observability-toolkit 2.0.0 → 2.1.0

package/dist/lib/audit/compliance-report.js

@@ -0,0 +1,205 @@
+/**
+ * Compliance Report Generation for EU AI Act
+ *
+ * Generates structured compliance reports summarizing audit trail coverage,
+ * hash chain integrity, retention status, and per-article compliance checks.
+ *
+ * Articles covered:
+ * - Article 12: Record-keeping (automatic event logging, session tracking)
+ * - Article 13: Transparency (tamper evidence, evaluation provenance)
+ * - Article 19: Automatically generated logs (6-month retention)
+ *
+ * @see https://eur-lex.europa.eu/eli/reg/2024/1689/oj
+ */
+import { z } from 'zod';
+import { queryAuditRecords, verifyChainIntegrity, chainIntegrityResultSchema, } from './audit-record.js';
+import { AUDIT_MIN_RETENTION_DAYS, getRetentionStatus } from './retention-guard.js';
+import { TELEMETRY_DIR, MAX_EXPORT_LIMIT } from '../core/constants.js';
+// ============================================================================
+// Zod Schemas for Compliance Report Types
+// ============================================================================
+export const complianceStatusSchema = z.enum(['compliant', 'partial', 'gap']);
+export const complianceCheckItemSchema = z.object({
+    requirement: z.string().min(1),
+    article: z.string().min(1),
+    status: complianceStatusSchema,
+    detail: z.string(),
+});
+export const coverageSummarySchema = z.object({
+    traceRecords: z.int().nonnegative(),
+    evaluationRecords: z.int().nonnegative(),
+    verificationRecords: z.int().nonnegative(),
+    systemRecords: z.int().nonnegative(),
+});
+export const complianceReportSchema = z.object({
+    generatedAt: z.iso.datetime(),
+    reportingPeriod: z.object({
+        startDate: z.iso.date(),
+        endDate: z.iso.date(),
+    }),
+    retention: z.record(z.string(), z.unknown()), // RetentionStatus type
+    auditRecordCount: z.int().nonnegative(),
+    chainIntegrity: chainIntegrityResultSchema,
+    coverage: coverageSummarySchema,
+    checks: z.array(complianceCheckItemSchema),
+    overallStatus: complianceStatusSchema,
+});
+export const complianceReportOptionsSchema = z.object({
+    startDate: z.iso.date().optional(),
+    endDate: z.iso.date().optional(),
+    telemetryDir: z.string().optional(),
+});
+/**
+ * Build coverage summary from audit records.
+ */
+function buildCoverage(records) {
+    const coverage = {
+        traceRecords: 0,
+        evaluationRecords: 0,
+        verificationRecords: 0,
+        systemRecords: 0,
+    };
+    for (const record of records) {
+        switch (record.category) {
+            case 'trace':
+                coverage.traceRecords++;
+                break;
+            case 'evaluation':
+                coverage.evaluationRecords++;
+                break;
+            case 'verification':
+                coverage.verificationRecords++;
+                break;
+            case 'system':
+                coverage.systemRecords++;
+                break;
+        }
+    }
+    return coverage;
+}
+/**
+ * Run compliance checks against the audit data.
+ */
+function runComplianceChecks(records, coverage, retention, chainIntegrity) {
+    const checks = [];
+    // Article 12(1): Automatic event logging
+    checks.push({
+        requirement: 'Automatic event logging',
+        article: 'Art. 12(1)',
+        status: coverage.traceRecords > 0 ? 'compliant' : 'gap',
+        detail: coverage.traceRecords > 0
+            ? `${coverage.traceRecords} trace records captured`
+            : 'No trace records found in reporting period',
+    });
+    // Article 12(3)(a): Session identification
+    const allHaveSession = records.every(r => r.sessionId && r.sessionId.trim().length > 0);
+    checks.push({
+        requirement: 'Session identification',
+        article: 'Art. 12(3)(a)',
+        status: records.length === 0 ? 'gap' : allHaveSession ? 'compliant' : 'partial',
+        detail: records.length === 0
+            ? 'No records to verify'
+            : allHaveSession
+                ? `All ${records.length} records have session IDs`
+                : 'Some records missing session IDs',
+    });
+    // Article 12(3)(c): Tool/input logging
+    checks.push({
+        requirement: 'Tool and input logging',
+        article: 'Art. 12(3)(c)',
+        status: coverage.traceRecords > 0 ? 'compliant' : 'gap',
+        detail: coverage.traceRecords > 0
+            ? `${coverage.traceRecords} trace records with tool/input data`
+            : 'No tool/input logging records found',
+    });
+    // Article 12(3)(d): Human verification tracking
+    checks.push({
+        requirement: 'Human verification tracking',
+        article: 'Art. 12(3)(d)',
+        status: coverage.verificationRecords > 0 ? 'compliant' : 'partial',
+        detail: coverage.verificationRecords > 0
+            ? `${coverage.verificationRecords} verification records captured`
+            : 'No verification records — may not be applicable if no human oversight required',
+    });
+    // Article 19: Log retention >= 6 months
+    checks.push({
+        requirement: 'Log retention >= 6 months',
+        article: 'Art. 19',
+        status: retention.compliant ? 'compliant' : 'gap',
+        detail: retention.compliant
+            ? `Effective retention: ${retention.effectiveRetentionDays} days`
+            : `Retention ${retention.effectiveRetentionDays} days is below ${AUDIT_MIN_RETENTION_DAYS}-day minimum`,
+    });
+    // Article 13: Tamper evidence (hash chain)
+    checks.push({
+        requirement: 'Tamper evidence',
+        article: 'Art. 13',
+        status: records.length === 0
+            ? 'gap'
+            : chainIntegrity.valid ? 'compliant' : 'gap',
+        detail: records.length === 0
+            ? 'No records to verify chain integrity'
+            : chainIntegrity.valid
+                ? `Hash chain valid across ${chainIntegrity.recordCount} records`
+                : `Chain broken at record ${chainIntegrity.brokenAt}: ${chainIntegrity.error}`,
+    });
+    // Article 13: Evaluation provenance
+    const evalsWithEvaluator = records.filter(r => r.category === 'evaluation' && r.evaluator).length;
+    checks.push({
+        requirement: 'Evaluation provenance',
+        article: 'Art. 13',
+        status: coverage.evaluationRecords === 0
+            ? 'partial'
+            : evalsWithEvaluator === coverage.evaluationRecords ? 'compliant' : 'partial',
+        detail: coverage.evaluationRecords === 0
+            ? 'No evaluation records in reporting period'
+            : `${evalsWithEvaluator}/${coverage.evaluationRecords} evaluation records have evaluator identity`,
+    });
+    return checks;
+}
+/**
+ * Derive overall compliance status from individual checks.
+ */
+function deriveOverallStatus(checks) {
+    if (checks.some(c => c.status === 'gap'))
+        return 'gap';
+    if (checks.some(c => c.status === 'partial'))
+        return 'partial';
+    return 'compliant';
+}
+/**
+ * Generate a compliance report for the given reporting period.
+ */
+export async function generateComplianceReport(options = {}) {
+    const telemetryDir = options.telemetryDir || TELEMETRY_DIR;
+    const now = new Date();
+    const endDate = options.endDate || now.toISOString().split('T')[0];
+    const startDate = options.startDate || (() => {
+        const d = new Date(now);
+        d.setDate(d.getDate() - AUDIT_MIN_RETENTION_DAYS);
+        return d.toISOString().split('T')[0];
+    })();
+    // Query all audit records in the reporting period (high limit for chain verification)
+    const records = await queryAuditRecords({ startDate, endDate, limit: MAX_EXPORT_LIMIT }, telemetryDir);
+    // Verify chain integrity
+    const chainIntegrity = verifyChainIntegrity(records);
+    // Get retention status
+    const retention = getRetentionStatus(telemetryDir);
+    // Build coverage summary
+    const coverage = buildCoverage(records);
+    // Run compliance checks
+    const checks = runComplianceChecks(records, coverage, retention, chainIntegrity);
+    // Derive overall status
+    const overallStatus = deriveOverallStatus(checks);
+    return {
+        generatedAt: now.toISOString(),
+        reportingPeriod: { startDate, endDate },
+        retention,
+        auditRecordCount: records.length,
+        chainIntegrity,
+        coverage,
+        checks,
+        overallStatus,
+    };
+}
+//# sourceMappingURL=compliance-report.js.map

package/dist/lib/audit/compliance-report.js.map

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package/dist/lib/audit/compliance-report.test.d.ts

@@ -0,0 +1,5 @@
+/**
+ * Tests for compliance report generation
+ */
+export {};
+//# sourceMappingURL=compliance-report.test.d.ts.map

package/dist/lib/audit/compliance-report.test.d.ts.map

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package/dist/lib/audit/compliance-report.test.js

@@ -0,0 +1,290 @@
+/**
+ * Tests for compliance report generation
+ */
+import { describe, it, beforeEach, afterEach } from 'vitest';
+import assert from 'node:assert';
+import { existsSync, rmSync, mkdirSync } from 'fs';
+import { join } from 'path';
+import { tmpdir } from 'os';
+import { COUNT_THREE, RANDOM_STRING_RADIX, RANDOM_SUFFIX_START, } from '../../test-helpers/test-constants.js';
+import { testTraceId } from '../../test-helpers/test-data-builders.js';
+import { generateComplianceReport, } from './compliance-report.js';
+import { appendAuditRecord, createAuditRecord, } from './audit-record.js';
+describe('compliance-report', () => {
+    let testDir;
+    beforeEach(() => {
+        testDir = join(tmpdir(), `obs-compliance-test-${Date.now()}-${Math.random().toString(RANDOM_STRING_RADIX).slice(RANDOM_SUFFIX_START)}`);
+        mkdirSync(testDir, { recursive: true });
+    });
+    afterEach(() => {
+        if (testDir && existsSync(testDir)) {
+            rmSync(testDir, { recursive: true, force: true });
+        }
+    });
+    describe('generateComplianceReport', () => {
+        it('should return gap status when audit dir is empty', async () => {
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            assert.ok(report);
+            assert.strictEqual(report.overallStatus, 'gap');
+            assert.strictEqual(report.auditRecordCount, 0);
+            assert.deepStrictEqual(report.coverage, {
+                traceRecords: 0,
+                evaluationRecords: 0,
+                verificationRecords: 0,
+                systemRecords: 0,
+            });
+        });
+        it('should return all required fields in response', async () => {
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            assert.ok(report.generatedAt);
+            assert.ok(report.reportingPeriod);
+            assert.ok(report.reportingPeriod.startDate);
+            assert.ok(report.reportingPeriod.endDate);
+            assert.ok(report.retention);
+            assert.ok(report.chainIntegrity);
+            assert.ok(Array.isArray(report.checks));
+            assert.strictEqual(report.checks.length, 7);
+            assert.ok(['compliant', 'partial', 'gap'].includes(report.overallStatus));
+        });
+        it('should generate 7 compliance checks', async () => {
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            assert.strictEqual(report.checks.length, 7);
+            const articles = report.checks.map(c => c.article).sort();
+            assert.deepStrictEqual(articles, [
+                'Art. 12(1)',
+                'Art. 12(3)(a)',
+                'Art. 12(3)(c)',
+                'Art. 12(3)(d)',
+                'Art. 13',
+                'Art. 13',
+                'Art. 19',
+            ]);
+        });
+        it('should have gap status for all checks when no records', async () => {
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const gaps = report.checks.filter(c => c.status === 'gap');
+            assert.ok(gaps.length > 0, 'should have at least one gap');
+        });
+        it('should reflect Art. 12(1) compliant when trace records exist', async () => {
+            const record = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-1',
+                traceId: testTraceId(1),
+            });
+            appendAuditRecord(record, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const art12_1 = report.checks.find(c => c.article === 'Art. 12(1)');
+            assert.ok(art12_1);
+            assert.strictEqual(art12_1.status, 'compliant');
+        });
+        it('should reflect Art. 12(3)(a) compliant when all records have sessionId', async () => {
+            const record1 = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-1',
+                traceId: testTraceId(1),
+            });
+            appendAuditRecord(record1, testDir);
+            const record2 = createAuditRecord({
+                category: 'evaluation',
+                sessionId: 'session-1',
+                evaluationName: 'test',
+            });
+            appendAuditRecord(record2, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const art12_3a = report.checks.find(c => c.article === 'Art. 12(3)(a)');
+            assert.ok(art12_3a);
+            assert.strictEqual(art12_3a.status, 'compliant');
+        });
+        it('should reflect Art. 12(3)(a) compliant with multiple sessions all having sessionId', async () => {
+            const record1 = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-1',
+                traceId: testTraceId(1),
+            });
+            appendAuditRecord(record1, testDir);
+            const record2 = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-2',
+                traceId: testTraceId(2),
+            });
+            appendAuditRecord(record2, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const art12_3a = report.checks.find(c => c.article === 'Art. 12(3)(a)');
+            assert.ok(art12_3a);
+            assert.strictEqual(art12_3a.status, 'compliant');
+        });
+        it('should reflect Art. 12(3)(c) compliant when trace records exist', async () => {
+            const record = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-1',
+                traceId: testTraceId(1),
+            });
+            appendAuditRecord(record, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const art12_3c = report.checks.find(c => c.article === 'Art. 12(3)(c)');
+            assert.ok(art12_3c);
+            assert.strictEqual(art12_3c.status, 'compliant');
+        });
+        it('should reflect Art. 12(3)(d) compliant when verification records exist', async () => {
+            const record = createAuditRecord({
+                category: 'verification',
+                sessionId: 'session-1',
+                verificationType: 'human',
+            });
+            appendAuditRecord(record, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const art12_3d = report.checks.find(c => c.article === 'Art. 12(3)(d)');
+            assert.ok(art12_3d);
+            assert.strictEqual(art12_3d.status, 'compliant');
+        });
+        it('should reflect Art. 13 tamper evidence compliant when chain is valid', async () => {
+            const record = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-1',
+                traceId: testTraceId(1),
+            });
+            appendAuditRecord(record, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const art13_tamper = report.checks.find(c => c.article === 'Art. 13' && c.requirement === 'Tamper evidence');
+            assert.ok(art13_tamper);
+            assert.strictEqual(art13_tamper.status, 'compliant');
+        });
+        it('should reflect Art. 13 provenance compliant when evaluations have evaluator', async () => {
+            const record = createAuditRecord({
+                category: 'evaluation',
+                sessionId: 'session-1',
+                evaluationName: 'test',
+                evaluator: 'ai-judge',
+            });
+            appendAuditRecord(record, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const art13_provenance = report.checks.find(c => c.article === 'Art. 13' && c.requirement === 'Evaluation provenance');
+            assert.ok(art13_provenance);
+            assert.strictEqual(art13_provenance.status, 'compliant');
+        });
+        it('should reflect Art. 13 provenance partial when some evaluations lack evaluator', async () => {
+            const record1 = createAuditRecord({
+                category: 'evaluation',
+                sessionId: 'session-1',
+                evaluationName: 'test-1',
+                evaluator: 'ai-judge',
+            });
+            appendAuditRecord(record1, testDir);
+            const record2 = createAuditRecord({
+                category: 'evaluation',
+                sessionId: 'session-1',
+                evaluationName: 'test-2',
+            });
+            appendAuditRecord(record2, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const art13_provenance = report.checks.find(c => c.article === 'Art. 13' && c.requirement === 'Evaluation provenance');
+            assert.ok(art13_provenance);
+            assert.strictEqual(art13_provenance.status, 'partial');
+        });
+        it('should count records by category correctly', async () => {
+            const record1 = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-1',
+                traceId: testTraceId(1),
+            });
+            appendAuditRecord(record1, testDir);
+            const record2 = createAuditRecord({
+                category: 'evaluation',
+                sessionId: 'session-1',
+                evaluationName: 'test',
+            });
+            appendAuditRecord(record2, testDir);
+            const record3 = createAuditRecord({
+                category: 'verification',
+                sessionId: 'session-1',
+                verificationType: 'human',
+            });
+            appendAuditRecord(record3, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            assert.strictEqual(report.coverage.traceRecords, 1);
+            assert.strictEqual(report.coverage.evaluationRecords, 1);
+            assert.strictEqual(report.coverage.verificationRecords, 1);
+            assert.strictEqual(report.coverage.systemRecords, 0);
+            assert.strictEqual(report.auditRecordCount, COUNT_THREE);
+        });
+        it('should use custom startDate and endDate when provided', async () => {
+            const startDate = '2026-01-01';
+            const endDate = '2026-12-31';
+            const report = await generateComplianceReport({
+                telemetryDir: testDir,
+                startDate,
+                endDate,
+            });
+            assert.strictEqual(report.reportingPeriod.startDate, startDate);
+            assert.strictEqual(report.reportingPeriod.endDate, endDate);
+        });
+        it('should derive gap overall status when any check is gap', async () => {
+            // Empty dir has gaps, so overall should be gap
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            // No records means checks will be gap for Art. 12(1), 12(3)(c)
+            assert.strictEqual(report.overallStatus, 'gap');
+        });
+        it('should show Art. 13 provenance as partial when evaluation has no evaluator', async () => {
+            // Trace records: Art. 12(1), 12(3)(c) = compliant
+            // Evaluation without evaluator: Art. 13 provenance = partial (deterministic)
+            const record1 = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-1',
+                traceId: testTraceId(1),
+            });
+            appendAuditRecord(record1, testDir);
+            const record2 = createAuditRecord({
+                category: 'evaluation',
+                sessionId: 'session-1',
+                evaluationName: 'test',
+                // no evaluator field → provenance is partial
+            });
+            appendAuditRecord(record2, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            const art13_provenance = report.checks.find(c => c.article === 'Art. 13' && c.requirement === 'Evaluation provenance');
+            assert.ok(art13_provenance);
+            assert.strictEqual(art13_provenance.status, 'partial');
+        });
+        it('should recognize all record categories in coverage summary', async () => {
+            // Add records of all types with all required fields
+            const record1 = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-1',
+                traceId: testTraceId(1),
+            });
+            appendAuditRecord(record1, testDir);
+            const record2 = createAuditRecord({
+                category: 'evaluation',
+                sessionId: 'session-1',
+                evaluationName: 'test',
+                evaluator: 'ai-judge',
+            });
+            appendAuditRecord(record2, testDir);
+            const record3 = createAuditRecord({
+                category: 'verification',
+                sessionId: 'session-1',
+                verificationType: 'human',
+            });
+            appendAuditRecord(record3, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            // Verify all record categories were counted
+            assert.strictEqual(report.coverage.traceRecords, 1);
+            assert.strictEqual(report.coverage.evaluationRecords, 1);
+            assert.strictEqual(report.coverage.verificationRecords, 1);
+            assert.strictEqual(report.auditRecordCount, 3);
+        });
+        it('should populate chainIntegrity field from verifyChainIntegrity', async () => {
+            const record = createAuditRecord({
+                category: 'trace',
+                sessionId: 'session-1',
+                traceId: testTraceId(1),
+            });
+            appendAuditRecord(record, testDir);
+            const report = await generateComplianceReport({ telemetryDir: testDir });
+            assert.ok(report.chainIntegrity);
+            assert.ok(typeof report.chainIntegrity.valid === 'boolean');
+            assert.ok(typeof report.chainIntegrity.recordCount === 'number');
+        });
+    });
+});
+//# sourceMappingURL=compliance-report.test.js.map

package/dist/lib/audit/compliance-report.test.js.map

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package/dist/lib/audit/retention-guard.d.ts

@@ -0,0 +1,41 @@
+/**
+ * Retention Guard for EU AI Act Article 19 Compliance
+ *
+ * Enforces a 180-day minimum retention floor for audit and verification records.
+ * Regular telemetry files continue using the configurable RETENTION_DAYS setting.
+ *
+ * @see EU AI Act Article 19: Automatically generated logs (6-month minimum retention)
+ */
+/** Minimum retention days per EU AI Act Article 19 */
+export declare const AUDIT_MIN_RETENTION_DAYS = 180;
+/** Directories protected by audit retention floor */
+export declare const AUDIT_PROTECTED_DIRS: readonly ["audit", "verifications"];
+/** Retention status for compliance reporting */
+export interface RetentionStatus {
+    effectiveRetentionDays: number;
+    configuredRetentionDays: number;
+    compliant: boolean;
+    oldestAuditRecord?: string;
+    newestAuditRecord?: string;
+    auditFileCount: number;
+    verificationFileCount: number;
+    warning?: string;
+}
+/**
+ * Get the effective retention days, enforcing the 180-day Article 19 minimum.
+ */
+export declare function getEffectiveRetentionDays(): number;
+/**
+ * Get the current retention status for compliance reporting.
+ */
+export declare function getRetentionStatus(telemetryDir?: string): RetentionStatus;
+/**
+ * Check if a directory is protected by audit retention rules.
+ */
+export declare function isAuditProtectedDir(dirName: string): boolean;
+/**
+ * Get the minimum allowed deletion date for audit-protected directories.
+ * Files with dates on or after this date must not be deleted.
+ */
+export declare function getAuditRetentionCutoff(): string;
+//# sourceMappingURL=retention-guard.d.ts.map

package/dist/lib/audit/retention-guard.d.ts.map

@@ -0,0 +1 @@
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