feat(compliance): GET /sdk/v1/compliance/obligation-status (file-backed graph)

Vertical slice over the Compliance Execution Graph: obligation_id -> accepted controls -> required evidence -> status. NEVER auto-asserts fulfillment - with no evidence collection wired (MVP), a mapped obligation is "not_assessed" and every required evidence is "missing". Fail-closed: no id -> 400; unknown id -> unknown_obligation; mapped-but-no-control -> unmapped; graph not loaded -> 503. - ComplianceGraphHandlers (separate from the DB-backed ObligationsHandlers): loads Registry join keys + accepted control mappings + evidence once at start. - LoadComplianceGraph: candidate-path resolution across dev/container/test. - Data plumbing: Dockerfile now COPYs data/{control_mappings,evidence_requirements, obligations}; data/obligations/obligation_join_keys.json is a SYNCED COPY of the repo-root Registry contract (re-sync on Registry growth). - Table-driven handler test (mapped/unmapped/unknown/400 + no-fulfillment-claim). Co-Authored-By: Claude Opus 4.7 <noreply@anthropic.com>
2026-06-25 19:29:37 +02:00
parent 8a9d5e7c4d
commit d4df1e01df
7 changed files with 1151 additions and 1 deletions
@@ -0,0 +1,126 @@
+package handlers
+
+import (
+	"net/http"
+	"strings"
+
+	"github.com/gin-gonic/gin"
+
+	"github.com/breakpilot/ai-compliance-sdk/internal/ucca"
+)
+
+// ComplianceGraphHandlers serves the read-only Compliance Execution Graph
+// (Regulation -> Obligation -> Control -> Evidence) over the file-backed bridge artifacts.
+// It is intentionally SEPARATE from the DB-backed ObligationsHandlers: this is the curated
+// cross-session graph (Registry join keys + accepted control mappings + evidence requirements),
+// loaded once at startup. Fail-closed: if the graph could not load, every request answers 503.
+type ComplianceGraphHandlers struct {
+	joins    *ucca.ObligationJoinKeys
+	mappings *ucca.ControlMappingSet
+	evidence *ucca.EvidenceRequirementSet
+	loadErr  error
+}
+
+// NewComplianceGraphHandlers loads the graph once. Construction never fails; a load error is
+// retained and surfaced as 503 per request (matches the codebase's load-warn-continue startup).
+func NewComplianceGraphHandlers() *ComplianceGraphHandlers {
+	joins, mappings, evidence, err := ucca.LoadComplianceGraph()
+	return &ComplianceGraphHandlers{joins: joins, mappings: mappings, evidence: evidence, loadErr: err}
+}
+
+// LoadError exposes a startup load failure so the wiring can log a warning.
+func (h *ComplianceGraphHandlers) LoadError() error { return h.loadErr }
+
+// RegisterRoutes mounts the compliance-graph routes under /compliance.
+func (h *ComplianceGraphHandlers) RegisterRoutes(r *gin.RouterGroup) {
+	g := r.Group("/compliance")
+	g.GET("/obligation-status", h.ObligationStatus)
+}
+
+type cgControlDTO struct {
+	Framework        string   `json:"framework"`
+	Control          string   `json:"control"`
+	MappingType      string   `json:"mapping_type"`
+	EvidenceRequired []string `json:"evidence_required"`
+	EvidenceStatus   string   `json:"evidence_status"` // missing | partial | present | none_required
+}
+
+type cgStatusResponse struct {
+	ObligationID  string         `json:"obligation_id"`
+	OverallStatus string         `json:"overall_status"` // unknown_obligation | unmapped | not_assessed | open | met
+	LegalBasis    []string       `json:"legal_basis,omitempty"`
+	CitationSpans string         `json:"citation_spans"` // "pending" until the Legal-KG attaches spans
+	Controls      []cgControlDTO `json:"controls"`
+	Note          string         `json:"note,omitempty"`
+}
+
+// ObligationStatus answers GET /sdk/v1/compliance/obligation-status?obligation_id=...
+//
+// It NEVER asserts fulfillment automatically. With no evidence collection wired (MVP), a mapped
+// obligation is "not_assessed" and every required evidence is "missing" — the honest picture is
+// "required vs present evidence", not "a document exists". Fail-closed otherwise:
+//   - no obligation_id          -> 400
+//   - graph not loaded          -> 503
+//   - id not in the Registry    -> 200 overall_status=unknown_obligation
+//   - mapped but no control yet  -> 200 overall_status=unmapped
+func (h *ComplianceGraphHandlers) ObligationStatus(c *gin.Context) {
+	if h.loadErr != nil {
+		c.JSON(http.StatusServiceUnavailable, gin.H{"error": "compliance graph unavailable", "detail": h.loadErr.Error()})
+		return
+	}
+	obID := strings.TrimSpace(c.Query("obligation_id"))
+	if obID == "" {
+		c.JSON(http.StatusBadRequest, gin.H{"error": "obligation_id query parameter required"})
+		return
+	}
+	resp := cgStatusResponse{ObligationID: obID, CitationSpans: "pending", Controls: []cgControlDTO{}}
+
+	if h.joins.FindObligation(obID) == nil {
+		resp.OverallStatus = "unknown_obligation"
+		resp.Note = "obligation_id not in the Registry join-key contract"
+		c.JSON(http.StatusOK, resp)
+		return
+	}
+
+	// MVP: hasEvidence=nil -> no collection wired -> all required evidence counts as missing.
+	st := ucca.AssessObligationStatus(h.joins, h.mappings, h.evidence, obID, nil)
+	resp.LegalBasis = st.LegalBasis
+
+	if len(st.Controls) == 0 {
+		resp.OverallStatus = "unmapped"
+		resp.Note = "no accepted control maps to this obligation yet"
+		c.JSON(http.StatusOK, resp)
+		return
+	}
+
+	for _, cs := range st.Controls {
+		types := make([]string, 0, len(cs.RequiredEvidence))
+		for _, e := range cs.RequiredEvidence {
+			types = append(types, e.EvidenceType)
+		}
+		resp.Controls = append(resp.Controls, cgControlDTO{
+			Framework:        cs.Framework,
+			Control:          cs.Control,
+			MappingType:      cs.MappingType,
+			EvidenceRequired: types,
+			EvidenceStatus:   cgEvidenceStatus(len(cs.RequiredEvidence), len(cs.MissingEvidence)),
+		})
+	}
+	// No fulfillment claim without real evidence collection.
+	resp.OverallStatus = "not_assessed"
+	resp.Note = "evidence collection not wired (MVP) — fulfillment not asserted"
+	c.JSON(http.StatusOK, resp)
+}
+
+func cgEvidenceStatus(required, missing int) string {
+	switch {
+	case required == 0:
+		return "none_required"
+	case missing == 0:
+		return "present"
+	case missing == required:
+		return "missing"
+	default:
+		return "partial"
+	}
+}
@@ -0,0 +1,94 @@
+package handlers
+
+import (
+	"encoding/json"
+	"net/http"
+	"net/http/httptest"
+	"testing"
+
+	"github.com/gin-gonic/gin"
+)
+
+func newComplianceGraphTestRouter(t *testing.T) *gin.Engine {
+	t.Helper()
+	gin.SetMode(gin.TestMode)
+	h := NewComplianceGraphHandlers()
+	if err := h.LoadError(); err != nil {
+		t.Fatalf("compliance graph failed to load (candidate paths): %v", err)
+	}
+	r := gin.New()
+	h.RegisterRoutes(r.Group("/sdk/v1"))
+	return r
+}
+
+func getObligationStatus(t *testing.T, r *gin.Engine, query string) (int, cgStatusResponse) {
+	t.Helper()
+	w := httptest.NewRecorder()
+	req, _ := http.NewRequest(http.MethodGet, "/sdk/v1/compliance/obligation-status"+query, nil)
+	r.ServeHTTP(w, req)
+	var resp cgStatusResponse
+	if w.Code == http.StatusOK {
+		if err := json.Unmarshal(w.Body.Bytes(), &resp); err != nil {
+			t.Fatalf("decode body %q: %v", w.Body.String(), err)
+		}
+	}
+	return w.Code, resp
+}
+
+func TestObligationStatus(t *testing.T) {
+	r := newComplianceGraphTestRouter(t)
+
+	tests := []struct {
+		name         string
+		query        string
+		wantHTTP     int
+		wantOverall  string
+		wantControls bool // expect >=1 control
+	}{
+		{"missing param -> 400", "", http.StatusBadRequest, "", false},
+		{"unknown id -> unknown_obligation", "?obligation_id=does_not_exist", http.StatusOK, "unknown_obligation", false},
+		{"mapped (OWASP V6) -> not_assessed", "?obligation_id=user_authentication_required", http.StatusOK, "not_assessed", true},
+		{"in registry, no control -> unmapped", "?obligation_id=sbom_creation", http.StatusOK, "unmapped", false},
+	}
+	for _, tt := range tests {
+		t.Run(tt.name, func(t *testing.T) {
+			code, resp := getObligationStatus(t, r, tt.query)
+			if code != tt.wantHTTP {
+				t.Fatalf("http %d, want %d", code, tt.wantHTTP)
+			}
+			if tt.wantHTTP != http.StatusOK {
+				return
+			}
+			if resp.OverallStatus != tt.wantOverall {
+				t.Errorf("overall_status=%q, want %q", resp.OverallStatus, tt.wantOverall)
+			}
+			if tt.wantControls && len(resp.Controls) == 0 {
+				t.Error("expected >=1 control")
+			}
+			if !tt.wantControls && len(resp.Controls) != 0 {
+				t.Errorf("expected 0 controls, got %d", len(resp.Controls))
+			}
+			if resp.CitationSpans != "pending" {
+				t.Errorf("citation_spans=%q, want pending", resp.CitationSpans)
+			}
+		})
+	}
+}
+
+// The MVP must NEVER auto-assert fulfillment: with no evidence collection wired, every required
+// evidence is "missing" and the overall status stays "not_assessed".
+func TestObligationStatus_NoFulfillmentClaim(t *testing.T) {
+	r := newComplianceGraphTestRouter(t)
+	code, resp := getObligationStatus(t, r, "?obligation_id=user_authentication_required")
+	if code != http.StatusOK {
+		t.Fatalf("http %d", code)
+	}
+	if resp.OverallStatus == "met" || resp.OverallStatus == "erfuellt" {
+		t.Fatalf("MVP must not assert fulfillment, got overall_status=%q", resp.OverallStatus)
+	}
+	for _, ctl := range resp.Controls {
+		if len(ctl.EvidenceRequired) > 0 && ctl.EvidenceStatus != "missing" {
+			t.Errorf("control %s/%s evidence_status=%q, want missing (no collection wired)", ctl.Framework, ctl.Control, ctl.EvidenceStatus)
+		}
+	}
+}
@@ -153,6 +153,12 @@ func buildRouter(cfg *config.Config, pool *pgxpool.Pool) *gin.Engine {
 	ragHandlers := handlers.NewRAGHandlers(corpusVersionStore)
 	obligationsHandlers := handlers.NewObligationsHandlersWithStore(obligationsStore)

+	// Compliance Execution Graph (file-backed: Registry join keys + accepted control mappings + evidence)
+	complianceGraphHandlers := handlers.NewComplianceGraphHandlers()
+	if err := complianceGraphHandlers.LoadError(); err != nil {
+		log.Printf("WARNING: compliance graph not loaded (obligation-status -> 503): %v", err)
+	}
+
 	// Regulatory News
 	allV2Regs, err := ucca.LoadAllV2Regulations()
 	if err != nil {
@@ -201,7 +207,8 @@ func buildRouter(cfg *config.Config, pool *pgxpool.Pool) *gin.Engine {
 		uccaHandlers, escalationHandlers, obligationsHandlers, ragHandlers,
 		roadmapHandlers, workshopHandlers, portfolioHandlers,
 		academyHandlers, trainingHandlers, whistleblowerHandlers, iaceHandler,
-		gapHandler, maximizerHandlers, regulatoryNewsHandlers, useCaseHandler)
+		gapHandler, maximizerHandlers, regulatoryNewsHandlers, useCaseHandler,
+		complianceGraphHandlers)

 	return router
 }
@@ -30,6 +30,7 @@ func registerRoutes(
 	maximizerHandlers *handlers.MaximizerHandlers,
 	regulatoryNewsHandlers *handlers.RegulatoryNewsHandlers,
 	useCaseHandler *handlers.UseCaseHandler,
+	complianceGraphHandlers *handlers.ComplianceGraphHandlers,
 ) {
 	v1 := router.Group("/sdk/v1")
 	{
@@ -54,6 +55,7 @@ func registerRoutes(
 		registerMaximizerRoutes(v1, maximizerHandlers)
 		registerUseCaseRoutes(v1, useCaseHandler)
 		v1.GET("/regulatory-news", regulatoryNewsHandlers.GetNews)
+		complianceGraphHandlers.RegisterRoutes(v1)
 	}
 }

@@ -0,0 +1,89 @@
+package ucca
+
+import (
+	"fmt"
+	"os"
+	"path/filepath"
+	"runtime"
+)
+
+// graphCallerRel resolves a path relative to THIS source file (build-time location), so the
+// graph data is findable under `go test` (cwd = package dir) regardless of working directory.
+// In a built container the source is gone, so cwd-relative candidates carry the load instead.
+func graphCallerRel(rel string) string {
+	_, file, _, ok := runtime.Caller(0)
+	if !ok {
+		return ""
+	}
+	return filepath.Join(filepath.Dir(file), rel)
+}
+
+// firstExisting returns the first candidate path that exists with the requested kind (dir vs
+// file). Empty candidates (e.g. unset env overrides) are skipped.
+func firstExisting(candidates []string, wantDir bool) string {
+	for _, p := range candidates {
+		if p == "" {
+			continue
+		}
+		info, err := os.Stat(p)
+		if err != nil || info.IsDir() != wantDir {
+			continue
+		}
+		return p
+	}
+	return ""
+}
+
+// LoadComplianceGraph loads the file-backed Compliance Execution Graph: the Registry join-key
+// contract (obligations/obligation_join_keys.json — owned by the Obligation session) + our
+// curated, accepted control mappings + evidence requirements. Locations are resolved across
+// three layouts: dev (cwd = ai-compliance-sdk/, canonical contract at ../obligations), container
+// (WORKDIR /app, data/ copied in incl. a synced data/obligations/ copy) and `go test`
+// (cwd = package dir, via graphCallerRel). Fail-closed: a missing/invalid source returns an
+// error so the handler serves 503 — never a half-built graph.
+//
+// NOTE: data/obligations/obligation_join_keys.json is a SYNCED COPY of the repo-root contract
+// (the canonical owner is the Obligation session). Re-sync it when the Registry grows; dev/test
+// prefer the canonical repo-root path, only the container falls back to the copy.
+func LoadComplianceGraph() (*ObligationJoinKeys, *ControlMappingSet, *EvidenceRequirementSet, error) {
+	joinPath := firstExisting([]string{
+		os.Getenv("BP_OBLIGATION_JOIN_KEYS"),
+		"../obligations/obligation_join_keys.json",
+		graphCallerRel("../../../obligations/obligation_join_keys.json"),
+		"data/obligations/obligation_join_keys.json",
+		graphCallerRel("../../data/obligations/obligation_join_keys.json"),
+	}, false)
+	if joinPath == "" {
+		return nil, nil, nil, fmt.Errorf("obligation_join_keys.json not found in any candidate path")
+	}
+	mapDir := firstExisting([]string{
+		os.Getenv("BP_CONTROL_MAPPINGS_DIR"),
+		"data/control_mappings",
+		graphCallerRel("../../data/control_mappings"),
+	}, true)
+	if mapDir == "" {
+		return nil, nil, nil, fmt.Errorf("control_mappings dir not found in any candidate path")
+	}
+	evDir := firstExisting([]string{
+		os.Getenv("BP_EVIDENCE_DIR"),
+		"data/evidence_requirements",
+		graphCallerRel("../../data/evidence_requirements"),
+	}, true)
+	if evDir == "" {
+		return nil, nil, nil, fmt.Errorf("evidence_requirements dir not found in any candidate path")
+	}
+
+	joins, err := LoadObligationJoinKeys(joinPath)
+	if err != nil {
+		return nil, nil, nil, fmt.Errorf("load join keys (%s): %w", joinPath, err)
+	}
+	mappings, err := LoadControlMappings(mapDir)
+	if err != nil {
+		return nil, nil, nil, fmt.Errorf("load control mappings (%s): %w", mapDir, err)
+	}
+	evidence, err := LoadEvidenceRequirements(evDir)
+	if err != nil {
+		return nil, nil, nil, fmt.Errorf("load evidence (%s): %w", evDir, err)
+	}
+	return joins, mappings, evidence, nil
+}