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truth-pass: Annex III process genus, regulatory-basis provenance, pinned legal kernel, audit guards #73

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Amosk21 merged 1 commit into from
Jun 12, 2026
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truth-pass: Annex III process genus, regulatory-basis provenance, pinned legal kernel, audit guards #73

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6 changes: 6 additions & 0 deletions .github/workflows/arco-demo.yml
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Expand Up @@ -102,6 +102,12 @@ jobs:
set -euo pipefail
python -u 03_TECHNICAL_CORE/scripts/test_adversarial_mechanism.py

- name: Run canonical-IRI version-pin conformance test
shell: bash
run: |
set -euo pipefail
python -u 03_TECHNICAL_CORE/scripts/test_canonical_iris.py

- name: Verify artifact files exist
shell: bash
run: |
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3 changes: 3 additions & 0 deletions .github/workflows/arco-smoke-test.yml
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Expand Up @@ -49,3 +49,6 @@ jobs:

- name: Run adversarial-mechanism regression tests
run: python 03_TECHNICAL_CORE/scripts/test_adversarial_mechanism.py

- name: Run canonical-IRI version-pin conformance test
run: python 03_TECHNICAL_CORE/scripts/test_canonical_iris.py
3 changes: 3 additions & 0 deletions .gitignore
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Expand Up @@ -96,3 +96,6 @@ scripts/render_html_to_pdf_playwright.py

# Public diagrams are reviewed before being added to Git
04_DIAGRAMS_AND_MODELS/*

# NCOR business material - never publish to the public ARCO repo
docs/NCOR/
65 changes: 60 additions & 5 deletions 03_TECHNICAL_CORE/ontology/ARCO_core.ttl
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Expand Up @@ -6,6 +6,8 @@
@prefix rdfs:<http://www.w3.org/2000/01/rdf-schema#> .
@prefix owl: <http://www.w3.org/2002/07/owl#> .
@prefix skos:<http://www.w3.org/2004/02/skos/core#> .
@prefix cco: <http://www.ontologyrepository.com/CommonCoreOntologies/> .
@prefix xsd: <http://www.w3.org/2001/XMLSchema#> .

<https://arco.ai/ontology/core> rdf:type owl:Ontology ;
rdfs:label "ARCO Core (Gold Standard) — BFO/RO Aligned"@en ;
Expand Down Expand Up @@ -42,6 +44,44 @@
# AnnexIII1aApplicableSystem: full three-gate (capability + intent +
# scenario). Defined in governance extension.

#################################################################
# 0) REGULATORY-PROVENANCE ANNOTATION PROPERTY
#
# Declared in core (not governance) because annotation properties are
# inert under classification and benefit from being importable across
# files. Consumers of the governance extension inherit it automatically.
#
# :hasRegulatoryBasis is a narrow annotation-only exception to CLAUDE.md
# Invariant 6 (no custom properties). It is a subproperty of canonical
# CCO doctrinal_source and definition_source. Full CCO v1.7 declares
# doctrinal_source as a subproperty of definition_source; ARCO's BOT slim
# does not currently preserve that annotation-property hierarchy, so both
# parent links are stated here on the ARCO-local annotation property. This
# keeps the typed regulatory citations transparently visible to CCO consumers
# querying either doctrinal source or the broader definition-source predicate.
# The exception is documented at
# OPEN_PROBLEMS.md X.13 and docs/modeling_decisions/decisions_justification_map.md S3a.
#
# Constraints (do not relax without re-litigating S3a):
# - Annotation-only; never used in classification, object-property
# reasoning, or BFO relation modeling.
# - Subproperty of cco:doctrinal_source preserves the sharper doctrinal
# signal; subproperty of cco:definition_source preserves broader
# canonical-consumer compatibility despite BOT dropping the upstream
# annotation-property hierarchy.
# - Applied to regulatory universals (the fiat-grouping classes) and
# to OWL Axiom reifications on regulatory disjointness axioms.
# NOT applied to leaf capability kinds — those are treated as bona
# fide capability kinds (real participant-structure / cardinality
# distinctions); the Smith-Varzi pattern is applied analogically
# only at regulatory-extension partitions — see S3a.
#################################################################

:hasRegulatoryBasis a owl:AnnotationProperty ;
rdfs:subPropertyOf cco:doctrinal_source , cco:definition_source ;
rdfs:label "has regulatory basis"@en ;
skos:definition "Annotation property pointing the annotated class or axiom at the regulatory text that determines its extension. Subproperty of cco:doctrinal_source, narrowed to legal-authority citations for regulatory fiat partitions and regulatory disjointness consequences. Also asserted as a subproperty of cco:definition_source because ARCO's BOT slim does not preserve the upstream CCO annotation-property hierarchy from cco:doctrinal_source to cco:definition_source; this keeps regulatory citations visible to consumers querying the broader CCO definition-source predicate while carrying the sharper doctrinal-source signal. Documented narrow exception to ARCO Invariant 6 (no custom properties); annotation-only, semantically inert under OWL-RL classification and HermiT DL reasoning. See docs/modeling_decisions/decisions_justification_map.md S3a and OPEN_PROBLEMS.md X.13."@en .

#################################################################
# 1) REALITY-SIDE UNIVERSALS (BFO)
#
Expand All @@ -57,7 +97,7 @@

:System rdf:type owl:Class ;
rdfs:label "AI System"@en ;
skos:definition "An object aggregate of one or more material components, used in ARCO as the assessment target for EU AI Act Annex III gates. The class itself does not formally restrict to AI; the AI scope is supplied by the use case and by the disposition kinds the components bear."@en ;
skos:definition "An object aggregate of one or more material components, used in ARCO as the assessment target for EU AI Act Annex III gates. The class itself does not formally restrict to AI; whether the described artifact is an AI system within the meaning of Article 3(1) is a human-adjudicated input commitment held by the instance author — ARCO does not evaluate that threshold, and disposition kinds do not establish it (see LIMITATIONS)."@en ;
rdfs:subClassOf bfo:0000027 ; # Object Aggregate
rdfs:subClassOf [
a owl:Restriction ;
Expand Down Expand Up @@ -88,8 +128,8 @@

:BiometricIdentificationCapability rdf:type owl:Class ;
rdfs:label "Biometric Identification Capability"@en ;
skos:definition "The capability to identify an unknown person from biometric data by comparing a sample against many candidates (one-to-many matching). Triggers Annex III 1(a)."@en ;
rdfs:comment "1:N biometric identification capability. Realizations identify an unknown individual against a population database. Triggers Annex III 1(a). NOT the same as 1:1 verification (see BiometricVerificationCapability)." ;
skos:definition "The capability to identify an unknown person from biometric data by comparing a sample against many candidates (one-to-many matching). Gate 1 capability for ARCO's Annex III 1(a) encoding; classification additionally requires an intended use prescribing a REMOTE biometric identification process (Article 3(41)) and a use scenario designating natural persons."@en ;
rdfs:comment "1:N biometric identification capability. Realizations identify an unknown individual against a population database. Gate 1 capability for Annex III 1(a) — the regulated process kind is the REMOTE subkind (Art 3(41)) and all three gates are required for classification; the capability alone fires only the latent-risk flag. NOT the same as 1:1 verification (see BiometricVerificationCapability)." ;
rdfs:subClassOf :CapabilityDisposition .

:BiometricVerificationCapability rdf:type owl:Class ;
Expand All @@ -100,8 +140,8 @@

:CreditworthinessEvaluationCapability rdf:type owl:Class ;
rdfs:label "Creditworthiness Evaluation Capability"@en ;
skos:definition "The capability to evaluate a person's creditworthiness or assign a credit score for access to financial or public services. Triggers Annex III 5(b)."@en ;
rdfs:comment "Capability to evaluate creditworthiness of natural persons or establish their credit score, for access to financial or public services. Reality-side disposition (the hardware genuinely has this capacity). Regulatory grouping (AnnexIIITriggeringCapability) is asserted in the governance extension. Triggers Annex III 5(b)." ;
skos:definition "The capability to evaluate the creditworthiness of natural persons or establish their credit score (the Annex III 5(b) operative scope). Gate 1 capability for ARCO's 5(b) encoding; all three gates are required for classification."@en ;
rdfs:comment "Capability to evaluate the creditworthiness of natural persons or establish their credit score — the 5(b) operative text. Benefits-eligibility scoring for public assistance (Annex III 5(a) territory, unmodeled) is NOT this class. Reality-side disposition (the hardware genuinely has this capacity). Regulatory grouping (AnnexIIITriggeringCapability) is asserted in the governance extension. Gate 1 capability for Annex III 5(b)." ;
rdfs:subClassOf :CapabilityDisposition .

# Pairwise disjointness: these are genuinely different capability kinds.
Expand All @@ -111,6 +151,21 @@
:BiometricIdentificationCapability owl:disjointWith :CreditworthinessEvaluationCapability .
:BiometricVerificationCapability owl:disjointWith :CreditworthinessEvaluationCapability .

# Regulatory-fiat annotation on the identification-vs-verification disjointness.
# The underlying 1:N identification vs 1:1 verification cardinality is a real
# capability-kind distinction (different participant structures, different
# realizable process kinds). The regulatory CONSEQUENCE — that verification is
# carved out of Annex III 1(a) — is a fiat cut grounded in Regulation (EU)
# 2024/1689. See OPEN_PROBLEMS.md X.13 and decisions_justification_map.md S3a.
[ a owl:Axiom ;
owl:annotatedSource :BiometricIdentificationCapability ;
owl:annotatedProperty owl:disjointWith ;
owl:annotatedTarget :BiometricVerificationCapability ;
:hasRegulatoryBasis "Regulation (EU) 2024/1689, Article 3(35) (biometric identification definition), Article 3(36) (biometric verification definition, 1:1), Article 3(41) (remote biometric identification system definition), Annex III item 1(a), Recitals 15 and 17"@en ;
:hasRegulatoryBasis "https://eur-lex.europa.eu/eli/reg/2024/1689/oj"^^xsd:anyURI ;
skos:scopeNote "The 1:N identification and 1:1 verification process kinds have real technical content: different required participants, different realizable process kinds, different evaluability metrics (FAR/FRR for verification; rank-N accuracy for identification). The REGULATORY CONSEQUENCE of this disjointness — that biometric verification is excluded from Annex III 1(a) per Recital 15 / Recital 17 / Annex III 1(a) operative carve-out — is a fiat legal cut grounded in Regulation (EU) 2024/1689 Articles 3(35), 3(36), and 3(41). Smith-Varzi fiat/bona-fide distinction used analogically per S3a: the capability kinds are bona fide; the regulatory exclusion that rides on this disjointness is fiat."@en
] .

:OperationalProcess rdf:type owl:Class ;
rdfs:label "Operational Process"@en ;
skos:definition "A process in which an AI system realizes one or more of its capabilities at deployment."@en ;
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