harmonized Screening Protocol are published reference protocols; KYE registry cites their screening obligations for mapping purposes and reproduces no protocol text.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Sequence-of-concern screening": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Customer / legitimacy screening": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Screening provenance & record-keeping": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "nucleic-acid-synthesis-screening.soc-screen", "title": "Sequence-of-concern screen recorded before synthesis proceeds", "framework": "nucleic-acid-synthesis-screening", "framework_version": "2023", "framework_category": "Sequence-of-concern screening", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "The IBBIS Common Mechanism / IGSC Harmonized Screening Protocol screen synthesis orders against curated sequences of concern. KYE refuses an AI-generated nucleic-acid sequence that moves toward synthesis without a recorded sequence-of-concern screening result. Enforced by biochem_dual_use_screening under the §25 Edge Governance Safety Floor. Honest scope: KYE binds and proves the screen result; it does not run the alignment pipeline. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nucleic-acid-synthesis-screening.flagged-hold", "title": "Flagged sequence held pending review — not auto-proceeded", "framework": "nucleic-acid-synthesis-screening", "framework_version": "2023", "framework_category": "Sequence-of-concern screening", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "When a screen flags a sequence of concern, the order is held for human / committee review rather than auto-proceeding. KYE holds the AI-generated design advisory and refuses the consequential action until a named oversight sign-off is recorded; flagged designs are routed dual-channel. Enforced by biochem_oversight_gate + biochem_dual_use_screening. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nucleic-acid-synthesis-screening.customer-screen", "title": "Customer / order-legitimacy screening recorded", "framework": "nucleic-acid-synthesis-screening", "framework_version": "2023", "framework_category": "Customer / legitimacy screening", "level": "recommended", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "The harmonized protocols screen the legitimacy of the customer / purpose alongside the sequence. KYE requires the synthesis-admissibility decision to record the authority and declared purpose under which an AI-generated design proceeds (§12 Purpose Permission purpose-scope). Enforced by biochem_synthesis_admissibility. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nucleic-acid-synthesis-screening.screening-provenance", "title": "Screening result retained as replay-provable provenance", "framework": "nucleic-acid-synthesis-screening", "framework_version": "2023", "framework_category": "Screening provenance & record-keeping", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Screening regimes require retained records of the screen performed. KYE binds the screening result into the signed, replay-derivable provenance pin emitted when an AI-generated design proceeds, so an auditor can verify offline that screening occurred. Enforced by biochem_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "nyc-ll144", "display_name": "NYC Local Law 144 — Automated Employment Decision Tools", "framework_version": "2023 (in force 2023-07-05)", "source": "https://www.nyc.gov/site/dca/about/automated-employment-decision-tools.page", "license": "NYC public law — public domain", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 1, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "AEDT bias audit": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Candidate notice": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Publication & data retention": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "nyc-ll144.AEDT_BIAS_AUDIT", "title": "An Automated Employment Decision Tool may not be used to screen a candidate unless it has been subject to a bias audit within the trailing 12 months (NYC Admin Code §20-871)", "framework": "nyc-ll144", "framework_version": "2023 (in force 2023-07-05)", "framework_category": "AEDT bias audit", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:hr-recruitment" ], "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:hr-recruitment-product-canonical" }, "notes": "The hr-recruitment rule pack refuses an AEDT action whose bias-audit artefact is missing or older than 365 days (kye:rule:hr_aedt_bias_audit_required); the bias audit is emitted as a signed kye.evidence.pack.v1." }, { "requirement_id": "nyc-ll144.CANDIDATE_NOTICE", "title": "Candidates must receive notice that an AEDT will be used and of the job qualifications and characteristics it assesses (NYC Admin Code §20-871(b))", "framework": "nyc-ll144", "framework_version": "2023 (in force 2023-07-05)", "framework_category": "Candidate notice", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:hr-recruitment" ], "audit_events": [ "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/61-RIGHTS-DISPUTES-DISCLOSURE-RAIL.md" ] }, "coverage_status": "designed", "notes": "Candidate notice + the route to contest an automated rejection are bound through the §61 rights-disputes / contestability rail (kye:rule:hr_candidate_rejection_contestable). PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "nyc-ll144.PUBLICATION_RETENTION", "title": "A summary of the most recent bias-audit results and the distribution date must be published, and retained, before the AEDT is used (NYC Admin Code §20-871(a)(2))", "framework": "nyc-ll144", "framework_version": "2023 (in force 2023-07-05)", "framework_category": "Publication & data retention", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:hr-recruitment" ], "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "designed", "notes": "The bias-audit Evidence Pack and its quarterly attestation are retained under the §30 audit-WORM + retention policy; publication of the summary is a deployer obligation captured in the hr-recruitment obligation manifest. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "nydfs-insurance-circular-ai", "display_name": "NYDFS Insurance Circular Letter on AI", "framework_version": "NYDFS Insurance Circular Letter No. 7 (2024) — Use of AI Systems and External Consumer Data in Underwriting and Pricing", "source": "The New York State Department of Financial Services Insurance Circular Letter No. 7 (2024) sets expectations for insurers using AI systems and external consumer data and information sources (ECDIS) in underwriting and pricing, including governance with senior-management accountability, testing for unfair or unlawful discrimination, transparency and disclosure to consumers, and documentation. KYE Protocol™ governs whether an AI-assisted underwriting or claims decision in scope may PROCEED to a consequential adverse action — under a named accountable authority, with a recorded adverse-action reason-code, with proxy-discrimination / fairness-evidence captured, with a signed Evidence Pack, and a consumer appeal / contestability record. KYE does not price risk, select the ECDIS, or design the discrimination-testing methodology.", "license": "NYDFS circular letters are public regulatory guidance; KYE registry paraphrases each requirement's intent and cites the circular for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Senior-management accountability for the AI decision": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Unfair-discrimination testing evidence": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Consumer transparency & appeal record": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "ECDIS selection, pricing & methodology design on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "nydfs-insurance-circular-ai.senior-management-accountability", "title": "An AI-assisted underwriting / pricing decision proceeds only under a recorded named-authority decision", "framework": "nydfs-insurance-circular-ai", "framework_version": "NYDFS Insurance Circular Letter No. 7 (2024) — Use of AI Systems and External Consumer Data in Underwriting and Pricing", "framework_category": "Senior-management accountability for the AI decision", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The NYDFS circular requires governance with board / senior-management accountability for AI and ECDIS use in underwriting and pricing. KYE binds the decision to a recorded named-authority decision (the named accountable underwriter / authority under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by insurance_underwriting_decision_authority + insurance_claims_determination_authority via the authority-engine + decision-engine. KYE proves who is accountable for the decision; it does not price the risk or select the ECDIS." }, { "requirement_id": "nydfs-insurance-circular-ai.unfair-discrimination-testing", "title": "Proxy-discrimination / fairness-evidence is captured before the decision proceeds", "framework": "nydfs-insurance-circular-ai", "framework_version": "NYDFS Insurance Circular Letter No. 7 (2024) — Use of AI Systems and External Consumer Data in Underwriting and Pricing", "framework_category": "Unfair-discrimination testing evidence", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The NYDFS circular requires insurers to test AI and ECDIS for unfair or unlawful discrimination and to document the testing. KYE binds a signed, replay-provable fairness-evidence record (the proxy-discrimination check applied, the disparate-impact result, the data fields tested, the named-authority outcome) under a context seal to every consequential AI-assisted decision, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by insurance_fairness_evidence_capture via the evidence-engine + replay-engine. KYE proves the fairness check evidence was captured and is replay-provable; it does not design the testing methodology." }, { "requirement_id": "nydfs-insurance-circular-ai.consumer-transparency-appeal", "title": "The decision carries an adverse-action reason and a consumer appeal / contestability record", "framework": "nydfs-insurance-circular-ai", "framework_version": "NYDFS Insurance Circular Letter No. 7 (2024) — Use of AI Systems and External Consumer Data in Underwriting and Pricing", "framework_category": "Consumer transparency & appeal record", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:insurance-underwriting-claims" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The NYDFS circular requires transparency and disclosure to consumers about AI / ECDIS-driven decisions, including the reasons for adverse actions. KYE binds a recorded adverse-action reason-code and a consumer appeal / contestability record (a stable decision identifier, the inputs and authority and evidence, and a reconstruction / appeal route) to every consequential AI-assisted decision, per §13 + §21. Enforced by insurance_adverse_action_explainability + insurance_appeal_contestability_record via the decision-engine + evidence-engine. KYE proves how the decision was made and makes it contestable; it does not adjudicate the appeal." }, { "requirement_id": "nydfs-insurance-circular-ai.ecdis-selection-pricing-methodology", "title": "ECDIS selection, risk pricing, and discrimination-testing methodology on the merits", "framework": "nydfs-insurance-circular-ai", "framework_version": "NYDFS Insurance Circular Letter No. 7 (2024) — Use of AI Systems and External Consumer Data in Underwriting and Pricing", "framework_category": "ECDIS selection, pricing & methodology design on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Choosing which external consumer data and information sources (ECDIS) to use, pricing the risk, and designing the unfair-discrimination-testing methodology are the insurer's own actuarial and model-governance judgments. KYE™ is an AI-authority and evidence layer, not a data-selection, pricing, or testing-methodology engine — out of scope by design (§0 honest scope). KYE proves who is accountable and that fairness-evidence was captured; it does not select the data or set the price.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "nz-algorithm-charter", "display_name": "NZ Algorithm Charter for Aotearoa New Zealand", "framework_version": "Algorithm Charter for Aotearoa New Zealand (2020)", "source": "Algorithm Charter for Aotearoa New Zealand (2020), administered by Stats NZ — commitments on transparency, human oversight, and data/bias for government use of algorithms.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Transparency": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Human oversight": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Data and bias": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "nz-algorithm-charter.transparency", "title": "Algorithm Charter commitment — be transparent about how and when algorithms inform decisions that significantly affect individuals or groups", "framework": "nz-algorithm-charter", "framework_version": "Algorithm Charter for Aotearoa New Zealand (2020)", "framework_category": "Transparency", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Decision Map records when and how an algorithm informed a significant decision; the Evidence Pack is the disclosable transparency artefact — the plain-English transparency the Algorithm Charter commits signatory agencies to." }, { "requirement_id": "nz-algorithm-charter.human-oversight", "title": "Algorithm Charter commitment — retain human oversight by nominating accountable points of contact and providing a channel for challenge", "framework": "nz-algorithm-charter", "framework_version": "Algorithm Charter for Aotearoa New Zealand (2020)", "framework_category": "Human oversight", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "GovernedUI™ nominates accountable approvers for algorithm-informed decisions, and Replay-Proof™ supplies the evidentiary basis for the challenge channel — the human oversight the Algorithm Charter requires." }, { "requirement_id": "nz-algorithm-charter.data-bias", "title": "Algorithm Charter commitment — identify and manage bias, and be clear about the data that informs algorithms", "framework": "nz-algorithm-charter", "framework_version": "Algorithm Charter for Aotearoa New Zealand (2020)", "framework_category": "Data and bias", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Data Classification Engine records the data provenance feeding each algorithmic decision, and the Risk Engine carries the bias/impact assessment — the data-clarity and bias-management commitments the Charter makes. The fairness judgement itself remains the agency's; KYE records the evidence." } ], "resolution_framing": null }, { "framework": "nz-privacy-act-2020", "display_name": "New Zealand Privacy Act 2020", "framework_version": "Privacy Act 2020 (NZ)", "source": "Privacy Act 2020 (New Zealand) — Information Privacy Principles (IPPs) + Part 6 notifiable privacy breaches.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Storage and security (IPP 5)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Limits on use (IPP 10)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Access to personal information (IPP 6)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Notifiable privacy breaches (Part 6)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "nz-privacy-act-2020.ipp-5", "title": "Information Privacy Principle 5 — an agency must ensure personal information is protected by reasonable security safeguards against loss, unauthorised access, use, modification or disclosure", "framework": "nz-privacy-act-2020", "framework_version": "Privacy Act 2020 (NZ)", "framework_category": "Storage and security (IPP 5)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "IPP 5 maps to Authority Resolution: every access to personal information by an AI agent is admissibility-checked against the granted purpose, and unauthorised access is refused — the reasonable security safeguard IPP 5 requires at the action boundary." }, { "requirement_id": "nz-privacy-act-2020.ipp-10", "title": "Information Privacy Principle 10 — personal information obtained for one purpose must not be used for another purpose without authority", "framework": "nz-privacy-act-2020", "framework_version": "Privacy Act 2020 (NZ)", "framework_category": "Limits on use (IPP 10)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Purpose Permission™ binds personal information to the purpose it was obtained for; a use outside that purpose is inadmissible without a fresh grant — a direct enforcement of IPP 10's use-limitation rule." }, { "requirement_id": "nz-privacy-act-2020.ipp-6", "title": "Information Privacy Principle 6 — an individual is entitled to access personal information held about them, supported by a record of how that information was used", "framework": "nz-privacy-act-2020", "framework_version": "Privacy Act 2020 (NZ)", "framework_category": "Access to personal information (IPP 6)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The DSAR Evidence agent assembles the access response, and Replay-Proof™ shows how the individual's information was used in every AI decision — the access entitlement IPP 6 confers, backed by a contemporaneous record." }, { "requirement_id": "nz-privacy-act-2020.notifiable-breach", "title": "Part 6 — notifiable privacy breach: notify the Privacy Commissioner and affected individuals of a privacy breach that has caused or is likely to cause serious harm", "framework": "nz-privacy-act-2020", "framework_version": "Privacy Act 2020 (NZ)", "framework_category": "Notifiable privacy breaches (Part 6)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector raises the breach signal and the Reporting Engine assembles the OPC notification package; the regulator-side delivery channel to the NZ Privacy Commissioner is designed pending the per-jurisdiction reporting connector." } ], "resolution_framing": null }, { "framework": "oecd-glp", "display_name": "OECD Good Laboratory Practice (Principles, 1998) + FDA 21 CFR Part 58 — non-clinical lab data integrity", "framework_version": "1998 (No. 1) + FDA 21 CFR 58", "source": "OECD Principles of Good Laboratory Practice (ENV/MC/CHEM(98)17, as revised 1997) and the US FDA Good Laboratory Practice for Nonclinical Laboratory Studies (21 CFR Part 58) govern the organisational process and conditions under which non-clinical health and environmental safety studies are planned, performed, monitored, recorded, archived and reported. KYE Protocol™ governs the AI/automated-decision authority, the data-integrity (ALCOA+) and audit-trail slices, and the archive/retention slice for studies that use AI-supported or automated data capture and analysis. KYE™ does not run studies, calibrate apparatus, handle test items, or assess scientific validity.", "license": "OECD and FDA documents are published by the issuing bodies; KYE registry paraphrases each requirement's intent and cites the official identifier for mapping purposes only.", "total": 6, "declared_total": 6, "coverage_pct": 75, "status_counts": { "enforced": 4, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Study data integrity & raw-data traceability (ALCOA+)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Audit trail & change control for electronic records": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Archive & retention of study records": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Quality assurance & study-director oversight of automated steps": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Physical study conduct & facilities": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "oecd-glp.data-integrity", "title": "Study data are attributable, legible, contemporaneous, original and accurate (ALCOA+) when captured or transformed by an automated/AI step", "framework": "oecd-glp", "framework_version": "OECD GLP Principle 7 (Performance of the Study) + 21 CFR 58.130", "framework_category": "Study data integrity & raw-data traceability (ALCOA+)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.evidence.decision_map.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "GLP requires every entry of raw data made by automated data-collection systems to be attributable to the responsible individual and contemporaneously recorded. When an AI agent captures or transforms study data, KYE™ binds the tool-call evidence + decision map under a context seal so the record is attributable, contemporaneous and replay-derivable. KYE proves the integrity of the AI-captured record; it does not validate the scientific content." }, { "requirement_id": "oecd-glp.raw-data-traceability", "title": "Raw data produced by an automated step are traceable back to the inputs, model/version and decision that produced them", "framework": "oecd-glp", "framework_version": "OECD GLP Principle 7 + 21 CFR 58.130(e)", "framework_category": "Study data integrity & raw-data traceability (ALCOA+)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.replay.proof.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "GLP raw data must allow full reconstruction of the study report. KYE's decision map + replay proof let a monitor reconstruct how an automated step produced a data point from its pinned inputs and model version, from public keys alone. Reconstruction of the AI step only — wet-lab raw data outside an automated path is the lab's own GLP system." }, { "requirement_id": "oecd-glp.audit-trail", "title": "Electronic study records carry a tamper-evident audit trail of every change (who, what, when, why)", "framework": "oecd-glp", "framework_version": "OECD GLP Principle 10 (Storage and Retention) + 21 CFR Part 11 overlap", "framework_category": "Audit trail & change control for electronic records", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1" ], "engines": [ "internal" ], "worm_tables": [ "evidence_events" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "GLP electronic records (and the 21 CFR Part 11 overlap that applies to them) require a secure, computer-generated, time-stamped audit trail. KYE writes AI-action evidence to a §30 WORM append-only hash-chain so every change to an AI-touched study record is tamper-evident. Covers the AI-action audit trail; the LIMS/eDMS audit trail for non-AI changes is the lab's own system." }, { "requirement_id": "oecd-glp.archive-retention", "title": "Study records and the supporting evidence are retained under a defined retention policy and remain retrievable", "framework": "oecd-glp", "framework_version": "OECD GLP Principle 10 + 21 CFR 58.195", "framework_category": "Archive & retention of study records", "level": "mandatory", "kye_enforcement": { "engines": [ "internal" ], "r2_buckets": [ "kye-evidence-archive" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "GLP requires archives that preserve records and materials for the retention period under controlled access. KYE's §30 retention policy + R2 Object Lock archive preserves the AI-action evidence under a per-table retention period. Designed: the per-study GLP retention-period binding (typically tied to study type / submission) is being wired to the §30 retention policy table. PROOF-BAR: stays designed — engine wired but no audit_event declared; declare/cite a real kye.* evidence event to enforce." }, { "requirement_id": "oecd-glp.oversight-of-automated-steps", "title": "A named study director / QA function authorises automated or AI-supported steps before they affect a GLP study", "framework": "oecd-glp", "framework_version": "OECD GLP Principles 2 (Test Facility Organisation) + 8 (QA)", "framework_category": "Quality assurance & study-director oversight of automated steps", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-09-06", "notes": "GLP places the study director in single-point control of the study and requires QA monitoring. KYE's Purpose Permission™ scopes an AI agent's authority to act on a study to an explicit, named grant. Designed: the study-director-as-named-approver binding (GLP role → KYE principal) is in build; the admissibility primitive that backs it is live." }, { "requirement_id": "oecd-glp.physical-study-conduct", "title": "Apparatus calibration, test/reference item handling, animal care and physical SOP execution", "framework": "oecd-glp", "framework_version": "OECD GLP Principles 4-6 (Facilities, Apparatus, Test Systems)", "framework_category": "Physical study conduct & facilities", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Calibration of apparatus, handling of test and reference items, test-system (animal) care and physical SOP execution in the wet lab are the laboratory's own GLP quality system. KYE™ is an AI-authority and evidence layer, not a laboratory operations system — out of scope by design (§0 honest scope).", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "oecd-pillar-two", "display_name": "OECD Pillar Two — GloBE Rules (Global Minimum Tax) & BEPS", "framework_version": "2023-globe", "source": "The OECD/G20 Inclusive Framework's Pillar Two introduces the Global Anti-Base Erosion (GloBE) Rules — a 15% global minimum effective tax rate for in-scope multinational groups (consolidated revenue ≥ €750m), implemented via the Income Inclusion Rule (IIR) and the Undertaxed Profits Rule (UTPR), with a top-up tax computed per jurisdiction and reported in the standardised GloBE Information Return (GIR). KYE Protocol™ governs whether an AI-generated Pillar Two computation (effective-tax-rate, top-up-tax, GIR datapoint) may PROCEED to a consequential action — a filing or a booked liability — under a named preparer's authority with provenance pinned. KYE does not compute the ETR or top-up tax or judge whether the computation is correct.", "license": "OECD Pillar Two model rules and GIR are published by the OECD; KYE registry cites the rules and the GIR obligation for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GloBE effective-tax-rate & top-up tax": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "GloBE Information Return (GIR)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Scope & charging-rule determination": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "oecd-pillar-two.globe-top-up-tax", "title": "GloBE top-up tax computation due-diligenced before it is filed or booked", "framework": "oecd-pillar-two", "framework_version": "2023-globe", "framework_category": "GloBE effective-tax-rate & top-up tax", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Pillar Two requires a jurisdictional top-up tax to bring the effective tax rate of an in-scope group to the 15% minimum, applied through the IIR / UTPR. KYE requires an AI-generated top-up-tax figure to carry a recorded due-diligence result before it proceeds to a filing or a booked liability. Enforced by tax_due_diligence_before_action. Honest scope: KYE proves the figure was reviewed before the action; it does not compute the ETR or top-up tax. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "oecd-pillar-two.effective-tax-rate", "title": "GloBE effective-tax-rate determination provenance-pinned", "framework": "oecd-pillar-two", "framework_version": "2023-globe", "framework_category": "GloBE effective-tax-rate & top-up tax", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "The jurisdictional ETR is computed from covered taxes over GloBE income, drawing on consolidated financial-accounting data with prescribed adjustments. KYE requires every AI-generated ETR determination that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin binding the model, the pinned source financial data, and the adjustments relied on, per the §13 Resilience Loop. Enforced by tax_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "oecd-pillar-two.gir-information-return", "title": "GloBE Information Return (GIR) datapoints carry replay-provable data lineage", "framework": "oecd-pillar-two", "framework_version": "2023-globe", "framework_category": "GloBE Information Return (GIR)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "The standardised GIR requires in-scope groups to report the data underlying the GloBE computation in a prescribed format. KYE requires each AI-generated GIR datapoint that proceeds to filing to carry a provenance pin establishing its data lineage to source authorities and accounting data, so an examiner can verify it offline. Enforced by tax_provenance_pin + tax_due_diligence_before_action. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "oecd-pillar-two.scope-charging-rule", "title": "In-scope determination & charging-rule (IIR/UTPR) selection signed off by a named preparer", "framework": "oecd-pillar-two", "framework_version": "2023-globe", "framework_category": "Scope & charging-rule determination", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "Whether a group is in scope (revenue threshold) and which charging rule applies (IIR vs UTPR, with safe harbours) is a consequential judgement. KYE holds an AI-generated scope / charging-rule determination advisory until a named preparer / signing professional records sign-off, via the §36 GovernedUI surface. Enforced by tax_signoff_gate + tax_named_preparer_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "osfi-b-10", "display_name": "OSFI Guideline B-10 — Third-Party Risk Management", "framework_version": "OSFI Guideline B-10 — Third-Party Risk Management (effective 1 May 2024)", "source": "Office of the Superintendent of Financial Institutions, Guideline B-10 Third-Party Risk Management (effective 1 May 2024). Risk-based, principles-based management of third-party arrangements: a central record of third-party arrangements, risk assessment proportionate to criticality, and ongoing monitoring of third-party performance and concentration risk.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Third-party arrangement register": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Risk assessment by criticality": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Ongoing monitoring + concentration risk": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "osfi-b-10.register", "title": "Third-party arrangement register: maintain a central record of third-party arrangements with sufficient detail to manage their risks", "framework": "osfi-b-10", "framework_version": "OSFI Guideline B-10 (effective 1 May 2024)", "framework_category": "Third-party arrangement register", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "The §51 SPoF registry is the third-party dependency register for KYE's own operations; for a regulated customer the Authority Register enumerates which third-party agent acts under whose delegated authority — the central third-party-arrangement record B-10 requires." }, { "requirement_id": "osfi-b-10.risk-assessment", "title": "Risk assessment by criticality: assess and manage third-party risk proportionate to the criticality and risk of each arrangement", "framework": "osfi-b-10", "framework_version": "OSFI Guideline B-10 (effective 1 May 2024)", "framework_category": "Risk assessment by criticality", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Risk Engine assigns a criticality-proportionate risk rating to each delegated third-party agent grant; the admissibility check enforces tighter controls on higher-criticality arrangements — the proportionate-risk-management posture B-10 requires." }, { "requirement_id": "osfi-b-10.monitoring", "title": "Ongoing monitoring + concentration risk: monitor third-party performance and assess concentration risk arising from reliance on a small number of providers", "framework": "osfi-b-10", "framework_version": "OSFI Guideline B-10 (effective 1 May 2024)", "framework_category": "Ongoing monitoring + concentration risk", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.signal.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "The §51 SPoF registry's failure-mode classification (full / partial / none) IS the concentration-risk view B-10 requires: a single-point-of-failure dependency is exactly an unmanaged concentration risk, and the gate hard-fails on a new vendor-locked path above the family baseline." } ], "resolution_framing": null }, { "framework": "osfi-b-13", "display_name": "OSFI Guideline B-13 — Technology & Cyber Risk Management", "framework_version": "OSFI Guideline B-13 — Technology and Cyber Risk Management (effective 1 January 2024)", "source": "Office of the Superintendent of Financial Institutions, Guideline B-13 Technology and Cyber Risk Management (effective 1 January 2024). Three domains: governance and risk management (Domain 1), technology operations and resilience (Domain 2), cyber security (Domain 3) — including the technology-asset register, secure-by-design, monitoring and detection, and incident management.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Governance + risk management (Domain 1)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Technology operations + resilience (Domain 2)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Cyber security — monitoring + incident (Domain 3)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "osfi-b-13.d1", "title": "Domain 1 — Governance and risk management: maintain a technology and cyber risk-management framework with clear accountability, a risk appetite, and senior-management oversight", "framework": "osfi-b-13", "framework_version": "OSFI Guideline B-13 — Domain 1 (effective 1 Jan 2024)", "framework_category": "Governance + risk management (Domain 1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Authority Graph gives clear lines of accountability for every AI-agent action over a regulated technology asset; the Risk Engine binds it to a contemporaneous risk assessment within a declared appetite — the governance + accountability posture B-13 Domain 1 requires for the agent layer." }, { "requirement_id": "osfi-b-13.d2-asset-register", "title": "Domain 2 — Technology asset management: maintain a current inventory of technology assets and their interdependencies, classified by criticality", "framework": "osfi-b-13", "framework_version": "OSFI Guideline B-13 — Domain 2 (effective 1 Jan 2024)", "framework_category": "Technology operations + resilience (Domain 2)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "The §51 SPoF registry is the criticality-classified dependency inventory for KYE's own operations; for a regulated customer the Authority Register enumerates which AI agent acts on which technology asset under whose authority — the asset-register-with-interdependencies B-13 Domain 2 requires." }, { "requirement_id": "osfi-b-13.d2-resilience", "title": "Domain 2 — Technology resilience: design and operate technology to recover within tolerance and maintain critical operations during a disruption", "framework": "osfi-b-13", "framework_version": "OSFI Guideline B-13 — Domain 2 (effective 1 Jan 2024)", "framework_category": "Technology operations + resilience (Domain 2)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.signal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "The Edge Governance Safety Floor + Offline Evidence Log keep critical AI-agent operations within tolerance during a control-plane disruption: the Edge Arbiter degrades to the Safety Floor rather than failing open, evidence keeps accruing offline for later replay — the resilience-within-tolerance B-13 Domain 2 requires." }, { "requirement_id": "osfi-b-13.d3", "title": "Domain 3 — Cyber security: continuously monitor and detect cyber threats and manage cyber incidents, including timely reporting", "framework": "osfi-b-13", "framework_version": "OSFI Guideline B-13 — Domain 3 (effective 1 Jan 2024)", "framework_category": "Cyber security — monitoring + incident (Domain 3)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The §35 Streaming Logs Contract feeds the Incident Detector at the moment of the event; the WORM audit chain is the tamper-evident detection substrate. Detection + monitoring of AI-agent activity are enforced; the OSFI Technology and Cyber Incident reporting delivery channel reuses the per-jurisdiction reporting connector tracked in IMPLEMENTATION-PLAN.md." } ], "resolution_framing": null }, { "framework": "osfi-e-23", "display_name": "OSFI Guideline E-23 — Model Risk Management", "framework_version": "OSFI Guideline E-23 — Model Risk Management (revised, effective 1 May 2027; applies to all federally regulated financial institutions, model definition expanded to include AI/ML)", "source": "Office of the Superintendent of Financial Institutions, Guideline E-23 Model Risk Management (revised final, effective 1 May 2027). Enterprise-wide model risk management across the model lifecycle: model inventory + risk rating, development and validation with independent challenge, ongoing monitoring, and clear roles and accountability — with the model definition expanded to capture AI/ML methods.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 81, "status_counts": { "enforced": 3, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Model inventory + risk rating": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Development + independent validation": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Ongoing monitoring": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Roles + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "osfi-e-23.inventory", "title": "Model inventory + risk rating: maintain an enterprise-wide inventory of models, including AI/ML methods, each assigned a model-risk rating", "framework": "osfi-e-23", "framework_version": "OSFI Guideline E-23 — Model inventory (effective 1 May 2027)", "framework_category": "Model inventory + risk rating", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "The Authority Register enumerates every AI agent / model acting under whose authority, each carrying a risk classification — the model inventory with risk rating E-23 requires for the agentic layer. KYE governs the authority and accountability of a deployed model, not its statistical validation." }, { "requirement_id": "osfi-e-23.validation", "title": "Development + validation: subject models to independent validation and effective challenge proportionate to their risk rating before and during use", "framework": "osfi-e-23", "framework_version": "OSFI Guideline E-23 — Validation (effective 1 May 2027)", "framework_category": "Development + independent validation", "level": "mandatory", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Independent statistical validation is a complementary model-risk technique KYE does not perform — KYE governs authority-to-act, not model-output distributions. KYE's contribution is advisory: the Decision Map + Replay-Proof™ give the independent challenge function a complete, tamper-evident record of what the model actually decided in production to validate against. §54 §13 graft (REUSED, not re-mapped, §0.10): the kye:rule-pack:investment-decision-authority spine CONSUMES this model-risk control — an AI-assisted investment decision/action is bound to a replay-provable provenance pin and a named-authority + mandate check at the action boundary, giving the validation / effective-challenge function the tamper-evident record of what the investment model actually decided in production. KYE governs whether the decision may proceed; it does not validate the model's statistical output or produce investment intelligence." }, { "requirement_id": "osfi-e-23.monitoring", "title": "Ongoing monitoring: monitor model performance and limitations on a continuing basis and act on material deterioration", "framework": "osfi-e-23", "framework_version": "OSFI Guideline E-23 — Ongoing monitoring (effective 1 May 2027)", "framework_category": "Ongoing monitoring", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Drift Detector + Resilience Loop™ provide continuous monitoring of a deployed model's authority and behaviour: detected drift re-triggers a risk assessment and can revoke the model's grant — the act-on-material-deterioration posture E-23 requires for the action boundary." }, { "requirement_id": "osfi-e-23.accountability", "title": "Roles + accountability: establish clear roles, responsibilities and accountability across the model lifecycle", "framework": "osfi-e-23", "framework_version": "OSFI Guideline E-23 — Accountability (effective 1 May 2027)", "framework_category": "Roles + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every model action traces through the Authority Graph to a named accountable principal and a delegation chain; the contemporaneous attestation evidences who owned the model decision — the clear-roles-and-accountability posture E-23 requires across the lifecycle." } ], "resolution_framing": null }, { "framework": "osha-psm", "display_name": "OSHA PSM — Process Safety Management of Highly Hazardous Chemicals (29 CFR 1910.119)", "framework_version": "1992", "source": "US OSHA Process Safety Management standard 29 CFR 1910.119 governing facilities handling highly hazardous chemicals — process hazard analysis, operating procedures, mechanical integrity, and management of change. KYE governs the authority, evidence and finality of AI-recommended physical-safety actions in a PSM-covered process; KYE does not run the PSM program. Starter requirement set (Wave-Ralph-Industrial); deepen by graft.", "license": "US federal regulation (public domain); KYE registry cites the CFR paragraph for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 44, "status_counts": { "enforced": 0, "designed": 3, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "1910.119(d) — Process safety information": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "1910.119(f) — Operating procedures": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "1910.119(j) — Mechanical integrity": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "1910.119(l) — Management of change": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "osha-psm.1910.119.d", "title": "Process safety information underpins the action", "framework": "osha-psm", "framework_version": "1992", "framework_category": "1910.119(d) — Process safety information", "level": "mandatory", "kye_enforcement": { "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "advisory", "notes": "Asset criticality + failure-mode reference data underpins whether an AI recommendation is a physical_safety action. KYE records the vocabulary; compiling the process safety information is the employer's responsibility." }, { "requirement_id": "osha-psm.1910.119.f", "title": "Operating procedures — named accountability for actions", "framework": "osha-psm", "framework_version": "1992", "framework_category": "1910.119(f) — Operating procedures", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-recommended shutdown/derate within an operating procedure is advisory pending named-engineer sign-off (named_accountable_engineer). Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "osha-psm.1910.119.j", "title": "Mechanical integrity — safety-floor-governed actuation", "framework": "osha-psm", "framework_version": "1992", "framework_category": "1910.119(j) — Mechanical integrity", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Any AI-recommended physical_safety_action on PSM-covered equipment is admitted under the §25 safety floor with SIL-validated authority. Enforced by industrial_physical_safety_floor. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "osha-psm.1910.119.l", "title": "Management of change — contestable and evidenced", "framework": "osha-psm", "framework_version": "1992", "framework_category": "1910.119(l) — Management of change", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI-driven change to operating envelope (derate) is contestable with a replay-derivable Evidence Pack supporting the management-of-change record. Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "pci-dss", "display_name": "PCI DSS 4.0 — Payment Card Industry Data Security Standard", "framework_version": "4.0", "source": "PCI Security Standards Council — Payment Card Industry Data Security Standard v4.0 (March 2022, future-dated requirements effective 31 March 2025)", "license": null, "total": 146, "declared_total": 146, "coverage_pct": 82, "status_counts": { "enforced": 111, "designed": 1, "advisory": 34, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Req 1-2 Network Security & Secure Configuration": { "total": 19, "enforced": 9, "designed": 0, "advisory": 10, "deferred": 0, "out-of-scope": 0, "coverage_pct": 61 }, "Req 11-12 Testing & Information Security Policy": { "total": 26, "enforced": 15, "designed": 0, "advisory": 11, "deferred": 0, "out-of-scope": 0, "coverage_pct": 68 }, "Req 3-4 Cardholder Data Protection": { "total": 23, "enforced": 21, "designed": 0, "advisory": 2, "deferred": 0, "out-of-scope": 0, "coverage_pct": 93 }, "Req 5-6 Vulnerability Management": { "total": 20, "enforced": 16, "designed": 0, "advisory": 4, "deferred": 0, "out-of-scope": 0, "coverage_pct": 85 }, "Req 7-8 Access Control & Authentication": { "total": 33, "enforced": 31, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 96 }, "Req 9-10 Physical Access & Logging": { "total": 25, "enforced": 19, "designed": 0, "advisory": 6, "deferred": 0, "out-of-scope": 0, "coverage_pct": 82 } }, "requirements": [ { "requirement_id": "pci-dss.1.1", "title": "Install and maintain network security controls (NSCs) protecting the cardholder data environment (CDE) — Req 1.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "advisory", "notes": "Network segmentation, firewall rule-set design, and CDE perimeter belong to the customer's infrastructure team; KYE provides edge runtime guidance but does not operate firewalls." }, { "requirement_id": "pci-dss.1.2", "title": "Configuration of network security controls — documented rule-set with explicit business justification — Req 1.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Documented business justification for every inbound/outbound rule is a customer-side artefact; KYE does not author firewall change-control." }, { "requirement_id": "pci-dss.1.2.5", "title": "Documented and approved ports, protocols, and services for all NSCs — Req 1.2.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Allowlist of ports/protocols/services for the CDE is enumerated and reviewed by the customer's network engineering team; KYE does not operate the perimeter firewall." }, { "requirement_id": "pci-dss.1.3", "title": "Restrict network access between trusted/untrusted networks (deny-all default, explicit allow-list) — Req 1.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Default-deny posture is enforced by the customer's perimeter; KYE Edge Runtime documents the deny-by-default pattern but does not configure it for the CDE." }, { "requirement_id": "pci-dss.1.3.1", "title": "Inbound CDE traffic restricted to that necessary for cardholder-data services — Req 1.3.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Inbound restriction is a customer-perimeter posture." }, { "requirement_id": "pci-dss.1.3.2", "title": "Outbound CDE traffic restricted to that necessary — Req 1.3.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Egress restriction is a customer-perimeter posture. KYE's own egress allowlist is captured by the Gateway runtime + tool-call pin enforcement, not the customer CDE." }, { "requirement_id": "pci-dss.1.4", "title": "Network connections between trusted and untrusted networks are controlled — Req 1.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Trust-zone topology is the customer's responsibility." }, { "requirement_id": "pci-dss.1.4.4", "title": "Stored-PAN system components are not directly accessible from untrusted networks — Req 1.4.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "advisory", "notes": "Customer-CDE topology constraint." }, { "requirement_id": "pci-dss.1.5", "title": "Risks to the CDE from computing devices that can connect to both untrusted and CDE networks are mitigated — Req 1.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Dual-homed endpoint mitigations are endpoint-MDM-tier customer controls." }, { "requirement_id": "pci-dss.2.1", "title": "Processes and mechanisms for applying secure configurations to all system components are defined — Req 2.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Secure-configuration processes for KYE-operated surfaces are defined by §40 Implementation Canonical + emitted as Compliance Attestation events." }, { "requirement_id": "pci-dss.2.2", "title": "Apply secure configurations to all system components (no vendor defaults, hardening baselines) — Req 2.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Secure-configuration attestation across KYE's own surface is emitted via Compliance Attestation; a customer-CDE hardening report generator is in build." }, { "requirement_id": "pci-dss.2.2.1", "title": "Configuration standards developed for all system components — Req 2.2.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Configuration standards aligned to industry-accepted hardening guides (CIS, NIST) for KYE surfaces; per-component generator in build." }, { "requirement_id": "pci-dss.2.2.2", "title": "Vendor default accounts are managed — disabled or accounts removed before deployment — Req 2.2.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "No default vendor accounts exist in KYE surfaces; every machine identity is issue-event-tracked + scope-bound + rotation-cadence enforced." }, { "requirement_id": "pci-dss.2.2.3", "title": "Primary functions requiring different security levels are managed — Req 2.2.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Three PDP tiers separate authority levels; each function carries an explicit purpose-class binding." }, { "requirement_id": "pci-dss.2.2.4", "title": "Only necessary services, protocols, daemons, and functions enabled — Req 2.2.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Minimal-surface posture is canonical per §40; only declared engines are deployed (Implementation Canonical Registry)." }, { "requirement_id": "pci-dss.2.2.5", "title": "If insecure services/protocols are present, business justification is documented and additional security features deployed — Req 2.2.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "No insecure protocols in KYE surfaces today; a DEVIATIONS-style register tying any future exception to compensating-controls evidence is in build." }, { "requirement_id": "pci-dss.2.2.6", "title": "System security parameters configured to prevent misuse — Req 2.2.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Hardened security parameters are baked into every runtime engine's deploy template; Conformance Runner verifies on cadence." }, { "requirement_id": "pci-dss.2.2.7", "title": "All non-console administrative access is encrypted using strong cryptography — Req 2.2.7", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "TLS 1.3 + mTLS + WebAuthn step-up gate all admin paths; the dual-channel-admin gate proves no plaintext admin route exists." }, { "requirement_id": "pci-dss.2.3", "title": "Wireless environments — secure configuration of any wireless networks attached to the CDE — Req 2.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 1-2 Network Security & Secure Configuration", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Wireless infrastructure governance is entirely customer-operated." }, { "requirement_id": "pci-dss.11.1", "title": "Processes and mechanisms for regularly testing security of systems and networks are defined — Req 11.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Conformance Runner formalises the test program; cadence is enforced by ≤90-day attestation." }, { "requirement_id": "pci-dss.11.2", "title": "Wireless access points are identified and monitored, unauthorised wireless access points are addressed — Req 11.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Rogue-AP detection is the customer's network-ops responsibility." }, { "requirement_id": "pci-dss.11.3", "title": "External and internal vulnerability scans run at least quarterly and after any significant change (ASV scans for external) — Req 11.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Approved Scanning Vendor (ASV) engagement and internal vulnerability scanning are customer-procured services; KYE does not act as the ASV." }, { "requirement_id": "pci-dss.11.3.1", "title": "Internal vulnerability scans performed at least every 3 months — Req 11.3.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Customer-CDE scanning is procedural; KYE runs npm-audit + SBOM continuously on KYE-operated surfaces." }, { "requirement_id": "pci-dss.11.3.2", "title": "External vulnerability scans performed at least every 3 months by an ASV — Req 11.3.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Customer-procured ASV scans." }, { "requirement_id": "pci-dss.11.4", "title": "External and internal penetration testing at least annually and after significant change — Req 11.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Penetration testing for the CDE is a customer-procured engagement with a qualified pen-test provider." }, { "requirement_id": "pci-dss.11.4.1", "title": "Penetration-test methodology is defined, documented, and implemented — Req 11.4.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Methodology + scope documented by the pen-test vendor." }, { "requirement_id": "pci-dss.11.4.2", "title": "Internal penetration testing performed at least once every 12 months — Req 11.4.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Customer-procured." }, { "requirement_id": "pci-dss.11.4.3", "title": "External penetration testing performed at least once every 12 months — Req 11.4.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Customer-procured." }, { "requirement_id": "pci-dss.11.5", "title": "Intrusion-detection and/or intrusion-prevention techniques detect and alert on suspicious activity in the CDE — Req 11.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift Detector + Incident Detector raise canonical signal events on anomalous behaviour across every KYE surface; Cloudflare WAF complements at the edge." }, { "requirement_id": "pci-dss.11.5.2", "title": "Change-detection mechanism deployed to alert on unauthorised modifications to critical files — Req 11.5.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.resilience.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift Detector hashes critical-file set on every deploy; cascade-revocation on unauthorised modification." }, { "requirement_id": "pci-dss.11.6", "title": "Unauthorised changes on payment pages are detected and responded to — Req 11.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "CSP / SRI integrity + drift-detector on the page-script set; structured payment-page Skimmer-detection adapter in build." }, { "requirement_id": "pci-dss.12.1", "title": "Comprehensive information-security policy is established, published, maintained, disseminated — Req 12.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/00-INDEX.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Constitution itself is the information-security policy; ≤90-day review cadence enforced." }, { "requirement_id": "pci-dss.12.2", "title": "Acceptable-use policies for end-user technologies are defined and implemented — Req 12.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Acceptable-use is part of onboarding consent; acceptance is event-emitting." }, { "requirement_id": "pci-dss.12.3", "title": "Risk assessment of the CDE performed and documented at least annually — Req 12.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk-engine emits cadence-attested risk-assessment evidence; Compliance Attestation enforces the ≤ annual cadence." }, { "requirement_id": "pci-dss.12.4", "title": "PCI DSS compliance is managed — Req 12.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Per-framework attestation cadence + framework-coverage-bijection gate together materially manage PCI DSS compliance posture." }, { "requirement_id": "pci-dss.12.5", "title": "PCI DSS scope is documented and validated — Req 12.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scope (which engines participate in CDE) is canonical per §40 Implementation Registry." }, { "requirement_id": "pci-dss.12.6", "title": "Security awareness education is an ongoing activity — Req 12.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/10-PARTNER.md", "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Learn Rail provides PCI-aligned curricula; customer enrols their personnel." }, { "requirement_id": "pci-dss.12.7", "title": "Personnel are screened to reduce risks from insider threats — Req 12.7", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/10-PARTNER.md" ] }, "coverage_status": "advisory", "notes": "Personnel screening is the customer's HR responsibility." }, { "requirement_id": "pci-dss.12.8", "title": "Risk to information assets associated with third-party service-provider (TPSP) relationships is managed — Req 12.8", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Subprocessor schema + Cross-Org Delegation envelope materially manage TPSP risk." }, { "requirement_id": "pci-dss.12.9", "title": "Third-party service providers (TPSPs) support customers' PCI DSS compliance — Req 12.9", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "KYE-side TPSP attestation is canonical; subprocessor registry binds every TPSP." }, { "requirement_id": "pci-dss.12.10", "title": "Incident response plan — implemented, tested, and exercised at least annually — Req 12.10", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Incident lifecycle (opened/closed) is canonical; annual tabletop attestation is enforced via Compliance Attestation cadence." }, { "requirement_id": "pci-dss.12.10.1", "title": "An incident response plan exists and is ready to activate in the event of a suspected/confirmed security incident — Req 12.10.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Incident detector is always-on; suspected → opened event in seconds." }, { "requirement_id": "pci-dss.12.10.2", "title": "Incident response plan reviewed + tested at least every 12 months — Req 12.10.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Audit replay orchestrator re-runs incident scenarios; cadence is ratcheted by attestation." }, { "requirement_id": "pci-dss.12.10.4", "title": "Personnel with incident-response responsibilities are appropriately trained — Req 12.10.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/39-LEARN-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Training is customer-HR owned; Learn Rail provides curriculum." }, { "requirement_id": "pci-dss.12.10.5", "title": "Incident response plan includes monitoring + responding to alerts from critical security control systems — Req 12.10.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 11-12 Testing & Information Security Policy", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Alert ingestion + response is event-driven; SIEM export bridges to customer's SOC." }, { "requirement_id": "pci-dss.3.1", "title": "Processes and mechanisms for protecting stored account data are defined and documented — Req 3.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.audit_retention_policy.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "§30 audit-retention policy + §31 Data Governance Pack jointly define the canonical process for stored-data protection across KYE surfaces." }, { "requirement_id": "pci-dss.3.2", "title": "Minimise storage of account data (data-retention and disposal policy with hard-deletion proof) — Req 3.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1", "kye.audit_retention_policy.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "Per-table retention policy with framework-justified retention years; WORM hash-chain proves immutability for the duration declared." }, { "requirement_id": "pci-dss.3.2.1", "title": "Account-data retention and disposal policies, procedures, and processes are defined — Req 3.2.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "Per-table policy declares retention duration + disposal procedure; cascade purge runs against the declared schedule." }, { "requirement_id": "pci-dss.3.3", "title": "SAD (sensitive authentication data) — never retained after authorisation, even if encrypted — Req 3.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SAD-handling tool calls carry the side_effects[] pin {personal-data-egress, sensitive-authentication-data}; the PDP denies any purpose that retains SAD post-authorisation." }, { "requirement_id": "pci-dss.3.3.1", "title": "SAD not retained after authorisation, even if encrypted — Req 3.3.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Tool-call pin tags every operation handling SAD; PDP denies any persist purpose." }, { "requirement_id": "pci-dss.3.3.2", "title": "SAD encrypted during pre-authorisation processing using strong cryptography — Req 3.3.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "BYOK envelope encryption is design-locked; FIPS-validated crypto adapter in build for SAD pre-auth handling." }, { "requirement_id": "pci-dss.3.4", "title": "PAN access by personnel restricted; masking for display — Req 3.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.tool_call_pin.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PAN-class data access requires explicit purpose grant; masking-class purpose returns the masked variant." }, { "requirement_id": "pci-dss.3.4.1", "title": "PAN masked when displayed (≤ first 6 + last 4 visible) unless legitimate business need — Req 3.4.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Masking decisions are explicit purpose admissibility records; full-PAN display requires a separately-grantable purpose tier." }, { "requirement_id": "pci-dss.3.5", "title": "Render PAN unreadable wherever stored (strong cryptography, key-management lifecycle) — Req 3.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Evidence-pack envelope is COSE-Sign1 today; a FIPS-validated crypto-adapter binding for PAN-at-rest renders is in build (§51 SPoF row ed25519-sign closure)." }, { "requirement_id": "pci-dss.3.5.1", "title": "PAN rendered unreadable by hashing, truncation, tokenisation, or strong encryption — Req 3.5.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "BYOK envelope encryption applies to every cardholder-class field; tokenisation table is in build." }, { "requirement_id": "pci-dss.3.5.1.2", "title": "Disk-level or partition-level encryption used only for removable electronic media — Req 3.5.1.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "No removable media in protocol layer; constraint applies to customer endpoints only." }, { "requirement_id": "pci-dss.3.5.1.3", "title": "Logical-access management for disk-encryption keys — Req 3.5.1.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.permission.v1", "kye.admin.api_key.issued.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Key-access is gated by Authority Grants; every key-use emits an audit event." }, { "requirement_id": "pci-dss.3.6", "title": "Cryptographic keys used to protect stored account data are secured — Req 3.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "BYOK + HSM-backed signing path is canonical; FIPS-mode KMS adapter in flight." }, { "requirement_id": "pci-dss.3.6.1", "title": "Procedures defined for cryptographic-key lifecycle (generation, secure distribution, storage, retirement, …) — Req 3.6.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Key-lifecycle runbook + issuance/revocation events provide the procedural + evidentiary record." }, { "requirement_id": "pci-dss.3.7", "title": "Where cryptography is used to protect stored account data, key-management processes are defined — Req 3.7", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Key-management processes are documented in runbooks; the structured KEK/DEK rotation evidence emitter is in build." }, { "requirement_id": "pci-dss.3.7.1", "title": "Key-management policies for strong-cryptographic-key generation — Req 3.7.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Key generation is HSM-rooted; entropy attestation in build." }, { "requirement_id": "pci-dss.3.7.4", "title": "Key-management policies for periodic cryptoperiod-bound key changes — Req 3.7.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Rotation cadence is enforced by Compliance Attestation against per-key policy; key-issue/revoke events provide the chain-of-custody." }, { "requirement_id": "pci-dss.3.7.6", "title": "Where manual cleartext key-management operations exist, dual-control / split-knowledge is required — Req 3.7.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.governedui.action_proposal.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "GovernedUI two_person_with_legal approval mode materially enforces dual-control on any key-handling op." }, { "requirement_id": "pci-dss.4.1", "title": "Protect cardholder data with strong cryptography during transmission over open/public networks (TLS 1.2+ mandatory) — Req 4.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "O/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Cloudflare-fronted gateway terminates TLS 1.3 at the edge; a continuous TLS-posture probe across every public surface is in build." }, { "requirement_id": "pci-dss.4.1.1", "title": "Processes and mechanisms for protecting cardholder data with strong cryptography during transmission are defined — Req 4.1.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Transmission-protection processes are documented; continuous TLS posture-probe is in build." }, { "requirement_id": "pci-dss.4.1.2", "title": "Roles and responsibilities for transmission protection are documented, assigned, and understood — Req 4.1.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Role-binding via Authority Grants; ≤90-day attestation enforces continuity." }, { "requirement_id": "pci-dss.4.2", "title": "Strong cryptography for end-user messaging technologies transmitting PAN — Req 4.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Comms Rail forbids PAN in any outbound channel by template policy; end-user messaging tooling used by the merchant is customer-operated." }, { "requirement_id": "pci-dss.4.2.1", "title": "Certificates protecting PAN during transmission over open networks are confirmed valid — Req 4.2.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 3-4 Cardholder Data Protection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Certificate-validity drift-detector is in build; current state is CF-managed certs." }, { "requirement_id": "pci-dss.5.1", "title": "Processes and mechanisms for protecting all systems and networks from malicious software are defined and understood — Req 5.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Anti-malware process documentation for KYE-operated surfaces is being formalised; CSP-tier malware controls inherit." }, { "requirement_id": "pci-dss.5.2", "title": "Anti-malware solutions deployed on all system components with regular updates — Req 5.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Endpoint malware-prevention is the customer's host-security stack; KYE does not run AV on the merchant fleet." }, { "requirement_id": "pci-dss.5.2.1", "title": "An anti-malware solution is deployed on all system components — Req 5.2.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Customer-operated for endpoints. Cloudflare Workers isolates have no traditional malware surface; CSP attestation captures." }, { "requirement_id": "pci-dss.5.2.3", "title": "Any system components not at risk for malware are evaluated periodically — Req 5.2.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Periodic evaluation is enforced by ≤90-day Compliance Attestation cadence." }, { "requirement_id": "pci-dss.5.3", "title": "Anti-malware mechanisms and processes are active, maintained, and monitored — Req 5.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Customer endpoint operations." }, { "requirement_id": "pci-dss.5.4", "title": "Anti-phishing mechanisms protect users against phishing attacks — Req 5.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "FIDO2/WebAuthn is phishing-resistant by construction; all admin paths require WebAuthn assertion." }, { "requirement_id": "pci-dss.6.1", "title": "Processes and mechanisms for developing and maintaining secure systems and software are defined — Req 6.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md", "constitution/41-ERROR-HORIZONS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "SSDLC processes are codified in §40 + §41; 60+ pre-merge gates verify." }, { "requirement_id": "pci-dss.6.2", "title": "Bespoke and custom software developed securely (SSDLC, code review, static + dynamic analysis) — Req 6.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md", "constitution/41-ERROR-HORIZONS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "KYE's own SSDLC is enforced by §40 Implementation Canonical + §41 Error Horizons + 60+ pre-merge CI gates; every privileged op emits §0.3 attestation." }, { "requirement_id": "pci-dss.6.2.1", "title": "Bespoke / custom software developed using industry-recognised secure-development standards — Req 6.2.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "OWASP ASVS-aligned secure-coding constitutional posture; threat models per release." }, { "requirement_id": "pci-dss.6.2.2", "title": "Software-development personnel trained at least annually in secure coding — Req 6.2.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/10-PARTNER.md" ] }, "coverage_status": "advisory", "notes": "Developer training is a customer-HR responsibility; KYE Learn rail provides aligned curriculum but does not enrol the customer's developers." }, { "requirement_id": "pci-dss.6.2.3", "title": "Bespoke / custom software reviewed prior to release for vulnerabilities — Req 6.2.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Pre-merge review is enforced via the 60+ CI gates + mandatory PR review + canonical-first rule." }, { "requirement_id": "pci-dss.6.2.4", "title": "Software-engineering techniques used to prevent or mitigate common attacks (injection, broken access, …) — Req 6.2.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "JSON-Schema input validation + PDP authority enforcement + parameterised queries are constitutional defaults." }, { "requirement_id": "pci-dss.6.3", "title": "Security vulnerabilities are identified and addressed — Req 6.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "npm audit + CycloneDX SBOM run in CI Security job; drift-detector raises an incident on new high/critical CVEs against the locked dependency graph." }, { "requirement_id": "pci-dss.6.3.1", "title": "Security vulnerabilities identified using industry-recognised sources, risk-ranked, with documented coverage — Req 6.3.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "CVE feeds + SBOM cross-reference; CVSS rank attached to every drift-detected event." }, { "requirement_id": "pci-dss.6.3.2", "title": "Inventory of bespoke / custom software, including third-party software components — Req 6.3.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "§40 Implementation Canonical Registry + CycloneDX SBOM together inventory every software component." }, { "requirement_id": "pci-dss.6.3.3", "title": "All system components are protected from known vulnerabilities by installing applicable security patches — Req 6.3.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Critical patches enforce a strict SLO; drift-detector raises if SLO is breached." }, { "requirement_id": "pci-dss.6.4", "title": "Public-facing web applications protected against attacks (WAF or equivalent automated technical solution) — Req 6.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "O/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Cloudflare WAF protects every kyeprotocol.com surface; WAF event-streaming to the WORM chain per §35 is in build." }, { "requirement_id": "pci-dss.6.4.1", "title": "Public-facing web applications reviewed via specialised tools (DAST) at least annually — Req 6.4.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Annual DAST is procedural; cadence enforced via Compliance Attestation; tool selection in build." }, { "requirement_id": "pci-dss.6.4.3", "title": "All payment-page scripts loaded and executed in consumer browser are managed — Req 6.4.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Script-inventory + integrity check (SRI/CSP) is design-locked; drift-detector binding in build." }, { "requirement_id": "pci-dss.6.5", "title": "Changes to all system components are managed securely — Req 6.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 5-6 Vulnerability Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1", "kye.governedui.approval.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Change-management is implemented via signed commits + dual-channel approval on merge; every privileged production change emits the §0.3 chain." }, { "requirement_id": "pci-dss.7.1", "title": "Processes and mechanisms for restricting access by business need-to-know are defined — Req 7.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.purpose.admissibility.v1", "kye.purpose.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Need-to-know maps 1:1 to Purpose Permission™ — every access request carries a purpose; the PDP denies any access whose stated purpose is inadmissible or out-of-scope." }, { "requirement_id": "pci-dss.7.2", "title": "Define and assign access by role/job function with default deny-all — Req 7.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authority Grants are role + purpose tuples; absence of an admissible grant is denial — no permissive defaults." }, { "requirement_id": "pci-dss.7.2.1", "title": "An access-control model defines access based on job classification + function — Req 7.2.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authority Grant carries a typed role + typed purpose-class; PDP rejects orthogonal access requests." }, { "requirement_id": "pci-dss.7.2.2", "title": "Access assigned based on the principles of least privilege — Req 7.2.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Three PDP tiers materially enforce least-privilege; every grant carries scope_min." }, { "requirement_id": "pci-dss.7.2.4", "title": "User-access reviews performed at least every 6 months — Req 7.2.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Access-review cadence ≤90 days is enforced by Compliance Attestation; review records emit as attestation evidence." }, { "requirement_id": "pci-dss.7.2.5", "title": "All application and system accounts and related access privileges are assigned and managed — Req 7.2.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Machine identities (api keys) are first-class authority records with declared scope + rotation cadence." }, { "requirement_id": "pci-dss.7.2.6", "title": "All access to query repositories of stored cardholder data is restricted via programmatic methods — Req 7.2.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.tool_call_pin.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Direct query access is denied at PDP; programmatic access carries the tool-call pin for cardholder-class data." }, { "requirement_id": "pci-dss.7.3", "title": "Access to system components and data is managed via an access-control system — Req 7.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Three PDP tiers (PDP/ePDP/sPDP) materially enforce least-privilege at the application layer; every grant carries scope_min." }, { "requirement_id": "pci-dss.7.3.1", "title": "Access-control system covers all system components — Req 7.3.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every KYE engine consumes the PDP; no component is exempt." }, { "requirement_id": "pci-dss.7.3.2", "title": "Access-control system configured to enforce assigned access — Req 7.3.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authority grant declares assigned access; PDP enforces the assignment uniformly." }, { "requirement_id": "pci-dss.7.3.3", "title": "Access-control system configured with a default deny-all setting — Req 7.3.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Default-deny is constitutional; absence of an explicit admissible grant = denial." }, { "requirement_id": "pci-dss.8.1", "title": "Processes and mechanisms for identifying users and authenticating access are defined — Req 8.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Identification + authentication processes are documented + emit audit records per access." }, { "requirement_id": "pci-dss.8.2", "title": "User identification and related accounts for users and administrators are strictly managed — Req 8.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.admin.entitlement.expired.v1", "kye.admin.entitlement.renewed.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Entity creation/lifecycle is event-emitting; admin entitlement events drive the lifecycle." }, { "requirement_id": "pci-dss.8.2.1", "title": "All users are assigned a unique ID before access to system components or cardholder data — Req 8.2.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/01-NAMING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "KYE URN format guarantees uniqueness across trust domains; no shared accounts permitted." }, { "requirement_id": "pci-dss.8.2.2", "title": "Group, shared, or generic accounts are not used unless documented and managed — Req 8.2.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Constitutional posture forbids shared identities; any exception requires an explicit DEVIATIONS entry." }, { "requirement_id": "pci-dss.8.2.4", "title": "Addition, deletion, modification of user IDs / accounts managed with appropriate approval — Req 8.2.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.governedui.action_proposal.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "Identity-lifecycle changes route through GovernedUI; approvals are dual-channel for privileged operations." }, { "requirement_id": "pci-dss.8.2.5", "title": "Access for terminated users is immediately revoked — Req 8.2.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.revocation.cascaded.v1", "kye.admin.tenant.revoked.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Revocation cascade propagates termination across every dependent grant within SLO." }, { "requirement_id": "pci-dss.8.2.6", "title": "Inactive user accounts are removed or disabled within 90 days — Req 8.2.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.entitlement.expired.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Inactivity expiry is cadence-enforced; expired-entitlement event emits at the 90-day mark." }, { "requirement_id": "pci-dss.8.2.7", "title": "Accounts used by third parties are managed (enabled only during use, monitored) — Req 8.2.7", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Cross-Org Delegation envelope binds + scopes third-party identities with time-bounded admissibility." }, { "requirement_id": "pci-dss.8.3", "title": "Strong authentication for all users (MFA, FIDO2/WebAuthn, no shared accounts) — Req 8.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "WebAuthn step-up materially gates every irreversibly-privileged op; phishing-resistant FIDO2 is the only second factor accepted." }, { "requirement_id": "pci-dss.8.3.1", "title": "All user access to system components for users and administrators authenticated via at least one of: knowledge, possession, biometrics — Req 8.3.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "WebAuthn possession + inherence is canonical for all admin tier-0 paths." }, { "requirement_id": "pci-dss.8.3.4", "title": "Invalid authentication attempts limited (≤10) with account lockout for ≥30 minutes — Req 8.3.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Rate limit policy enforces attempt cap; structured lockout-event emitter in build." }, { "requirement_id": "pci-dss.8.3.6", "title": "Passwords/passphrases meet minimum complexity (12 characters, alphanumeric) — Req 8.3.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Password-class authn is largely IdP-delegated; FIDO2/WebAuthn is the primary; password-policy enforcement applies only where IdP delegation isn't available. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "pci-dss.8.3.7", "title": "Individuals not permitted to submit a new password identical to any of the last 4 passwords — Req 8.3.7", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "advisory", "notes": "Password history is delegated to customer IdP; KYE consumes the IdP's authentication assertions." }, { "requirement_id": "pci-dss.8.4", "title": "MFA for all non-console access to the CDE and all remote access — Req 8.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "PDP rejects any remote-access purpose without a fresh WebAuthn assertion." }, { "requirement_id": "pci-dss.8.4.1", "title": "MFA is implemented for non-console admin access — Req 8.4.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:dual-channel-admin" }, "notes": "Admin Console access mandates WebAuthn; dual-channel admin gate confirms posture." }, { "requirement_id": "pci-dss.8.4.2", "title": "MFA is implemented for all access into the CDE — Req 8.4.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "All CDE-class purposes require a fresh WebAuthn assertion; PDP denies without." }, { "requirement_id": "pci-dss.8.4.3", "title": "MFA implemented for all remote access originating from outside the entity's network — Req 8.4.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Remote-access purposes require step-up; geo-context binds into the authority record." }, { "requirement_id": "pci-dss.8.5", "title": "MFA systems configured to prevent misuse (not susceptible to replay; bypass requires explicit re-authorisation) — Req 8.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.replay.proof.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "WebAuthn counter + Replay Proof prevents reuse; bypass requires GovernedUI two-person approval." }, { "requirement_id": "pci-dss.8.6", "title": "Application and system accounts (machine identities) inventoried, scoped, and rotated — Req 8.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Machine identities are first-class entities; issue/revoke events feed the WORM chain and a ≤90-day rotation attestation." }, { "requirement_id": "pci-dss.8.6.1", "title": "Application/system accounts authenticated by passwords/passphrases not used interactively — Req 8.6.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Machine identities use signed keypairs / API keys, never interactive passwords." }, { "requirement_id": "pci-dss.8.6.2", "title": "Authentication factors for any application/system accounts are not hard-coded in scripts or source — Req 8.6.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-stubs" }, "notes": "Secrets are loaded from BYOK / managed-secret stores at runtime; pre-merge secret-scan + canonical-first gate forbids hard-coded credentials." }, { "requirement_id": "pci-dss.8.6.3", "title": "Passwords/passphrases for application/system accounts changed periodically + immediately upon suspicion of compromise — Req 8.6.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 7-8 Access Control & Authentication", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.revoked.v1", "kye.admin.api_key.issued.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Rotation cadence + emergency revoke are both event-emitting; incident-detected compromise triggers immediate revoke." }, { "requirement_id": "pci-dss.9.1", "title": "Restrict physical access to systems in the cardholder data environment — Req 9.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "advisory", "notes": "Physical access controls for merchant premises and on-prem data centres are entirely customer-operated. KYE runs no merchant-side physical infrastructure." }, { "requirement_id": "pci-dss.9.2", "title": "Physical access controls manage entry into facilities and systems containing cardholder data — Req 9.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "advisory", "notes": "Cloudflare data-centre physical access controls inherited via CSP attestation; customer-premises physical access is customer-operated." }, { "requirement_id": "pci-dss.9.3", "title": "Physical access for personnel and visitors is authorised and managed — Req 9.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "advisory", "notes": "CSP-tier + customer-tier; KYE has no merchant-premises physical surface." }, { "requirement_id": "pci-dss.9.4", "title": "Media inventoried, classified, and destroyed when no longer needed — Req 9.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "advisory", "notes": "Physical media handling is operationally outside KYE's surface; the Data Governance Pack documents the digital-asset analogue." }, { "requirement_id": "pci-dss.9.4.1", "title": "All media with cardholder data is physically secured — Req 9.4.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "advisory", "notes": "Physical-media custody is customer-operated." }, { "requirement_id": "pci-dss.9.5", "title": "Point-of-interaction (POI) devices are protected from tampering and substitution — Req 9.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "POI devices are the merchant's responsibility; KYE does not custody payment terminals." }, { "requirement_id": "pci-dss.10.1", "title": "Processes and mechanisms for logging and monitoring all access to system components and cardholder data are defined — Req 10.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "§0.3 audit chain is canonical for every privileged op; streaming logs ≤5s flush per §35." }, { "requirement_id": "pci-dss.10.2", "title": "Audit logs implemented to support detection of anomalies and forensic analysis (all user activity, all auth events, all admin actions) — Req 10.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.evidence.decision_map.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-audit-chain-worker" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every privileged op emits the §0.3 event family into the append-only WORM hash-chain; streaming logs flush ≤5s per §35." }, { "requirement_id": "pci-dss.10.2.1", "title": "Audit logs enabled and active for all system components and cardholder data — Req 10.2.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit-emission coverage gate verifies every privileged op writes to the chain." }, { "requirement_id": "pci-dss.10.2.1.1", "title": "Audit logs capture all individual user access to cardholder data — Req 10.2.1.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every read of cardholder-class data emits a tool-call pin tied to the principal identity." }, { "requirement_id": "pci-dss.10.2.1.2", "title": "Audit logs capture all actions taken by any individual with root or admin privileges — Req 10.2.1.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.governedui.approval.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Admin actions are GovernedUI-mediated and dual-channel; every approval is hash-chained." }, { "requirement_id": "pci-dss.10.2.1.3", "title": "Audit logs capture all access to audit logs — Req 10.2.1.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Meta-audit-event records every read of the audit chain itself." }, { "requirement_id": "pci-dss.10.2.1.4", "title": "Audit logs capture all invalid logical access attempts — Req 10.2.1.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.evidence.decision_map.v1", "kye.signal.decision.denied.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PDP denies emit canonical decision-denied signals; full decision context retained." }, { "requirement_id": "pci-dss.10.2.1.5", "title": "Audit logs capture all changes to identification and authentication credentials — Req 10.2.1.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.admin.api_key.issued.v1", "kye.admin.api_key.revoked.v1", "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Credential-lifecycle events are first-class in the audit chain." }, { "requirement_id": "pci-dss.10.2.2", "title": "Audit records include who, what, when, where, source, identity, outcome — Req 10.2.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "kye.audit.event.v1 schema mandates who/what/when/where/source/identity/outcome via authority_chain." }, { "requirement_id": "pci-dss.10.3", "title": "Audit-log integrity — logs cannot be altered or deleted (append-only, tamper-evident) — Req 10.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "D1 append-only triggers + R2 Object Lock provide WORM at both layers; hash-chain anchors detect any retroactive mutation." }, { "requirement_id": "pci-dss.10.3.1", "title": "Read access to audit logs is limited to those with a job-related need — Req 10.3.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit-read access is purpose-gated and emits meta-audit events." }, { "requirement_id": "pci-dss.10.3.2", "title": "Audit log files protected against unauthorised modifications — Req 10.3.2", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "WORM enforces immutability at the storage layer." }, { "requirement_id": "pci-dss.10.3.3", "title": "Audit-log files promptly backed up to a centralised log server or media that is difficult to alter — Req 10.3.3", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Streaming logs ship to R2 Object Lock within ≤5s per §35." }, { "requirement_id": "pci-dss.10.3.4", "title": "File-integrity monitoring or change-detection on audit logs — Req 10.3.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Hash-chain anchors per epoch; drift-detector raises on any divergence." }, { "requirement_id": "pci-dss.10.4", "title": "Audit logs reviewed to identify anomalies or suspicious activity — Req 10.4", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift Detector + Incident Detector materially review the chain in real time." }, { "requirement_id": "pci-dss.10.4.1", "title": "Daily review of security events and logs of all CDE system components — Req 10.4.1", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Drift Detector runs continuously, not daily-batch." }, { "requirement_id": "pci-dss.10.5", "title": "Audit logs retained ≥ 12 months with 3 months immediately available for analysis — Req 10.5", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.audit_retention_policy.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-retention-policy" }, "notes": "Per-table retention policy declares ≥ 12-month retention for cardholder-adjacent audit tables; hot D1 holds the 3-month window." }, { "requirement_id": "pci-dss.10.6", "title": "Time-synchronisation mechanisms support consistent time settings across all systems — Req 10.6", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "NTP attestation pinned per engine; clock-drift > 200ms blocks the engine." }, { "requirement_id": "pci-dss.10.7", "title": "Failures of critical security control systems are detected, alerted, and addressed promptly — Req 10.7", "framework": "pci-dss", "framework_version": "4.0", "framework_category": "Req 9-10 Physical Access & Logging", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.drift.detected.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Incident lifecycle is canonical; §51 SPoF posture forbids unmonitored critical paths." } ], "resolution_framing": null }, { "framework": "pcmltfa-fintrac", "display_name": "PCMLTFA / FINTRAC — Anti-Money-Laundering & Terrorist-Financing", "framework_version": "PCMLTFA — Proceeds of Crime (Money Laundering) and Terrorist Financing Act, S.C. 2000, c. 17, and its Regulations (consolidated current-to-2024), administered by FINTRAC", "source": "Proceeds of Crime (Money Laundering) and Terrorist Financing Act, S.C. 2000, c. 17, and the PCMLTFA Regulations, administered by the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC). Client identification + know-your-client (PCMLTFR Part 1), ongoing monitoring + business relationships, suspicious-transaction reporting (s.7), and record-keeping (s.6 + Regulations).", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Client identification + KYC": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Ongoing monitoring": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Suspicious transaction reporting (s.7)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Record-keeping (s.6)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "pcmltfa.kyc", "title": "Client identification + KYC: ascertain and verify the identity of clients before conducting prescribed activities and determine beneficial ownership", "framework": "pcmltfa-fintrac", "framework_version": "PCMLTFA Regulations — Part 1 client identification", "framework_category": "Client identification + KYC", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "KYE Protocol™ governs the authority and the evidence of a KYC decision an AI agent performs, not the identity-verification source data itself: the Decision Map records the identity + beneficial-ownership determination and its inputs, and the admissibility check refuses downstream activity until the determination exists — the verifiable-KYC posture the Regulations require." }, { "requirement_id": "pcmltfa.monitoring", "title": "Ongoing monitoring: conduct ongoing monitoring of business relationships to detect transactions requiring reporting and to keep client information current", "framework": "pcmltfa-fintrac", "framework_version": "PCMLTFA Regulations — ongoing monitoring", "framework_category": "Ongoing monitoring", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Risk Engine + Drift Detector provide continuous risk-rated monitoring of an AI agent's transaction-handling authority; a change in risk profile re-triggers assessment — the ongoing-monitoring posture the Regulations require for the agentic layer." }, { "requirement_id": "pcmltfa.s7-str", "title": "Section 7 — Suspicious transaction reporting: report to FINTRAC every financial transaction for which there are reasonable grounds to suspect it is related to money laundering or terrorist financing", "framework": "pcmltfa-fintrac", "framework_version": "PCMLTFA S.C. 2000, c. 17 — s.7", "framework_category": "Suspicious transaction reporting (s.7)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Incident Detector raises a suspicious-transaction signal and the Reporting Engine assembles the s.7 STR package with the reasonable-grounds-to-suspect record. The regulator-side delivery channel to FINTRAC (the FWR / STR submission) is designed pending the per-jurisdiction reporting connector (tracked in IMPLEMENTATION-PLAN.md)." }, { "requirement_id": "pcmltfa.s6-records", "title": "Section 6 + Regulations — Record-keeping: keep prescribed records of transactions, client identification and reports for the prescribed retention period", "framework": "pcmltfa-fintrac", "framework_version": "PCMLTFA S.C. 2000, c. 17 — s.6 + Regulations", "framework_category": "Record-keeping (s.6)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.proof.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "The append-only WORM audit chain with §30 per-table retention windows is the tamper-evident record-keeping substrate s.6 + the Regulations require for every AML decision an AI agent makes — and Replay-Proof™ lets a FINTRAC examination reconstruct it from the record alone." } ], "resolution_framing": null }, { "framework": "permit-to-work", "display_name": "Permit-to-Work Systems (HSE HSG250 guidance)", "framework_version": "HSG250", "source": "Permit-to-work systems as set out in UK HSE guidance HSG250 (Guidance on permit-to-work systems) and the Management of Health and Safety at Work Regulations 1999 — authorisation of high-risk work, isolation and scope control, and hand-back. KYE governs the authority, evidence and finality of AI-authored or AI-approved permits-to-work; KYE does not operate the permit system. Starter requirement set (KYE HSE Authority Pack™); deepen by graft.", "license": "UK HSE guidance (Crown copyright, Open Government Licence); KYE registry cites guidance sections for mapping purposes.", "total": 3, "declared_total": 3, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 3, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Authorisation — competent named authoriser": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Scope and isolation — bounded to authorised work": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Hand-back and audit — contestable and evidenced": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "permit-to-work.authorisation", "title": "Authorisation — AI-issued permit is advisory pending competent authoriser sign-off", "framework": "permit-to-work", "framework_version": "HSG250", "framework_category": "Authorisation — competent named authoriser", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI agent that drafts or interprets a permit-to-work produces an advisory document; the permit is not valid until signed off by a named competent authoriser (named_accountable_engineer). Unsigned permits are refused and routed dual-channel. Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "permit-to-work.scope-isolation", "title": "Scope and isolation — bounded to authorised work, asset and location", "framework": "permit-to-work", "framework_version": "HSG250", "framework_category": "Scope and isolation — bounded to authorised work", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "A permit-to-work an AI agent issues is purpose-scoped to the authorised work, asset, isolation boundary, and location; an instruction that exceeds the permit scope is refused at the action-admissibility gate. Enforced by industrial_authority_scope. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "permit-to-work.handback-audit", "title": "Hand-back and audit — contestable and evidenced", "framework": "permit-to-work", "framework_version": "HSG250", "framework_category": "Hand-back and audit — contestable and evidenced", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Every AI-assisted permit issuance and hand-back is contestable with a replay-derivable Evidence Pack supporting the permit register, surviving an HSE inspector spot check. Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "phipa-ontario", "display_name": "PHIPA (Ontario) — Personal Health Information Protection Act, 2004", "framework_version": "PHIPA — Personal Health Information Protection Act, 2004, S.O. 2004, c. 3, Sched. A (consolidated current-to-2024, incl. electronic-audit-log + de-identification amendments)", "source": "Personal Health Information Protection Act, 2004 (Ontario), S.O. 2004, c. 3, Sched. A. Consent + lawful purpose for collection/use/disclosure of personal health information by a health-information custodian (ss.29-30, 36-38), the circle-of-care implied-consent rule, electronic-record audit-log and access-control duties (s.10.1 + s.12 + O. Reg. 329/04 s.6.3), the data-minimisation rule (s.30(2)), and breach + IPC-notification duties (s.12(2)-(3)).", "license": null, "total": 6, "declared_total": 6, "coverage_pct": 100, "status_counts": { "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Consent + lawful purpose (ss.29-30, 36-38)": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Data minimisation (s.30(2))": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Electronic audit log + access control (s.10.1, s.12, O.Reg.329/04 s.6.3)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Access + correction (ss.52-55)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach + IPC notification (s.12(2)-(3))": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "phipa.s29", "title": "Section 29 — A health-information custodian must not collect, use or disclose personal health information unless it has the individual's consent and the activity is for a lawful purpose, or the Act permits it without consent", "framework": "phipa-ontario", "framework_version": "PHIPA 2004, S.O. 2004, c. 3, Sched. A — s.29", "framework_category": "Consent + lawful purpose (ss.29-30, 36-38)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The s.29 consent-or-authority precondition maps to Purpose Permission™: an AI agent may touch personal health information only under a grant whose purpose is admissible (consent or a PHIPA permitted purpose), and the admissibility check refuses any access lacking it. This is the primary slice the Canada-Health pilot projects onto." }, { "requirement_id": "phipa.s38", "title": "Section 38 — Implied consent within the circle of care: a custodian may use or disclose personal health information for the provision of health care unless the individual has withheld or withdrawn consent", "framework": "phipa-ontario", "framework_version": "PHIPA 2004, S.O. 2004, c. 3, Sched. A — s.38", "framework_category": "Consent + lawful purpose (ss.29-30, 36-38)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The circle-of-care implied-consent rule maps to a scoped, purpose-bound grant for health-care provision; a withheld-consent (lock-box) instruction is modelled as a revocation that the admissibility check honours before any AI-agent disclosure — the implied-consent-subject-to-withdrawal logic s.38 requires." }, { "requirement_id": "phipa.s30-2", "title": "Section 30(2) — Data minimisation: a custodian must not collect, use or disclose more personal health information than is reasonably necessary to meet the purpose", "framework": "phipa-ontario", "framework_version": "PHIPA 2004, S.O. 2004, c. 3, Sched. A — s.30(2)", "framework_category": "Data minimisation (s.30(2))", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/63-MEMORY-AUTHORITY-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Scope-bounded admissibility enforces least-information access: an AI agent is granted only the personal-health-information fields its purpose needs, and the §63 moment-of-use minimisation check (REQUIRE_MINIMISATION) constrains what memory may be used for an action — the reasonable-necessity limit s.30(2) requires." }, { "requirement_id": "phipa.s10.1", "title": "Section 10.1 + O. Reg. 329/04 s.6.3 — Electronic audit log: a custodian using electronic means to handle personal health information must maintain an audit log recording every access and the agent responsible, and detect unauthorised use", "framework": "phipa-ontario", "framework_version": "PHIPA 2004, S.O. 2004, c. 3, Sched. A — s.10.1; O. Reg. 329/04 s.6.3", "framework_category": "Electronic audit log + access control (s.10.1, s.12, O.Reg.329/04 s.6.3)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.proof.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "The append-only WORM audit chain IS the electronic audit log s.10.1 mandates for every AI-agent access to personal health information — who accessed what, when, under which authority — and Replay-Proof™ lets an unauthorised-use review be reconstructed from the record alone." }, { "requirement_id": "phipa.s52", "title": "Sections 52-55 — Right of access and correction: an individual has a right of access to a record of their personal health information and may require correction of an inaccuracy", "framework": "phipa-ontario", "framework_version": "PHIPA 2004, S.O. 2004, c. 3, Sched. A — ss.52-55", "framework_category": "Access + correction (ss.52-55)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Evidence Pack assembles the record an access request returns; a correction is modelled as a supersede recorded in the Decision Map ledger so the corrected state and its provenance are both preserved — the access-and-correction rights ss.52-55 confer (the correction-of-the-underlying-clinical-record process remains custodian-side)." }, { "requirement_id": "phipa.s12-2", "title": "Section 12(2)-(3) — Notice of breach: a custodian must notify an individual at the first reasonable opportunity if their personal health information is stolen, lost, or used/disclosed without authority, and notify the IPC in prescribed circumstances", "framework": "phipa-ontario", "framework_version": "PHIPA 2004, S.O. 2004, c. 3, Sched. A — s.12(2)-(3)", "framework_category": "Breach + IPC notification (s.12(2)-(3))", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Incident Detector raises an unauthorised-use signal off the audit log and the Reporting Engine assembles the s.12 breach package. The regulator-side delivery channel to the IPC of Ontario and the affected-individual notice dispatch are designed pending the per-jurisdiction reporting connector (tracked in IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "pipeda", "display_name": "PIPEDA — Personal Information Protection and Electronic Documents Act", "framework_version": "PIPEDA — S.C. 2000, c. 5 (Schedule 1 fair-information principles, consolidated current-to-2024)", "source": "Personal Information Protection and Electronic Documents Act, S.C. 2000, c. 5. Part 1 + Schedule 1 (the ten fair-information principles, originally CSA Model Code): accountability (4.1), identifying purposes (4.2), consent (4.3), limiting collection (4.4), limiting use/disclosure/retention (4.5), safeguards (4.7), openness (4.8), individual access (4.9). Breach-of-security-safeguards reporting under s.10.1 (in force since 2018).", "license": null, "total": 6, "declared_total": 6, "coverage_pct": 100, "status_counts": { "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Accountability + openness (Sch.1 4.1, 4.8)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Purpose + consent (Sch.1 4.2-4.3)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Limiting collection/use/retention (Sch.1 4.4-4.5)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Safeguards (Sch.1 4.7)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Individual access (Sch.1 4.9)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach reporting (s.10.1)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "pipeda.sch1-4.1", "title": "Schedule 1, Principle 1 (4.1) — Accountability: an organisation is responsible for personal information under its control and must designate an individual accountable for compliance", "framework": "pipeda", "framework_version": "PIPEDA S.C. 2000, c. 5 — Schedule 1", "framework_category": "Accountability + openness (Sch.1 4.1, 4.8)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "PIPEDA accountability maps to the Authority Graph: every AI-agent action over personal information traces to a named principal under a delegation chain, and the contemporaneous attestation evidences that an accountable owner authorised it — the demonstrable-accountability posture Principle 1 requires." }, { "requirement_id": "pipeda.sch1-4.3", "title": "Schedule 1, Principle 3 (4.3) — Consent: the knowledge and consent of the individual are required for the collection, use or disclosure of personal information, except where inappropriate", "framework": "pipeda", "framework_version": "PIPEDA S.C. 2000, c. 5 — Schedule 1", "framework_category": "Purpose + consent (Sch.1 4.2-4.3)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Consent + identifying-purposes map to Purpose Permission™: a grant carries the purpose and scope for which personal information may be processed, and the admissibility check refuses any AI-agent use outside that consented purpose — the knowledge-and-consent gate Principles 2 and 3 require, recorded for later inspection." }, { "requirement_id": "pipeda.sch1-4.5", "title": "Schedule 1, Principle 5 (4.5) — Limiting use, disclosure and retention: personal information must not be used or disclosed for purposes other than those for which it was collected, and retained only as long as necessary", "framework": "pipeda", "framework_version": "PIPEDA S.C. 2000, c. 5 — Schedule 1", "framework_category": "Limiting collection/use/retention (Sch.1 4.4-4.5)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Purpose-bound admissibility blocks a secondary-use beyond the collection purpose; the §30 WORM retention policy enforces per-table retention windows so personal information is not held past necessity — the use/disclosure/retention limits Principle 5 requires." }, { "requirement_id": "pipeda.sch1-4.7", "title": "Schedule 1, Principle 7 (4.7) — Safeguards: personal information must be protected by security safeguards appropriate to the sensitivity of the information", "framework": "pipeda", "framework_version": "PIPEDA S.C. 2000, c. 5 — Schedule 1", "framework_category": "Safeguards (Sch.1 4.7)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Authority Resolution is the access-control safeguard over personal information; the WORM audit chain is the integrity safeguard against tampering. Together they discharge the technical safeguards Principle 7 requires for the AI-agent processing layer (organisational + physical safeguards remain tenant-side)." }, { "requirement_id": "pipeda.sch1-4.9", "title": "Schedule 1, Principle 9 (4.9) — Individual access: on request, an individual must be told of the existence, use and disclosure of their personal information and given access to it", "framework": "pipeda", "framework_version": "PIPEDA S.C. 2000, c. 5 — Schedule 1", "framework_category": "Individual access (Sch.1 4.9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Decision Map ledger records each use and disclosure of personal information by an AI agent; the Evidence Pack is the disclosable artefact that answers an access request with the existence-use-disclosure account Principle 9 requires (the DSAR assembly path is the §31 Data Governance Pack)." }, { "requirement_id": "pipeda.s10.1", "title": "Section 10.1 — Breach of security safeguards: report to the OPC and notify affected individuals where a breach creates a real risk of significant harm", "framework": "pipeda", "framework_version": "PIPEDA S.C. 2000, c. 5 — Division 1.1 (in force 1 Nov 2018)", "framework_category": "Breach reporting (s.10.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Incident Detector raises a breach signal and the Reporting Engine assembles the s.10.1 notification package (record of the breach + real-risk-of-significant-harm assessment). The regulator-side delivery channel to the OPC + the affected-individual notification dispatch are designed pending the per-jurisdiction reporting connector (tracked in IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "pl-uodo", "display_name": "Ustawa z dnia 10 maja 2018 r. o ochronie danych osobowych (Personal Data Protection Act)", "framework_version": "Ustawa z 10 maja 2018", "source": "Ustawa z dnia 10 maja 2018 r. o ochronie danych osobowych (Personal Data Protection Act). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Poland. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Poland-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "pl-uodo.gdpr-transposition", "title": "Ustawa z dnia 10 maja 2018 r. o ochronie danych osobowych (Personal Data Protection Act) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Poland national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "pl-uodo", "framework_version": "Ustawa z dnia 10 maja 2018 r. o ochronie danych osobowych (Personal Data Protection Act)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Ustawa z dnia 10 maja 2018 r. o ochronie danych osobowych (Personal Data Protection Act) is the national implementing/supplementing statute for the GDPR in Poland. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔poland. This registry maps only the Poland-specific national deltas below." }, { "requirement_id": "pl-uodo.supervisory-authority", "title": "Cooperation with the national supervisory authority (the UODO (President of the Personal Data Protection Office)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "pl-uodo", "framework_version": "pl-uodo national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the UODO (President of the Personal Data Protection Office) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the UODO (President of the Personal Data Protection Office) remain tenant-side." }, { "requirement_id": "pl-uodo.breach-notification", "title": "Personal-data breach notification to the UODO (President of the Personal Data Protection Office) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "pl-uodo", "framework_version": "pl-uodo national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the UODO (President of the Personal Data Protection Office)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "pra-ss1-23", "display_name": "PRA SS1/23 — Model Risk Management Principles for Banks", "framework_version": "PRA SS1/23 (Model risk management principles for banks, May 2023; effective May 2024)", "source": "Bank of England Prudential Regulation Authority Supervisory Statement SS1/23 sets five model risk management principles for banks: Principle 1 — model identification and model risk classification (a complete model inventory); Principle 2 — governance (board responsibility and a named SMF accountable for the MRM framework); Principle 3 — model development, implementation and use; Principle 4 — independent model validation; Principle 5 — model risk mitigants (restrictions on use, post-model adjustments, exception handling). SS1/23 explicitly brings AI/ML models — including dynamically recalibrating models — within scope. KYE Protocol™ governs whether a model-driven output may PROCEED to a consequential decision — register-resolved, validated, in approved scope, under a recorded named authority, with model changes as named-authority decisions with evidence and declared use-restrictions enforced at the action boundary. KYE does not develop or validate models, judge model quality, or perform the quantitative work.", "license": "SS1/23 is published by the Bank of England PRA and is publicly available; the KYE registry paraphrases each principle's intent and cites the official principle identifier for mapping purposes only.", "total": 6, "declared_total": 6, "coverage_pct": 83, "status_counts": { "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Model identification & inventory resolution (Principle 1)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Governance & named SMF accountability (Principle 2)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Model development, implementation & use incl. AI/ML (Principle 3)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Validation-status binding at the moment of use (Principle 4)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Model risk mitigants & restrictions on use (Principle 5)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Independent validation judgment & quantitative work on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "pra-ss1-23.principle1-model-inventory-resolution", "title": "Principle 1 — every consequential model use resolves against a complete model inventory entry (identification & risk classification)", "framework": "pra-ss1-23", "framework_version": "PRA SS1/23 (Model risk management principles for banks, May 2023; effective May 2024)", "framework_category": "Model identification & inventory resolution (Principle 1)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SS1/23 Principle 1 requires a complete model inventory with every model identified, risk-classified, and its use recorded. KYE makes the inventory operative at the action boundary: every consequential model use must resolve to a model register entry by model_id + version, and the provenance pin binds that resolution into the decision's evidence — an output whose model does not resolve against the inventory never proceeds. Enforced by model_decision_provenance_pin via the evidence-engine + replay-engine. KYE proves the use resolved against the inventory; it does not author the inventory's risk classification." }, { "requirement_id": "pra-ss1-23.principle2-governance-named-authority", "title": "Principle 2 — governance: model decisions proceed under recorded, named (SMF-accountable) authority", "framework": "pra-ss1-23", "framework_version": "PRA SS1/23 (Model risk management principles for banks, May 2023; effective May 2024)", "framework_category": "Governance & named SMF accountability (Principle 2)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "SS1/23 Principle 2 places board responsibility and a named SMF holder's personal accountability on the model risk management framework. KYE makes that accountability operative: every model version change and every consequential model use proceeds only under a recorded named-authority decision (the named model owner / model risk officer / SMF-accountable principal), refused dual-channel when absent, per the §12 Purpose Permission action-admissibility gate. The accountability remains personal and named — it does not transfer to the model or the AI. Enforced by model_change_authority + model_use_authority via the authority-engine + decision-engine. KYE records who authorised; it does not assign the bank's SMF responsibilities." }, { "requirement_id": "pra-ss1-23.principle3-development-implementation-use", "title": "Principle 3 — model development, implementation and use (incl. explicit AI/ML scope): use stays within approved scope at the action boundary", "framework": "pra-ss1-23", "framework_version": "PRA SS1/23 (Model risk management principles for banks, May 2023; effective May 2024)", "framework_category": "Model development, implementation & use incl. AI/ML (Principle 3)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "SS1/23 Principle 3 governs development, implementation, and use — and explicitly extends the regime to AI/ML models, including models that recalibrate dynamically. KYE enforces the use slice at the action boundary: a model-driven output proceeds to a consequential decision only when the use is within the model's approved scope, and an AI/ML retrain or dynamic recalibration takes effect only as a recorded named-authority change with evidence (the silent-recalibration failure mode is refused), per §12 + the §25 Safety Floor. Enforced by model_use_authority + model_change_authority via the authority-engine + decision-engine + evidence-engine. KYE governs whether the use may proceed; the development and implementation quality is the bank's own work." }, { "requirement_id": "pra-ss1-23.principle4-validation-status-binding", "title": "Principle 4 — independent validation: the validation outcome and revalidation status are bound to every use at the moment of use", "framework": "pra-ss1-23", "framework_version": "PRA SS1/23 (Model risk management principles for banks, May 2023; effective May 2024)", "framework_category": "Validation-status binding at the moment of use (Principle 4)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "SS1/23 Principle 4 requires independent model validation with the outcome recorded and acted on. KYE binds the validation OUTCOME to the action boundary: the validation reference in force (which validation, by whom, valid until) is part of the provenance pin on every consequential use, a lapsed or missing validation refuses the use, and the binding is sealed into a replay-provable Evidence Pack per §13 + §21 — so a supervisor can establish, offline, that every reliance happened under a current validation. Enforced by model_use_authority + model_decision_provenance_pin via the evidence-engine + replay-engine. KYE proves the validation status was current and bound; the validation judgment itself is the bank's independent validation function's own work (see the out-of-scope row)." }, { "requirement_id": "pra-ss1-23.principle5-mitigants-restrictions", "title": "Principle 5 — model risk mitigants: declared restrictions on use and exception handling enforced at the action boundary", "framework": "pra-ss1-23", "framework_version": "PRA SS1/23 (Model risk management principles for banks, May 2023; effective May 2024)", "framework_category": "Model risk mitigants & restrictions on use (Principle 5)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:model-risk-data-governance" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "SS1/23 Principle 5 requires model risk mitigants — restrictions on use, post-model adjustments, and exception handling — to operate when model limitations are known. KYE enforces the declared restrictions at the action boundary: a portfolio restructuring action or other consequential model-driven action proceeds only when the declared regulatory + internal-policy obligations (including use restrictions and interim conditions from Principle 5 mitigants) are satisfied and the basis recorded, per §12 + the §25 policy bundle. Enforced by portfolio_action_policy_conformance + model_use_authority via the decision-engine + evidence-engine. KYE enforces the DECLARED mitigants and records the basis; deciding which mitigants a model needs is the bank's risk judgment — and the action's investment merit is out of scope entirely (not investment advice)." }, { "requirement_id": "pra-ss1-23.independent-validation-judgment", "title": "Independent validation judgment, model quality assessment, and the quantitative work on the merits", "framework": "pra-ss1-23", "framework_version": "PRA SS1/23 (Model risk management principles for banks, May 2023; effective May 2024)", "framework_category": "Independent validation judgment & quantitative work on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Performing the independent validation (conceptual soundness, benchmarking, backtesting, sensitivity and outcomes analysis), judging model quality, setting risk classifications, and the quantitative development work are the bank's own functions under SS1/23 — owned by its independent validation team, model owners, and quant staff. KYE™ is an AI-authority and evidence layer, not a model-validation engine — out of scope by design (§0 honest scope). KYE proves the validation outcome was current and bound at every use; it does not render the validation judgment.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "privacy-act-1988", "display_name": "Privacy Act 1988 (Cth) — ADM transparency + APPs", "framework_version": "Privacy Act 1988 (Cth) — ADM transparency amendments + Australian Privacy Principles", "source": "Privacy Act 1988 (Cth), Schedule 1 Australian Privacy Principles, as amended by the Privacy and Other Legislation Amendment Act 2024 introducing automated-decision-making transparency obligations (ADM provisions commence December 2026).", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Automated decision-making transparency": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Security of personal information (APP 11)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Open and transparent management (APP 1)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "privacy-act-1988.apa-1", "title": "Privacy Act 1988 (as amended by the Privacy and Other Legislation Amendment Act 2024) — automated decision-making transparency: privacy policy must describe the kinds of personal information used in substantially automated decisions that could reasonably be expected to significantly affect an individual's rights or interests", "framework": "privacy-act-1988", "framework_version": "Privacy Act 1988 (Cth) — ADM transparency amendments, Schedule 1 (effective Dec 2026)", "framework_category": "Automated decision-making transparency", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The 2024 reform introduces ADM transparency obligations into the Privacy Act. The Decision Map records the kinds of personal information used in a substantially automated decision, and the Evidence Pack is the disclosable artefact that backs the privacy-policy transparency statement the reform requires." }, { "requirement_id": "privacy-act-1988.apa-2", "title": "Automated decision-making — an individual significantly affected by an automated decision can be given a meaningful explanation reconstructable from the record", "framework": "privacy-act-1988", "framework_version": "Privacy Act 1988 (Cth) — ADM transparency amendments, Schedule 1 (effective Dec 2026)", "framework_category": "Automated decision-making transparency", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.replay.proof.v1", "kye.replay.context_seal.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Replay-Proof™ reconstructs the decision context — inputs, authority, rule evaluation — from the publisher's keys alone, giving the affected individual the meaningful explanation the ADM transparency reform contemplates." }, { "requirement_id": "privacy-act-1988.app-11", "title": "Australian Privacy Principle 11 — take reasonable steps to protect personal information from misuse, interference, loss and unauthorised access, modification or disclosure", "framework": "privacy-act-1988", "framework_version": "Privacy Act 1988 (Cth) — Australian Privacy Principles, Schedule 1", "framework_category": "Security of personal information (APP 11)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "APP 11 maps to Authority Resolution: every access to personal information by an AI agent is admissibility-checked against the granted purpose and scope, and unauthorised access is refused — the reasonable-steps protection APP 11 requires." }, { "requirement_id": "privacy-act-1988.app-1", "title": "Australian Privacy Principle 1 — open and transparent management of personal information, including an up-to-date and accessible privacy policy", "framework": "privacy-act-1988", "framework_version": "Privacy Act 1988 (Cth) — Australian Privacy Principles, Schedule 1", "framework_category": "Open and transparent management (APP 1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "APP 1 transparency is discharged by the contemporaneous, attestable record of how personal information flowed through every AI decision — the Reporting Engine assembles the APP-1-aligned transparency view from the Decision Map ledger." } ], "resolution_framing": null }, { "framework": "psd2", "display_name": "PSD2 / PSD3 — EU Payment Services Directive", "framework_version": "2015/2366 + RTS (EU) 2018/389 + PSD3 proposal COM(2023)366", "source": "Directive (EU) 2015/2366 (PSD2) + Commission Delegated Regulation (EU) 2018/389 (RTS on SCA & CSC) + PSD3 Directive proposal COM(2023)366", "license": null, "total": 61, "declared_total": 61, "coverage_pct": 98, "status_counts": { "enforced": 59, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Open-Banking Interfaces (Article 30 RTS)": { "total": 13, "enforced": 12, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 96 }, "Operational and Security Risk (Article 95)": { "total": 6, "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "RTS Strong Customer Authentication (Articles 4-9)": { "total": 28, "enforced": 28, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Third-Party Provider Access (Articles 32-36, 66-67)": { "total": 14, "enforced": 13, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 95 } }, "requirements": [ { "requirement_id": "psd2.RTS.30", "title": "RTS Article 30 — General obligations for access interfaces — dedicated interface or modified customer-interface", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "OpenAPI surface for an Open-Banking dedicated interface is canonical (internal); conformance harness in build." }, { "requirement_id": "psd2.RTS.30.1", "title": "RTS Article 30(1) — Dedicated interface (or modified customer-interface fallback) — equivalent functionality, performance, and availability to the customer interface", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "OpenAPI surface for an Open-Banking dedicated interface is canonical (internal); a TPP-facing conformance harness mirroring OBIE's FCS is in build." }, { "requirement_id": "psd2.RTS.30.2", "title": "RTS Article 30(2) — Communication of confidential authentication data shall not be required", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Authentication redirects to the ASPSP's own surface; no credential proxying in the dedicated interface." }, { "requirement_id": "psd2.RTS.30.3", "title": "RTS Article 30(3) — Availability and performance — interface KPIs published, downtime alerting, contingency fallback", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Incident lifecycle + drift-detector emit KPI breaches; §51 SPoF posture forbids single-region availability for Open-Banking surfaces." }, { "requirement_id": "psd2.RTS.30.4", "title": "RTS Article 30(4) — Service Level Targets and remediation plans must be published", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "SLT publication generator (P95/P99 + incident remediation plan) is in build." }, { "requirement_id": "psd2.RTS.30.5", "title": "RTS Article 30(5) — Testing facility for TPPs (sandbox + onboarding) for at least 6 months before go-live", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/07-SUBDOMAIN.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-11-23", "notes": "sandbox.kyeprotocol.com hosts TPP onboarding flows; the Open-Banking-specific sandbox dataset + conformance runner is in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "psd2.RTS.31", "title": "RTS Article 31 — Access interface options — dedicated interface vs. modified customer-interface", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Dedicated-interface posture is canonical (OpenAPI under internal); fallback orchestrator design-locked." }, { "requirement_id": "psd2.RTS.32", "title": "RTS Article 32 — Fallback mechanism — if the dedicated interface fails SLA, TPPs may use the modified customer-interface route", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Edge Arbiter degraded-mode pattern provides the architectural primitive; a competent-authority-notifying fallback orchestrator is in build." }, { "requirement_id": "psd2.RTS.32.4", "title": "RTS Article 32(4) — Conditions for exemption from contingency-interface obligation", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Exemption application is a regulator-side procedure; KYE generates the evidence pack." }, { "requirement_id": "psd2.RTS.33", "title": "RTS Article 33 — Common standards for communication — usage of standardised API specifications", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Open-Banking OpenAPI binding (NextGenPSD2 / OBIE) generation harness is in build." }, { "requirement_id": "psd2.RTS.34", "title": "RTS Article 34 — Certificates — qualified certificates for electronic seals / website authentication under eIDAS", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "QWAC/QSealC adapter binding is in build; current state validates the certificate chain at the gateway." }, { "requirement_id": "psd2.RTS.35", "title": "RTS Article 35 — Security of communication session — TLS 1.2+ with strong cipher suites", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Cloudflare-fronted gateway terminates TLS 1.3 with strong cipher suites; downgrade-attack protection by HSTS." }, { "requirement_id": "psd2.RTS.36", "title": "RTS Article 36 — Data exchanges — strong end-to-end encryption protecting PSU credentials", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "Open-Banking Interfaces (Article 30 RTS)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Credentials never traverse the dedicated interface; PDP denies any purpose that attempts credential proxying." }, { "requirement_id": "psd2.A95.1", "title": "Article 95(1) — Establish a framework with appropriate mitigation and control mechanisms to manage operational and security risks", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Operational and Security Risk (Article 95)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine + Resilience Loop materially implement the operational/security risk framework; ≤90-day attestation cadence is enforced by Compliance Attestation." }, { "requirement_id": "psd2.A95.2", "title": "Article 95(2) — Annual operational and security risk assessment report to the competent authority", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Operational and Security Risk (Article 95)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Reporting Engine builds the cadence-bounded report; the competent-authority delivery channel (per Member-State portal) is in build." }, { "requirement_id": "psd2.A95.3", "title": "Article 95(3) — Customer awareness of operational and security risks + mitigating actions", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Operational and Security Risk (Article 95)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Customer security-awareness communications template-set is in build; Comms Rail provides the channel." }, { "requirement_id": "psd2.A96", "title": "Article 96 — Major operational or security incident — notify competent authority without undue delay; payment-service-user notification when adverse", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Operational and Security Risk (Article 95)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Incident lifecycle events are emitted natively; EBA template-conformant delivery (REP-018 schema) to the competent authority is in build." }, { "requirement_id": "psd2.A96.1", "title": "Article 96(1) — Initial notification (≤4 hours) to competent authority + intermediate + final reports", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Operational and Security Risk (Article 95)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Time-bound reporting (4h / 24h / 1mo / 1y final) cadence is design-locked; CA delivery channel in build." }, { "requirement_id": "psd2.A98", "title": "Article 98 — RTS on SCA + CSC published by EBA — applicable directly", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Operational and Security Risk (Article 95)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "All RTS articles 1-36 are mapped above; coverage-bijection gate enforces no orphan articles." }, { "requirement_id": "psd2.RTS.1", "title": "RTS Article 1 — Subject matter: technical requirements for SCA and CSC", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Subject-matter scope is materially captured by §12 (Purpose Permission) + §40 (Implementation Canonical); every SCA-class flow is governed by the PDP." }, { "requirement_id": "psd2.RTS.2", "title": "RTS Article 2 — General authentication requirements — robust technical features, monitoring of authentication procedures", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authentication-procedure monitoring is canonical via WebAuthn signal + drift-detector; failure modes raise an incident." }, { "requirement_id": "psd2.RTS.3", "title": "RTS Article 3 — Authentication code review and testing — fraud-rate analysis, security audit", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Audit-replay orchestrator + risk-engine emit periodic fraud-rate evidence on cadence." }, { "requirement_id": "psd2.RTS.4", "title": "RTS Article 4 — Apply Strong Customer Authentication (SCA) with at least two independent elements from knowledge, possession, and inherence", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "WebAuthn step-up (possession + inherence) is gated by the PDP before any payment-purpose grant is admitted; the Decision Map records which factors satisfied SCA." }, { "requirement_id": "psd2.RTS.4.bis", "title": "RTS Article 4 — Authentication code generation — non-replayable, single-use, cryptographically bound to the SCA elements", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.payments.proof_bundle.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "WebAuthn assertion + counter prevents replay; Replay Proof binds the assertion into the payment proof bundle, derivable from public keys alone." }, { "requirement_id": "psd2.RTS.5", "title": "RTS Article 5 — Dynamic linking — every payment authentication code linked to amount + payee, invalidated on tamper", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.payments.intent.v1", "kye.payments.authority.v1", "kye.payments.proof_bundle.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "Payment Intent binds amount + payee + nonce into the signed authority; any field mutation invalidates the proof bundle and the PDP denies." }, { "requirement_id": "psd2.RTS.5.1", "title": "RTS Article 5(1) — Amount of transaction and identity of payee shown to user during SCA", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.payments.intent.v1", "kye.governedui.action_proposal.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "Action-proposal envelope carries displayed amount + payee; GovernedUI binds the display to the cryptographic intent." }, { "requirement_id": "psd2.RTS.5.2", "title": "RTS Article 5(2) — Confidentiality, authenticity, integrity of amount and payee maintained throughout the authentication channel", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.payments.proof_bundle.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "TLS 1.3 transport + signed payment proof bundle preserves end-to-end CIA over the authentication channel." }, { "requirement_id": "psd2.RTS.6", "title": "RTS Article 6 — Knowledge-element requirements — guess-resistant, non-disclosure measures", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Knowledge factor is delegated to customer IdP; KYE consumes the IdP's authentication assertion with assurance-floor enforcement." }, { "requirement_id": "psd2.RTS.7", "title": "RTS Article 7 — Possession-element requirements — uniqueness, replication-resistance, non-disclosure", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "FIDO2 authenticator possession is hardware-bound with attestation; private key never leaves the authenticator." }, { "requirement_id": "psd2.RTS.8", "title": "RTS Article 8 — Inherence-element requirements — false-acceptance + false-rejection rates within tolerance", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "Inherence factor (biometric) is local-only to the platform authenticator; FAR/FRR is the authenticator vendor's attestation." }, { "requirement_id": "psd2.RTS.9", "title": "RTS Article 9 — Independence of the elements — breach of one element does not compromise reliability of the others", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "FIDO2 authenticators with platform-bound attestation provide possession/inherence independence; §51 SPoF registry forbids any single factor having full blast-radius on auth." }, { "requirement_id": "psd2.RTS.10", "title": "RTS Article 10 — Exemption for payment account information (read-only AISP, ≤180 days)", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.purpose.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AISP read-only purpose-grant carries a 180-day TTL; renewal requires re-consent + re-SCA." }, { "requirement_id": "psd2.RTS.11", "title": "RTS Article 11 — Exemption for contactless payments at POS (≤€50 per transaction, cumulative limits)", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Threshold exemption is admissibility-encoded; cumulative cap enforced by risk-engine counters." }, { "requirement_id": "psd2.RTS.12", "title": "RTS Article 12 — Exemption for unattended terminals for transport fares + parking fees", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Merchant-category-coded exemptions are admissibility-only; PDP returns admit with the exemption_basis attribute." }, { "requirement_id": "psd2.RTS.13", "title": "RTS Article 13 — Exemption for trusted beneficiaries — added to ASPSP whitelist via SCA", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "Trusted-beneficiary whitelist is an Authority Grant with a `payee=` scope; addition requires SCA." }, { "requirement_id": "psd2.RTS.14", "title": "RTS Article 14 — Exemption for recurring transactions of same amount + same payee", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.payments.intent.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "Recurring intent carries (amount, payee) fingerprint; PDP admits subsequent calls without SCA when bound to the original grant." }, { "requirement_id": "psd2.RTS.15", "title": "RTS Article 15 — Exemption for credit transfers between same natural-or-legal-person accounts", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Same-principal transfers carry a self_transfer=true admissibility attribute; PDP admits without SCA." }, { "requirement_id": "psd2.RTS.16", "title": "RTS Article 16 — Exemption for low-value remote payments (≤€30, cumulative limits)", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Threshold + counter exemption is canonical." }, { "requirement_id": "psd2.RTS.17", "title": "RTS Article 17 — Exemption for secure corporate payment processes + protocols", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Corporate-payment delegation envelope captures the secure-corporate-protocol attestation." }, { "requirement_id": "psd2.RTS.18", "title": "RTS Article 18 — Transaction Risk Analysis (TRA) — exemption only available below value thresholds and with documented low-fraud-rate evidence", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk-engine pins the per-tier fraud-rate evidence to each TRA exemption decision; Compliance Attestation ratchets the rolling fraud-rate." }, { "requirement_id": "psd2.RTS.19", "title": "RTS Article 19 — Monitoring of fraud-rate per payment-instrument category", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Continuous fraud-rate monitoring per category; drift-detector raises on threshold breach." }, { "requirement_id": "psd2.RTS.20", "title": "RTS Article 20 — Cessation of TRA exemption when fraud-rate exceeds reference rate", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Risk-engine automatically rolls the TRA tier down when fraud-rate breaches the reference rate." }, { "requirement_id": "psd2.RTS.21", "title": "RTS Article 21 — Common and Secure Communication (CSC) — general requirements for identification + integrity + confidentiality", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "TLS 1.3 + signed bodies + Cross-Org Delegation provide canonical CSC." }, { "requirement_id": "psd2.RTS.22", "title": "RTS Article 22 — Identification — TPP eIDAS-QWAC bound to the access channel", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Cross-Org Delegation already binds identity-proof; eIDAS-QWAC adapter for EBA-Register lookup is in build." }, { "requirement_id": "psd2.RTS.23", "title": "RTS Article 23 — Traceability — TPP requests logged with sufficient detail for audit", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.federation.cross_org_delegation.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Every TPP request emits a canonical audit event with full delegation chain." }, { "requirement_id": "psd2.RTS.24", "title": "RTS Article 24 — Session — protected; idle session timeout ≤5 minutes", "framework": "psd2", "framework_version": "RTS (EU) 2018/389", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Session tokens carry TTL ≤5 min for sensitive PIS sessions; PDP denies expired-session purposes." }, { "requirement_id": "psd3.SCA.evolved", "title": "PSD3 — extension of SCA to instant payments, anti-APP-fraud confirmation-of-payee, accessibility carve-outs", "framework": "psd3", "framework_version": "COM(2023)366 proposal", "framework_category": "RTS Strong Customer Authentication (Articles 4-9)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.payments.intent.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Confirmation-of-payee binding extends the Payment Intent schema with payee_verification; instant-payment SCA pipeline is in build for PSD3 in-force date." }, { "requirement_id": "psd2.A32", "title": "Article 32 — TPP registration and authorisation — only licenced AISP/PISP/CBPII may access payment-account data via the dedicated interface", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.authority.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Cross-Org Delegation envelope captures the TPP eIDAS-QWAC identity + licence type + permitted scope; PDP denies any TPP whose licence is missing or revoked." }, { "requirement_id": "psd2.A33", "title": "Article 33 — TPP identification via eIDAS qualified certificates (QWAC for transport + QSealC for sealing)", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Cross-Org Delegation already binds an identity-proof bundle; eIDAS-QWAC/QSealC certificate-verification adapter is in build for native EBA-Register lookup." }, { "requirement_id": "psd2.A34", "title": "Article 34 — Information requirements at TPP registration — name, licence number, NCA contact details", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Cross-Org Delegation manifest captures licence number + NCA + contact details per TPP." }, { "requirement_id": "psd2.A35", "title": "Article 35 — Account servicing PSP must not impose contractual conditions or charges on TPP access", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "O", "kye_enforcement": { "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "advisory", "notes": "Commercial terms between the ASPSP and a TPP are a customer (ASPSP) contractual posture; KYE does not author payment-rail commercial terms." }, { "requirement_id": "psd2.A36", "title": "Article 36 — Customer access to payment-account data — direct + through any AISP, with explicit customer consent", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.purpose.grant.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Consent Acceptance + Purpose Grant tuple is the canonical AISP authorisation; revocation is propagated by the Revocation Cascade." }, { "requirement_id": "psd2.A65", "title": "Article 65 — Confirmation on availability of funds (CAF) — ASPSP responds yes/no to a CBPII query, consent-bound", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.federation.cross_org_delegation.v1", "kye.payments.intent.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "CAF query is a narrow purpose-class grant; binding to CBPII identity is design-locked; ASPSP-side response surface in build." }, { "requirement_id": "psd2.A66", "title": "Article 66 — Right to use a payment-initiation service (PIS) — ASPSP cooperation with the PISP without discrimination", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.payments.intent.v1", "kye.payments.proof_bundle.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "PIS authority is materially equivalent across direct + PISP-mediated paths; non-discrimination is enforced by uniform PDP policy bundles." }, { "requirement_id": "psd2.A66.2", "title": "Article 66(2) — PISP must not hold payer's funds and must transmit credentials securely", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:payment-gate-enforced" }, "notes": "PISP delegation forbids fund-custody by scope; tool-call pin denies any persist-credential operation." }, { "requirement_id": "psd2.A66.3.b", "title": "Article 66(3)(b) — PISP shall identify itself towards the ASPSP and communicate securely", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PISP eIDAS identity is bound at the delegation envelope; gateway enforces TLS + identity binding." }, { "requirement_id": "psd2.A66.4", "title": "Article 66(4) — ASPSP shall treat PIS-mediated transactions equally to direct transactions in timing, priority, charges", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Equal-treatment is enforced via the uniform PDP path; no PISP-specific policy bundle exists." }, { "requirement_id": "psd2.A67", "title": "Article 67 — Right to use an account-information service (AIS) — read-only access to designated payment accounts, scoped consent", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.purpose.grant.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AIS grant is a scope-pinned Purpose Grant with side_effects[]={read-only}; the tool-call pin denies any write attempt by a read-scoped AISP token." }, { "requirement_id": "psd2.A67.2", "title": "Article 67(2) — AISP must access only designated payment accounts + necessary associated information", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AISP scope is per-account; PDP denies any access to non-designated accounts." }, { "requirement_id": "psd2.A67.3", "title": "Article 67(3) — AISP must not request sensitive payment data nor use data for other purposes", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Purpose-binding forbids re-use of fetched data for orthogonal purposes; tool-call pin enforces purpose adherence." }, { "requirement_id": "psd2.A68", "title": "Article 68 — Refusal of access by ASPSP — objectively justified, documented, reported to NCA", "framework": "psd2", "framework_version": "2015/2366", "framework_category": "Third-Party Provider Access (Articles 32-36, 66-67)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.decision.denied.v1", "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-11-23", "notes": "Decision Map records the objective justification for every denial; NCA-notification channel is in build." } ], "resolution_framing": null }, { "framework": "psd2-sca-disputes", "display_name": "PSD2 SCA & Unauthorised-Transaction Liability (Arts. 72-74, 97)", "framework_version": "PSD2 — Directive (EU) 2015/2366, Arts. 72-74 + 97 (SCA & unauthorised-transaction liability)", "source": "PSD2 (Directive (EU) 2015/2366) governs payment-service disputes in the EU: Article 97 mandates strong customer authentication (SCA); Article 72 places the burden of proof on the payment service provider to prove the transaction was authenticated, accurately recorded, and not affected by a deficiency; Article 73 requires an immediate refund of an unauthorised transaction; Article 74 allocates liability between payer and PSP. KYE Protocol™ governs whether a refund / liability allocation in the SCA-dispute flow may PROCEED — under a named owner's recorded authority, with the authentication evidence (SCA result, exemption applied) captured as evidence events at transaction time, and with the dispute bundle sealed as a signed, integrity-bound Evidence Pack the PSP can produce to meet the Article 72 burden of proof. KYE does not adjudicate whether the transaction was in fact authorised, decide whether to contest, or do fraud scoring.", "license": "Directive (EU) 2015/2366 is an EU legislative text; the KYE registry paraphrases each requirement's intent and cites the official article identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "SCA / authentication evidence captured at transaction time": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Named-authority on the unauthorised-transaction refund": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Burden-of-proof evidence integrity for liability allocation": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Substantive fraud / authorisation determination on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "psd2-sca-disputes.sca-evidence-capture", "title": "The SCA / authentication evidence is captured as evidence events at transaction time", "framework": "psd2-sca-disputes", "framework_version": "PSD2 — Directive (EU) 2015/2366, Arts. 72-74 + 97 (SCA & unauthorised-transaction liability)", "framework_category": "SCA / authentication evidence captured at transaction time", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PSD2 Article 97 mandates strong customer authentication and Article 72 makes the PSP prove the transaction was authenticated — proof that only exists if the SCA result, the exemption applied, and the authorisation context were recorded when the transaction ran. KYE requires the authentication evidence (SCA outcome, AVS / CVV result, device / session context) to be captured as timestamped, hash-bound evidence events at transaction time and bound into a decision map before a dispute response proceeds, per the §13 Resilience Loop. Enforced by chargeback_dispute_evidence_capture via the evidence-engine. KYE proves the authentication evidence was captured; it does not perform the authentication." }, { "requirement_id": "psd2-sca-disputes.unauthorised-transaction-refund-authority", "title": "An unauthorised-transaction refund proceeds only under a recorded named-authority decision", "framework": "psd2-sca-disputes", "framework_version": "PSD2 — Directive (EU) 2015/2366, Arts. 72-74 + 97 (SCA & unauthorised-transaction liability)", "framework_category": "Named-authority on the unauthorised-transaction refund", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "PSD2 Article 73 requires the PSP to refund an unauthorised transaction immediately — a money-moving action that automated dispute workflows and AI agents increasingly execute. When a refund moves toward execution, KYE binds it to a recorded named-authority decision (the agent, the payment artefact, the action, and the named owner under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded above the declared threshold. Enforced by chargeback_refund_action_authority via the authority-engine + decision-engine. KYE proves who authorised the refund to proceed; it does not determine whether the transaction was in fact unauthorised." }, { "requirement_id": "psd2-sca-disputes.liability-allocation-evidence", "title": "Burden-of-proof evidence integrity: the liability-allocation bundle is signed, hash-bound and reconstructable", "framework": "psd2-sca-disputes", "framework_version": "PSD2 — Directive (EU) 2015/2366, Arts. 72-74 + 97 (SCA & unauthorised-transaction liability)", "framework_category": "Burden-of-proof evidence integrity for liability allocation", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PSD2 Article 72 places the burden of proof on the PSP: it must prove the transaction was authenticated, accurately recorded, and not affected by a technical deficiency — and Article 74 allocates liability on that proof. KYE seals the liability-allocation bundle as a signed, replay-provable Evidence Pack under a context seal — hash-bound over canonical JSON, WORM-retained, derivable from published keys alone — so the PSP's / merchant's proof is reconstructable and verifiable offline when challenged, per the §13 Resilience Loop + §30 WORM retention. Enforced by chargeback_evidence_pack_integrity + chargeback_liability_acceptance_record via the evidence-engine + replay-engine. KYE proves the bundle's integrity; it does not allocate the liability." }, { "requirement_id": "psd2-sca-disputes.fraud-determination", "title": "Substantive fraud / authorisation determination on the merits", "framework": "psd2-sca-disputes", "framework_version": "PSD2 — Directive (EU) 2015/2366, Arts. 72-74 + 97 (SCA & unauthorised-transaction liability)", "framework_category": "Substantive fraud / authorisation determination on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Determining whether the payer in fact authorised the transaction, whether the payer acted fraudulently or with gross negligence (Article 74), and the fraud scoring that informs those judgments are the PSP's / merchant's own determinations. KYE™ is an AI-authority and evidence layer, not a fraud-scoring or dispute-adjudication engine — out of scope by design (§0 honest scope). KYE proves who authorised the refund / allocation and the integrity of the evidence it rested on; it does not make the fraud determination.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "pt-lei-58-2019", "display_name": "Lei n.º 58/2019 (assegura a execução do RGPD)", "framework_version": "Lei n.º 58/2019", "source": "Lei n.º 58/2019 (assegura a execução do RGPD). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Portugal. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Portugal-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "pt-lei-58-2019.gdpr-transposition", "title": "Lei n.º 58/2019 (assegura a execução do RGPD) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Portugal national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "pt-lei-58-2019", "framework_version": "Lei n.º 58/2019 (assegura a execução do RGPD)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Lei n.º 58/2019 (assegura a execução do RGPD) is the national implementing/supplementing statute for the GDPR in Portugal. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔portugal. This registry maps only the Portugal-specific national deltas below." }, { "requirement_id": "pt-lei-58-2019.supervisory-authority", "title": "Cooperation with the national supervisory authority (the CNPD) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "pt-lei-58-2019", "framework_version": "pt-lei-58-2019 national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the CNPD can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the CNPD remain tenant-side." }, { "requirement_id": "pt-lei-58-2019.breach-notification", "title": "Personal-data breach notification to the CNPD (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "pt-lei-58-2019", "framework_version": "pt-lei-58-2019 national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the CNPD's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "quebec-law-25", "display_name": "Quebec Law 25 — Private Sector personal-information modernisation", "framework_version": "Quebec Law 25 — Act to modernize legislative provisions as regards the protection of personal information (2021, c.25), amending the Private Sector Act (CQLR c. P-39.1), fully in force 22 Sept 2024", "source": "An Act to modernize legislative provisions as regards the protection of personal information, S.Q. 2021, c. 25 (Law 25 / former Bill 64), amending the Act respecting the protection of personal information in the private sector (CQLR c. P-39.1). Privacy-impact-assessment duty (s.3.3), automated-decision transparency + right to submit observations (s.12.1 / s.65.2), confidentiality-incident reporting to the CAI (s.3.5-3.8), data portability (s.27), and consent for sensitive information (s.12).", "license": null, "total": 5, "declared_total": 5, "coverage_pct": 100, "status_counts": { "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Privacy impact assessment (s.3.3)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Automated-decision transparency (s.12.1)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Confidentiality-incident reporting (s.3.5-3.8)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Data portability (s.27)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Consent for sensitive information (s.12)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "quebec-law-25.s3.3", "title": "Section 3.3 — Privacy impact assessment: conduct a PIA before any project to acquire, develop or overhaul an information system or electronic-service-delivery system involving personal information", "framework": "quebec-law-25", "framework_version": "Quebec Law 25 — Private Sector Act s.3.3", "framework_category": "Privacy impact assessment (s.3.3)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Risk Engine binds a personal-information-handling AI deployment to a contemporaneous risk assessment, and a material change re-triggers it — the privacy-impact-assessment-before-deployment duty s.3.3 requires for the AI-agent layer (the broader organisational PIA remains a tenant process the KYE assessment feeds)." }, { "requirement_id": "quebec-law-25.s12.1", "title": "Section 12.1 — Automated decision-making: when a decision is based exclusively on automated processing, inform the individual and, on request, of the personal information used, the reasons and principal factors, and the right to submit observations", "framework": "quebec-law-25", "framework_version": "Quebec Law 25 — Private Sector Act s.12.1", "framework_category": "Automated-decision transparency (s.12.1)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Decision Map records the personal information used and the principal factors of an automated decision; Replay-Proof™ reconstructs the reasoning from the publisher's keys alone — the meaningful-explanation-on-request and right-to-observations basis s.12.1 confers (the human-review/observations desk remains a tenant process the evidence substantiates)." }, { "requirement_id": "quebec-law-25.s3.5", "title": "Sections 3.5-3.8 — Confidentiality incidents: keep a register of incidents and, where there is a risk of serious injury, notify the Commission d'accès à l'information and the affected individuals", "framework": "quebec-law-25", "framework_version": "Quebec Law 25 — Private Sector Act ss.3.5-3.8", "framework_category": "Confidentiality-incident reporting (s.3.5-3.8)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Incident Detector raises the confidentiality-incident signal and the Reporting Engine maintains the incident register + assembles the package. The regulator-side delivery channel to the CAI and the serious-injury-risk notification dispatch are designed pending the per-jurisdiction reporting connector (tracked in IMPLEMENTATION-PLAN.md)." }, { "requirement_id": "quebec-law-25.s27", "title": "Section 27 — Data portability: on request, communicate computerised personal information collected from the individual in a structured, commonly used technological format", "framework": "quebec-law-25", "framework_version": "Quebec Law 25 — Private Sector Act s.27", "framework_category": "Data portability (s.27)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The §31 Data Governance Pack DSAR path assembles the structured machine-readable export of the personal information KYE governs for an AI agent. The portability-format export endpoint is designed pending the §31 V1.5 promotion gate (tracked in IMPLEMENTATION-PLAN.md)." }, { "requirement_id": "quebec-law-25.s12", "title": "Section 12 — Use limitation + consent for sensitive information: personal information must be used only for the purposes for which it was collected, and express consent is required for sensitive personal information", "framework": "quebec-law-25", "framework_version": "Quebec Law 25 — Private Sector Act s.12", "framework_category": "Consent for sensitive information (s.12)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Purpose Permission™ binds processing to the collection purpose and carries a sensitivity classification so an AI-agent use of sensitive personal information is admissible only under an express-consent grant — the purpose-limitation and sensitive-consent rule s.12 requires." } ], "resolution_framing": null }, { "framework": "rbnz-bs11", "display_name": "RBNZ BS11 — Outsourcing Policy", "framework_version": "RBNZ BS11 Outsourcing Policy", "source": "Reserve Bank of New Zealand, Outsourcing Policy (BS11) — control over outsourced functions, continuity of basic banking functions, and continuing compliance evidence for registered banks.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Outsourcing arrangements register": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Continuity of basic banking functions": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Continuing compliance evidence": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "rbnz-bs11.outsourcing-register", "title": "BS11 — a registered bank must be able to identify and demonstrate control over its outsourced functions, including a register of outsourcing arrangements", "framework": "rbnz-bs11", "framework_version": "RBNZ BS11 Outsourcing Policy (effective)", "framework_category": "Outsourcing arrangements register", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.authority_register.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "BS11 requires a bank to demonstrate control over outsourced functions. The Authority Register enumerates which third-party agent acted under whose authority, and the §51 SPoF registry classifies each dependency's failure mode — the outsourcing-control view BS11 demands." }, { "requirement_id": "rbnz-bs11.basic-banking-functions", "title": "BS11 — the bank must retain the ability to continue or recover basic banking functions if an outsourcing service provider fails", "framework": "rbnz-bs11", "framework_version": "RBNZ BS11 Outsourcing Policy (effective)", "framework_category": "Continuity of basic banking functions", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.resilience.signal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "The Edge Governance Safety Floor + Offline Evidence Log keep the AI-agent governance path operating within a degraded tolerance when an outsourced service provider fails — the continuity-of-basic-functions posture BS11 requires for the part of the chain KYE governs." }, { "requirement_id": "rbnz-bs11.control-evidence", "title": "BS11 — the bank must be able to evidence to RBNZ that its outsourcing arrangements meet the policy on a continuing basis", "framework": "rbnz-bs11", "framework_version": "RBNZ BS11 Outsourcing Policy (effective)", "framework_category": "Continuing compliance evidence", "level": "mandatory", "primary_role": "D/V", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Signed Evidence Packs™ + the Regulator Replay agent give RBNZ a replayable, continuing record that the AI-agent outsourcing arrangements meet the policy — the on-a-continuing-basis evidence BS11 requires." } ], "resolution_framing": null }, { "framework": "reg-e", "display_name": "Reg E — EFTA Error Resolution (12 CFR 1005.11)", "framework_version": "EFTA / Regulation E — 12 CFR Part 1005 (error resolution, §1005.11)", "source": "The Electronic Fund Transfer Act and Regulation E (12 CFR Part 1005) govern error resolution for electronic fund transfers in the United States. §1005.11 requires a financial institution to investigate an alleged error, provisionally credit the consumer within statutory deadlines, determine whether an error occurred, and provide a written explanation when it determines no error occurred. KYE Protocol™ governs whether a refund / provisional credit / error determination in the dispute flow may PROCEED — under a named owner's recorded authority, with the transaction evidence captured as evidence events at transaction time, with a signed Evidence Pack, and a recorded contestable determination. KYE does not adjudicate whether an error in fact occurred, decide whether to fight a dispute, or do fraud scoring.", "license": "Regulation E (12 CFR Part 1005) is a US government work in the public domain; the KYE registry paraphrases each requirement's intent and cites the official section identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Named-authority on the provisional credit / refund action": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Investigation evidence record captured at transaction time": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & written-determination reconstruction": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Substantive error adjudication on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "reg-e.provisional-credit-authority", "title": "A provisional credit / refund in the error-resolution flow proceeds only under a recorded named-authority decision", "framework": "reg-e", "framework_version": "EFTA / Regulation E — 12 CFR Part 1005 (error resolution, §1005.11)", "framework_category": "Named-authority on the provisional credit / refund action", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Reg E §1005.11(c) requires provisional credit within statutory deadlines while the investigation runs — a money-moving action that AI agents increasingly initiate. When a refund / provisional credit moves toward execution, KYE binds it to a recorded named-authority decision (the agent, the payment artefact, the action, and the named payments / finance owner under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded above the merchant's declared threshold. Enforced by chargeback_refund_action_authority via the authority-engine + decision-engine. KYE proves who authorised the credit to proceed; it does not adjudicate the underlying error claim." }, { "requirement_id": "reg-e.investigation-evidence-record", "title": "The error-resolution investigation rests on an evidence trail captured at transaction time", "framework": "reg-e", "framework_version": "EFTA / Regulation E — 12 CFR Part 1005 (error resolution, §1005.11)", "framework_category": "Investigation evidence record captured at transaction time", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Reg E §1005.11(d) requires the institution to review pertinent information within its own records when investigating an alleged error. KYE requires the dispute evidence trail — order record, delivery / fulfilment confirmation, AVS / CVV authorisation result, customer-communication trail — to be captured as timestamped, hash-bound evidence events at transaction time and bound into a decision map before an error-resolution determination proceeds, per the §13 Resilience Loop. Enforced by chargeback_dispute_evidence_capture via the evidence-engine. KYE proves the record was captured and what it contains; it does not host the payment processing or judge the claim." }, { "requirement_id": "reg-e.error-determination-contestability", "title": "Contestability & reconstruction of the error determination and the written explanation", "framework": "reg-e", "framework_version": "EFTA / Regulation E — 12 CFR Part 1005 (error resolution, §1005.11)", "framework_category": "Contestability & written-determination reconstruction", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Reg E §1005.11(d) requires a written explanation when the institution determines no error occurred, and the consumer may request the documents relied on — the determination must be reconstructable. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every error determination and liability acceptance, so the determination can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by chargeback_liability_acceptance_record + chargeback_evidence_pack_integrity via the evidence-engine + replay-engine. KYE proves how the determination was made and makes it contestable; it does not adjudicate the challenge." }, { "requirement_id": "reg-e.substantive-error-adjudication", "title": "Substantive adjudication of whether an unauthorized EFT or error in fact occurred", "framework": "reg-e", "framework_version": "EFTA / Regulation E — 12 CFR Part 1005 (error resolution, §1005.11)", "framework_category": "Substantive error adjudication on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Deciding whether an unauthorized electronic fund transfer or billing error in fact occurred, weighing the consumer's claim, and the institution's good-faith investigation judgment are the institution's / merchant's own determinations. KYE™ is an AI-authority and evidence layer, not a dispute-adjudication or fraud-scoring engine — out of scope by design (§0 honest scope). KYE proves who authorised the determination and how it was made; it does not make the determination.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "reg-z", "display_name": "Reg Z — TILA Billing-Error Resolution (12 CFR 1026.13)", "framework_version": "TILA / Regulation Z — 12 CFR Part 1026 (billing-error resolution, §1026.13)", "source": "The Truth in Lending Act and Regulation Z (12 CFR Part 1026) govern billing-error resolution for credit accounts in the United States. §1026.13 requires a creditor to acknowledge a billing-error notice, investigate, correct the account or send a written explanation of why no error occurred, and refrain from adverse action while the dispute is pending. KYE Protocol™ governs whether a correction / credit / billing-error determination in the dispute flow may PROCEED — under a named owner's recorded authority, with the transaction evidence captured as evidence events at transaction time, with a signed Evidence Pack, and a recorded contestable determination. KYE does not adjudicate whether a billing error in fact occurred, decide whether to fight a dispute, or do fraud scoring.", "license": "Regulation Z (12 CFR Part 1026) is a US government work in the public domain; the KYE registry paraphrases each requirement's intent and cites the official section identifier for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Named-authority on the account correction / credit action": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Billing-dispute evidence record captured at transaction time": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & written-explanation reconstruction": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Substantive billing-error adjudication on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "reg-z.billing-error-resolution-record", "title": "An account correction / credit in the billing-error flow proceeds only under a recorded named-authority decision", "framework": "reg-z", "framework_version": "TILA / Regulation Z — 12 CFR Part 1026 (billing-error resolution, §1026.13)", "framework_category": "Named-authority on the account correction / credit action", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Reg Z §1026.13(e) requires the creditor to correct the account and credit the disputed amount when a billing error occurred — a money-moving correction AI agents increasingly initiate. When a correction / credit moves toward execution, KYE binds it to a recorded named-authority decision (the agent, the billing artefact, the action, and the named payments / finance owner under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded above the merchant's declared threshold. Enforced by chargeback_refund_action_authority via the authority-engine + decision-engine. KYE proves who authorised the correction to proceed; it does not adjudicate the billing-error claim." }, { "requirement_id": "reg-z.billing-dispute-evidence-record", "title": "The billing-dispute investigation rests on an evidence trail captured at transaction time", "framework": "reg-z", "framework_version": "TILA / Regulation Z — 12 CFR Part 1026 (billing-error resolution, §1026.13)", "framework_category": "Billing-dispute evidence record captured at transaction time", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Reg Z §1026.13(f) requires a reasonable investigation before determining that no billing error occurred, and the documentary evidence relied on must be producible on request. KYE requires the dispute evidence trail — order record, delivery / fulfilment confirmation, AVS / CVV authorisation result, customer-communication trail — to be captured as timestamped, hash-bound evidence events at transaction time and bound into a decision map before the determination proceeds, per the §13 Resilience Loop. Enforced by chargeback_dispute_evidence_capture via the evidence-engine. KYE proves the record was captured and what it contains; it does not perform the investigation's substantive judgment." }, { "requirement_id": "reg-z.billing-dispute-contestability", "title": "Contestability & reconstruction of the billing-error determination and the written explanation", "framework": "reg-z", "framework_version": "TILA / Regulation Z — 12 CFR Part 1026 (billing-error resolution, §1026.13)", "framework_category": "Contestability & written-explanation reconstruction", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Reg Z §1026.13(f)-(g) requires a written explanation of why no billing error occurred and preserves the consumer's right to further dispute — the determination must be reconstructable. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every billing-error determination and liability acceptance, so the determination can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by chargeback_liability_acceptance_record + chargeback_evidence_pack_integrity via the evidence-engine + replay-engine. KYE proves how the determination was made and makes it contestable; it does not adjudicate the further dispute." }, { "requirement_id": "reg-z.substantive-billing-error-adjudication", "title": "Substantive adjudication of whether a billing error in fact occurred", "framework": "reg-z", "framework_version": "TILA / Regulation Z — 12 CFR Part 1026 (billing-error resolution, §1026.13)", "framework_category": "Substantive billing-error adjudication on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Deciding whether a billing error in fact occurred, weighing the cardholder's claim against the merchant's records, and the creditor's reasonable-investigation judgment are the creditor's / merchant's own determinations. KYE™ is an AI-authority and evidence layer, not a dispute-adjudication or fraud-scoring engine — out of scope by design (§0 honest scope). KYE proves who authorised the determination and how it was made; it does not make the determination.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "riddor", "display_name": "RIDDOR — Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (UK)", "framework_version": "2013", "source": "UK Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (SI 2013/1471), enforced by the HSE — duty to report (reg 4-6), report content and timing, and record-keeping (reg 12). KYE governs the authority, evidence and finality of AI-authored or AI-approved RIDDOR-reportable incident reports; KYE does not determine reportability in law. Starter requirement set (KYE HSE Authority Pack™); deepen by graft.", "license": "UK statutory instrument (Crown copyright, Open Government Licence); KYE registry cites regulation numbers for mapping purposes.", "total": 3, "declared_total": 3, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 3, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Regulation 4-6 — Duty to report": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Reporting decision — advisory pending sign-off": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Regulation 12 — Records": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "riddor.reg-4-6", "title": "Duty to report — AI-authored incident report is authority-bound", "framework": "riddor", "framework_version": "2013", "framework_category": "Regulation 4-6 — Duty to report", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI agent that drafts a RIDDOR-reportable incident report produces a safety-critical HSE document; admissibility requires the §25 safety floor and a validated model-authority record. Enforced by industrial_physical_safety_floor. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "riddor.reporting-decision", "title": "Reporting decision — advisory pending responsible-person sign-off", "framework": "riddor", "framework_version": "2013", "framework_category": "Reporting decision — advisory pending sign-off", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "An AI determination of whether an incident is RIDDOR-reportable is advisory pending sign-off by the named responsible person (named_accountable_engineer); both a missed report and an over-report outcome carry personal and corporate exposure. Enforced by industrial_named_engineer_signoff. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "riddor.reg-12", "title": "Records — contestable and evidenced", "framework": "riddor", "framework_version": "2013", "framework_category": "Regulation 12 — Records", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:industrial-asset-integrity" ], "audit_events": [ "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-04", "notes": "Every AI-assisted RIDDOR reporting decision is contestable with a replay-derivable Evidence Pack supporting the incident record, surviving an HSE inspector spot check. Enforced by industrial_decision_contestable. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "ro-law-190-2018", "display_name": "Law No. 190/2018 (implementing measures for the GDPR)", "framework_version": "Law No. 190/2018", "source": "Law No. 190/2018 (implementing measures for the GDPR). National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Romania. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Romania-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "ro-law-190-2018.gdpr-transposition", "title": "Law No. 190/2018 (implementing measures for the GDPR) transposes / supplements the GDPR (Reg. (EU) 2016/679) into Romania national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "ro-law-190-2018", "framework_version": "Law No. 190/2018 (implementing measures for the GDPR)", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Law No. 190/2018 (implementing measures for the GDPR) is the national implementing/supplementing statute for the GDPR in Romania. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔romania. This registry maps only the Romania-specific national deltas below." }, { "requirement_id": "ro-law-190-2018.supervisory-authority", "title": "Cooperation with the national supervisory authority (the ANSPDCP) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "ro-law-190-2018", "framework_version": "ro-law-190-2018 national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the ANSPDCP can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the ANSPDCP remain tenant-side." }, { "requirement_id": "ro-law-190-2018.breach-notification", "title": "Personal-data breach notification to the ANSPDCP (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "ro-law-190-2018", "framework_version": "ro-law-190-2018 national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the ANSPDCP's national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "se-dpa", "display_name": "Lag (2018:218) med kompletterande bestämmelser till EU:s dataskyddsförordning", "framework_version": "Lag (2018:218)", "source": "Lag (2018:218) med kompletterande bestämmelser till EU:s dataskyddsförordning. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Sweden. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Sweden-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "se-dpa.gdpr-transposition", "title": "Lag (2018:218) med kompletterande bestämmelser till EU:s dataskyddsförordning transposes / supplements the GDPR (Reg. (EU) 2016/679) into Sweden national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "se-dpa", "framework_version": "Lag (2018:218) med kompletterande bestämmelser till EU:s dataskyddsförordning", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Lag (2018:218) med kompletterande bestämmelser till EU:s dataskyddsförordning is the national implementing/supplementing statute for the GDPR in Sweden. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔sweden. This registry maps only the Sweden-specific national deltas below." }, { "requirement_id": "se-dpa.supervisory-authority", "title": "Cooperation with the national supervisory authority (the IMY (Integritetsskyddsmyndigheten)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "se-dpa", "framework_version": "se-dpa national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the IMY (Integritetsskyddsmyndigheten) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the IMY (Integritetsskyddsmyndigheten) remain tenant-side." }, { "requirement_id": "se-dpa.breach-notification", "title": "Personal-data breach notification to the IMY (Integritetsskyddsmyndigheten) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "se-dpa", "framework_version": "se-dpa national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the IMY (Integritetsskyddsmyndigheten)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "sec-cyber-disclosure", "display_name": "SEC Cyber Disclosure — Item 1.05 (4 business days)", "framework_version": "SEC Cybersecurity Disclosure Rules (2023) — Regulation S-K Item 1.05 (material incident, 8-K, four business days) + Item 106", "source": "The SEC's 2023 cybersecurity disclosure rules require registrants to disclose a material cybersecurity incident on Form 8-K under Regulation S-K Item 1.05 within four business days of determining the incident is material, and to describe their risk-management and governance under Item 106. KYE Protocol™ governs whether an AI-assisted disclosure-timing decision under Item 1.05 may PROCEED to a consequential disclosure action — under a named accountable officer's authority, with the incident evidence chain-of-custody recorded, and a contestability record so the timing decision can be reconstructed and challenged. KYE does not determine materiality, write the 8-K, or render legal judgment.", "license": "SEC rules are US federal regulations in the public domain; KYE registry paraphrases each requirement's intent and cites the official item identifier for mapping purposes only.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Disclosure-timing authority on the four-business-day clock": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability of the timing decision in an SEC / shareholder review": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Substantive materiality determination & 8-K drafting": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "sec-cyber-disclosure.item105-materiality-disclosure-authority", "title": "The Item 1.05 four-business-day disclosure-timing decision proceeds only under a recorded named-authority decision", "framework": "sec-cyber-disclosure", "framework_version": "SEC Cyber Disclosure Rules (2023) — Item 1.05 + Item 106", "framework_category": "Disclosure-timing authority on the four-business-day clock", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "SEC Item 1.05 requires disclosure on Form 8-K within four business days of the materiality determination. When an AI review proposes starting the four-business-day clock or moving toward the 8-K filing, KYE binds the disclosure-timing call to a recorded named-authority decision (the agent, the incident, the disclosure action and its timing, and the named accountable officer under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by cyber_disclosure_timing_authority via the authority-engine + decision-engine. KYE proves who authorised the timing decision; it does not determine materiality or write the 8-K." }, { "requirement_id": "sec-cyber-disclosure.item105-timing-contestability", "title": "Contestability of the Item 1.05 timing decision in an SEC / shareholder review", "framework": "sec-cyber-disclosure", "framework_version": "SEC Cyber Disclosure Rules (2023) — Item 1.05 + Item 106", "framework_category": "Contestability of the timing decision in an SEC / shareholder review", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:cyber-resilience-incident" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "An SEC enforcement inquiry or a shareholder dispute may challenge when the registrant determined materiality and started the clock. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal, plus the incident-evidence chain-of-custody, to every AI-assisted disclosure-timing decision, so the timing decision can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by cyber_incident_contestability_record + cyber_incident_evidence_chain_of_custody via the evidence-engine + replay-engine. KYE proves how the timing decision was made; it does not adjudicate the materiality dispute." }, { "requirement_id": "sec-cyber-disclosure.substantive-materiality-drafting", "title": "Substantive materiality determination and 8-K drafting", "framework": "sec-cyber-disclosure", "framework_version": "SEC Cyber Disclosure Rules (2023) — Item 1.05 + Item 106", "framework_category": "Substantive materiality determination & 8-K drafting", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Determining whether the cybersecurity incident is material, drafting the Form 8-K disclosure, and the legal judgment around the disclosure are non-delegable judgments belonging to the registrant and its counsel. KYE™ is an AI-authority and evidence layer, not a materiality-determination or disclosure-drafting engine — out of scope by design (§0/§70 honest scope). KYE proves who authorised the timing and how the decision was made; it does not make the materiality call.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "sec-ia-fiduciary", "display_name": "SEC Investment Adviser Fiduciary Duty — Advisers Act of 1940 (Duty of Care & Loyalty)", "framework_version": "Investment Advisers Act of 1940", "source": "Section 206 of the US Investment Advisers Act of 1940 and the SEC's 2019 Commission Interpretation Regarding Standard of Conduct for Investment Advisers establish a federal fiduciary duty for registered investment advisers — a duty of care (including a reasonable belief that advice is in the client's best interest) and a duty of loyalty — together with the books-and-records rule (Rule 204-2). KYE Protocol governs whether an AI-assisted investment decision/action is within mandate, authorised, evidenced, contestable, and final at the action boundary, and proves the basis. KYE does not produce investment intelligence, form the reasonable belief itself, judge whether advice is correct, or act as an investment adviser.", "license": "The Investment Advisers Act of 1940 and SEC interpretive releases are US federal law / public documents. KYE registry cites the fiduciary-duty constructs for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Duty of care — reasonable belief best interest": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Duty of loyalty — conflicts & disclosure": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Suitability / mandate of advice": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Books & records (Rule 204-2)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "sec-ia-fiduciary.duty-of-care-best-interest", "title": "Duty of care (reasonable belief best interest): an AI-generated decision proceeds only under recorded named authority", "framework": "sec-ia-fiduciary", "framework_version": "Investment Advisers Act of 1940", "framework_category": "Duty of care — reasonable belief best interest", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The Advisers Act duty of care requires an adviser to have a reasonable belief that the advice provided is in the best interest of the client. KYE binds every AI-generated investment decision that moves toward a consequential action to a recorded named-authority decision and holds it advisory until the named adviser / portfolio manager / committee records sign-off (forming the reasonable belief), via the §36 GovernedUI human-control surface. Enforced by investment_named_authority + investment_committee_signoff_gate. KYE governs whether the decision may proceed and under whose authority; it does not form the reasonable belief or judge whether the advice is correct. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "sec-ia-fiduciary.duty-of-loyalty-conflicts", "title": "Duty of loyalty (conflicts & disclosure): a consequential action's conflict / mandate basis is recorded before it proceeds", "framework": "sec-ia-fiduciary", "framework_version": "Investment Advisers Act of 1940", "framework_category": "Duty of loyalty — conflicts & disclosure", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The duty of loyalty requires an adviser not to subordinate the client's interest to its own and to make full and fair disclosure of material conflicts. KYE requires an AI-generated recommendation to carry a recorded mandate-check result confirming the consequential action is within the client mandate and free of an undisclosed conflict before it proceeds, under the §12 Purpose Permission purpose-scope check; an unassessed or conflicted recommendation is refused at the action-admissibility gate. Enforced by investment_mandate_check_before_action. KYE proves the conflict / mandate basis was recorded before the action; it does not adjudicate the conflict. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "sec-ia-fiduciary.suitability-mandate-of-advice", "title": "Suitability / mandate of advice: the suitability basis is recorded as a mandate check before the action", "framework": "sec-ia-fiduciary", "framework_version": "Investment Advisers Act of 1940", "framework_category": "Suitability / mandate of advice", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "Under the duty of care an adviser must provide advice that is suitable for the client given the client's objectives. KYE requires an AI-generated recommendation to carry a recorded mandate-check result confirming it is within the client's recorded mandate / objectives before it proceeds, under the §25 Edge Governance Safety Floor; an out-of-mandate recommendation is refused and routed dual-channel. Enforced by investment_mandate_check_before_action. KYE proves the suitability/mandate basis was recorded before the action; it does not perform the suitability assessment. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "sec-ia-fiduciary.books-and-records-204-2", "title": "Books & records (Rule 204-2): replay-provable provenance of the basis on which an AI-assisted decision proceeded", "framework": "sec-ia-fiduciary", "framework_version": "Investment Advisers Act of 1940", "framework_category": "Books & records (Rule 204-2)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:investment-decision-authority" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "Rule 204-2 under the Advisers Act requires advisers to make and keep true, accurate and current books and records of their advisory business. KYE requires an AI-generated decision that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin binding the model and version, the inputs and pinned evidence-backed research relied on, the mandate / suitability check result, and the named-authority outcome, per the §13 Resilience Loop — verifiable offline by the SEC or the client. Enforced by investment_provenance_pin. KYE preserves the basis and its lineage; it does not reproduce the underlying research. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "sedona-principles", "display_name": "The Sedona Principles — Best Practices for Electronic Document Production", "framework_version": "The Sedona Principles, Third Edition (2018)", "source": "The Sedona Principles, Third Edition (The Sedona Conference, 2018) are the leading consensus best-practice commentary on the production of electronically stored information in US litigation. Principle 6 holds that responding parties are best situated to evaluate and select the procedures, methodologies, and technologies for preserving and producing their own ESI — placing the burden of a defensible, documented process on the producing party. KYE Protocol™ governs whether an AI-assisted production / review process may PROCEED to a consequential litigation action with a recorded, reconstructable, replay-provable process record — so the producing party can demonstrate a defensible process when challenged. KYE does not select the review methodology or judge whether the production is substantively complete.", "license": "The Sedona Principles are published commentary of The Sedona Conference; KYE registry paraphrases the relevant principle's intent and cites it for mapping purposes only — no text is reproduced.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Defensible, reconstructable AI-review process record": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Replay-provable evidence of the process when challenged": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Methodology selection & substantive production completeness": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "sedona-principles.principle6-defensible-process", "title": "An AI-assisted review / production proceeds only with a recorded, reconstructable defensible-process record", "framework": "sedona-principles", "framework_version": "The Sedona Principles, Third Edition (2018)", "framework_category": "Defensible, reconstructable AI-review process record", "level": "recommended", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Sedona Principle 6 places the burden of a defensible, documented ESI process on the producing party. KYE binds every AI-assisted review / production determination to a recorded named-authority decision + chain-of-custody at the §12 Purpose Permission action-admissibility gate, so the process is documented, reconstructable, and demonstrably defensible. Enforced by litigation_privilege_determination_authority + litigation_discovery_chain_of_custody via the authority-engine + decision-engine. KYE proves the process was authorised and recorded; it does not select the review methodology." }, { "requirement_id": "sedona-principles.replay-provable-process-evidence", "title": "Replay-provable Evidence Pack demonstrating the defensible process when challenged", "framework": "sedona-principles", "framework_version": "The Sedona Principles, Third Edition (2018)", "framework_category": "Replay-provable evidence of the process when challenged", "level": "recommended", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "When a producing party's AI-assisted process is challenged, Sedona Principle 6 requires it to demonstrate the reasonableness and defensibility of the process used. KYE emits a signed, replay-provable Evidence Pack per reviewed item under a context seal, reconstructable and valid at T=0, so the producing party can demonstrate exactly how each determination was made, per the §13 Resilience Loop. Enforced by litigation_evidence_capture via the evidence-engine + replay-engine. KYE proves the process is reconstructable; it does not judge whether the production was substantively complete." }, { "requirement_id": "sedona-principles.methodology-and-completeness", "title": "Review-methodology selection (TAR / search terms) and substantive production completeness", "framework": "sedona-principles", "framework_version": "The Sedona Principles, Third Edition (2018)", "framework_category": "Methodology selection & substantive production completeness", "level": "recommended", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Selecting the review methodology (technology-assisted review, search terms, sampling protocols) and judging whether a production is substantively complete and proportionate are decisions belonging to the producing party and its counsel. KYE™ is an AI-authority and evidence-provenance layer, not a review-methodology or completeness-judgment engine — out of scope by design (§0 honest scope). KYE proves the chosen process was authorised, recorded, and reconstructable; it does not choose it or judge its sufficiency.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "sk-act-18-2018", "display_name": "Act No. 18/2018 Coll. on Personal Data Protection", "framework_version": "Act No. 18/2018 Coll.", "source": "Act No. 18/2018 Coll. on Personal Data Protection. National statute implementing/supplementing Regulation (EU) 2016/679 (GDPR) in Slovakia. Substantive obligations resolve to the deep GDPR per-article registry (internal) reused via the framework__jurisdiction edge; this registry maps only the Slovakia-specific national deltas.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 100, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "GDPR transposition (national basis)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Supervisory authority + accountability": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Breach notification (national channel)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "sk-act-18-2018.gdpr-transposition", "title": "Act No. 18/2018 Coll. on Personal Data Protection transposes / supplements the GDPR (Reg. (EU) 2016/679) into Slovakia national law — the substantive data-protection obligations resolve to the GDPR per-article bijection", "framework": "sk-act-18-2018", "framework_version": "Act No. 18/2018 Coll. on Personal Data Protection", "framework_category": "GDPR transposition (national basis)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Act No. 18/2018 Coll. on Personal Data Protection is the national implementing/supplementing statute for the GDPR in Slovakia. The substantive lawful-basis, data-subject-rights, security, and accountability obligations are NOT re-mapped here — they are discharged by the deep GDPR per-article registry (internal) which this jurisdiction reuses via the framework__jurisdiction edge gdpr↔slovakia. This registry maps only the Slovakia-specific national deltas below." }, { "requirement_id": "sk-act-18-2018.supervisory-authority", "title": "Cooperation with the national supervisory authority (the ÚOOÚ SR (Office for Personal Data Protection of the Slovak Republic)) — records of processing and the demonstrable-accountability account an AI agent's data processing must produce on request", "framework": "sk-act-18-2018", "framework_version": "sk-act-18-2018 national delta", "framework_category": "Supervisory authority + accountability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Decision Map ledger + Evidence Pack are the disclosable account the ÚOOÚ SR (Office for Personal Data Protection of the Slovak Republic) can demand for an AI-agent processing operation. Organisational registration / DPO-notification duties to the ÚOOÚ SR (Office for Personal Data Protection of the Slovak Republic) remain tenant-side." }, { "requirement_id": "sk-act-18-2018.breach-notification", "title": "Personal-data breach notification to the ÚOOÚ SR (Office for Personal Data Protection of the Slovak Republic) (and affected individuals) within the GDPR Art. 33/34 window, on the national reporting channel", "framework": "sk-act-18-2018", "framework_version": "sk-act-18-2018 national delta", "framework_category": "Breach notification (national channel)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Incident Detector raises the breach signal and the Reporting Engine assembles the Art. 33 record + risk assessment. The regulator-side delivery connector to the ÚOOÚ SR (Office for Personal Data Protection of the Slovak Republic)'s national reporting portal is designed pending the per-jurisdiction reporting connector (IMPLEMENTATION-PLAN.md)." } ], "resolution_framing": null }, { "framework": "soc2", "display_name": "SOC 2 — Trust Services Criteria", "framework_version": "TSC 2017 (revised 2022)", "source": "AICPA Trust Services Criteria for Security, Availability, Processing Integrity, Confidentiality, and Privacy (2017, points-of-focus revised 2022). Deep-mapping expanded 2026-05-29 (Wave-Ralph-B) from CC1-CC9 (33) to the full TSC surface — Common Criteria CC1-CC9 + Availability A1 + Confidentiality C1 + Processing Integrity PI1 + Privacy P1-P8.", "license": "AICPA — Trust Services Criteria are copyrighted; KYE registry paraphrases each criterion's intent and cites the criterion identifier for control-mapping purposes only.", "total": 61, "declared_total": 61, "coverage_pct": 92, "status_counts": { "enforced": 54, "designed": 2, "advisory": 5, "deferred": 0, "out-of-scope": 0 }, "by_category": { "A1 Availability": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "C1 Confidentiality": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "CC1 Control Environment": { "total": 5, "enforced": 2, "designed": 0, "advisory": 3, "deferred": 0, "out-of-scope": 0, "coverage_pct": 55 }, "CC2 Communication & Information": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "CC3 Risk Assessment": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "CC4 Monitoring Activities": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "CC5 Control Activities": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "CC6 Logical & Physical Access Controls": { "total": 8, "enforced": 6, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 84 }, "CC7 System Operations": { "total": 5, "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "CC8 Change Management": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "CC9 Risk Mitigation": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "P1 Notice & Communication": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "P2 Choice & Consent": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "P3 Collection": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "P4 Use, Retention & Disposal": { "total": 3, "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "P5 Access": { "total": 2, "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "P6 Disclosure & Notification": { "total": 7, "enforced": 5, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 82 }, "P7 Quality": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "P8 Monitoring & Enforcement": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "PI1 Processing Integrity": { "total": 5, "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "soc2.A1.1", "title": "The entity maintains, monitors, and evaluates current processing capacity and use of system components (infrastructure, data, and software) to manage capacity demand and to enable the implementation of additional capacity to help meet its objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "A1 Availability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.compliance.attestation.v1", "kye.spof.path_to_full.v1" ], "engines": [ "internal", "internal" ], "registries": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "AICPA A1.1. SPOF registry tracks capacity-sensitive dependencies with `decay_deadline`; Reconciliation Engine continuously compares declared vs deployed capacity posture across Workers, D1, KV, R2." }, { "requirement_id": "soc2.A1.2", "title": "The entity authorises, designs, develops or acquires, implements, operates, approves, maintains, and monitors environmental protections, software, data backup processes, and recovery infrastructure to meet its objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "A1 Availability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1", "kye.compliance.attestation.v1", "kye.spof.path_to_full.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-d1-backup-worker", "kye-dr-orchestrator" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "AICPA A1.2. D1 backup worker emits per-table retention attestation; DR orchestrator drives the SPOF closure runbooks (§51 Phase 3 path-to-full pattern). Cloudflare environmental controls consumed via the §16 Edge Runtime posture inheritance." }, { "requirement_id": "soc2.A1.3", "title": "The entity tests recovery plan procedures supporting system recovery to meet its objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "A1 Availability", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.audit_replay_report.v1", "kye.signal.scenario_run.completed.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-dr-orchestrator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "AICPA A1.3. Scenario Engine declares the canonical DR drill matrix; per-SPOF path-to-full runbook acceptance criteria define test cadence. Scheduled-drill orchestration binding in build." }, { "requirement_id": "soc2.C1.1", "title": "The entity identifies and maintains confidential information to meet the entity's objectives related to confidentiality.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "C1 Confidentiality", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md", "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AICPA C1.1. Data Classification Engine assigns sensitivity labels at ingest; Purpose Permission binds confidentiality scope per single-purpose decision (no implicit cross-purpose access)." }, { "requirement_id": "soc2.C1.2", "title": "The entity disposes of confidential information to meet the entity's objectives related to confidentiality.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "C1 Confidentiality", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "AICPA C1.2. Per-table retention policy declares the disposal window per data class; cryptographic-erasure ceremony for R2 Object Lock release is in build (paired with soc2.CC6.5)." }, { "requirement_id": "soc2.CC1.1", "title": "The entity demonstrates a commitment to integrity and ethical values.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC1 Control Environment", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/00-INDEX.md", "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "advisory", "notes": "Integrity and ethical-values commitment is an organisational doctrine, governed by the constitution's §0 zero-competing-systems and §0.4 enterprise-grade rules — not a runtime primitive KYE enforces on behalf of a customer." }, { "requirement_id": "soc2.CC1.2", "title": "The board of directors demonstrates independence from management and exercises oversight of internal control.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC1 Control Environment", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "advisory", "notes": "Board oversight is a customer governance arrangement; KYE provides the GovernedUI two-person and delegated approval modes that a board can attach evidence to, but does not enforce board independence." }, { "requirement_id": "soc2.CC1.3", "title": "Management establishes, with board oversight, structures, reporting lines, and authorities and responsibilities for objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC1 Control Environment", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Register binds every authority to a named role; Authority Engine enforces role-scoped grants at decision time." }, { "requirement_id": "soc2.CC1.4", "title": "The entity demonstrates a commitment to attract, develop, and retain competent individuals in alignment with objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC1 Control Environment", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/10-PARTNER.md" ] }, "coverage_status": "advisory", "notes": "HR competency programs are out-of-scope for KYE; the Partner Program provides training and certification surfaces but does not enforce a customer's competency policy." }, { "requirement_id": "soc2.CC1.5", "title": "The entity holds individuals accountable for their internal control responsibilities in the pursuit of objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC1 Control Environment", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Every privileged decision binds the acting role and emits a Decision Map; quarterly Compliance Attestations bind named accountable parties." }, { "requirement_id": "soc2.CC2.1", "title": "The entity obtains or generates and uses relevant, quality information to support the functioning of internal control.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC2 Communication & Information", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Every privileged action produces a Decision Map + Evidence Pack persisted in the WORM audit chain — relevant, complete, replay-derivable information for internal control." }, { "requirement_id": "soc2.CC2.2", "title": "The entity internally communicates information, including objectives and responsibilities for internal control, necessary to support the functioning of internal control.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC2 Communication & Information", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Comms Engine carries internal-control announcements through the manifest-bound template family; mapping to SOC 2 specific internal-control comms is in build." }, { "requirement_id": "soc2.CC2.3", "title": "The entity communicates with external parties regarding matters affecting the functioning of internal control.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC2 Communication & Information", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.transparency.statement.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Transparency Statement + Compliance Attestation publication path declared; external regulator portal binding still in build." }, { "requirement_id": "soc2.CC3.1", "title": "The entity specifies objectives with sufficient clarity to enable the identification and assessment of risks relating to objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC3 Risk Assessment", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.risk.score.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission binds every decision to an explicit objective; Risk Engine scores that objective against the action's blast radius." }, { "requirement_id": "soc2.CC3.2", "title": "The entity identifies risks to the achievement of its objectives across the entity and analyzes risks as a basis for determining how the risks should be managed.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC3 Risk Assessment", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine produces a per-decision risk score; Authority Risk Register enumerates the risk surface across all granted authorities." }, { "requirement_id": "soc2.CC3.3", "title": "The entity considers the potential for fraud in assessing risks to the achievement of objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC3 Risk Assessment", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.stress_test.high_risk_detected.v1", "kye.risk.score.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Scenario Engine carries fraud-pattern stress tests; sector-specific fraud catalogues still in build." }, { "requirement_id": "soc2.CC3.4", "title": "The entity identifies and assesses changes that could significantly impact the system of internal control.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC3 Risk Assessment", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1", "kye.risk.score.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift Detector re-triggers risk assessment whenever the system of internal control changes materially." }, { "requirement_id": "soc2.CC4.1", "title": "The entity selects, develops, and performs ongoing and/or separate evaluations to ascertain whether the components of internal control are present and functioning.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC4 Monitoring Activities", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.assurance.audit_replay_report.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "agents": [ "internal" ], "workers": [ "kye-audit-pilot-agent", "kye-audit-replay-orchestrator" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot performs ongoing delegated evaluation; Replay Orchestrator re-runs decisions to confirm controls are functioning." }, { "requirement_id": "soc2.CC4.2", "title": "The entity evaluates and communicates internal control deficiencies in a timely manner to those parties responsible for taking corrective action, including senior management and the board, as appropriate.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC4 Monitoring Activities", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector emits opened/closed events; Comms Engine routes incidents to responsible parties on canonical channels." }, { "requirement_id": "soc2.CC5.1", "title": "The entity selects and develops control activities that contribute to the mitigation of risks to the achievement of objectives to acceptable levels.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC5 Control Activities", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.purpose.permission.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "PDP is the single canonical decision point; Decision Map records the control-activity result per request." }, { "requirement_id": "soc2.CC5.2", "title": "The entity selects and develops general control activities over technology to support the achievement of objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC5 Control Activities", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.evidence.decision_map.v1", "kye.audit.event.appended.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway", "kye-pdp" ], "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:edge-binding-coverage" }, "notes": "Gateway + Authority Engine implement technology-layer access controls at the edge for every privileged operation." }, { "requirement_id": "soc2.CC5.3", "title": "The entity deploys control activities through policies that establish what is expected and in procedures that put policies into action.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC5 Control Activities", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.tool.compiled.v1" ], "engines": [ "internal" ], "workers": [ "kye-rules-gateway-worker" ], "constitution_refs": [ "constitution/29-PROFILES-LITE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:rule-pack-canonical" }, "notes": "Rule packs declare policy; Rules Gateway evaluates the procedure at runtime against the policy manifest." }, { "requirement_id": "soc2.CC6.1", "title": "The entity implements logical access security software, infrastructure, and architectures over protected information assets to protect them from security events to meet the entity's objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC6 Logical & Physical Access Controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.permission.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal", "internal" ], "workers": [ "kye-pdp", "kye-gateway" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Every access decision flows through the canonical PDP bound to Purpose Permission and Authority Grant; Gateway is the single PEP at the edge." }, { "requirement_id": "soc2.CC6.2", "title": "Prior to issuing system credentials and granting system access, the entity registers and authorises new internal and external users whose access is administered by the entity. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorised.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC6 Logical & Physical Access Controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.revocation.event.v1", "kye.signal.revocation.cascaded.v1", "kye.admin.tenant.revoked.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Authority Engine binds credential issuance to a registered identity; Revocation Orchestrator cascades removal on de-authorisation." }, { "requirement_id": "soc2.CC6.3", "title": "The entity authorises, modifies, or removes access to data, software, functions, and other protected information assets based on roles, responsibilities, or the system design and changes, giving consideration to the concepts of least privilege and segregation of duties.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC6 Logical & Physical Access Controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.authority.grant.v1", "kye.purpose.permission.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "Purpose Permission enforces minimum-necessary scope per role; Authority Risk Register surfaces segregation-of-duty conflicts across granted authorities." }, { "requirement_id": "soc2.CC6.4", "title": "The entity restricts physical access to facilities and protected information assets (for example, data centre facilities, back-up media storage, and other sensitive locations) to authorised personnel to meet the entity's objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC6 Logical & Physical Access Controls", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "constitution_refs": [ "constitution/16-EDGE-RUNTIME.md" ] }, "coverage_status": "advisory", "notes": "Physical facility access is delegated to Cloudflare (SOC 2 Type II + ISO 27001 certified data centres); KYE consumes that posture rather than enforcing it." }, { "requirement_id": "soc2.CC6.5", "title": "The entity discontinues logical and physical protections over physical assets only after the ability to read or recover data and software from those assets has been diminished and is no longer required to meet the entity's objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC6 Logical & Physical Access Controls", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Retention policy declares per-table sanitisation timeline; cryptographic-erasure ceremony for R2 Object-Lock release is in build." }, { "requirement_id": "soc2.CC6.6", "title": "The entity implements logical access security measures to protect against threats from sources outside its system boundaries.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC6 Logical & Physical Access Controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.decision.denied.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:edge-binding-coverage" }, "notes": "Edge Arbiter enforces the Compiled Authority Bundle at the perimeter; every cross-boundary call carries an admissibility check." }, { "requirement_id": "soc2.CC6.7", "title": "The entity restricts the transmission, movement, and removal of information to authorised internal and external users and processes, and protects it during transmission, movement, or removal to meet the entity's objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC6 Logical & Physical Access Controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Data Classification Engine tags information by sensitivity; Residency Router enforces movement restrictions per jurisdiction and emits an evidence event per egress." }, { "requirement_id": "soc2.CC6.8", "title": "The entity implements controls to prevent or detect and act upon the introduction of unauthorised or malicious software to meet the entity's objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC6 Logical & Physical Access Controls", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.signal.tool.compiled.v1" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "Tool-call pinning (§52 Phase 2 manifest) declares the allow-list of executable code an agent may invoke; runtime enforcement of unpinned-tool rejection is in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "soc2.CC7.1", "title": "To meet its objectives, the entity uses detection and monitoring procedures to identify (1) changes to configurations that result in the introduction of new vulnerabilities, and (2) susceptibilities to newly discovered vulnerabilities.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC7 System Operations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.signal.stable_drift.detected.v1" ], "engines": [ "internal" ], "workers": [ "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "Drift Detector compares declared vs deployed state every 10 minutes; Reconciliation Engine raises blocking events on configuration drift." }, { "requirement_id": "soc2.CC7.2", "title": "The entity monitors system components and the operation of those components for anomalies that are indicative of malicious acts, natural disasters, and errors affecting the entity's ability to meet its objectives; anomalies are analysed to determine whether they represent security events.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC7 System Operations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.stress_test.high_risk_detected.v1", "kye.agency_drift.event.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector", "kye-drift-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident Detector + agency-drift surface anomalies; analyst review path emits canonical incident-opened / closed events." }, { "requirement_id": "soc2.CC7.3", "title": "The entity evaluates security events to determine whether they could or have resulted in a failure of the entity to meet its objectives (security incidents) and, if so, takes actions to prevent or address such failures.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC7 System Operations", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.signal.revocation.cascaded.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector", "kye-authority-revocation-orchestrator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident-classification path can trigger Revocation Cascade to contain blast radius before manual response." }, { "requirement_id": "soc2.CC7.4", "title": "The entity responds to identified security incidents by executing a defined incident response program to understand, contain, remediate, and communicate security incidents, as appropriate.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC7 System Operations", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.signal.evidence.sealed.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-incident-detector" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Incident response runbook ladder declared; SLA-bound containment automation under build (incident → revocation → sealed evidence pack)." }, { "requirement_id": "soc2.CC7.5", "title": "The entity identifies, develops, and implements activities to recover from identified security incidents.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC7 System Operations", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.closed.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "workers": [ "kye-audit-replay-orchestrator" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Replay Orchestrator can re-derive the pre-incident state; recovery-RTO acceptance criteria pending runbook ratification." }, { "requirement_id": "soc2.CC8.1", "title": "The entity authorises, designs, develops or acquires, configures, documents, tests, approves, and implements changes to infrastructure, data, software, and procedures to meet its objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC8 Change Management", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.governedui.approval.v1", "kye.evidence.pack.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1", "kye.governedui.module.approval_queue.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "GovernedUI approval modes (two-person + delegated) cover authorise/approve; Approval Evidence Pack carries the test + documentation evidence; Change Calendar binds the change window." }, { "requirement_id": "soc2.CC9.1", "title": "The entity identifies, selects, and develops risk mitigation activities for risks arising from potential business disruptions.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC9 Risk Mitigation", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.spof.path_to_full.v1" ], "constitution_refs": [ "constitution/51-NO-SPOF.md", "constitution/13-RESILIENCE-LOOP.md" ], "registries": [ "internal" ], "engines": [ "internal", "internal" ], "workers": [ "kye-gateway" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:no-spof-coverage" }, "notes": "§51 SPOF Registry enumerates every privileged dependency with a declared business-continuity posture; gate ratchets coverage monotonically." }, { "requirement_id": "soc2.CC9.2", "title": "The entity assesses and manages risks associated with vendors and business partners.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "CC9 Risk Mitigation", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/51-NO-SPOF.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "Subprocessor registry + cross-org delegation envelope declared; vendor-risk attestation cadence binding still in build." }, { "requirement_id": "soc2.P1.1", "title": "The entity provides notice to data subjects about its privacy practices to meet the entity's objectives related to privacy. The notice is updated and communicated to data subjects in a timely manner.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P1 Notice & Communication", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "AICPA P1.1. Comms Engine carries the privacy-notice dispatch template; consent acceptance is the receipt schema. Per-jurisdiction notice copy variants in build under §31 Data Governance Pack." }, { "requirement_id": "soc2.P2.1", "title": "The entity communicates choices available regarding the collection, use, retention, disclosure, and disposal of personal information to data subjects and the consequences, if any, of each choice.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P2 Choice & Consent", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.purpose.permission.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "AICPA P2.1. Purpose Permission is single-purpose by construction — every consent choice maps to a purpose grant whose scope, retention, and disclosure rule pack are bound at issue." }, { "requirement_id": "soc2.P3.1", "title": "Personal information is collected consistent with the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P3 Collection", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "AICPA P3.1. Purpose admissibility binds collection to the declared purpose at the perimeter; Data Classification tags PII fields before any storage event." }, { "requirement_id": "soc2.P3.2", "title": "For information requiring explicit consent, the entity communicates the need for such consent as well as the consequences of a failure to provide consent for the request for personal information, and obtains the consent prior to the collection of the information to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P3 Collection", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.purpose.permission.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "AICPA P3.2. Consent acceptance schema is a hard prerequisite to Purpose Permission issuance; absent or revoked consent causes admissibility to deny at the perimeter." }, { "requirement_id": "soc2.P4.1", "title": "The entity limits the use of personal information to the purposes identified in the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P4 Use, Retention & Disposal", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.evidence.decision_map.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-pdp" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "AICPA P4.1. Purpose Permission is the canonical single-purpose limiter; cross-purpose use requires a new admissibility decision, evidenced by tool-call pin envelope." }, { "requirement_id": "soc2.P4.2", "title": "The entity retains personal information consistent with the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P4 Use, Retention & Disposal", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "AICPA P4.2. Per-table retention policy declares the framework-justified retention horizon; WORM triggers prevent premature deletion and force ceremony-based release." }, { "requirement_id": "soc2.P4.3", "title": "The entity securely disposes of personal information to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P4 Use, Retention & Disposal", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit_retention_policy.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "AICPA P4.3. Disposal ceremony reuses the soc2.CC6.5 cryptographic-erasure path; per-class disposal attestation binding in build." }, { "requirement_id": "soc2.P5.1", "title": "The entity grants identified and authenticated data subjects the ability to access their stored personal information for review and, upon request, provides physical or electronic copies of that information to data subjects to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P5 Access", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.dsar.requested.v1", "kye.signal.dsar.fulfilled.v1", "kye.dsar_evidence_pack.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-dsar-evidence-agent" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AICPA P5.1. §31 DSAR Evidence Agent is the canonical bounded agent for data-subject access; emits the DSAR Evidence Pack as the copy artefact." }, { "requirement_id": "soc2.P5.2", "title": "The entity corrects, amends, or appends personal information based on information provided by data subjects and communicates such information to third parties, as committed or required, to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P5 Access", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.dsar.requested.v1", "kye.signal.entity.updated.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "AICPA P5.2. Entity-update event family carries the correction; downstream cross-org delegation event propagates to subprocessors. Per-third-party correction routing matrix in build." }, { "requirement_id": "soc2.P6.1", "title": "The entity discloses personal information to third parties with the explicit consent of data subjects, and such consent is obtained prior to disclosure to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P6 Disclosure & Notification", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consent.acceptance.v1", "kye.federation.cross_org_delegation.v1", "kye.subprocessor.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "AICPA P6.1. Cross-org delegation envelope binds third-party disclosure to a pre-existing consent acceptance + subprocessor registry row." }, { "requirement_id": "soc2.P6.2", "title": "The entity creates and retains a complete, accurate, and timely record of authorised disclosures of personal information to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P6 Disclosure & Notification", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.audit.event.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "AICPA P6.2. Every cross-border / third-party touch emits a tool-call pin envelope into the WORM chain — the disclosure ledger is replay-derivable from public keys alone." }, { "requirement_id": "soc2.P6.3", "title": "The entity creates and retains a complete, accurate, and timely record of detected or reported unauthorised disclosures (including breaches) of personal information to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P6 Disclosure & Notification", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1", "kye.audit.event.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AICPA P6.3. Incident Detector emits opened / classified / closed events that flow to the WORM chain; downstream regulator dispatch reuses §13 Resilience Loop." }, { "requirement_id": "soc2.P6.4", "title": "The entity obtains privacy commitments from vendors and other third parties who have access to personal information to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P6 Disclosure & Notification", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-12-31", "notes": "AICPA P6.4. Subprocessor schema declares per-vendor privacy attestation; vendor-attestation refresh cadence binding tracked under §21 Delegated Auditability. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "soc2.P6.5", "title": "The entity obtains commitments from vendors and other third parties with access to personal information to notify the entity in the event of actual or suspected unauthorised disclosures of personal information.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P6 Disclosure & Notification", "level": "mandatory", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.subprocessor.v1", "kye.signal.incident.opened.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "AICPA P6.5. Subprocessor agreements are contractual rather than protocol-enforceable; KYE records the vendor commitment and provides the breach-notification ingestion endpoint." }, { "requirement_id": "soc2.P6.6", "title": "The entity provides notification of breaches and incidents to affected data subjects, regulators, and others to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P6 Disclosure & Notification", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "AICPA P6.6. Comms Engine carries the breach-notification dispatch path; SLA-bound multi-recipient routing (data subjects + regulators) binding shares the §49 NIS2 A23.x path." }, { "requirement_id": "soc2.P6.7", "title": "The entity provides data subjects with an accounting of the personal information held and disclosure of the data subjects' personal information, upon the data subjects' request, to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P6 Disclosure & Notification", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.dsar_evidence_pack.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AICPA P6.7. DSAR Evidence Pack carries the accounting of disclosures derived from the WORM cross-org delegation event log." }, { "requirement_id": "soc2.P7.1", "title": "The entity collects and maintains accurate, up-to-date, complete, and relevant personal information to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P7 Quality", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.entity.created.v1", "kye.signal.entity.updated.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "AICPA P7.1. Entity Engine carries the canonical record; Reconciliation Engine flags declared-vs-deployed drift in the personal-information graph." }, { "requirement_id": "soc2.P8.1", "title": "The entity implements a process for receiving, addressing, resolving, and communicating the resolution of inquiries, complaints, and disputes from data subjects and others and periodically monitors compliance to meet the entity's objectives related to privacy.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "P8 Monitoring & Enforcement", "level": "mandatory", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-12-31", "notes": "AICPA P8.1. Incident family carries privacy-complaint intake; comms template + complaint-resolution attestation cadence in build." }, { "requirement_id": "soc2.PI1.1", "title": "The entity obtains or generates, uses, and communicates relevant, quality information regarding the objectives related to processing, including definitions of data processed and product and service specifications, to support the use of products and services.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "PI1 Processing Integrity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.observed_action.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "AICPA PI1.1. §43 Machine-Readable-by-Default mandates structured definitions for every consumed artefact; Decision Map records the exact inputs to every processing decision." }, { "requirement_id": "soc2.PI1.2", "title": "The entity implements policies and procedures over system inputs, including controls over completeness and accuracy, to result in products, services, and reporting to meet the entity's objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "PI1 Processing Integrity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal", "internal" ], "workers": [ "kye-pdp", "kye-gateway" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:pdp-ssot-canonical" }, "notes": "AICPA PI1.2. Purpose admissibility check validates input completeness against the declared single-purpose schema before processing; Gateway PEP rejects malformed payloads at the perimeter." }, { "requirement_id": "soc2.PI1.3", "title": "The entity implements policies and procedures over system processing to result in products, services, and reporting to meet the entity's objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "PI1 Processing Integrity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.reconciliation.verdict.v1" ], "engines": [ "internal", "internal" ], "reconcilers": [ "registry-manifest-alive", "openapi-worker-routes" ], "constitution_refs": [ "constitution/34-RECONCILIATION-ENGINE.md", "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:reconciliation" }, "notes": "AICPA PI1.3. §34 Reconciliation Engine binds processing to a deterministic verdict envelope; inline lane runs inside privileged middleware so processing drift is caught at emission, not at audit. Algorithm internals sit in the patent track." }, { "requirement_id": "soc2.PI1.4", "title": "The entity implements policies and procedures to make available or deliver output completely, accurately, and timely in accordance with specifications to meet the entity's objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "PI1 Processing Integrity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.signal.evidence.sealed.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal", "internal" ], "workers": [ "kye-comms-engine-worker" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "AICPA PI1.4. §35 Streaming Logs Contract enforces ≤5s cadence to tamper-evident sinks; Evidence Pack assembler seals deliverables before §38 Comms dispatch." }, { "requirement_id": "soc2.PI1.5", "title": "The entity implements policies and procedures to store inputs, items in processing, and outputs completely, accurately, and timely in accordance with system specifications to meet the entity's objectives.", "framework": "soc2", "framework_version": "TSC 2017 (revised 2022)", "framework_category": "PI1 Processing Integrity", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.audit.event.v1", "kye.audit_retention_policy.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "AICPA PI1.5. §30 WORM append-only triggers + R2 Object Lock + per-table retention policy form the canonical processing-record storage; integrity verified by hash-chain anchor." } ], "resolution_framing": null }, { "framework": "soc2-cc8-change-management", "display_name": "SOC 2 — CC8 Change Management (Common Criteria)", "framework_version": "2017 TSC", "source": "SOC 2 — CC8 Change Management (Common Criteria) — Trust Services Criteria attestation framework. KYE Protocol™ governs the SUBSET that resolves at the action boundary — the moment an AI-driven production action (a rollback / hotfix / infra-change) moves toward a consequential effect — under a recorded change-authority decision, with the change-class due-diligence recorded, replay-provable provenance, and named sign-off. KYE does not detect the incident, perform RCA, monitor the system, or operate the change-management tooling.", "license": "The SOC 2 Trust Services Criteria are published by the AICPA; KYE registry references the CC8 change-management criteria descriptively for mapping purposes and asserts no ownership of the criteria text.", "total": 2, "declared_total": 2, "coverage_pct": 50, "status_counts": { "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Change management — authorization & evidence (enforced action-boundary subset)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Change development & testing (out-of-scope — engineering / qa)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "soc2-cc8-change-management.cc8-1-change-authorization", "title": "CC8.1: an AI-proposed production change is authorized, documented, and evidenced before it is deployed", "framework": "soc2-cc8-change-management", "framework_version": "2017 TSC", "framework_category": "Change management — authorization & evidence (enforced action-boundary subset)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:production-action-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "SOC 2 CC8.1 requires the entity to authorize, design, develop, configure, document, test, approve, and implement changes to infrastructure, data, software, and procedures. KYE resolves the authorize-and-evidence subset at the action boundary: it refuses an AI-proposed production change whose authorization is not recorded and emits a signed, replay-provable change-evidence record an auditor can verify (authority-engine + decision-engine + evidence-engine). Honest scope (§70): KYE governs WHETHER the change may proceed and proves it — it does not design, develop, or test the change." }, { "requirement_id": "soc2-cc8-change-management.cc8-development-testing", "title": "Change design, development, and testing activities", "framework": "soc2-cc8-change-management", "framework_version": "2017 TSC", "framework_category": "Change development & testing (out-of-scope — engineering / qa)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "engineering", "notes": "The design, development, configuration, and testing activities within CC8.1 are engineering / QA functions. KYE™ enforces the change-authorization decision and its evidence at the action boundary; it does not design, build, or test the change. Out of scope (§0 honest scope) — owned by engineering / QA." } ], "resolution_framing": null }, { "framework": "sox-404", "display_name": "SOX §404 — Internal Control over Financial Reporting (tax-provision controls)", "framework_version": "2002", "source": "Section 404 of the Sarbanes-Oxley Act of 2002 requires management (and, for accelerated filers, the external auditor) to assess and attest to the effectiveness of internal control over financial reporting (ICFR). The income-tax provision is a recurring source of material weaknesses: it requires controls over the completeness and accuracy of the tax accrual, supporting documentation, review and approval, and reconciliation. KYE Protocol™ governs whether an AI-generated tax-provision figure / reserve may PROCEED to being booked, under recorded management-review controls with replay-provable provenance. KYE does not compute the tax provision or opine on ICFR effectiveness.", "license": "The Sarbanes-Oxley Act of 2002 is US federal law in the public domain; KYE registry cites §404 ICFR obligations for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Tax-provision ICFR design": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Review & approval controls": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Documentation & data integrity": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Management attestation": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "sox-404.tax-provision-icfr", "title": "Tax-provision ICFR: AI-generated reserve due-diligenced before it is booked", "framework": "sox-404", "framework_version": "2002", "framework_category": "Tax-provision ICFR design", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "SOX §404 requires a designed control over the completeness and accuracy of the income-tax provision in the financial statements. KYE treats booking a tax reserve as a consequential tax action and refuses an AI-generated provision figure absent a recorded due-diligence result, under the §12 Purpose Permission purpose-scope check. Enforced by tax_due_diligence_before_action. Honest scope: KYE proves the control operated; it does not compute the provision. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "sox-404.management-review-control", "title": "Management review control: named review & approval before the provision is booked", "framework": "sox-404", "framework_version": "2002", "framework_category": "Review & approval controls", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance", "kye:rule-pack:accounting-governance", "kye:rule-pack:investment-decision-authority" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "A management review control (MRC) — a named reviewer evaluating the tax accrual with sufficient precision — is the core SOX §404 control over the tax provision. KYE holds an AI-generated provision figure advisory until a named preparer / responsible tax officer records sign-off, via the §36 GovernedUI human-control surface; unreviewed AI-driven bookings are refused and routed dual-channel. Enforced by tax_signoff_gate + tax_named_preparer_authority. §54 §13 graft (REUSED for the accountability anchor, not re-mapped, §0.10): the kye:rule-pack:investment-decision-authority spine CONSUMES this management-review / accountability control — an AI-assisted investment decision/action stays advisory until a named portfolio manager / investment committee records sign-off (§36 two-person on the irreversible committee approval). KYE governs whether the decision may proceed under whose authority; it does not produce investment intelligence or judge whether the decision is correct. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "sox-404.documentation-data-integrity", "title": "Documentation & data integrity: provision supported by replay-provable provenance", "framework": "sox-404", "framework_version": "2002", "framework_category": "Documentation & data integrity", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance", "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "SOX §404 requires the tax provision to be supported by contemporaneous documentation and reliable underlying data an auditor can re-perform against. KYE requires every AI-generated provision figure that proceeds to be booked to emit a signed, replay-derivable provenance pin binding the model, the pinned source financial data, and the review outcome, per the §13 Resilience Loop. Enforced by tax_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "sox-404.management-attestation", "title": "Management attestation: AI-supported figures attributable to a named accountable owner", "framework": "sox-404", "framework_version": "2002", "framework_category": "Management attestation", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "SOX §404 culminates in management's attestation to ICFR effectiveness; figures produced by AI must remain attributable to a named accountable owner. KYE binds every AI-generated tax-provision figure to a named-preparer authority decision so the attestation chain is unbroken. Enforced by tax_named_preparer_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "sox-806", "display_name": "SOX §806 — Whistleblower Anti-Retaliation (18 U.S.C. §1514A)", "framework_version": "Sarbanes-Oxley Act §806 (18 U.S.C. §1514A) — whistleblower anti-retaliation", "source": "Section 806 of the Sarbanes-Oxley Act of 2002 (codified at 18 U.S.C. §1514A) prohibits publicly-traded companies from retaliating against an employee who provides information about conduct the employee reasonably believes constitutes a violation of specified federal laws. A complainant need only show the protected activity was a contributing factor in the adverse action, shifting the burden to the employer to show by clear and convincing evidence it would have taken the same action absent the protected activity. KYE Protocol™ governs whether an AI-assisted adverse HR action that touches a reporter may PROCEED — only with a recorded retaliation-risk assessment evidence (the reporter's protected-disclosure status, proximity to the disclosure, the stated non-retaliatory basis, and the named assessing authority) — so the employer's burden-of-proof record exists at the moment the action is taken. KYE does not decide whether the action is in fact retaliatory or adjudicate the §806 claim.", "license": "The Sarbanes-Oxley Act and the United States Code are US government works in the public domain; KYE registry paraphrases each requirement's intent and cites the official statute identifier for mapping purposes only.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Retaliation-risk assessment evidence before an adverse action": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & burden-of-proof reconstruction": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Whether the action was in fact retaliatory & §806 adjudication": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "sox-806.anti-retaliation-risk-record", "title": "An adverse HR action on a reporter proceeds only with a recorded retaliation-risk assessment evidence", "framework": "sox-806", "framework_version": "Sarbanes-Oxley Act §806 (18 U.S.C. §1514A) — whistleblower anti-retaliation", "framework_category": "Retaliation-risk assessment evidence before an adverse action", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Section 806 makes the protected activity a contributing factor and shifts the burden to the employer to show by clear and convincing evidence it would have taken the same action absent the disclosure. KYE binds every AI-assisted adverse HR action that touches a known reporter to a recorded retaliation-risk assessment (protected-disclosure status, proximity in time and decision-maker, the stated non-retaliatory basis, and the named assessing authority) at the §12 Purpose Permission action-admissibility gate before the action proceeds, refusing it dual-channel when no record is present. Enforced by whistleblower_anti_retaliation_risk_record via the authority-engine + decision-engine. KYE proves the assessment was recorded at T=0; it does not decide whether the action is retaliatory." }, { "requirement_id": "sox-806.contestability-burden-reconstruction", "title": "Contestability & burden-of-proof reconstruction of the adverse-action determination", "framework": "sox-806", "framework_version": "Sarbanes-Oxley Act §806 (18 U.S.C. §1514A) — whistleblower anti-retaliation", "framework_category": "Contestability & burden-of-proof reconstruction", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "When a §806 retaliation complaint is filed, the employer must reconstruct the basis for the adverse action to meet its clear-and-convincing burden. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every adverse-action determination, so it can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by whistleblower_reporter_contestability_record via the evidence-engine + replay-engine. KYE proves how the determination was made and makes it contestable; it does not adjudicate the §806 claim." }, { "requirement_id": "sox-806.substantive-retaliation-adjudication", "title": "Whether the action was in fact retaliatory and the adjudication of the §806 complaint", "framework": "sox-806", "framework_version": "Sarbanes-Oxley Act §806 (18 U.S.C. §1514A) — whistleblower anti-retaliation", "framework_category": "Whether the action was in fact retaliatory & §806 adjudication", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Deciding whether an adverse action was in fact retaliatory, weighing the contributing-factor and clear-and-convincing standards, and adjudicating the §806 complaint are legal determinations belonging to counsel, OSHA / ARB, and the courts. KYE™ is an AI-authority and evidence layer, not an adjudication engine — out of scope by design (§0 honest scope). KYE proves the retaliation-risk record was captured and makes the determination contestable; it does not decide whether retaliation occurred.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "tbs-directive-adm", "display_name": "TBS Directive on Automated Decision-Making (Canada federal government)", "framework_version": "Treasury Board Directive on Automated Decision-Making (in force; latest amendments effective 2023)", "source": "Treasury Board of Canada Secretariat, Directive on Automated Decision-Making (in force, amended 2023), governing federal-government automated decision systems. Algorithmic Impact Assessment requirement (Appendix B impact levels I-IV), transparency notice to affected individuals, meaningful explanation proportionate to impact, and quality-assurance + recourse / peer review obligations.", "license": null, "total": 4, "declared_total": 4, "coverage_pct": 100, "status_counts": { "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Algorithmic Impact Assessment": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Transparency notice": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Meaningful explanation": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Quality assurance + recourse": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "tbs-adm.aia", "title": "Algorithmic Impact Assessment: complete and keep current an AIA to determine the impact level (I-IV) of an automated decision system before production", "framework": "tbs-directive-adm", "framework_version": "TBS Directive on Automated Decision-Making — AIA (Appendix B)", "framework_category": "Algorithmic Impact Assessment", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.risk_assessment.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Risk Engine binds an automated decision system to a contemporaneous, impact-rated risk assessment kept current as the system changes — the Algorithmic Impact Assessment + impact-level determination the Directive requires for the agent layer." }, { "requirement_id": "tbs-adm.notice", "title": "Transparency notice: provide notice to affected individuals that an automated decision system is used, before or at the time of the decision", "framework": "tbs-directive-adm", "framework_version": "TBS Directive on Automated Decision-Making — transparency", "framework_category": "Transparency notice", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "The Reporting Engine assembles the transparency-notice content from the system's registered purpose + impact level — the use-of-an-ADS notice the Directive requires (the notice-delivery channel to the individual is a tenant-side process the KYE record substantiates)." }, { "requirement_id": "tbs-adm.explanation", "title": "Meaningful explanation: provide a meaningful explanation of how and why a decision was made, proportionate to the impact level", "framework": "tbs-directive-adm", "framework_version": "TBS Directive on Automated Decision-Making — explanation", "framework_category": "Meaningful explanation", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "The Decision Map records the inputs, rules and factors behind an automated decision; Replay-Proof™ reconstructs it independently — the meaningful, proportionate explanation the Directive requires." }, { "requirement_id": "tbs-adm.recourse", "title": "Quality assurance + recourse: provide affected individuals with recourse options and conduct peer review / quality assurance proportionate to impact", "framework": "tbs-directive-adm", "framework_version": "TBS Directive on Automated Decision-Making — QA + recourse", "framework_category": "Quality assurance + recourse", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-27", "notes": "The Evidence Pack substantiates a recourse request and a peer-review / quality-assurance examination of an automated decision. Designed: the recourse-intake and peer-review workflow surface is tracked in IMPLEMENTATION-PLAN.md; KYE supplies the evidence the recourse process runs against, not the recourse desk itself." } ], "resolution_framing": null }, { "framework": "three-lines-model", "display_name": "The IIA's Three Lines Model (2020)", "framework_version": "2020", "source": "The Institute of Internal Auditors — The IIA's Three Lines Model (2020 update of the Three Lines of Defence). KYE Protocol maps each of the six principles to the authority, evidence and assurance primitives that make AI-agent actions governable across the first line (operational management), second line (risk and compliance), and third line (internal audit). KYE supplies the runtime authority + evidence layer the model assumes; it does not replace any line's people or mandate.", "license": "IIA — model text is copyrighted; KYE registry paraphrases each principle's intent and cites the principle number for mapping purposes only.", "total": 6, "declared_total": 6, "coverage_pct": 38, "status_counts": { "enforced": 0, "designed": 3, "advisory": 3, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Governance": { "total": 2, "enforced": 0, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 38 }, "Roles": { "total": 2, "enforced": 0, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 38 }, "Assurance and value": { "total": 2, "enforced": 0, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 38 } }, "requirements": [ { "requirement_id": "three-lines.principle-1", "title": "Principle 1 — Governance: accountability, assurance and structures", "framework": "three-lines-model", "framework_version": "2020", "framework_category": "Governance", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "Principle 1 requires governance structures with clear accountability and appropriate oversight. KYE makes AI-agent authority an explicit, assigned, scoped object (Purpose Permission, §12) with human-control approval modes (GovernedUI, §36) — the structural precondition for accountable AI governance. PROOF-BAR: stays designed — governance-structure concept scoped in chapter." }, { "requirement_id": "three-lines.principle-2", "title": "Principle 2 — Governing body roles: oversight with integrity and transparency", "framework": "three-lines-model", "framework_version": "2020", "framework_category": "Governance", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "audit_events": [ "kye.evidence.pack.v1" ] }, "coverage_status": "advisory", "notes": "Principle 2 places integrity, leadership and transparency on the governing body. KYE gives the board replay-derivable Evidence Packs (§13) for AI-assisted decisions, so oversight rests on durable evidence rather than assertion — supporting transparent governing-body accountability." }, { "requirement_id": "three-lines.principle-3", "title": "Principle 3 — First and second line roles: operational authority and risk/compliance", "framework": "three-lines-model", "framework_version": "2020", "framework_category": "Roles", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ], "audit_events": [ "kye.evidence.decision_map.v1" ] }, "coverage_status": "advisory", "notes": "Principle 3 distinguishes first-line operational delivery from second-line risk and compliance expertise. KYE encodes both at the action boundary: the first-line authority an AI actor holds (Purpose Permission, §12) and the second-line policy check that gates it, both captured in the Decision Map (which policy applied, what it decided)." }, { "requirement_id": "three-lines.principle-4", "title": "Principle 4 — Third line role: independent and objective assurance", "framework": "three-lines-model", "framework_version": "2020", "framework_category": "Roles", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "Principle 4 establishes internal audit's independent assurance role. KYE's Delegated Auditability rail (§21) lets a third-line auditor replay and contest any governed AI decision through one bundle — the assurance surface the third line needs over AI-assisted actions. PROOF-BAR: stays designed — wire the Audit Pilot runtime to lift to advisory." }, { "requirement_id": "three-lines.principle-5", "title": "Principle 5 — Third line independence: verifiable without dependence on the first/second line", "framework": "three-lines-model", "framework_version": "2020", "framework_category": "Assurance and value", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "audit_events": [ "kye.replay.proof.v1" ] }, "coverage_status": "advisory", "notes": "Principle 5 requires the third line's independence from management. KYE's Replay Proof (§13) is derivable from public keys alone, so a third-line auditor can independently reconstruct and verify an AI decision without trusting — or even querying — the first or second line's systems." }, { "requirement_id": "three-lines.principle-6", "title": "Principle 6 — Creating and protecting value: aligned, coordinated assurance", "framework": "three-lines-model", "framework_version": "2020", "framework_category": "Assurance and value", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "Principle 6 frames all three lines as aligned toward creating and protecting value. KYE's single signed authority chain + one Decision Map + one Evidence Pack + one Replay Proof gives every line a shared, consistent source of truth about each AI action — coordination by construction, not committee. PROOF-BAR: stays designed — alignment is a structural property scoped in chapter." } ], "resolution_framing": null }, { "framework": "uk-ai-assurance", "display_name": "UK AI Assurance (DSIT)", "framework_version": "2024-11 roadmap", "source": "DSIT 'Introduction to AI assurance' (2024-02) + 'AI Assurance roadmap' (2024-11)", "license": "Open Government Licence v3.0", "total": 31, "declared_total": 31, "coverage_pct": 94, "status_counts": { "enforced": 28, "designed": 2, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Audit": { "total": 5, "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Conformity assessment": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Standards & certification": { "total": 9, "enforced": 7, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 89 }, "Impact assessment": { "total": 4, "enforced": 3, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 81 }, "Performance testing": { "total": 5, "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Risk management": { "total": 4, "enforced": 4, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 } }, "requirements": [ { "requirement_id": "uk-ai-assurance.audit.1", "title": "Audit — evidence-based examination of an AI system against declared criteria", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Audit", "level": "recommended", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.assurance.audit_pilot.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "worm_tables": [ "evidence_pack" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-worm-enforced" }, "notes": "Evidence Pack + WORM Audit Chain + Replay Orchestrator = a regulator-grade audit substrate; the auditor verifies the signed-chain envelopes end-to-end rather than trusting a sampled subset." }, { "requirement_id": "uk-ai-assurance.audit.2", "title": "Internal audit — first-party audit by the developing or deploying organisation", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Audit", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot harness runs deterministic internal audits on cadence — no manual sample collection needed." }, { "requirement_id": "uk-ai-assurance.audit.3", "title": "Third-party audit — independent audit by an external organisation", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Audit", "level": "recommended", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.auditors.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Cross-Org Delegation enables scoped third-party audit access; Auditors GovernedUI module is the canonical external-auditor surface." }, { "requirement_id": "uk-ai-assurance.conformity.1", "title": "Conformity assessment — declared technical requirements against measurable acceptance criteria", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Conformity assessment", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Conformance Runner is purpose-built — every declared requirement maps to a deterministic acceptance criterion verified on every release." }, { "requirement_id": "uk-ai-assurance.conformity.2", "title": "Declaration of conformity — provider-signed statement that the AI system meets specified requirements", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Conformity assessment", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.signal.evidence.sealed.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Compliance Attestation event family is the canonical declaration-of-conformity — signed, sealed, replayable from public keys." }, { "requirement_id": "uk-ai-assurance.conformity.3", "title": "Third-party conformity assessment — independent verification by an accredited body", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Conformity assessment", "level": "recommended", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.auditors.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "Audit Pilot harness + Auditors GovernedUI module let an accredited body run a replay-proof verification — the independent body verifies the chain, not a sampled subset." }, { "requirement_id": "uk-ai-assurance.roadmap.measure-1", "title": "DSIT AI Assurance Roadmap 2024-11 — Measure 1: develop AI assurance terminology and standards", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Standards & certification", "level": "recommended", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/24-DESIGN-DICTIONARY.md", "constitution/47-CANONICAL-EVERYTHING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:terminology" }, "notes": "Design Dictionary + canonical-everything chapter enforce single canonical assurance terminology; CI gate enforces." }, { "requirement_id": "uk-ai-assurance.roadmap.measure-2", "title": "DSIT AI Assurance Roadmap 2024-11 — Measure 2: build assurance market by upskilling industry", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Standards & certification", "level": "recommended", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/10-PARTNER.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Partner Program + Auditor engagement tier deliver the assurance-market upskilling channel; KYE Trainer Agent surface in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-ai-assurance.roadmap.measure-3", "title": "DSIT AI Assurance Roadmap 2024-11 — Measure 3: increase availability of high-quality assurance services", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Standards & certification", "level": "recommended", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:engagement-rail-canonical" }, "notes": "Universal Engagement Rail's auditor tier exposes a discoverable directory of assurance services." }, { "requirement_id": "uk-ai-assurance.roadmap.measure-4", "title": "DSIT AI Assurance Roadmap 2024-11 — Measure 4: support assurance accreditation/certification approaches", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Standards & certification", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consultant_certification.v1" ], "constitution_refs": [ "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:engagement-rail-canonical" }, "notes": "Consultant certification schema + auditor obligations encode accreditation tiers (Certified / Accredited / Independent)." }, { "requirement_id": "uk-ai-assurance.roadmap.measure-5", "title": "DSIT AI Assurance Roadmap 2024-11 — Measure 5: encourage international harmonisation", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Standards & certification", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Per-concept framework_coverage[] bijection enables one piece of evidence to satisfy multiple international frameworks (EU AI Act + ISO 42001 + NIST AI RMF + UK AI)." }, { "requirement_id": "uk-ai-assurance.conformity.4", "title": "Conformity assessment — second-party assurance (buyer-conducted) artefact", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Conformity assessment", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.evidence.pack.v1" ], "agents": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Regulator Replay Agent exposes the same audit-pilot bundle to buyer-conducted second-party assurance." }, { "requirement_id": "uk-ai-assurance.audit.4", "title": "Audit — independent third-party AI audit with public sign-off", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Audit", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.assurance.audit_pilot.v1", "kye.consultant_certification.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Audit Pilot output + independent-auditor sign-off via the engagement rail's auditor tier." }, { "requirement_id": "uk-ai-assurance.audit.5", "title": "Audit — Replay-Proof audit (deterministic re-execution by auditor from public artefacts)", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Audit", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Replay-Proof audit is a canonical KYE primitive — derivable from public keys alone." }, { "requirement_id": "uk-ai-assurance.impact.3", "title": "Impact assessment — algorithmic impact assessment with public summary", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Impact assessment", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.consequence_map.v1", "kye.evidence.pack.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Consequence map produces the algorithmic-impact-assessment content; public-summary surface aligned to ATRS Tier-1." }, { "requirement_id": "uk-ai-assurance.impact.4", "title": "Impact assessment — periodic re-assessment when model or data changes materially", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Impact assessment", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.change_calendar.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift detection triggers re-assessment; Change Calendar schedules cadence." }, { "requirement_id": "uk-ai-assurance.performance.4", "title": "Performance testing — formal verification of safety-critical properties", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Performance testing", "level": "conditional", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Formal-verification scenarios supported as a scenario class; integrations with TLA+ / Z3 toolchains in build for the safety-critical SKU." }, { "requirement_id": "uk-ai-assurance.performance.5", "title": "Performance testing — adversarial robustness benchmarking", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Performance testing", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Adversarial scenarios first-class in Scenario Engine." }, { "requirement_id": "uk-ai-assurance.risk.3", "title": "Risk management — risk-tier classification per AI use case", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Risk management", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine assigns per-use-case tier; Authority Register surfaces the tier-level decision." }, { "requirement_id": "uk-ai-assurance.risk.4", "title": "Risk management — continuous risk monitoring with escalation thresholds", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Risk management", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Continuous risk scoring + escalation thresholds at the Risk Engine." }, { "requirement_id": "uk-ai-assurance.standards.3", "title": "Standards & certification — alignment with ISO/IEC 42001 + ISO/IEC 42005 + ISO/IEC 23894", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Standards & certification", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Cross-framework alignment via framework_coverage[] bijection — ISO 42001 + 23894 already deep-mapped." }, { "requirement_id": "uk-ai-assurance.standards.4", "title": "Standards & certification — DataTrust / IEEE AI standards alignment", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Standards & certification", "level": "recommended", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/24-DESIGN-DICTIONARY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "IEEE/DataTrust alignment is tracked at the design-dictionary level; per-standard mapping pack in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-ai-assurance.impact.1", "title": "Impact assessment — anticipate and evaluate consequences for individuals, groups, environment", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Impact assessment", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.assurance.audit_pilot.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Consequence Mapping Engine carries population-impact classification; structured AI-impact-assessment workflow + signed report scheduled." }, { "requirement_id": "uk-ai-assurance.impact.2", "title": "Algorithmic Transparency Recording Standard (ATRS) — public-sector impact disclosure", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Impact assessment", "level": "conditional", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.risk.score.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "ATRS disclosure surface is owned by the public-sector deployer; KYE provides the underlying Capability Profile + risk score artefacts that populate the disclosure." }, { "requirement_id": "uk-ai-assurance.performance.1", "title": "Performance testing — measure system outputs against declared performance criteria", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Performance testing", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Conformance Runner replays Trace Replay Specs against pinned model + tool versions; results carry the auditable performance delta." }, { "requirement_id": "uk-ai-assurance.performance.2", "title": "Red-teaming and adversarial testing — probe the system for failure modes including jailbreaks", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Performance testing", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.stress_test.high_risk_detected.v1", "kye.agent.refusal.v1", "kye.evidence.tool_call_pin.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-envelope-vs-scope" }, "notes": "Stress-test signal escalates on red-team detected anomalies; §52 refusal envelope records adversarial-input outcomes deterministically." }, { "requirement_id": "uk-ai-assurance.performance.3", "title": "Continuous performance monitoring in deployment", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Performance testing", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.evidence.observed_action.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/35-STREAMING-LOGS.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "§35 Streaming Logs Contract streams every privileged decision at the moment of event; drift signal is the continuous-monitoring escalation." }, { "requirement_id": "uk-ai-assurance.risk.1", "title": "Risk management — identify, assess, treat, monitor AI risks throughout the lifecycle", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Risk management", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Risk Engine + Authority Register = continuous lifecycle risk management aligned with ISO 23894 / ISO 42001 / NIST AI RMF." }, { "requirement_id": "uk-ai-assurance.risk.2", "title": "Risk treatment decisions are recorded and reviewable", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Risk management", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.evidence.decision_map.v1", "kye.resilience.improvement_record.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Grant is the canonical risk-treatment record; Decision Map shows each application; Improvement Record closes the review loop." }, { "requirement_id": "uk-ai-assurance.standards.1", "title": "Use of recognised technical standards (ISO/IEC 42001, ISO/IEC 23894, NIST AI RMF, ISO/IEC 27001)", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Standards & certification", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:framework-coverage-bijection" }, "notes": "Framework-Coverage Bijection registers ISO 42001 + ISO 23894 + NIST AI RMF + ISO 27001 deep mappings alongside this one — single attestation discharges multiple standards." }, { "requirement_id": "uk-ai-assurance.standards.2", "title": "Certification — formal attestation by an accredited certification body that the AI system or AIMS conforms to a standard", "framework": "uk-ai-assurance", "framework_version": "2024-11 roadmap", "framework_category": "Standards & certification", "level": "recommended", "primary_role": "V", "kye_enforcement": { "audit_events": [ "kye.assurance.tier1_readiness.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Tier-1 Readiness signal carries the certification-readiness snapshot; UKAS-equivalent certification-body intake flow scheduled." } ], "resolution_framing": null }, { "framework": "uk-ai-framework", "display_name": "UK AI Regulatory Framework", "framework_version": "2023-03 white paper / 2024-02 response", "source": "DSIT 'A pro-innovation approach to AI regulation' (white paper 2023-03 + response 2024-02)", "license": "Open Government Licence v3.0", "total": 33, "declared_total": 33, "coverage_pct": 80, "status_counts": { "enforced": 22, "designed": 6, "advisory": 5, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Central function & sector regulator engagement": { "total": 10, "enforced": 3, "designed": 3, "advisory": 4, "deferred": 0, "out-of-scope": 0, "coverage_pct": 55 }, "P1 Safety, security & robustness": { "total": 6, "enforced": 6, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "P2 Appropriate transparency & explainability": { "total": 4, "enforced": 3, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 88 }, "P3 Fairness": { "total": 4, "enforced": 3, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 81 }, "P4 Accountability & governance": { "total": 5, "enforced": 4, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 90 }, "P5 Contestability & redress": { "total": 4, "enforced": 3, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 88 } }, "requirements": [ { "requirement_id": "uk-ai-framework.central-function", "title": "Central function (DSIT-hosted) monitors cross-cutting AI risks and coordinates between sector regulators (ICO, CMA, FCA, MHRA, Ofcom, etc.)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.federation.cross_org_delegation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Cross-regulator coordination is a government function; KYE provides framework-portable attestations (the same Evidence Pack discharges multiple regulator views) but does not interface directly with the central function." }, { "requirement_id": "uk-ai-framework.P1.safety-by-design", "title": "P1 — Safety considerations should be embedded throughout the AI system lifecycle (DSIT response §2.6)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P1 Safety, security & robustness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Safety embedded via Purpose Permission contract at every lifecycle stage; PDP refuses out-of-purpose actions." }, { "requirement_id": "uk-ai-framework.P1.testing", "title": "P1 — Pre-deployment and continuous testing including red-teaming and adversarial robustness (DSIT response §2.7)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P1 Safety, security & robustness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.assurance.audit_replay_report.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Scenario Engine + Conformance Runner support pre-deployment and continuous testing including adversarial scenarios." }, { "requirement_id": "uk-ai-framework.P1.incident-response", "title": "P1 — Incident response procedures for AI safety events (DSIT response §2.8)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P1 Safety, security & robustness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.signal.incident.closed.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Incident lifecycle covered end-to-end; cross-regulator notification routed via Comms Rail." }, { "requirement_id": "uk-ai-framework.P2.intelligibility", "title": "P2 — Sufficient information about output rationale to enable affected persons to interpret meaningfully (DSIT response §3.4)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P2 Appropriate transparency & explainability", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map produces a per-decision rationale that satisfies meaningful-interpretation for affected persons." }, { "requirement_id": "uk-ai-framework.P2.public-disclosure", "title": "P2 — Appropriate public disclosure where AI substantially affects rights/interests (DSIT response §3.5)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P2 Appropriate transparency & explainability", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1", "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "Public-disclosure templates registered in Comms Manifest; ATRS-aligned public registry endpoint in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-ai-framework.P3.bias-monitoring", "title": "P3 — Continuous monitoring for fairness/bias outcomes (DSIT response §4.5)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P3 Fairness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.scenario_run.v1", "kye.signal.drift.detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Scenario Engine + Drift Detector wire to fairness scenarios; canonical UK-fairness rule-pack in build." }, { "requirement_id": "uk-ai-framework.P3.equality-act", "title": "P3 — Compliance with Equality Act 2010 protected characteristics in AI decisions (DSIT response §4.7)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P3 Fairness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.data_use_manifest.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Equality Act protected-characteristic dictionary mapped to the data-classification engine; non-discrimination predicate at the PDP in build." }, { "requirement_id": "uk-ai-framework.P4.lifecycle-accountability", "title": "P4 — Lifecycle accountability across providers, deployers, and end users (DSIT response §5.4)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P4 Accountability & governance", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.federation.cross_org_delegation.v1", "kye.purpose.permission.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Cross-org delegation + Authority Engine span the full provider-deployer-end-user chain." }, { "requirement_id": "uk-ai-framework.P4.dpia-link", "title": "P4 — Linkage with existing UK GDPR DPIA where applicable (DSIT response §5.6)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P4 Accountability & governance", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "DPIA template inherits from the consequence-mapping output; one-DPIA-per-deployment workflow in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-ai-framework.P5.complaint-channel", "title": "P5 — Effective complaint and challenge channels for affected persons (DSIT response §6.4)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P5 Contestability & redress", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.incident.opened.v1", "kye.comms.dispatch.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "enforced", "decay_deadline": "2026-08-26", "notes": "Complaint intake feeds Incident Detector; structured affected-person workflow in build." }, { "requirement_id": "uk-ai-framework.P5.human-review", "title": "P5 — Right to human review of significant AI decisions (DSIT response §6.5)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P5 Contestability & redress", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.approval_decision.v1", "kye.evidence.decision_map.v1" ], "governedui_modules": [ "kye.governedui.module.action_approval.v1" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Action Approval surface provides the canonical human-review channel; Decision Map provides the underlying evidence." }, { "requirement_id": "uk-ai-framework.central-function.gap-analysis", "title": "Central function — gap analysis between regulator approaches and DSIT framework principles (DSIT response §7.4)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "advisory", "notes": "Central-function gap analysis is the UK government's role; KYE provides the per-framework coverage view that informs gap analysis." }, { "requirement_id": "uk-ai-framework.central-function.cross-cutting-risks", "title": "Central function — monitoring cross-cutting / emerging AI risks (DSIT response §7.5)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.signal.drift.detected.v1", "kye.risk.score.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Drift signals + risk scores produce the cross-tenant view of emerging risk." }, { "requirement_id": "uk-ai-framework.central-function.cross-regulator-coordination", "title": "Central function — cross-regulator coordination (CMA, ICO, FCA, OFCOM, etc.) (DSIT response §7.6)", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.comms.dispatch.v1" ], "constitution_refs": [ "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "advisory", "notes": "Cross-regulator coordination is the UK government's role; KYE provides the multi-recipient dispatch templates." }, { "requirement_id": "uk-ai-framework.regulator.ico-guidance", "title": "Sector regulator engagement — ICO guidance on AI and data protection", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "ICO AI auditing framework attributes mapped to the data-governance pack; compliance attestation rolls up." }, { "requirement_id": "uk-ai-framework.regulator.fca-guidance", "title": "Sector regulator engagement — FCA AI Discussion Paper / CP outcomes", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/26-COMMERCIAL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "FCA AI discussion-paper attributes mapped to financial-sector SKU profile; finalised CP mapping in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-ai-framework.regulator.mhra-guidance", "title": "Sector regulator engagement — MHRA SaMD + AI Airlock program", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1" ], "constitution_refs": [ "constitution/40-IMPLEMENTATION-CANONICAL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "MHRA SaMD + AI-Airlock + Change Program already deep-mapped in their own framework dirs; central-function view aggregates." }, { "requirement_id": "uk-ai-framework.regulator.cma-ai-foundation-models", "title": "Sector regulator engagement — CMA review of AI foundation models", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md" ] }, "coverage_status": "advisory", "notes": "CMA market-power review is a competition-authority concern; KYE supplies the capability + influence-envelope attributes that inform foundation-model market position." }, { "requirement_id": "uk-ai-framework.atrs.1", "title": "Algorithmic Transparency Recording Standard (ATRS) — Tier 1: high-level information about algorithmic tool", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.entity.model.v1", "kye.model.capability_profile.v1" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "ATRS Tier-1 fields generated from entity.model + capability profile; ATRS submission endpoint in build. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-ai-framework.atrs.2", "title": "ATRS — Tier 2: detailed information about algorithmic tool decision-making", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "Central function & sector regulator engagement", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.model.influence_envelope.v1" ], "constitution_refs": [ "constitution/43-MACHINE-READABLE-BY-DEFAULT.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "ATRS Tier-2 fields generated from decision map + influence envelope. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-ai-framework.P1.safety", "title": "AI systems should function in a robust, secure and safe way throughout the AI lifecycle", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P1 Safety, security & robustness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.resilience.drift_event.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "PDP refuses out-of-scope action (safety); drift detection captures robustness erosion; attestation closes the lifecycle loop." }, { "requirement_id": "uk-ai-framework.P1.security", "title": "Risks to the security of AI systems should be continually identified, assessed and managed", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P1 Safety, security & robustness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.tool_call_pin.v1", "kye.agent.mcp_allow_list.v1", "kye.agent.refusal.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-envelope-vs-scope" }, "notes": "MCP allow-list + Tool-Call Pin bound the attack surface continuously; refusal envelope is the security-event record." }, { "requirement_id": "uk-ai-framework.P1.robustness", "title": "AI systems should perform reliably under expected and unexpected conditions including adversarial inputs", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P1 Safety, security & robustness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.signal.stress_test.high_risk_detected.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Conformance Runner exercises adversarial fixtures; stress-test signal escalates when robustness floor is breached." }, { "requirement_id": "uk-ai-framework.P2.transparency", "title": "AI systems should be appropriately transparent — information about purpose, training data, function communicated", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P2 Appropriate transparency & explainability", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.model.capability_profile.v1", "kye.model.influence_envelope.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.entity_passport.v1" ], "constitution_refs": [ "constitution/14-AGENTS-AND-ENGINES.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Capability Profile + Influence Envelope are the canonical transparency artefacts; Entity Passport renders them for the human consumer." }, { "requirement_id": "uk-ai-framework.P2.explainability", "title": "AI systems should be appropriately explainable — decisions can be explained to affected parties", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P2 Appropriate transparency & explainability", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.trace_replay_spec.v1", "kye.governedui.evidence_timeline.v1" ], "engines": [ "internal", "internal" ], "governedui_modules": [ "kye.governedui.module.evidence_timeline.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map is the per-decision explanation; Trace Replay Spec lets the affected party reproduce it; Evidence Timeline is the human-facing surface." }, { "requirement_id": "uk-ai-framework.P3.fairness-policy", "title": "AI systems should not undermine legal rights, discriminate unfairly, create unfair commercial outcomes, or breach UK statutory equality duties", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P3 Fairness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.permission.v1", "kye.purpose.admissibility.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Purpose Permission encodes lawful-basis + non-discrimination policy; PDP refuses out-of-scope use that would breach UK Equality-Act-style criteria." }, { "requirement_id": "uk-ai-framework.P3.fairness-measurement", "title": "Fairness outcomes should be measurable and substantively tested across protected characteristics", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P3 Fairness", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.trace_replay_spec.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Substantive bias-metric measurement (group-fairness statistics across protected characteristics) is owned by the AI provider's data-science process; KYE records the attestation but does not compute the metrics." }, { "requirement_id": "uk-ai-framework.P4.governance-measures", "title": "Effective oversight of the supply and use of AI systems with clear lines of accountability", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P4 Accountability & governance", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.federation.cross_org_delegation.v1", "kye.risk.authority_register.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.authority_scope.v1", "kye.governedui.module.authority_drift.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ], "rule_packs": [ "kye:rule-pack:public-sector-governance" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Authority Engine + Cross-Org Delegation = end-to-end accountability chain; Authority Register surfaces it for top-management oversight." }, { "requirement_id": "uk-ai-framework.P4.accountability", "title": "Clear allocation of responsibility for the use, performance, and outcomes of an AI system", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P4 Accountability & governance", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.purpose.grant.v1", "kye.evidence.decision_map.v1", "kye.agent.governance.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/52-DELEGATED-AGENT-BINDING.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:agent-envelope-vs-scope" }, "notes": "Every decision carries the granting authority + agent envelope — responsibility allocation is a property of the record, not a separate document." }, { "requirement_id": "uk-ai-framework.P4.risk-management", "title": "Appropriate risk management practices throughout the AI lifecycle", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P4 Accountability & governance", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.risk.score.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:compliance-attestation" }, "notes": "Risk Engine + ≤90-day attestation = continuous lifecycle risk management aligned with NIST AI RMF + ISO 23894 + ISO 42001." }, { "requirement_id": "uk-ai-framework.P5.contestability", "title": "Affected third parties should be able to contest harmful outcomes or decisions", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P5 Contestability & redress", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.trace_replay_spec.v1", "kye.governedui.evidence_timeline.v1" ], "engines": [ "internal" ], "governedui_modules": [ "kye.governedui.module.evidence_timeline.v1", "kye.governedui.module.critical_point_review.v1" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md", "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Decision Map + replayable trace are the substrate of contestability — the affected party can demand and verify the deterministic re-run. Critical Point Review is the canonical contestation surface." }, { "requirement_id": "uk-ai-framework.P5.redress", "title": "Mechanisms for redress should be available, identifiable and accessible to affected parties", "framework": "uk-ai-framework", "framework_version": "2023-03 white paper / 2024-02 response", "framework_category": "P5 Contestability & redress", "level": "recommended", "primary_role": "H", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.signal.approval_evidence_pack.generated.v1" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md", "constitution/38-COMMS-RAIL.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-08-26", "notes": "DSAR Evidence Pack is the canonical right-of-access redress payload; structured contestation-intake workflow + Comms Rail acknowledgement template scheduled. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "uk-cpr-pd57ad", "display_name": "UK CPR Part 31 + PD 57AD — Disclosure & the Disclosure Certificate", "framework_version": "CPR Part 31 + Practice Direction 57AD (Disclosure in the Business and Property Courts, 2022)", "source": "The Civil Procedure Rules Part 31 and Practice Direction 57AD govern disclosure in English civil litigation (PD 57AD applying in the Business and Property Courts). They require parties to undertake a reasonable and proportionate search, to certify disclosure through a signed Disclosure Certificate, and to preserve documents — with the disclosing party's legal representatives responsible for the process. KYE Protocol™ governs whether an AI-assisted disclosure determination may PROCEED to a consequential litigation action — under a named responsible legal representative's authority, with chain-of-custody recorded, with a signed Evidence Pack, and a contestability record so a disclosure challenge can be reconstructed. KYE does not conduct the legal review or judge whether disclosure is substantively adequate.", "license": "The Civil Procedure Rules and Practice Directions are UK Crown copyright, reproduced under the Open Government Licence for mapping purposes; KYE registry paraphrases each requirement's intent and cites the official identifier.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Named-authority on the disclosure determination & certificate": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & reconstruction of a disclosure challenge": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Substantive disclosure review & adequacy judgment": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "uk-cpr-pd57ad.disclosure-certificate", "title": "An AI-assisted disclosure determination proceeds only under a recorded named-authority decision", "framework": "uk-cpr-pd57ad", "framework_version": "CPR Part 31 + Practice Direction 57AD (Disclosure in the Business and Property Courts, 2022)", "framework_category": "Named-authority on the disclosure determination & certificate", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "PD 57AD requires a signed Disclosure Certificate and places responsibility for the disclosure process on the party's legal representatives. When an AI review produces a disclosure determination (disclose, withhold for privilege, log) that moves toward a consequential litigation action, KYE binds it to a recorded named-authority decision (the agent, the determination, the action, and the named responsible legal representative under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by litigation_privilege_determination_authority via the authority-engine + decision-engine. KYE proves who authorised the disclosure determination; it does not conduct the legal review or sign the certificate." }, { "requirement_id": "uk-cpr-pd57ad.disclosure-challenge-reconstruction", "title": "Contestability & reconstruction of an AI-assisted disclosure determination when challenged", "framework": "uk-cpr-pd57ad", "framework_version": "CPR Part 31 + Practice Direction 57AD (Disclosure in the Business and Property Courts, 2022)", "framework_category": "Contestability & reconstruction of a disclosure challenge", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:litigation-evidence-discovery" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "PD 57AD allows a party to challenge the adequacy of disclosure, and the court may require the disclosing party to demonstrate the reasonableness of its search and process. KYE binds a contestability record + a signed, replay-provable Evidence Pack under a context seal to every AI-assisted disclosure determination, so a disclosure challenge can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by litigation_contestability_record + litigation_evidence_capture via the evidence-engine + replay-engine. KYE proves how the determination was made and makes it contestable; it does not judge the challenge." }, { "requirement_id": "uk-cpr-pd57ad.substantive-disclosure-review", "title": "Substantive disclosure review on the merits and the adequacy / proportionality judgment", "framework": "uk-cpr-pd57ad", "framework_version": "CPR Part 31 + Practice Direction 57AD (Disclosure in the Business and Property Courts, 2022)", "framework_category": "Substantive disclosure review & adequacy judgment", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Conducting the substantive disclosure review, deciding the scope of a reasonable and proportionate search, and judging whether disclosure is adequate are legal judgments belonging to the party's legal representatives. KYE™ is an AI-authority and evidence layer, not a disclosure-review or adequacy-judgment engine — out of scope by design (§0 honest scope). KYE proves the determination was authorised, recorded, and reconstructable; it does not make the disclosure judgment.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "uk-eccta-ftpf", "display_name": "UK Failure to Prevent Fraud (Economic Crime and Corporate Transparency Act 2023)", "framework_version": "ECCTA 2023 (in force 1 Sep 2025)", "source": "The UK Economic Crime and Corporate Transparency Act 2023 introduced the corporate 'failure to prevent fraud' offence: a large organisation is liable where an associated person commits a specified fraud intending to benefit the organisation, unless it had reasonable fraud-prevention procedures in place. KYE Protocol(TM) governs WHETHER an AI agent's action that could constitute or facilitate fraud may proceed at the action boundary, under named authority, with the prevention procedure recorded and replay-provable. KYE does not determine criminal fraud and does not replace the organisation's fraud-prevention programme or legal advice.", "license": "ECCTA 2023 is UK legislation (Crown copyright); KYE registry cites its provisions for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 38, "status_counts": { "enforced": 0, "designed": 2, "advisory": 2, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Reasonable fraud-prevention procedures (statutory defence)": { "total": 2, "enforced": 0, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 38 }, "Risk assessment & monitoring": { "total": 2, "enforced": 0, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 38 } }, "requirements": [ { "requirement_id": "uk-eccta-ftpf.reasonable-procedures", "title": "Reasonable fraud-prevention procedures — AI actions gated by named authority (statutory defence)", "framework": "uk-eccta-ftpf", "framework_version": "ECCTA 2023 (in force 1 Sep 2025)", "framework_category": "Reasonable fraud-prevention procedures (statutory defence)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "The statutory defence requires reasonable fraud-prevention procedures proportionate to risk. KYE binds an AI action that could facilitate fraud to a named-authority admissibility decision under §12 before it proceeds — a demonstrable preventive control at the point of action. PROOF-BAR: stays designed — no KYE engine wired; wire a runtime engine to enforce. KYE proves the procedure operated; it does not adjudicate the offence." }, { "requirement_id": "uk-eccta-ftpf.evidence-of-procedures", "title": "Demonstrable evidence the prevention procedures operated", "framework": "uk-eccta-ftpf", "framework_version": "ECCTA 2023 (in force 1 Sep 2025)", "framework_category": "Reasonable fraud-prevention procedures (statutory defence)", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "audit_events": [ "kye.evidence.pack.v1", "kye.replay.proof.v1" ] }, "coverage_status": "advisory", "notes": "A 'reasonable procedures' defence is only as strong as the evidence it operated. Every governed AI action emits a replay-derivable Evidence Pack (§13) and a Replay Proof verifiable from public keys alone — durable, independently reconstructable evidence that the fraud-prevention control ran at the moment of action." }, { "requirement_id": "uk-eccta-ftpf.risk-assessment", "title": "Fraud risk assessment — surfacing where AI actions create fraud exposure", "framework": "uk-eccta-ftpf", "framework_version": "ECCTA 2023 (in force 1 Sep 2025)", "framework_category": "Risk assessment & monitoring", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "audit_events": [ "kye.evidence.decision_map.v1" ] }, "coverage_status": "advisory", "notes": "Reasonable procedures rest on a fraud risk assessment. KYE's Decision Map (§13) records, per AI action, what authority was requested and what policy applied — making the fraud-exposure surface of AI-assisted actions explicit and reviewable in the risk assessment." }, { "requirement_id": "uk-eccta-ftpf.monitoring-review", "title": "Monitoring & review of fraud-prevention procedures", "framework": "uk-eccta-ftpf", "framework_version": "ECCTA 2023 (in force 1 Sep 2025)", "framework_category": "Risk assessment & monitoring", "level": "recommended", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "Procedures must be monitored and reviewed. KYE's Delegated Auditability rail (§21) makes every governed AI action contestable and reviewable with a replay-derivable record, supporting ongoing monitoring of the prevention regime. PROOF-BAR: stays designed — wire the Audit Pilot runtime to lift to advisory." } ], "resolution_framing": null }, { "framework": "uk-equality-act", "display_name": "UK Equality Act 2010", "framework_version": "2010", "source": "https://www.legislation.gov.uk/ukpga/2010/15/contents", "license": "UK Open Government Licence v3.0", "total": 2, "declared_total": 2, "coverage_pct": 75, "status_counts": { "enforced": 1, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Indirect discrimination (s.19)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Protected characteristics (s.4)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "uk-equality-act.INDIRECT_DISCRIMINATION_S19", "title": "A provision, criterion or practice (including an automated selection rule) that puts persons sharing a protected characteristic at a particular disadvantage is unlawful indirect discrimination unless it is a proportionate means of achieving a legitimate aim (Equality Act 2010 s.19)", "framework": "uk-equality-act", "framework_version": "2010", "framework_category": "Indirect discrimination (s.19)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:hr-recruitment" ], "audit_events": [ "kye.evidence.pack.v1", "kye.purpose.admissibility.v1" ], "constitution_refs": [ "constitution/49-UNIVERSAL-ENGAGEMENT-RAIL.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:hr-recruitment-product-canonical" }, "notes": "When a selection-rate ratio falls below the four-fifths threshold the hr-recruitment rule pack opens an adverse-impact review (kye:rule:hr_adverse_impact_four_fifths_review); the s.19 proportionate-means-of-a-legitimate-aim justification is recorded in the same signed evidence pack." }, { "requirement_id": "uk-equality-act.PROTECTED_CHARACTERISTICS_S4", "title": "The nine protected characteristics (age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, sexual orientation) define the groups against which adverse impact is assessed (Equality Act 2010 s.4)", "framework": "uk-equality-act", "framework_version": "2010", "framework_category": "Protected characteristics (s.4)", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/31-DATA-GOVERNANCE-PACK.md" ] }, "coverage_status": "designed", "notes": "Protected characteristics are the grouping dimension for the four-fifths selection-rate metric; special-category protected data is governed under §31 data governance and processed only on a resolved lawful basis. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "uk-gaap-frs102", "display_name": "UK GAAP — FRS 102 / FRS 105 Recognition, Measurement & Disclosure", "framework_version": "2024", "source": "FRS 102 (The Financial Reporting Standard applicable in the UK and Republic of Ireland) and FRS 105 (the micro-entities standard) are the core of UK GAAP. They set the recognition and measurement bases for assets, liabilities, income and expenses (Sections 2, 11–12 financial instruments, 17 property plant & equipment, 23 revenue, etc.), the selection and consistent application of accounting policies (Section 10), and the disclosure requirements that make the financial statements a true and fair presentation. KYE Protocol™ governs whether an AI-generated entry / statement may PROCEED to a consequential action with the FRS 102 / FRS 105 recognition, measurement, and disclosure basis recorded before the action and replay-provable. KYE does not compute the figures, select the accounting policy, or judge whether the treatment is correct.", "license": "FRS 102 and FRS 105 are issued by the Financial Reporting Council; KYE registry cites the standards for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Recognition & measurement": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Accounting policies & consistency": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Disclosure requirements": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Micro-entity (FRS 105) regime": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "uk-gaap-frs102.frs102-recognition-measurement", "title": "FRS 102 recognition & measurement basis recorded before an AI-generated entry proceeds", "framework": "uk-gaap-frs102", "framework_version": "2024", "framework_category": "Recognition & measurement", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "FRS 102 Section 2 (Concepts and Pervasive Principles) and the asset / liability / income / expense sections set the recognition criteria and the measurement bases (cost, fair value, amortised cost). KYE requires the recognition-and-measurement basis applied to an AI-generated entry to be recorded in the due-diligence result before the entry proceeds to be posted or approved, under the §12 Purpose Permission purpose-scope check. Enforced by accounting_due_diligence_before_action. Honest scope: KYE proves the basis was recorded; it does not compute the figure. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-gaap-frs102.frs102-accounting-policies", "title": "FRS 102 Section 10: accounting-policy selection bound into the AI-generated entry's provenance", "framework": "uk-gaap-frs102", "framework_version": "2024", "framework_category": "Accounting policies & consistency", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "FRS 102 Section 10 requires accounting policies to be selected to give a true and fair view and applied consistently. KYE requires the AI-generated entry's provenance pin to bind the accounting policy applied so a reviewer can verify policy consistency offline, per the §13 Resilience Loop. Enforced by accounting_provenance_pin. KYE preserves the policy applied; it does not select the policy. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-gaap-frs102.frs102-disclosure", "title": "FRS 102 disclosure requirements: AI-generated disclosure due-diligenced before the accounts are approved", "framework": "uk-gaap-frs102", "framework_version": "2024", "framework_category": "Disclosure requirements", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "FRS 102 requires extensive note disclosures (accounting policies, judgements, related parties, going concern) for the financial statements to present fairly. KYE treats approving the statutory accounts as a consequential action and refuses an AI-generated statement absent a recorded due-diligence result covering the required disclosures, under the §12 Purpose Permission purpose-scope check. Enforced by accounting_due_diligence_before_action. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-gaap-frs102.frs105-micro-entity", "title": "FRS 105 micro-entity regime: named-authority decision for the simplified-accounts filing", "framework": "uk-gaap-frs102", "framework_version": "2024", "framework_category": "Micro-entity (FRS 105) regime", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:accounting-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-06", "notes": "FRS 105 is the micro-entities standard permitting simplified recognition, measurement, and minimal disclosure for qualifying small companies filing with Companies House. KYE binds an AI-generated FRS 105 micro-entity set of accounts to a named-authority decision and holds the filing advisory until a named director records sign-off, via the §36 GovernedUI surface; unreviewed AI-driven micro-entity filings are refused and routed dual-channel. Enforced by accounting_named_authority + accounting_signoff_gate. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "uk-mlr-2017", "display_name": "UK Money Laundering Regulations 2017 (MLR 2017)", "framework_version": "SI 2017/692 (as amended)", "source": "The UK Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (SI 2017/692) set the AML/CTF obligations for regulated UK firms: risk assessment, customer due diligence, ongoing monitoring, and record-keeping. KYE Protocol(TM) governs WHETHER an AI agent's AML action may proceed under a named compliance officer's authority, with due diligence recorded before the action and replay-provable provenance. KYE does not run transaction-monitoring models or replace the firm's AML programme or legal advice. CONSUMED via the aml-financial-crimes spine (section-0: never re-mapped).", "license": "SI 2017/692 is UK legislation (Crown copyright); KYE registry cites its regulations for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 44, "status_counts": { "enforced": 0, "designed": 3, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Risk assessment": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Customer due diligence": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Ongoing monitoring": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Record-keeping": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 } }, "requirements": [ { "requirement_id": "uk-mlr-2017.risk-assessment", "title": "Regulation 18 — risk assessment surfaces AI-action AML exposure", "framework": "uk-mlr-2017", "framework_version": "SI 2017/692 (as amended)", "framework_category": "Risk assessment", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "MLR 2017 reg. 18 requires a documented AML/CTF risk assessment. KYE's record of per-action authority and policy (via the aml-financial-crimes spine) makes the AML-exposure surface of AI-assisted actions explicit for the assessment. PROOF-BAR: stays designed — wire a runtime engine to enforce. KYE proves the basis; it does not decide whether conduct is money laundering." }, { "requirement_id": "uk-mlr-2017.cdd", "title": "Regulations 27-28 — customer due diligence recorded before the action", "framework": "uk-mlr-2017", "framework_version": "SI 2017/692 (as amended)", "framework_category": "Customer due diligence", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "MLR 2017 regs. 27-28 require customer due diligence before establishing a relationship or transaction. KYE binds an AI-assisted AML action to a named-authority decision under §12 with the due-diligence result recorded before the action proceeds. PROOF-BAR: stays designed — wire a runtime engine to enforce." }, { "requirement_id": "uk-mlr-2017.ongoing-monitoring", "title": "Regulation 28(11) — ongoing monitoring with a contestable record", "framework": "uk-mlr-2017", "framework_version": "SI 2017/692 (as amended)", "framework_category": "Ongoing monitoring", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "MLR 2017 reg. 28(11) requires ongoing monitoring of the business relationship. KYE's Delegated Auditability rail (§21) makes every governed AI AML action contestable and reviewable with a replay-derivable record. PROOF-BAR: stays designed — wire the Audit Pilot runtime to lift to advisory." }, { "requirement_id": "uk-mlr-2017.record-keeping", "title": "Regulation 40 — replay-derivable record-keeping", "framework": "uk-mlr-2017", "framework_version": "SI 2017/692 (as amended)", "framework_category": "Record-keeping", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "audit_events": [ "kye.evidence.pack.v1", "kye.replay.proof.v1" ] }, "coverage_status": "advisory", "notes": "MLR 2017 reg. 40 requires retention of CDD and transaction records. Every governed AI AML action emits a replay-derivable Evidence Pack (§13) and a Replay Proof verifiable from public keys alone — durable, reconstructable records of the basis on which the action proceeded." } ], "resolution_framing": null }, { "framework": "uk-mtd", "display_name": "UK Making Tax Digital (MTD) — Digital Record-Keeping & API Filing", "framework_version": "2024", "source": "HMRC's Making Tax Digital regime (VAT Notice 700/22 and the MTD for Income Tax Self Assessment rules) requires in-scope taxpayers to keep digital records, to preserve unbroken 'digital links' between source data and the submitted return, and to file via functional-compatible software through HMRC's MTD API rather than by manual entry. KYE Protocol™ governs whether an AI-generated MTD figure / return may PROCEED to an API submission under a named preparer's authority, with the digital record-keeping and digital-link provenance recorded and replay-provable. KYE does not compute VAT / income tax or file on behalf of the taxpayer.", "license": "HMRC Making Tax Digital guidance and VAT Notice 700/22 are UK Crown-copyright published guidance; KYE registry cites the obligations for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Digital record-keeping & digital links": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "API filing integrity": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Preparer authority for submission": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "uk-mtd.digital-record-keeping", "title": "Digital record-keeping of the source data behind an AI-generated figure", "framework": "uk-mtd", "framework_version": "2024", "framework_category": "Digital record-keeping & digital links", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance", "kye:rule-pack:accounting-governance" ], "dictionaries": [ "internal", "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "MTD requires designated transactional records to be kept digitally in functional-compatible software. KYE requires an AI-generated MTD figure to bind, in its provenance pin, the digital source records it was derived from before it proceeds to submission, per the §13 Resilience Loop. Enforced by tax_provenance_pin. The accounting-governance rule pack reuses this same digital record-keeping requirement for AI-generated bookkeeping entries that feed the statutory accounts (accounting_provenance_pin). Honest scope: KYE preserves the record and its lineage; it does not compute the tax. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-mtd.digital-links", "title": "Unbroken digital link preserved from source data to submitted figure", "framework": "uk-mtd", "framework_version": "2024", "framework_category": "Digital record-keeping & digital links", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "MTD requires an unbroken 'digital link' (no manual copy-and-paste) between source data and the figures submitted to HMRC. KYE's replay-provable provenance pin establishes the digital link as an auditable chain from pinned source data through the AI transformation to the submitted figure. Enforced by tax_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-mtd.api-filing-integrity", "title": "API submission integrity: figure due-diligenced before it is sent to HMRC", "framework": "uk-mtd", "framework_version": "2024", "framework_category": "API filing integrity", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "MTD filing is performed programmatically via HMRC's MTD API, removing manual review unless designed in. KYE treats an API submission as a consequential tax action and refuses an AI-generated figure absent a recorded due-diligence result, under the §12 Purpose Permission purpose-scope check. Enforced by tax_due_diligence_before_action. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-mtd.preparer-authority-submission", "title": "Named preparer authority & sign-off before an MTD API submission", "framework": "uk-mtd", "framework_version": "2024", "framework_category": "Preparer authority for submission", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:tax-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "An automated MTD submission still requires an accountable agent / taxpayer behind it. KYE holds an AI-generated MTD figure advisory until a named preparer / responsible person records sign-off, via the §36 GovernedUI surface; unreviewed AI-driven submissions are refused and routed dual-channel. Enforced by tax_signoff_gate + tax_named_preparer_authority. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "uk-pida", "display_name": "UK PIDA — Public Interest Disclosure Act 1998 (ERA 1996 Part IVA)", "framework_version": "UK Public Interest Disclosure Act 1998 (Employment Rights Act 1996, Part IVA)", "source": "The Public Interest Disclosure Act 1998 amended the Employment Rights Act 1996 (Part IVA) to protect workers who make a 'protected disclosure' (a qualifying disclosure made in the public interest) from detriment and from dismissal. A worker subjected to a detriment, or dismissed, on the ground that they made a protected disclosure has a claim; dismissal on that ground is automatically unfair. KYE Protocol™ governs whether an AI-assisted handling of a protected disclosure, or an adverse action that touches a worker who made one, may PROCEED — under a named handler's authority, with a recorded retaliation / detriment-risk assessment before any adverse action, and a contestability record so a detriment or dismissal claim can be reconstructed. KYE does not decide whether the disclosure qualifies, whether a detriment occurred, or adjudicate the employment claim.", "license": "UK statutes are Crown copyright, reproduced under the Open Government Licence for mapping purposes; KYE registry paraphrases each requirement's intent and cites the official statute identifier.", "total": 3, "declared_total": 3, "coverage_pct": 67, "status_counts": { "enforced": 2, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Named-authority on the protected-disclosure handling & detriment-risk record": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Contestability & reconstruction for a detriment / dismissal claim": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Whether the disclosure qualifies & employment-tribunal adjudication": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "uk-pida.protected-disclosure-handling-authority", "title": "Handling a protected disclosure or an adverse action on a worker who made one proceeds only under a recorded named-authority decision with a detriment-risk record", "framework": "uk-pida", "framework_version": "UK Public Interest Disclosure Act 1998 (Employment Rights Act 1996, Part IVA)", "framework_category": "Named-authority on the protected-disclosure handling & detriment-risk record", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "PIDA protects a worker who makes a protected disclosure from detriment and dismissal. KYE binds every AI-assisted disposition of a protected disclosure to a recorded named-authority decision, and every adverse action that touches a worker who made one to a recorded detriment / retaliation-risk assessment, at the §12 Purpose Permission action-admissibility gate before it proceeds — refusing it dual-channel when no record is present. Enforced by whistleblower_case_disposition_authority + whistleblower_anti_retaliation_risk_record via the authority-engine + decision-engine. KYE proves who authorised the handling and that the detriment-risk record exists at T=0; it does not decide whether the disclosure qualifies or whether a detriment occurred." }, { "requirement_id": "uk-pida.detriment-claim-reconstruction", "title": "Contestability & reconstruction of the determination for a detriment / dismissal claim", "framework": "uk-pida", "framework_version": "UK Public Interest Disclosure Act 1998 (Employment Rights Act 1996, Part IVA)", "framework_category": "Contestability & reconstruction for a detriment / dismissal claim", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:whistleblower-speakup" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "When a worker brings a detriment or automatic-unfair-dismissal claim on the ground of a protected disclosure, the employer must reconstruct the basis for the action. KYE binds a contestability record + a signed, replay-derivable Evidence Pack under a context seal to every AI-assisted determination, so it can be reconstructed exactly as made and contested through a recorded route, per the §13 Resilience Loop + §21 Delegated Auditability. Enforced by whistleblower_reporter_contestability_record via the evidence-engine + replay-engine. KYE proves how the determination was made and makes it contestable; it does not adjudicate the tribunal claim." }, { "requirement_id": "uk-pida.qualifying-disclosure-and-adjudication", "title": "Whether the disclosure qualifies, whether a detriment occurred, and employment-tribunal adjudication", "framework": "uk-pida", "framework_version": "UK Public Interest Disclosure Act 1998 (Employment Rights Act 1996, Part IVA)", "framework_category": "Whether the disclosure qualifies & employment-tribunal adjudication", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Deciding whether a disclosure is a qualifying protected disclosure made in the public interest, whether a detriment in fact occurred on that ground, and adjudicating the employment-tribunal claim are legal determinations belonging to counsel and the tribunal. KYE™ is an AI-authority and evidence layer, not an adjudication engine — out of scope by design (§0 honest scope). KYE proves who authorised the handling and makes it contestable; it does not judge whether the disclosure qualifies.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "uk-smcr", "display_name": "UK Senior Managers & Certification Regime (SM&CR)", "framework_version": "2016 (FCA/PRA, as amended)", "source": "The UK Senior Managers & Certification Regime (FCA SYSC / PRA Rulebook), the accountability framework for senior individuals in FCA/PRA-regulated firms. KYE Protocol(TM) governs WHETHER an AI agent's action may proceed under a named Senior Manager's delegated authority, with the responsibility line recorded before the action and replay-provable evidence of who authorised what. KYE does not replace the firm's Statement of Responsibilities, the regulator's fitness-and-propriety assessment, or legal advice. CONSUMED via framework__rule_pack edges into the existing kye:rule-pack:sm-cr + kye:sector-pack:uk-financial-services-sm-cr (section-0: never re-mapped).", "license": "FCA/PRA rules are Crown copyright / regulator publications; KYE registry cites the regime's provisions for mapping purposes only.", "total": 4, "declared_total": 4, "coverage_pct": 44, "status_counts": { "enforced": 0, "designed": 3, "advisory": 1, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Senior Managers Regime": { "total": 2, "enforced": 0, "designed": 1, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 38 }, "Certification & Conduct Rules": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "uk-smcr.smf-responsibility", "title": "Senior Management Functions & Statements of Responsibility — recorded authority line for AI-assisted actions", "framework": "uk-smcr", "framework_version": "2016 (FCA/PRA, as amended)", "framework_category": "Senior Managers Regime", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:sm-cr" ], "sector_packs": [ "kye:sector-pack:uk-financial-services-sm-cr" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "SM&CR requires every Senior Management Function to have a documented Statement of Responsibilities. KYE binds an AI-assisted action in a regulated function to the named Senior Manager's purpose-scoped authority (§12), so the responsibility line is explicit at the moment of action. Enforced via kye:rule-pack:sm-cr. PROOF-BAR: stays designed — no KYE engine wired; wire a runtime engine to enforce." }, { "requirement_id": "uk-smcr.duty-of-responsibility", "title": "Duty of Responsibility — reasonable-steps evidence", "framework": "uk-smcr", "framework_version": "2016 (FCA/PRA, as amended)", "framework_category": "Senior Managers Regime", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:sm-cr" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ], "audit_events": [ "kye.evidence.pack.v1", "kye.replay.proof.v1" ] }, "coverage_status": "advisory", "notes": "Under the Duty of Responsibility a Senior Manager may be accountable where reasonable steps were not taken to prevent a contravention. KYE's replay-derivable Evidence Pack (§13) provides durable, independently verifiable evidence of what authority governed an AI action and what controls applied — the reasonable-steps record SM&CR enforcement relies on. KYE proves the basis; it does not adjudicate the duty." }, { "requirement_id": "uk-smcr.certification", "title": "Certification Regime — scope of authority for certified staff", "framework": "uk-smcr", "framework_version": "2016 (FCA/PRA, as amended)", "framework_category": "Certification & Conduct Rules", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:sm-cr" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "The Certification Regime covers staff in roles that could cause significant harm. KYE scopes the authority an AI actor (or an AI acting on behalf of certified staff) holds to act in such roles via §12 purpose-permission, so the scope of permitted action is explicit. PROOF-BAR: stays designed — wire a runtime engine to enforce." }, { "requirement_id": "uk-smcr.conduct-rules", "title": "Conduct Rules — contestable record of governed conduct", "framework": "uk-smcr", "framework_version": "2016 (FCA/PRA, as amended)", "framework_category": "Certification & Conduct Rules", "level": "mandatory", "kye_enforcement": { "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-15", "notes": "The Conduct Rules set minimum standards of behaviour. Where an AI assists conduct in scope, KYE's Delegated Auditability rail (§21) makes the governed decision contestable and reviewable with a replay-derivable record. PROOF-BAR: stays designed — wire the Audit Pilot runtime to lift to advisory." } ], "resolution_framing": null }, { "framework": "us-bsa-fincen", "display_name": "US Bank Secrecy Act / FinCEN — AML Program, CDD & SAR Requirements", "framework_version": "31 U.S.C. 5311 et seq.; 31 CFR Chapter X", "source": "The US Bank Secrecy Act (31 U.S.C. 5311 et seq.) and FinCEN's implementing regulations (31 CFR Chapter X) require covered financial institutions to maintain a risk-based AML program (31 U.S.C. 5318(h)), perform customer due diligence and beneficial-ownership identification (the FinCEN CDD Rule, 31 CFR 1010.230), file Suspicious Activity Reports (SARs) for suspicious transactions (31 CFR 1020.320 and parallel provisions), and keep records. KYE Protocol(TM) governs WHETHER an AI agent's AML action may proceed at the action boundary - alert triage, sanctions screening, SAR drafting, KYC/CDD - under a named compliance officer's / BSA officer's authority, with due diligence recorded before the action and replay-provable provenance, and section-36 two-person sign-off on the consequential SAR filing. KYE does not run transaction-monitoring models, does not decide whether a transaction is truly suspicious, and does not replace the institution's BSA/AML program.", "license": "The Bank Secrecy Act and FinCEN regulations are US federal law published under the US Government; KYE registry cites their sections for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "AML program (31 U.S.C. 5318(h))": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Customer due diligence & beneficial ownership (CDD Rule)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Suspicious Activity Reporting (SAR)": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Record-keeping": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "us-bsa-fincen.aml-program-5318h", "title": "AML program (31 U.S.C. 5318(h)): an AI AML action proceeds only under a recorded named-authority decision", "framework": "us-bsa-fincen", "framework_version": "31 U.S.C. 5311 et seq.; 31 CFR Chapter X", "framework_category": "AML program (31 U.S.C. 5318(h))", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "31 U.S.C. 5318(h) requires a risk-based AML program with a designated BSA/AML compliance officer. KYE binds every AI-assisted AML action (alert triage, screening, SAR drafting, KYC/CDD) to a named-authority decision - the agent, the action, and the named compliance officer / BSA officer under whose authority it proceeds - under the section-12 Purpose Permission purpose-scope check. Enforced by aml_named_authority. KYE governs whether the action may proceed under named authority; it does not run the AML program. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "us-bsa-fincen.cdd-beneficial-ownership", "title": "Customer due diligence & beneficial ownership (CDD Rule, 31 CFR 1010.230): CDD result recorded before an AI KYC/CDD action proceeds", "framework": "us-bsa-fincen", "framework_version": "31 U.S.C. 5311 et seq.; 31 CFR Chapter X", "framework_category": "Customer due diligence & beneficial ownership (CDD Rule)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The FinCEN CDD Rule (31 CFR 1010.230) requires identification and verification of beneficial owners of legal-entity customers and ongoing customer due diligence. KYE requires an AI-assisted KYC/CDD or onboarding decision to carry a recorded due-diligence result (identity / beneficial-ownership / risk determination) before it proceeds to a consequential action. Enforced by aml_due_diligence_before_action. KYE proves the CDD was performed before the action; it does not perform the identity verification. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "us-bsa-fincen.sar-filing", "title": "Suspicious Activity Reporting (SAR, 31 CFR 1020.320): the SAR filing is the killer consequential action requiring section-36 two-person sign-off", "framework": "us-bsa-fincen", "framework_version": "31 U.S.C. 5311 et seq.; 31 CFR Chapter X", "framework_category": "Suspicious Activity Reporting (SAR)", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "31 CFR 1020.320 (and parallel provisions for other institution types) requires the filing of a Suspicious Activity Report when a transaction is suspected to involve funds from illegal activity. The SAR filing is the killer consequential action - a regulator-facing submission to FinCEN that concentrates accountability. KYE holds an AI-drafted SAR advisory until a named BSA officer / MLRO records sign-off, and the filing additionally requires section-36 GovernedUI two-person sign-off (the drafting analyst AND an approving BSA officer). Enforced by aml_signoff_gate + aml_named_authority. KYE governs whether the SAR may proceed; the determination of suspicion is the named officer's. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "us-bsa-fincen.record-keeping", "title": "Record-keeping (31 CFR Chapter X): a replay-provable provenance pin preserves the AI AML decision lineage", "framework": "us-bsa-fincen", "framework_version": "31 U.S.C. 5311 et seq.; 31 CFR Chapter X", "framework_category": "Record-keeping", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The BSA record-keeping requirements (31 CFR Chapter X) require retention of CDD, transaction, and SAR records for the prescribed periods. KYE requires an AI-assisted AML action that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin binding the model and version, the screened lists / pinned source data, the due-diligence result, and the named-authority outcome, per the section-13 Resilience Loop, verifiable offline by an examiner. Enforced by aml_provenance_pin. KYE preserves the decision lineage; it does not generate the underlying records. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "us-eo-14110", "display_name": "US EO 14110 — Safe, Secure & Trustworthy AI (biosecurity / dual-use provisions)", "framework_version": "2023", "source": "US Executive Order 14110 (30 Oct 2023), 'Safe, Secure, and Trustworthy Development and Use of Artificial Intelligence' — established federal expectations around dual-use biology, nucleic-acid synthesis screening as a condition of federal funding, and content provenance / authentication. KYE Protocol™ governs whether an AI-generated sequence/molecule/protocol may PROCEED to a consequential action (synthesis, wet-lab, regulated stage), screened against dual-use controls, with replay-provable provenance — the obligations EO 14110 established for the bio/chem AI layer. KYE does not fold proteins, design molecules, or judge scientific validity.", "license": "US federal Executive Order text is in the public domain; KYE registry cites the order and its biosecurity / synthesis-screening / provenance provisions for mapping purposes.", "total": 4, "declared_total": 4, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 4, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Dual-use biology & synthesis screening": { "total": 2, "enforced": 0, "designed": 2, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Content provenance & authentication": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Human oversight of consequential AI action": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "us-eo-14110.4.4-synthesis-screening", "title": "Nucleic-acid synthesis screening as a condition of consequential synthesis", "framework": "us-eo-14110", "framework_version": "2023", "framework_category": "Dual-use biology & synthesis screening", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/25-EDGE-GOVERNANCE.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "EO 14110 §4.4 directed a framework for nucleic-acid synthesis procurement screening as a condition of federal funding. KYE classifies an AI-generated sequence moving toward synthesis as a bio_chem action and refuses it absent a recorded synthesis-admissibility decision under the §25 Edge Governance Safety Floor. Enforced by biochem_synthesis_admissibility. Honest scope: KYE proves the screen was checked; it does not run the screen. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "us-eo-14110.4.4-dual-use-bio", "title": "Dual-use biological design screened before a consequential action", "framework": "us-eo-14110", "framework_version": "2023", "framework_category": "Dual-use biology & synthesis screening", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "EO 14110 §4.4 addressed AI's potential to lower barriers to dangerous biological / chemical agents. KYE requires a recorded dual-use screening result (sequence-of-concern + dual-use lists) before an AI-generated design proceeds; a flagged or unscreened design is refused and routed dual-channel. Enforced by biochem_dual_use_screening. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "us-eo-14110.4.5-provenance", "title": "Content provenance & authentication for AI-derived artefacts", "framework": "us-eo-14110", "framework_version": "2023", "framework_category": "Content provenance & authentication", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "EO 14110 §4.5 directed standards for content provenance and authentication of AI-generated output. KYE requires every AI-generated design that proceeds toward a consequential action to emit a signed, replay-derivable provenance pin (model + version, inputs, pinned reference data, screening result) verifiable offline from published keys. Enforced by biochem_provenance_pin. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "us-eo-14110.human-oversight", "title": "Human oversight of consequential AI-driven bio/chem action", "framework": "us-eo-14110", "framework_version": "2023", "framework_category": "Human oversight of consequential AI action", "level": "mandatory", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:bio-chem-governance" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-05", "notes": "EO 14110's safe-and-secure-development principle requires meaningful human control over consequential AI action. KYE holds an AI-generated design advisory until a named human / biosafety-committee oversight sign-off is recorded; unreviewed AI-driven consequential actions are refused and routed dual-channel. Enforced by biochem_oversight_gate. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null }, { "framework": "us-state-chatbot-laws", "display_name": "US State AI-Chatbot Laws — consumer chatbot safeguards", "framework_version": "2024-2026", "source": "The wave of US state AI-chatbot statutes enacted across 13+ states (2024-2026) — including California SB 243 (companion-chatbot safeguards: AI disclosure, crisis referral, minor protections), the Utah AI Mental Health Chatbot Act, and comparable Acts in New York, Illinois, and other states. Four control themes recur: (1) mental-health / crisis protocols, (2) minor protections, (3) deception / manipulation prevention (disclosure + anthropomorphism), and (4) liability — with 7 of 14 enacted laws carrying a PRIVATE RIGHT OF ACTION at roughly $1,000 per violation, making real lawsuits the driver. KYE Protocol(TM) governs the AUTHORITY + EVIDENCE of the chatbot safeguard actions at the moment the interaction occurs: whether the applicable jurisdiction was resolved, the crisis-escalation authorised & triggered, the minor-profile applied, the disclosure shown, and litigation-grade evidence captured & replay-provable. KYE does NOT provide the chatbot / LLM, the clinical crisis-counselling content, or the GRC program.", "license": "US state statutes are public-record law; KYE registry cites the recurring chatbot-safeguard obligations for mapping purposes. Statutory text is paraphrased to the action-boundary authority/evidence slice KYE governs.", "total": 9, "declared_total": 9, "coverage_pct": 56, "status_counts": { "enforced": 5, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 4 }, "by_category": { "Jurisdiction-aware safeguard resolution": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Mental-health / crisis protocol": { "total": 2, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 50 }, "Minor protections": { "total": 2, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 50 }, "Deception / disclosure / anthropomorphism": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Liability / private right of action — litigation evidence": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Clinical crisis-counselling substance (out of scope)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 }, "Chatbot / model behaviour & UX (out of scope)": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "us-state-chatbot-laws.jurisdiction-resolution-applicable-safeguards", "title": "Jurisdiction-aware safeguard resolution: the applicable state-law regime and its safeguard set resolved before the interaction proceeds", "framework": "us-state-chatbot-laws", "framework_version": "2024-2026", "framework_category": "Jurisdiction-aware safeguard resolution", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:chatbot-authority" ], "dictionaries": [ "internal", "internal" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Because the enacted state AI-chatbot laws differ by state (crisis protocol, minor protections, disclosure, evidence), the operator MUST resolve the user's location to the applicable regime and its safeguard set before the interaction proceeds. KYE resolves this at the action boundary: the Action Admissibility(TM) gate refuses an interaction whose applicable jurisdiction is unresolved, reusing the canonical jurisdiction dictionary + the Cross-Jurisdiction Handoff Rail under the §12 Purpose Permission purpose-scope check (authority-engine + decision-engine). Enforced by chatbot_jurisdiction_resolution. Honest scope: KYE governs whether the applicable regime and safeguards were resolved and proves it; it does not author the chatbot or the safeguard content." }, { "requirement_id": "us-state-chatbot-laws.crisis-escalation-authority", "title": "Mental-health / crisis protocol: a detected crisis signal triggers an authorised crisis-escalation action", "framework": "us-state-chatbot-laws", "framework_version": "2024-2026", "framework_category": "Mental-health / crisis protocol", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:chatbot-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1", "kye.evidence.pack.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "The Utah AI Mental Health Chatbot Act and California SB 243's crisis-referral requirement mandate a crisis protocol when a mental-health-crisis signal surfaces. KYE governs the AUTHORITY of the escalation at the action boundary: an interaction carrying a detected crisis signal is refused unless an authorised crisis-escalation action is triggered (authority-engine + decision-engine), and the escalation outcome is bound into the Evidence Pack(TM) (evidence-engine). Enforced by chatbot_crisis_protocol_authority. Honest scope: KYE proves whether the crisis-escalation was authorised and triggered; it does NOT provide the clinical crisis-counselling content or the crisis service (out-of-scope row below)." }, { "requirement_id": "us-state-chatbot-laws.minor-protection-authority", "title": "Minor protections: a detected or declared minor has the restricted-minor safeguard profile applied under recorded authority", "framework": "us-state-chatbot-laws", "framework_version": "2024-2026", "framework_category": "Minor protections", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:chatbot-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "California SB 243 and related companion-chatbot Acts restrict chatbot interactions with minors. KYE governs the AUTHORITY of the restricted-minor profile at the action boundary: an interaction with a detected or declared minor is refused unless the restricted-minor safeguard profile is applied under a recorded authority decision (authority-engine + decision-engine). Enforced by chatbot_minor_restricted_profile_authority. Honest scope: KYE proves whether the minor-profile was applied under whose authority; it does not author the minor-safety content or run the age-estimation model." }, { "requirement_id": "us-state-chatbot-laws.disclosure-enforcement-authority", "title": "Deception / disclosure / anthropomorphism: the AI-is-not-human disclosure shown and anthropomorphism policy enforced", "framework": "us-state-chatbot-laws", "framework_version": "2024-2026", "framework_category": "Deception / disclosure / anthropomorphism", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:chatbot-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "California SB 243's clear-and-conspicuous AI disclosure (and the deception / anthropomorphism theme across the enacted laws) require an AI-is-not-human disclosure. KYE governs the ENFORCEMENT AUTHORITY at the action boundary: an interaction is refused unless the applicable disclosure has been shown and the operator's anthropomorphism / deception policy enforced (authority-engine + decision-engine). Enforced by chatbot_disclosure_enforcement. Honest scope: KYE proves whether the disclosure was shown and the policy enforced; it does not author the chatbot UX or disclosure copy." }, { "requirement_id": "us-state-chatbot-laws.litigation-evidence-capture", "title": "Liability / private right of action: litigation-grade Evidence Pack captured and replay-provable per interaction", "framework": "us-state-chatbot-laws", "framework_version": "2024-2026", "framework_category": "Liability / private right of action — litigation evidence", "level": "mandatory", "primary_role": "D", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:chatbot-authority" ], "dictionaries": [ "internal" ], "engines": [ "internal", "internal" ], "audit_events": [ "kye.evidence.tool_call.v1", "kye.replay.context_seal.v1", "kye.evidence.pack.v1", "kye.replay.proof.v1" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "7 of the 14 enacted US state AI-chatbot laws carry a PRIVATE RIGHT OF ACTION at roughly $1,000 per violation — so the operator must be able to PROVE, when sued, that the right safeguards applied to the right person in the right jurisdiction at the moment of interaction. KYE captures a signed, replay-derivable Evidence Pack(TM) per interaction binding the resolved jurisdiction, the safeguards applied, the person classification, the disclosure shown, the crisis-escalation outcome, and the authority outcome, retained under §30 WORM (evidence-engine + replay-engine). Enforced by chatbot_interaction_evidence_capture. Honest scope: KYE captures and proves the safeguard evidence; it does not provide the chatbot, the clinical content, or the GRC program." }, { "requirement_id": "us-state-chatbot-laws.clinical-crisis-counselling-substance", "title": "Clinical crisis-counselling substance: the crisis-intervention content, triage, and referral relationships", "framework": "us-state-chatbot-laws", "framework_version": "2024-2026", "framework_category": "Clinical crisis-counselling substance (out of scope)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "crisis-service", "notes": "The clinical crisis-counselling content, triage protocols, hotline referral relationships, and the safety of the crisis-intervention messaging itself are the crisis service's responsibility — not KYE's. KYE governs WHETHER the crisis-escalation was authorised & triggered and proves it (the enforced crisis-escalation-authority row above); it does not provide, validate, or judge the clinical crisis content. §0 complement-not-compete: ZERO KYE controls — coverage never inflated." }, { "requirement_id": "us-state-chatbot-laws.chatbot-model-behaviour-and-ux", "title": "Chatbot / model behaviour & UX: the conversational model, its outputs, and the product user experience", "framework": "us-state-chatbot-laws", "framework_version": "2024-2026", "framework_category": "Chatbot / model behaviour & UX (out of scope)", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "model-vendor", "notes": "The conversational model / LLM, its generated outputs, the age-estimation model, and the chatbot product user experience (including the disclosure copy and UX) are the model vendor's and the operator's responsibility — not KYE's. KYE governs the authority + evidence of the safeguard actions at the action boundary (the enforced rows above); it does not provide, run, or judge the chatbot, the model, or the UX. §0 complement-not-compete: ZERO KYE controls — coverage never inflated." }, { "requirement_id": "us-state-chatbot-laws.crisis-protocol-program-design", "title": "Mental-health crisis-protocol program design: the operator's crisis policy, escalation matrix, and staffing", "framework": "us-state-chatbot-laws", "framework_version": "2024-2026", "framework_category": "Mental-health / crisis protocol", "level": "recommended", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "customer", "notes": "Designing the operator's mental-health crisis policy, the escalation matrix, the human-staffing model, and the GRC program around it is the customer's (the operator's) responsibility — KYE does not run the GRC program. KYE consumes the operator's authorised crisis-escalation decision at the action boundary and proves it triggered (the enforced crisis-escalation-authority row above). §0 complement-not-compete: ZERO KYE controls — coverage never inflated." }, { "requirement_id": "us-state-chatbot-laws.minor-safety-content-and-age-policy", "title": "Minor protections — content & age policy: the minor-safety content rules and the age-verification program", "framework": "us-state-chatbot-laws", "framework_version": "2024-2026", "framework_category": "Minor protections", "level": "recommended", "kye_enforcement": {}, "coverage_status": "out-of-scope", "owning_role": "customer", "notes": "Authoring the minor-safety content rules, the age-verification program, and the substantive companion-interaction policy is the customer's (the operator's) responsibility. KYE governs whether the restricted-minor profile was applied under recorded authority and proves it (the enforced minor-protection-authority row above); it does not author the minor-safety content or run the age-verification program. §0 complement-not-compete: ZERO KYE controls — coverage never inflated." } ], "resolution_framing": null }, { "framework": "visa-ce30", "display_name": "Visa Compelling Evidence 3.0 (CE3.0)", "framework_version": "Visa Compelling Evidence 3.0 (CE3.0) — remedied-dispute evidence requirements (Visa Rules, fraud reason code 10.4)", "source": "Visa Compelling Evidence 3.0 (effective April 2023) defines the qualifying evidence a merchant must present to remedy a card-absent fraud dispute (reason code 10.4): two or more prior undisputed transactions on the same payment credential within a window, with at least two matching core data elements between the disputed and prior transactions (device ID / fingerprint, IP address, shipping address, customer account / login ID), plus supporting evidence such as delivery confirmation and product / service description. KYE Protocol™ governs whether the representment may PROCEED — under a named owner's recorded authority, with the qualifying evidence captured as evidence events at transaction time, and with the representment bundle sealed as a signed, hash-bound, WORM-retained, replay-verifiable Evidence Pack — which is exactly the provable evidence set CE3.0 representments turn on. KYE does not decide whether to fight the dispute, generate the dispute narrative, or judge the dispute outcome (the issuer and Visa do).", "license": "The Visa Rules and Compelling Evidence 3.0 requirements are Visa's own publications; the KYE registry paraphrases each requirement's intent and cites the programme name for mapping purposes only. No Visa text is reproduced.", "total": 4, "declared_total": 4, "coverage_pct": 75, "status_counts": { "enforced": 3, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1 }, "by_category": { "Qualifying evidence set captured at transaction time": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Representment bundle integrity (signed · hash-bound · WORM)": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Named-authority on the representment decision": { "total": 1, "enforced": 1, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 100 }, "Dispute outcome adjudication & narrative on the merits": { "total": 1, "enforced": 0, "designed": 0, "advisory": 0, "deferred": 0, "out-of-scope": 1, "coverage_pct": 0 } }, "requirements": [ { "requirement_id": "visa-ce30.evidence-set-capture", "title": "The CE3.0 qualifying evidence set is captured as evidence events at transaction time", "framework": "visa-ce30", "framework_version": "Visa Compelling Evidence 3.0 (CE3.0) — remedied-dispute evidence requirements (Visa Rules, fraud reason code 10.4)", "framework_category": "Qualifying evidence set captured at transaction time", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.evidence.pack.v1", "kye.evidence.tool_call.v1" ], "engines": [ "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "CE3.0 turns on evidence that only exists if it was recorded when the transactions ran: two-plus prior undisputed transactions on the same credential, two-plus matching core data elements (device ID, IP address, shipping address, account / login ID), delivery confirmation, and the product / service description. KYE requires this qualifying evidence set to be captured as timestamped, hash-bound evidence events at transaction time and bound into a decision map before a representment proceeds — with the honest gap enumerated when fields are missing — per the §13 Resilience Loop. Enforced by chargeback_dispute_evidence_capture via the evidence-engine. KYE proves the evidence was captured and what it contains; it does not judge whether the evidence remedies the dispute." }, { "requirement_id": "visa-ce30.representment-bundle-integrity", "title": "The representment bundle is signed, hash-bound, WORM-retained and replay-verifiable", "framework": "visa-ce30", "framework_version": "Visa Compelling Evidence 3.0 (CE3.0) — remedied-dispute evidence requirements (Visa Rules, fraud reason code 10.4)", "framework_category": "Representment bundle integrity (signed · hash-bound · WORM)", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.evidence.pack.v1", "kye.replay.context_seal.v1", "kye.replay.proof.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md", "constitution/30-AUDIT-WORM-RETENTION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:audit-chain-emission-coverage" }, "notes": "A representment lives or dies on whether the issuer believes the evidence is what the merchant says it is. KYE seals every representment bundle as a signed, replay-provable Evidence Pack — the qualifying evidence events, the named-authority decisions, and the assembly basis bound under a context seal, hash-bound over canonical JSON, WORM-retained, derivable from published keys alone — so the bundle submitted to Visa is reconstructable and verifiable offline when challenged in pre-arbitration or arbitration, per the §13 Resilience Loop + §30 WORM retention. Enforced by chargeback_evidence_pack_integrity via the evidence-engine + replay-engine. KYE proves the bundle's integrity and provenance; it does not argue the dispute." }, { "requirement_id": "visa-ce30.representment-authority", "title": "The representment decision proceeds only under a recorded named-authority decision", "framework": "visa-ce30", "framework_version": "Visa Compelling Evidence 3.0 (CE3.0) — remedied-dispute evidence requirements (Visa Rules, fraud reason code 10.4)", "framework_category": "Named-authority on the representment decision", "level": "mandatory", "kye_enforcement": { "audit_events": [ "kye.purpose.request.v1", "kye.purpose.admissibility.v1", "kye.evidence.decision_map.v1" ], "engines": [ "internal", "internal" ], "rule_packs": [ "kye:rule-pack:chargeback-evidence" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "enforced", "verification": { "npm_gate": "test:self-governance-coverage" }, "notes": "Submitting a representment is a consequential commercial action — it commits the merchant's evidence to the network record and carries fees on loss. When a representment moves toward submission, KYE binds it to a recorded named-authority decision (the agent or person proposing it, the dispute artefact, the action, and the named disputes owner under whose authority it proceeds) at the §12 Purpose Permission action-admissibility gate, refusing it dual-channel when no authority is recorded. Enforced by chargeback_representment_authority via the authority-engine + decision-engine. KYE proves who authorised the representment to proceed; it does not decide whether the dispute is worth fighting." }, { "requirement_id": "visa-ce30.dispute-outcome-adjudication", "title": "Dispute outcome adjudication, fight/accept strategy, and the dispute narrative on the merits", "framework": "visa-ce30", "framework_version": "Visa Compelling Evidence 3.0 (CE3.0) — remedied-dispute evidence requirements (Visa Rules, fraud reason code 10.4)", "framework_category": "Dispute outcome adjudication & narrative on the merits", "level": "mandatory", "kye_enforcement": {}, "coverage_status": "out-of-scope", "notes": "Deciding whether a dispute is worth fighting, composing the dispute narrative, scoring the fraud risk, and adjudicating the dispute outcome belong to the merchant, their dispute-management provider, the issuer, and Visa. KYE™ is an AI-authority and evidence layer, not a dispute-management or fraud-scoring engine — out of scope by design (§0 honest scope; complement-not-compete vs the dispute-management ecosystem). KYE proves the authority and the evidence; it does not fight the dispute.", "owning_role": "customer" } ], "resolution_framing": null }, { "framework": "voluntary-code-genai", "display_name": "Voluntary Code of Conduct — Advanced Generative AI (Canada)", "framework_version": "Voluntary Code of Conduct on the Responsible Development and Management of Advanced Generative AI Systems (ISED, September 2023)", "source": "Innovation, Science and Economic Development Canada, Voluntary Code of Conduct on the Responsible Development and Management of Advanced Generative AI Systems (September 2023). Six outcome principles for developers and managers of advanced generative systems: accountability, safety, fairness/equity, transparency, human oversight & monitoring, and validity & robustness. This mapping anchors the accountability, transparency, and human-oversight outcomes to the KYE action-governance layer.", "license": null, "total": 3, "declared_total": 3, "coverage_pct": 25, "status_counts": { "enforced": 0, "designed": 0, "advisory": 3, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Accountability": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Transparency": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 }, "Human oversight + monitoring": { "total": 1, "enforced": 0, "designed": 0, "advisory": 1, "deferred": 0, "out-of-scope": 0, "coverage_pct": 25 } }, "requirements": [ { "requirement_id": "voluntary-code-genai.accountability", "title": "Accountability outcome: implement a clear risk-management and accountability framework proportionate to the nature and risk profile of the generative AI system's activities", "framework": "voluntary-code-genai", "framework_version": "ISED Voluntary Code of Conduct — accountability (Sept 2023)", "framework_category": "Accountability", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.compliance.attestation.v1", "kye.assurance.risk_assessment.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md", "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "The Code is voluntary, so this row is advisory. The Authority Graph + Risk Engine give a generative-AI deployment a proportionate accountability framework with every action traced to a named principal under a risk-rated grant — the accountability outcome the Code seeks." }, { "requirement_id": "voluntary-code-genai.transparency", "title": "Transparency outcome: publish information about systems and ensure AI-generated content can be detected (e.g. provenance), and inform users they are interacting with an AI system", "framework": "voluntary-code-genai", "framework_version": "ISED Voluntary Code of Conduct — transparency (Sept 2023)", "framework_category": "Transparency", "level": "recommended", "primary_role": "D", "kye_enforcement": { "audit_events": [ "kye.evidence.decision_map.v1", "kye.compliance.attestation.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/21-DELEGATED-AUDITABILITY.md" ] }, "coverage_status": "advisory", "notes": "Advisory (voluntary Code). The Decision Map + Reporting Engine record and publish what a generative system did and on whose authority — the systems-transparency outcome the Code seeks. Content-provenance watermarking of the generated output itself is a complementary technique outside KYE's authority-governance scope." }, { "requirement_id": "voluntary-code-genai.oversight", "title": "Human oversight + monitoring outcome: monitor the operation of systems for harmful use and maintain human oversight in development and deployment", "framework": "voluntary-code-genai", "framework_version": "ISED Voluntary Code of Conduct — human oversight (Sept 2023)", "framework_category": "Human oversight + monitoring", "level": "recommended", "primary_role": "H/D", "kye_enforcement": { "audit_events": [ "kye.purpose.admissibility.v1", "kye.signal.incident.opened.v1" ], "engines": [ "internal", "internal" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md", "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "advisory", "notes": "Advisory (voluntary Code). GovernedUI™ approval modes (single / two-person / delegated) are the human-oversight surface, and the Drift Detector + Incident Detector are the harmful-use monitoring — the human-oversight-and-monitoring outcome the Code seeks for the action boundary." } ], "resolution_framing": null }, { "framework": "wolfsberg-principles", "display_name": "Wolfsberg Group AML Principles & Guidance", "framework_version": "current", "source": "The Wolfsberg Group is an association of global banks that publishes industry standards and guidance for AML, sanctions screening, and correspondent banking due diligence. Its principles set good-practice expectations for risk-based KYC/CDD, correspondent-banking due diligence, and the effectiveness, tuning, and governance of sanctions / transaction screening. KYE Protocol(TM) governs WHETHER an AI agent's AML or sanctions-screening action may proceed at the action boundary under a named compliance officer's authority, with due diligence recorded before the action and replay-provable provenance, and section-36 two-person sign-off on consequential filings. KYE does not run the screening engine, does not decide whether a name is a true sanctions match, and does not replace the institution's AML / sanctions program.", "license": "The Wolfsberg Principles are published by the Wolfsberg Group; KYE registry cites them for mapping purposes.", "total": 3, "declared_total": 3, "coverage_pct": 50, "status_counts": { "enforced": 0, "designed": 3, "advisory": 0, "deferred": 0, "out-of-scope": 0 }, "by_category": { "Risk-based KYC / CDD": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Sanctions & transaction screening governance": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 }, "Correspondent-banking due diligence": { "total": 1, "enforced": 0, "designed": 1, "advisory": 0, "deferred": 0, "out-of-scope": 0, "coverage_pct": 50 } }, "requirements": [ { "requirement_id": "wolfsberg-principles.risk-based-kyc-cdd", "title": "Risk-based KYC / CDD: due-diligence result recorded before an AI KYC/CDD action proceeds", "framework": "wolfsberg-principles", "framework_version": "current", "framework_category": "Risk-based KYC / CDD", "level": "recommended", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/12-PURPOSE-PERMISSION.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The Wolfsberg AML Principles set good-practice expectations for risk-based KYC/CDD. KYE requires an AI-assisted KYC/CDD or onboarding decision to carry a recorded due-diligence result (identity / beneficial-ownership / PEP / adverse-media / risk determination) before it proceeds to a consequential action. Enforced by aml_due_diligence_before_action. KYE proves the due diligence was performed before the action; it does not perform the verification itself. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "wolfsberg-principles.sanctions-screening-governance", "title": "Sanctions & transaction screening governance: an AI screening action proceeds under named authority with a provenance pin", "framework": "wolfsberg-principles", "framework_version": "current", "framework_category": "Sanctions & transaction screening governance", "level": "recommended", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "dictionaries": [ "internal" ], "constitution_refs": [ "constitution/13-RESILIENCE-LOOP.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The Wolfsberg guidance on sanctions and transaction screening sets expectations for the effectiveness, tuning, and governance of screening. KYE binds an AI-assisted screening / alert-disposition action to a named-authority decision and a signed, replay-derivable provenance pin (model, screened lists, due-diligence result, authority outcome) per the section-13 Resilience Loop, so a screening disposition is authority-bound and provable. Enforced by aml_named_authority + aml_provenance_pin. KYE governs whether the screening action may proceed and proves the basis; it does not run the screening engine or adjudicate whether a name is a true match. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." }, { "requirement_id": "wolfsberg-principles.correspondent-banking-due-diligence", "title": "Correspondent-banking due diligence: consequential correspondent decisions stay advisory until sign-off", "framework": "wolfsberg-principles", "framework_version": "current", "framework_category": "Correspondent-banking due diligence", "level": "recommended", "kye_enforcement": { "rule_packs": [ "kye:rule-pack:aml-financial-crimes" ], "constitution_refs": [ "constitution/36-GOVERNEDUI.md" ] }, "coverage_status": "designed", "decay_deadline": "2026-09-07", "notes": "The Wolfsberg Correspondent Banking Principles set due-diligence expectations for correspondent relationships. KYE holds an AI-driven consequential correspondent-banking decision (onboarding, exit, restriction) advisory until a named compliance officer records sign-off, with section-36 GovernedUI two-person sign-off on the consequential action. Enforced by aml_signoff_gate. KYE governs whether the correspondent decision may proceed; the professional judgment remains with the named officer. PROOF-BAR: stays designed — no KYE engine/agent wired; wire a runtime engine to enforce." } ], "resolution_framing": null } ], "artefact_index": {} }