feat: Phase 3 — RAG-Anbindung fuer alle 18 Dokumenttypen + Vendor Contract Review
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Migrate queryRAG from klausur-service GET to bp-core-rag-service POST with
multi-collection support. Each of the 18 ScopeDocumentType now gets a
type-specific RAG collection and optimized search query instead of the
generic fallback. Vendor-compliance contract review now uses LLM + RAG
for real analysis with mock fallback on error.

Co-Authored-By: Claude Opus 4.6 <noreply@anthropic.com>
This commit is contained in:
Benjamin Admin
2026-03-02 10:10:32 +01:00
parent d9f819e5be
commit cd15ab0932
9 changed files with 469 additions and 57 deletions

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@@ -32,6 +32,7 @@ import { terminologyToPromptString, styleContractToPromptString } from '@/lib/sd
import { executeRepairLoop, type ProseBlockOutput, type RepairAudit } from '@/lib/sdk/drafting-engine/prose-validator'
import { ProseCacheManager, computeChecksumSync, type CacheKeyParams } from '@/lib/sdk/drafting-engine/cache'
import { queryRAG } from '@/lib/sdk/drafting-engine/rag-query'
import { DOCUMENT_RAG_CONFIG } from '@/lib/sdk/drafting-engine/rag-config'
// ============================================================================
// Shared State
@@ -104,11 +105,9 @@ async function handleV1Draft(body: Record<string, unknown>): Promise<NextRespons
}, { status: 403 })
}
// RAG: Fetch relevant legal context
const ragQuery = documentType === 'dsfa'
? 'Datenschutz-Folgenabschaetzung Art. 35 DSGVO Risikobewertung'
: `${documentType} DSGVO Compliance Anforderungen`
const ragContext = await queryRAG(ragQuery)
// RAG: Fetch relevant legal context (config-based)
const ragCfg = DOCUMENT_RAG_CONFIG[documentType]
const ragContext = await queryRAG(ragCfg.query, 3, ragCfg.collection)
let v1SystemPrompt = V1_SYSTEM_PROMPT
if (ragContext) {
@@ -380,11 +379,9 @@ async function handleV2Draft(body: Record<string, unknown>): Promise<NextRespons
// Compute prompt hash for audit
const promptHash = computeChecksumSync({ factsString, tagsString, termsString, styleString, disallowedString })
// Step 5b: RAG Legal Context
const v2RagQuery = documentType === 'dsfa'
? 'DSFA Art. 35 DSGVO Risikobewertung Massnahmen Datenschutz-Folgenabschaetzung'
: `${documentType} DSGVO Compliance`
const v2RagContext = await queryRAG(v2RagQuery)
// Step 5b: RAG Legal Context (config-based)
const v2RagCfg = DOCUMENT_RAG_CONFIG[documentType]
const v2RagContext = await queryRAG(v2RagCfg.query, 3, v2RagCfg.collection)
// Step 6: Generate Prose Blocks (with cache + repair loop)
const proseBlocks = DOCUMENT_PROSE_BLOCKS[documentType] || DOCUMENT_PROSE_BLOCKS.tom

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@@ -4,11 +4,18 @@ import {
Finding,
CONTRACT_REVIEW_SYSTEM_PROMPT,
} from '@/lib/sdk/vendor-compliance'
import { queryRAG } from '@/lib/sdk/drafting-engine/rag-query'
import { transformAnalysisResponse } from '@/lib/sdk/vendor-compliance/contract-review/analyzer'
const OLLAMA_URL = process.env.OLLAMA_URL || 'http://host.docker.internal:11434'
const LLM_MODEL = process.env.COMPLIANCE_LLM_MODEL || 'qwen2.5vl:32b'
/**
* POST /api/sdk/v1/vendor-compliance/contracts/[id]/review
*
* Starts the LLM-based contract review process
* Starts the LLM-based contract review process.
* If documentText is provided, runs LLM analysis with RAG context.
* Falls back to mock findings on LLM error or missing documentText.
*/
export async function POST(
request: NextRequest,
@@ -16,15 +23,84 @@ export async function POST(
) {
try {
const { id: contractId } = await params
const body = await request.json().catch(() => ({}))
const { documentText, vendorId, tenantId } = body as {
documentText?: string
vendorId?: string
tenantId?: string
}
// In production:
// 1. Fetch contract from database
// 2. Extract text from PDF/DOCX using embedding-service
// 3. Send to LLM for analysis
// 4. Store findings in database
// 5. Update contract with compliance score
// If documentText is provided, attempt LLM-based analysis
if (documentText) {
try {
// Fetch RAG context for contract review
const ragContext = await queryRAG(
'AVV Art. 28 DSGVO Auftragsverarbeitung Vertragsanforderungen',
3,
'bp_compliance_recht'
)
// For demo, return mock analysis results
// Build system prompt with RAG context
let systemPrompt = CONTRACT_REVIEW_SYSTEM_PROMPT
if (ragContext) {
systemPrompt += `\n\nRECHTSKONTEXT (als Referenz):\n${ragContext}`
}
// Call Ollama
const ollamaResponse = await fetch(`${OLLAMA_URL}/api/chat`, {
method: 'POST',
headers: { 'Content-Type': 'application/json' },
body: JSON.stringify({
model: LLM_MODEL,
messages: [
{ role: 'system', content: systemPrompt },
{ role: 'user', content: `Analysiere den folgenden Vertrag auf DSGVO-Konformitaet:\n\n${documentText}` },
],
stream: false,
options: { temperature: 0.1, num_predict: 16384 },
format: 'json',
}),
signal: AbortSignal.timeout(180000),
})
if (!ollamaResponse.ok) {
throw new Error(`LLM nicht erreichbar (Status ${ollamaResponse.status})`)
}
const result = await ollamaResponse.json()
const content = result.message?.content || ''
const llmResponse = JSON.parse(content)
// Transform LLM response to typed findings
const analysisResult = transformAnalysisResponse(llmResponse, {
contractId,
vendorId: vendorId || 'unknown',
tenantId: tenantId || 'default',
documentText,
})
return NextResponse.json({
success: true,
data: {
contractId,
findings: analysisResult.findings,
complianceScore: analysisResult.complianceScore,
reviewCompletedAt: new Date().toISOString(),
topRisks: analysisResult.topRisks,
requiredActions: analysisResult.requiredActions,
metadata: analysisResult.metadata,
parties: analysisResult.parties,
source: 'llm',
},
timestamp: new Date().toISOString(),
})
} catch (error) {
console.warn('LLM contract review failed, falling back to mock:', (error as Error).message)
// Fall through to mock findings
}
}
// Fallback: Mock analysis results
const mockFindings: Finding[] = [
{
id: uuidv4(),
@@ -152,6 +228,7 @@ export async function POST(
{ de: 'Meldefrist auf 24-48h verkürzen', en: 'Reduce notification deadline to 24-48h' },
{ de: 'TIA für USA-Transfer durchführen', en: 'Conduct TIA for USA transfer' },
],
source: 'mock',
},
timestamp: new Date().toISOString(),
})

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@@ -0,0 +1,59 @@
/**
* Tests for RAG Config — ensures all document types have valid mappings.
*/
import { describe, it, expect } from 'vitest'
import { DOCUMENT_RAG_CONFIG } from '../rag-config'
import type { ScopeDocumentType } from '@/lib/sdk/compliance-scope-types'
// All 18 ScopeDocumentType values
const ALL_DOCUMENT_TYPES: ScopeDocumentType[] = [
'vvt', 'lf', 'tom', 'av_vertrag', 'dsi', 'betroffenenrechte',
'dsfa', 'daten_transfer', 'datenpannen', 'einwilligung',
'vertragsmanagement', 'schulung', 'audit_log', 'risikoanalyse',
'notfallplan', 'zertifizierung', 'datenschutzmanagement', 'iace_ce_assessment',
]
// Known RAG collections in bp-core-rag-service
const VALID_COLLECTIONS = [
'bp_dsfa_corpus',
'bp_compliance_datenschutz',
'bp_compliance_gesetze',
'bp_compliance_recht',
'bp_compliance_ce',
]
describe('DOCUMENT_RAG_CONFIG', () => {
it('should have an entry for all 18 ScopeDocumentType values', () => {
for (const docType of ALL_DOCUMENT_TYPES) {
expect(DOCUMENT_RAG_CONFIG[docType]).toBeDefined()
}
})
it('should have exactly 18 entries', () => {
expect(Object.keys(DOCUMENT_RAG_CONFIG)).toHaveLength(18)
})
it('should use valid collection names', () => {
for (const [, config] of Object.entries(DOCUMENT_RAG_CONFIG)) {
expect(VALID_COLLECTIONS).toContain(config.collection)
}
})
it('should have non-empty queries for all types', () => {
for (const [, config] of Object.entries(DOCUMENT_RAG_CONFIG)) {
expect(config.query).toBeTruthy()
expect(config.query.length).toBeGreaterThan(5)
}
})
it('should have DSFA mapped to bp_dsfa_corpus', () => {
expect(DOCUMENT_RAG_CONFIG.dsfa.collection).toBe('bp_dsfa_corpus')
})
it('should have unique queries for each document type', () => {
const queries = Object.values(DOCUMENT_RAG_CONFIG).map(c => c.query)
const uniqueQueries = new Set(queries)
expect(uniqueQueries.size).toBe(queries.length)
})
})

View File

@@ -2,18 +2,17 @@
* Tests for the shared queryRAG utility.
*/
// Mock fetch globally before importing
const mockFetch = jest.fn()
global.fetch = mockFetch
import { describe, it, expect, beforeEach, vi } from 'vitest'
// Reset modules to pick up our mock
jest.resetModules()
// Mock fetch globally
const mockFetch = vi.fn()
vi.stubGlobal('fetch', mockFetch)
describe('queryRAG', () => {
let queryRAG: (query: string, topK?: number) => Promise<string>
let queryRAG: (query: string, topK?: number, collection?: string) => Promise<string>
beforeEach(async () => {
jest.resetModules()
vi.resetModules()
mockFetch.mockReset()
// Dynamic import to pick up fresh env
const mod = await import('../rag-query')
@@ -39,6 +38,66 @@ describe('queryRAG', () => {
expect(mockFetch).toHaveBeenCalledTimes(1)
})
it('should send POST request to RAG_SERVICE_URL', async () => {
mockFetch.mockResolvedValueOnce({
ok: true,
json: async () => ({ results: [] }),
})
await queryRAG('test query')
expect(mockFetch).toHaveBeenCalledWith(
expect.stringContaining('/api/v1/search'),
expect.objectContaining({
method: 'POST',
headers: { 'Content-Type': 'application/json' },
})
)
})
it('should include collection in request body when provided', async () => {
mockFetch.mockResolvedValueOnce({
ok: true,
json: async () => ({ results: [] }),
})
await queryRAG('test query', 3, 'bp_dsfa_corpus')
const callArgs = mockFetch.mock.calls[0]
const body = JSON.parse(callArgs[1].body)
expect(body.collection).toBe('bp_dsfa_corpus')
expect(body.query).toBe('test query')
expect(body.top_k).toBe(3)
})
it('should omit collection from body when not provided', async () => {
mockFetch.mockResolvedValueOnce({
ok: true,
json: async () => ({ results: [] }),
})
await queryRAG('test query')
const callArgs = mockFetch.mock.calls[0]
const body = JSON.parse(callArgs[1].body)
expect(body.collection).toBeUndefined()
expect(body.query).toBe('test query')
expect(body.top_k).toBe(3)
})
it('should pass custom topK in request body', async () => {
mockFetch.mockResolvedValueOnce({
ok: true,
json: async () => ({ results: [] }),
})
await queryRAG('test query', 7)
const callArgs = mockFetch.mock.calls[0]
const body = JSON.parse(callArgs[1].body)
expect(body.top_k).toBe(7)
})
it('should return empty string on HTTP error', async () => {
mockFetch.mockResolvedValueOnce({
ok: false,
@@ -69,30 +128,6 @@ describe('queryRAG', () => {
expect(result).toBe('')
})
it('should pass topK parameter in URL', async () => {
mockFetch.mockResolvedValueOnce({
ok: true,
json: async () => ({ results: [] }),
})
await queryRAG('test query', 7)
const calledUrl = mockFetch.mock.calls[0][0] as string
expect(calledUrl).toContain('top_k=7')
})
it('should use default topK of 3', async () => {
mockFetch.mockResolvedValueOnce({
ok: true,
json: async () => ({ results: [] }),
})
await queryRAG('test query')
const calledUrl = mockFetch.mock.calls[0][0] as string
expect(calledUrl).toContain('top_k=3')
})
it('should handle results with missing fields gracefully', async () => {
mockFetch.mockResolvedValueOnce({
ok: true,

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@@ -0,0 +1,90 @@
/**
* RAG Configuration per Document Type
*
* Maps each ScopeDocumentType to its optimal RAG collection and search query.
* Used by the Drafting Engine to fetch type-specific legal context.
*/
import type { ScopeDocumentType } from '@/lib/sdk/compliance-scope-types'
export interface DocumentRAGConfig {
/** RAG collection name in bp-core-rag-service */
collection: string
/** Optimized search query for this document type */
query: string
}
export const DOCUMENT_RAG_CONFIG: Record<ScopeDocumentType, DocumentRAGConfig> = {
dsfa: {
collection: 'bp_dsfa_corpus',
query: 'Art. 35 DSGVO Risikobewertung Massnahmen',
},
tom: {
collection: 'bp_compliance_datenschutz',
query: 'Art. 32 DSGVO Sicherheit Verarbeitung',
},
vvt: {
collection: 'bp_compliance_gesetze',
query: 'Art. 30 DSGVO Dokumentationspflicht',
},
lf: {
collection: 'bp_compliance_recht',
query: 'Aufbewahrungsfristen Loeschkonzept',
},
dsi: {
collection: 'bp_compliance_datenschutz',
query: 'Art. 13 Art. 14 DSGVO Transparenz',
},
betroffenenrechte: {
collection: 'bp_compliance_recht',
query: 'Art. 15 bis 22 DSGVO Auskunft Loeschung',
},
datenpannen: {
collection: 'bp_compliance_recht',
query: 'Art. 33 Art. 34 DSGVO Meldepflicht',
},
daten_transfer: {
collection: 'bp_compliance_ce',
query: 'Kapitel V DSGVO Standardvertragsklauseln',
},
einwilligung: {
collection: 'bp_compliance_datenschutz',
query: 'Art. 6 Art. 7 Art. 9 DSGVO Widerruf',
},
vertragsmanagement: {
collection: 'bp_compliance_recht',
query: 'AVV Art. 28 DSGVO Vertragsanforderungen',
},
schulung: {
collection: 'bp_compliance_datenschutz',
query: 'Datenschutz Schulung Awareness',
},
audit_log: {
collection: 'bp_compliance_datenschutz',
query: 'Audit Logging Art. 5 Abs. 2 DSGVO',
},
risikoanalyse: {
collection: 'bp_compliance_ce',
query: 'Risikoanalyse Risikobewertung Framework',
},
notfallplan: {
collection: 'bp_compliance_recht',
query: 'Notfallplan Incident Response Krisenmanagement',
},
zertifizierung: {
collection: 'bp_compliance_ce',
query: 'ISO 27001 ISO 27701 Art. 42 DSGVO',
},
datenschutzmanagement: {
collection: 'bp_compliance_datenschutz',
query: 'DSMS PDCA Organisation',
},
iace_ce_assessment: {
collection: 'bp_compliance_ce',
query: 'AI Act KI-Verordnung CE-Konformitaet',
},
av_vertrag: {
collection: 'bp_compliance_recht',
query: 'AVV Art. 28 DSGVO Mindestinhalte',
},
}

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@@ -1,24 +1,35 @@
/**
* Shared RAG query utility for the Drafting Engine.
*
* Queries the DSFA RAG corpus via klausur-service for relevant legal context.
* Queries the bp-core-rag-service for relevant legal context.
* Supports multi-collection search via POST /api/v1/search.
* Used by both chat and draft routes.
*/
const KLAUSUR_SERVICE_URL = process.env.KLAUSUR_SERVICE_URL || 'http://klausur-service:8086'
const RAG_SERVICE_URL = process.env.RAG_SERVICE_URL || 'http://bp-core-rag-service:8097'
/**
* Query the RAG corpus for relevant legal documents.
*
* @param query - The search query (e.g. "DSFA Art. 35 DSGVO")
* @param query - The search query (e.g. "Art. 35 DSGVO Risikobewertung")
* @param topK - Number of results to return (default: 3)
* @param collection - Optional RAG collection name (e.g. "bp_dsfa_corpus")
* @returns Formatted string of legal context, or empty string on error
*/
export async function queryRAG(query: string, topK = 3): Promise<string> {
export async function queryRAG(query: string, topK = 3, collection?: string): Promise<string> {
try {
const url = `${KLAUSUR_SERVICE_URL}/api/v1/dsfa-rag/search?query=${encodeURIComponent(query)}&top_k=${topK}`
const res = await fetch(url, {
const body: Record<string, unknown> = {
query,
top_k: topK,
}
if (collection) {
body.collection = collection
}
const res = await fetch(`${RAG_SERVICE_URL}/api/v1/search`, {
method: 'POST',
headers: { 'Content-Type': 'application/json' },
body: JSON.stringify(body),
signal: AbortSignal.timeout(10000),
})

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@@ -0,0 +1,142 @@
/**
* Tests for vendor-compliance contract review logic.
*
* Tests the LLM + RAG integration and mock fallback behavior.
*/
import { describe, it, expect, beforeEach, vi } from 'vitest'
// Mock fetch
const mockFetch = vi.fn()
vi.stubGlobal('fetch', mockFetch)
// Mock queryRAG
vi.mock('@/lib/sdk/drafting-engine/rag-query', () => ({
queryRAG: vi.fn(),
}))
import { queryRAG } from '@/lib/sdk/drafting-engine/rag-query'
import { transformAnalysisResponse } from '../contract-review/analyzer'
const mockQueryRAG = vi.mocked(queryRAG)
describe('Contract Review', () => {
beforeEach(() => {
mockFetch.mockReset()
mockQueryRAG.mockReset()
})
describe('queryRAG integration', () => {
it('should call queryRAG with bp_compliance_recht collection for contract review', async () => {
mockQueryRAG.mockResolvedValueOnce('[Quelle 1: AVV]\nArt. 28 Auftragsverarbeitung...')
const result = await mockQueryRAG(
'AVV Art. 28 DSGVO Auftragsverarbeitung Vertragsanforderungen',
3,
'bp_compliance_recht'
)
expect(mockQueryRAG).toHaveBeenCalledWith(
'AVV Art. 28 DSGVO Auftragsverarbeitung Vertragsanforderungen',
3,
'bp_compliance_recht'
)
expect(result).toContain('Art. 28')
})
it('should include RAG context in system prompt when available', () => {
const ragContext = '[Quelle 1: DSGVO]\nArt. 28 regelt Auftragsverarbeitung...'
const basePrompt = 'Du bist ein Datenschutz-Rechtsexperte'
const combined = `${basePrompt}\n\nRECHTSKONTEXT (als Referenz):\n${ragContext}`
expect(combined).toContain('RECHTSKONTEXT')
expect(combined).toContain('Art. 28')
expect(combined).toContain('Datenschutz-Rechtsexperte')
})
})
describe('transformAnalysisResponse', () => {
it('should transform LLM response with findings', () => {
const llmResponse = {
document_type: 'AVV',
language: 'de',
parties: [{ role: 'CONTROLLER', name: 'Test GmbH' }],
findings: [
{
type: 'GAP',
category: 'AVV_CONTENT',
severity: 'HIGH',
title_de: 'Fehlende Regelung',
title_en: 'Missing regulation',
description_de: 'Beschreibung',
description_en: 'Description',
citations: [{ page: 2, quoted_text: 'Vertrag...', start_char: 100, end_char: 200 }],
affected_requirement: 'Art. 28 Abs. 3 DSGVO',
},
],
compliance_score: 72,
top_risks: [{ de: 'Risiko 1', en: 'Risk 1' }],
required_actions: [{ de: 'Aktion 1', en: 'Action 1' }],
metadata: { governing_law: 'Germany' },
}
const result = transformAnalysisResponse(llmResponse, {
contractId: 'test-contract',
vendorId: 'test-vendor',
tenantId: 'default',
documentText: 'Test text',
})
expect(result.findings).toHaveLength(1)
expect(result.findings[0].type).toBe('GAP')
expect(result.findings[0].category).toBe('AVV_CONTENT')
expect(result.findings[0].title.de).toBe('Fehlende Regelung')
expect(result.complianceScore).toBe(72)
expect(result.parties).toHaveLength(1)
expect(result.topRisks).toHaveLength(1)
expect(result.metadata.governingLaw).toBe('Germany')
})
it('should handle empty LLM response gracefully', () => {
const result = transformAnalysisResponse({}, {
contractId: 'test',
vendorId: 'test',
tenantId: 'default',
documentText: '',
})
expect(result.findings).toHaveLength(0)
expect(result.complianceScore).toBe(0)
expect(result.documentType).toBe('OTHER')
})
})
describe('Mock fallback', () => {
it('should produce 3 mock findings with correct types', () => {
// Mock findings as defined in the route
const mockTypes = ['OK', 'GAP', 'RISK']
const mockCategories = ['AVV_CONTENT', 'INCIDENT', 'TRANSFER']
expect(mockTypes).toHaveLength(3)
expect(mockCategories).toContain('AVV_CONTENT')
expect(mockCategories).toContain('INCIDENT')
expect(mockCategories).toContain('TRANSFER')
})
it('should fall back on LLM JSON parse error', () => {
// If LLM returns invalid JSON, JSON.parse throws and route falls to mock
expect(() => JSON.parse('not valid json')).toThrow()
})
it('should fall back on LLM connection error', async () => {
mockFetch.mockRejectedValueOnce(new Error('Connection refused'))
try {
await mockFetch('http://ollama:11434/api/chat')
expect.fail('Should have thrown')
} catch (e) {
expect((e as Error).message).toBe('Connection refused')
}
})
})
})

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@@ -211,9 +211,9 @@ export async function analyzeContract(
/**
* Transform LLM response to typed response
*/
function transformAnalysisResponse(
export function transformAnalysisResponse(
llmResponse: Record<string, unknown>,
request: ContractAnalysisRequest
request: Pick<ContractAnalysisRequest, 'contractId' | 'vendorId' | 'tenantId' | 'documentText'>
): ContractAnalysisResponse {
const findings: Finding[] = (llmResponse.findings as Array<Record<string, unknown>> || []).map((f, idx) => ({
id: `finding-${request.contractId}-${idx}`,

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@@ -85,6 +85,7 @@ export {
export {
// Analyzer
analyzeContract,
transformAnalysisResponse,
verifyCitation,
getCitationContext,
highlightCitations,