ISO 42001 Mapping

Where Chio Contributes

Chio contributes to operational clauses and reference controls for logging and third-party relationships.

Clauses 4 (context), 5 (leadership), most of 6 (planning), 7.1 through 7.4 (resources, competence, awareness, communication), and 10 (improvement) are largely organizational and are marked org-owned below.

Coverage Legend

Main Body Clause Mapping

Clauses 4 and 5: Context and Leadership

Clause 6: Planning

The underwriting inputs in the rows above come from chio-underwriting, which classifies an agent into one of four risk tiers: Baseline, Guarded, Elevated, and Critical, from evidence references (receipt history, reputation, certification, runtime assurance, settlement exposure, and metered billing). Its evaluator is fail-closed and emits typed reason codes, such as low_reputation, missing_certification, and pending_settlement_exposure. The tier and its reasons populate the risk column of a 6.1.2 risk assessment and an 8.2 impact assessment; the assessment artifact itself stays operator-owned.

Clause 7: Support

Clause 8: Operation

Clauses 9 and 10: Performance Evaluation and Improvement

The monitoring surface those rows lean on is three named things, not a product: the receipt query API in crates/kernel/chio-kernel/src/receipt_query.rs, receipt analytics in crates/kernel/chio-kernel/src/receipt_analytics.rs, and the checkpoint-lag metrics chio_receipt_seconds_since_last_checkpoint and chio_receipt_uncheckpointed_seq_range registered in crates/observability/chio-metrics-spec/src/lib.rs, which chio receipt checkpoint status reports on demand. SIEM export is crates/observability/chio-siem.

Annex A Reference Controls

Annex A of ISO 42001 supplies a reference set of AI-specific controls. Control IDs follow the pattern A.x.y. Chio's strongest Annex A contribution is to A.6 (life cycle), A.7 (data), A.8 (information sharing), A.9 (use), and A.10 (third-party).

Statement of Applicability Patterns

A typical ISO 42001 Statement of Applicability names each Annex A control, states whether the control is applicable, justifies the decision, and identifies implementation evidence. Chio makes the evidence column concrete.

A.6.8:
  title: Recording of event logs
  applicability: applicable
  implementation_evidence:
    - chio signed receipt per invocation (allow or deny)
    - merkle checkpoint batches signed by kernel keypair
    - chain integrity verified via chio receipt checkpoint verify
    - per-receipt inclusion proofs emitted to inclusion-proofs.ndjson on export

A.7:
  title: Data for AI systems
  applicability: applicable
  implementation_evidence:
    - SqlQueryGuard column constraints
    - vector store guard for retrieval governance
    - response_sanitization for output redaction
    - data_flow guard for cross-tool transfer limits

Audit Evidence Patterns

Internal audit under Clause 9.2 needs repeatable evidence assembly. Chio's evidence export plus the receipt query API are the mechanical answer.

Every local receipt read is fail-closed on a tenant boundary. Pass --admin-all to read across all tenants as an administrative operation, or --tenant <id> to scope the read to one; the two conflict, and omitting both is an error rather than a default.

# Export the evidence package for the audit window.
# --since / --until are Unix seconds (Q1 2026 here).
$ chio evidence export \
    --policy-file ./policy.yaml \
    --receipt-db ./receipts.sqlite3 \
    --admin-all \
    --since 1767225600 \
    --until 1775001599 \
    --require-proofs \
    --output ./q1-iso-42001-evidence

# Sample the Annex A.6.8 event-log surface (100 allow + 100 deny).
# chio receipt list emits one JSON receipt per line (JSON Lines).
$ chio receipt list --receipt-db ./receipts.sqlite3 --admin-all \
    --outcome allow --limit 100 > samples/allow.jsonl
$ chio receipt list --receipt-db ./receipts.sqlite3 --admin-all \
    --outcome deny --limit 100 > samples/deny.jsonl

# Produce a compliance certificate for one governed session,
# an anchor for the management review.
$ chio cert generate \
    --session-id acp-session-01HQ0A... \
    --receipt-db ./receipts.sqlite3 \
    --output ./session-certificate.json

Known Gaps

• A.7.3 Data quality: out of scope at the tool-governance layer. Data-quality programs run in the data platform.
• A.7.5 Data preparation: out of scope. Preparation pipelines are operator-owned.
• A.6.3 SDLC evidence: Chio's own build pipeline enforces clippy, tests, and canonical JSON, but the customer's SDLC for their agent and its tool servers is operator-owned.
• Management review outputs: Chio's compliance certificates summarize operational posture, but the written management-review minutes remain an organizational artifact.

For the regulation-driven mapping against Article 19, Article 14, and Annex IV, see EU AI Act. For SOC 2, HIPAA, and PCI DSS control mappings, see Compliance Frameworks.