Mark recall-limited obligations in DSE shadow telemetry

Trennt im Shadow drei Kategorien statt eines pauschalen FAILED:
  - echte Lücke (failed_by_current_checker)
  - redundanter Control-FP (kollabiert per OR zu MET)
  - Prüfer-Reichweitenproblem (recall_limited)

obligation_taxonomy.py: decision_method_required=LLM für recipients_disclosed,
third_country_transfer_disclosed, safeguards_disclosed, safeguards_accessible
(versioniertes Registry-Artefakt bis DB-Tabelle, v1-Spec). Empirisch: TeamViewer
0/22 kw+emb trotz erfüllter Pflicht (cos 0.49-0.57) → CONTENT/LLM-Klasse, kein Schwellen-Fix.

compute_obligation_shadow segregiert FAILED/PARTIAL über requires_llm(): teamviewer
5 Findings → 2 echte + 3 recall_limited. 9 neue Unit-Tests (41 gesamt grün).

Co-Authored-By: Claude Opus 4.7 <noreply@anthropic.com>

backend-compliance/compliance/services/obligation_taxonomy.py

@@ -0,0 +1,26 @@
+"""Obligation-Taxonomie-Registry — versioniertes Artefakt bis zur DB-Owner-Tabelle
+(Legal Obligation Layer v1, docs-src/development/legal_obligation_layer_v1.md).
+
+Hält Metadaten auf OBLIGATION-Ebene, die (noch) keine eigene DB-Tabelle haben.
+
+`decision_method_required`: Obligations, deren Erkennung Keyword/Embedding
+NACHWEISLICH nicht zuverlässig leistet (kompakte/synonymreiche Offenlegung) und
+die CONTENT/LLM brauchen. Empirisch belegt am TeamViewer-Recall-Defekt: 0/22
+recipients+international_transfer Controls trafen, obwohl die Pflicht erfüllt war
+(„…außerhalb EU/EWR … Standardvertragsklauseln/Schutzmaßnahmen"); Embedding cos
+0.49–0.57 < 0.62, teils falscher Chunk → kein Schwellen-Fix, sondern LLM-Klasse.
+
+Wirkung: der Shadow zählt ein FAILED solcher Obligations NICHT als „echte Lücke",
+sondern als RECALL_LIMITED (Prüfer kann sie mit aktueller Methode nicht verifizieren).
+"""
+OBLIGATION_META: dict[str, dict] = {
+    "recipients_disclosed": {"decision_method_required": "LLM"},
+    "third_country_transfer_disclosed": {"decision_method_required": "LLM"},
+    "safeguards_disclosed": {"decision_method_required": "LLM"},
+    "safeguards_accessible": {"decision_method_required": "LLM"},
+}
+
+
+def requires_llm(obligation_id: str) -> bool:
+    """True, wenn diese Obligation CONTENT/LLM braucht (Keyword/Embedding-Recall belegt unzureichend)."""
+    return OBLIGATION_META.get(obligation_id, {}).get("decision_method_required") == "LLM"

backend-compliance/compliance/services/specialist_agents/dse/_obligation_shadow.py

@@ -59,6 +59,7 @@ def compute_obligation_shadow(results: list[dict], text: str,
         FAILED, LM, NA, PARTIAL, CriterionEval, aggregate_obligations,
     )
     from compliance.services.obligation_applicability import applicable
+    from compliance.services.obligation_taxonomy import requires_llm
 
     legacy = 0
     evals: list[Any] = []
@@ -78,20 +79,34 @@ def compute_obligation_shadow(results: list[dict], text: str,
         return {"status": "no obligation markers on result controls"}
 
     obls = aggregate_obligations(evals, applicable_fn=applicable, doc_text=text)
-    findings = sum(1 for o in obls if o.status in (FAILED, PARTIAL))
+    # FAILED/PARTIAL ehrlich trennen: echte Lücke (failed_by_current_checker) vs
-    na = sum(1 for o in obls if o.status == NA)
+    # RECALL_LIMITED (Obligation braucht LLM, aktueller Prüfer kann sie nicht verifizieren).
+    findings = failed_current = recall_limited = na = 0
+    for o in obls:
+        if o.status == NA:
+            na += 1
+        elif o.status in (FAILED, PARTIAL):
+            findings += 1
+            if requires_llm(o.obligation_id):
+                recall_limited += 1
+            else:
+                failed_current += 1
     top = []
     for o in obls:
         cs = contrib.get(o.obligation_id, [])
         fehlt = sum(1 for _, p in cs if not p)
         if fehlt >= 2:
             top.append({"obligation": o.obligation_id, "fehlt": fehlt,
-                        "total": len(cs), "status": o.status})
+                        "total": len(cs), "status": o.status,
+                        "recall_limited": bool(requires_llm(o.obligation_id)
+                                               and o.status in (FAILED, PARTIAL))})
     top.sort(key=lambda x: -x["fehlt"])
     return {
         "legacy_control_findings": legacy,
         "obligation_shadow_results": len(obls),
         "obligation_findings": findings,
+        "failed_by_current_checker": failed_current,
+        "recall_limited": recall_limited,
         "collapse_factor": round(legacy / findings, 2) if findings else None,
         "na_count": na,
         "met_failed_delta": legacy - findings,

backend-compliance/tests/test_obligation_shadow.py

@@ -3,6 +3,9 @@ from compliance.services.specialist_agents.dse._obligation_shadow import (
     compute_obligation_shadow,
 )
 
+NON_LLM = "art20_right_exists_core"          # nicht in der LLM_REQUIRED-Registry
+LLM_REQ = "third_country_transfer_disclosed"  # in der LLM_REQUIRED-Registry
+
 
 def _markers(n, ob, cond=None):
     return {f"C{i}": {"obl": [ob], "cond": cond} for i in range(n)}
@@ -11,42 +14,59 @@ def _markers(n, ob, cond=None):
 class TestComputeShadow:
     def test_collapse_and_delta(self):
         results = [{"control_id": f"C{i}", "passed": False} for i in range(5)]
-        s = compute_obligation_shadow(results, "x", _markers(5, "recipients_disclosed"))
+        s = compute_obligation_shadow(results, "x", _markers(5, NON_LLM))
         assert s["legacy_control_findings"] == 5
         assert s["obligation_findings"] == 1          # 5 → 1
+        assert s["failed_by_current_checker"] == 1
+        assert s["recall_limited"] == 0
         assert s["collapse_factor"] == 5.0
         assert s["met_failed_delta"] == 4
         top = s["top_collapsed_obligations"][0]
-        assert top["obligation"] == "recipients_disclosed" and top["fehlt"] == 5
+        assert top["obligation"] == NON_LLM and top["fehlt"] == 5
+        assert top["recall_limited"] is False
 
     def test_fp_correction_one_passed_collapses_to_met(self):
         results = [{"control_id": f"C{i}", "passed": i == 0} for i in range(5)]
-        s = compute_obligation_shadow(results, "x", _markers(5, "recipients_disclosed"))
+        s = compute_obligation_shadow(results, "x", _markers(5, NON_LLM))
         assert s["legacy_control_findings"] == 4
         assert s["obligation_findings"] == 0          # MET (anderswo erfüllt)
         assert s["met_failed_delta"] == 4
 
     def test_na_when_predicate_false(self):
         results = [{"control_id": "C0", "passed": False}]
-        m = {"C0": {"obl": ["third_country_transfer_disclosed"],
+        m = {"C0": {"obl": [LLM_REQ], "cond": "has_third_country_transfer"}}
-                    "cond": "has_third_country_transfer"}}
         s = compute_obligation_shadow(results, "nur innerhalb der eu", m)
         assert s["na_count"] == 1
         assert s["obligation_findings"] == 0          # NA statt FEHLT
 
-    def test_na_predicate_true_keeps_finding(self):
-        results = [{"control_id": "C0", "passed": False}]
-        m = {"C0": {"obl": ["third_country_transfer_disclosed"],
-                    "cond": "has_third_country_transfer"}}
-        s = compute_obligation_shadow(results, "übermittlung in ein drittland", m)
-        assert s["na_count"] == 0
-        assert s["obligation_findings"] == 1
-
     def test_no_markers_returns_status(self):
         s = compute_obligation_shadow([{"control_id": "C0", "passed": False}], "x", {})
         assert "no obligation" in s["status"]
 
     def test_does_not_mutate_results(self):
         results = [{"control_id": "C0", "passed": False}]
-        compute_obligation_shadow(results, "x", _markers(1, "recipients_disclosed"))
+        compute_obligation_shadow(results, "x", _markers(1, NON_LLM))
-        assert set(results[0].keys()) == {"control_id", "passed"}   # unverändert
+        assert set(results[0].keys()) == {"control_id", "passed"}
+
+
+class TestRecallSegregation:
+    def test_llm_required_failed_is_recall_limited_not_real_gap(self):
+        # 5 verfehlte third_country-Controls, Transfer-Text vorhanden → FAILED,
+        # aber LLM_REQUIRED → RECALL_LIMITED, NICHT failed_by_current_checker.
+        results = [{"control_id": f"C{i}", "passed": False} for i in range(5)]
+        m = {f"C{i}": {"obl": [LLM_REQ], "cond": "has_third_country_transfer"}
+             for i in range(5)}
+        s = compute_obligation_shadow(results, "übermittlung in ein drittland", m)
+        assert s["obligation_findings"] == 1
+        assert s["recall_limited"] == 1
+        assert s["failed_by_current_checker"] == 0
+        assert s["top_collapsed_obligations"][0]["recall_limited"] is True
+
+    def test_mixed_real_gap_and_recall_limited(self):
+        results = [{"control_id": "A", "passed": False}, {"control_id": "B", "passed": False}]
+        m = {"A": {"obl": [NON_LLM], "cond": None},
+             "B": {"obl": [LLM_REQ], "cond": "has_third_country_transfer"}}
+        s = compute_obligation_shadow(results, "übermittlung in ein drittland", m)
+        assert s["obligation_findings"] == 2
+        assert s["failed_by_current_checker"] == 1
+        assert s["recall_limited"] == 1

backend-compliance/tests/test_obligation_taxonomy.py

@@ -0,0 +1,20 @@
+"""Unit-Tests für die Obligation-Taxonomie-Registry (decision_method_required)."""
+from compliance.services.obligation_taxonomy import OBLIGATION_META, requires_llm
+
+
+class TestRequiresLlm:
+    def test_marked_obligations_require_llm(self):
+        for ob in ("recipients_disclosed", "third_country_transfer_disclosed",
+                   "safeguards_disclosed", "safeguards_accessible"):
+            assert requires_llm(ob) is True
+
+    def test_unmarked_obligation_does_not(self):
+        assert requires_llm("art20_right_exists_core") is False
+        assert requires_llm("objection_general_art21_1") is False
+
+    def test_unknown_obligation_is_false(self):
+        assert requires_llm("does_not_exist") is False
+
+    def test_registry_values_are_llm(self):
+        assert all(v.get("decision_method_required") == "LLM"
+                   for v in OBLIGATION_META.values())