The rules
Only the mandatory rules decide a pack's finding. A recommended rule that fails is reported and does not, on its own, make a record non-compliant. Each rule's words below are the pack's own.
iso-42001-record-keeping mandatory
Records of the AI system's life cycle are kept, ordered and traced to their origin. Checks: the lineage is at least one record long; the training input is committed by a Merkle root over at least one input, and the root is not that of an empty tree, so a record that declares its training input not held or not disclosed fails; a record with predecessors names the one before it by hash; training does not end before it starts or after the record was issued, and the collection period does not end before it starts; and the lineage was verified back to the initial record, so a successor evaluated without its predecessors is indeterminate. Does not check: the event logs of the system in operation, or that the committed input is the data actually used. The lineage stands for the event log of A.6.2.8 and the Merkle commitment for the data provenance of A.7.5: this pack's reading.
ISO/IEC 42001:2023 Annex A controls A.6.2.8 (AI system recording of event logs) and A.7.5 (data provenance)
iso-42001-technical-documentation mandatory
The technical documentation identifies what was learned, where, and what was deployed. Checks: the learned state and its components are pinned by hash and size; the training software and the software hash of the training environment are declared and not empty, and the software hash parses as a hash; and a deployment or policy-change record keeps the model of its verified immediate predecessor, the same model_hash, so one evaluated without that predecessor is indeterminate. Does not check: the rest of the documentation A.6.2.7 calls for.
ISO/IEC 42001:2023 Annex A control A.6.2.7 (AI system technical documentation)
iso-42001-supplier-assurance recommended
A system obtained from a supplier arrives with an attestation at software level or stronger, so the organisation's supplier controls rest on more than a self-assertion. Checks: the record declares an attestation_level of software or stronger. Does not check: that the issuer attests at that level in fact, that the record came from a supplier at all, or that any supplier control A.10.3 calls for is in place. The level is the issuer's own claim about itself, and what the trust store grants the signing key is the verifier's trust.attestation check, before any pack is evaluated.
ISO/IEC 42001:2023 Annex A control A.10.3 (suppliers)
