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>
This commit is contained in:
Benjamin Admin
2026-06-25 19:29:37 +02:00
parent 8a9d5e7c4d
commit d4df1e01df
7 changed files with 1151 additions and 1 deletions
+6
View File
@@ -33,6 +33,12 @@ COPY migrations/ ./migrations/
# Copy policy files (YAML rules)
COPY policies/ ./policies/
# Copy Compliance Execution Graph data (file-backed: Registry join-key copy + accepted control
# mappings + evidence requirements) consumed by GET /sdk/v1/compliance/obligation-status.
COPY data/control_mappings/ ./data/control_mappings/
COPY data/evidence_requirements/ ./data/evidence_requirements/
COPY data/obligations/ ./data/obligations/
# Create non-root user
RUN adduser -D -u 1000 appuser
USER appuser
@@ -0,0 +1,826 @@
{
"schema_version": "obligation_join_keys_v1",
"contract": "obligation_id ist der stabile Join-Key. Legal Knowledge Graph haengt citation_spans an obligation_id; Compliance Execution Graph mappt control_mapping.source_norm -> obligation_id. Interim-Bruecke = citation_units. obligation_id NIE neu vergeben (re-link).",
"count": 93,
"obligation_ids": [
{
"obligation_id": "sbom_creation",
"regulation": "CRA",
"family": "sbom",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part II (1)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "sbom_dependency_coverage",
"regulation": "CRA",
"family": "sbom",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Art. 3(36) i.V.m. Annex I Part II (1)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "sbom_format_standard",
"regulation": "CRA",
"family": "sbom",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part II (1)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "sbom_maintenance_update",
"regulation": "CRA",
"family": "sbom",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part II (1)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "sbom_completeness_verification",
"regulation": "CRA",
"family": "sbom",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "sbom_tooling_automation",
"regulation": "CRA",
"family": "sbom",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "IMPLEMENTATION"
},
{
"obligation_id": "sbom_access_provision",
"regulation": "CRA",
"family": "sbom",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "sbom_authority_provision",
"regulation": "CRA",
"family": "sbom",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Art. 31 / Annex I Part II (1)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "sbom_confidentiality",
"regulation": "CRA",
"family": "sbom",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Art. 31(4)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "sbom_supply_chain_contracts",
"regulation": "CRA",
"family": "sbom",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "sbom_technical_documentation",
"regulation": "CRA",
"family": "sbom",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Art. 31 i.V.m. Annex VII"
],
"source_role": "EVIDENCE"
},
{
"obligation_id": "vuln_identification_inventory",
"regulation": "CRA",
"family": "vuln",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part II (1)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "vuln_assessment_prioritization",
"regulation": "CRA",
"family": "vuln",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part II (1)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "vuln_remediation_patching",
"regulation": "CRA",
"family": "vuln",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part II (2) & (8)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "vuln_handling_process",
"regulation": "CRA",
"family": "vuln",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Article 13(8) & Annex VII"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "coordinated_vulnerability_disclosure",
"regulation": "CRA",
"family": "vuln",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part II (5)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "exploited_vuln_reporting_authorities",
"regulation": "CRA",
"family": "vuln",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Article 14 & Article 16"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "vuln_info_dissemination_users",
"regulation": "CRA",
"family": "vuln",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part II (4) & (6)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "user_authentication_required",
"regulation": "CRA",
"family": "authentication",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (2)(d)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "authentication_policy_documented",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "auth_exceptions_documented",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "mfa_required",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "step_up_authentication",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "privileged_op_reauth",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "strong_crypto_authentication",
"regulation": "CRA",
"family": "authentication",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (2)(e)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "credential_lifecycle_management",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "credential_confidentiality_protection",
"regulation": "CRA",
"family": "authentication",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (2)(e)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "password_policy",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "no_default_credentials",
"regulation": "CRA",
"family": "authentication",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (2)(a)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "account_lockout_failed_attempts",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "server_side_validation",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "session_binding_management",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "reauth_after_inactivity",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "token_validation_lifecycle",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "mutual_authentication",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "revocation_check",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "encrypted_auth_channel",
"regulation": "CRA",
"family": "authentication",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (2)(e)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "tls_certificate_auth",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "service_to_service_auth",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "auth_key_management",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "biometric_authentication",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "federated_auth_assertions",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "separate_authn_authz",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_authentication",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "supplier_access_auth",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "personal_admin_accounts",
"regulation": "CRA",
"family": "authentication",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "firmware_software_authentication",
"regulation": "CRA",
"family": "authentication",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (2)(c)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "event_logging_security_events",
"regulation": "CRA",
"family": "logging",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part I (2)(k)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "access_control_event_logging",
"regulation": "CRA",
"family": "logging",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part I (2)(k)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "audit_trail_admin_actions",
"regulation": "CRA",
"family": "logging",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part I (2)(k)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "log_integrity_immutability",
"regulation": "CRA",
"family": "logging",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part I (2)(k)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "log_access_control_protection",
"regulation": "CRA",
"family": "logging",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part I (2)(k)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "log_retention_archival",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "centralized_log_management",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "log_monitoring_alerting",
"regulation": "CRA",
"family": "logging",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I Part I (2)(k)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "log_data_minimization_privacy",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "log_format_standardization",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "log_timestamp_synchronization",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "logging_availability_resilience",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "logging_thread_safety_correctness",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "IMPLEMENTATION"
},
{
"obligation_id": "logging_library_supply_chain",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "logging_config_management",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "logging_governance_roles",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "incident_response_logging",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "log_transmission_security",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "network_traffic_logging",
"regulation": "CRA",
"family": "logging",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_control_least_privilege",
"regulation": "CRA",
"family": "remote_access",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (1)(2)(d)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "remote_access_confidentiality_integrity",
"regulation": "CRA",
"family": "remote_access",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (1)(2)(b)(c)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "remote_session_management",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_mfa",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_encryption",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "reject_insecure_remote_protocols",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_logging_audit",
"regulation": "CRA",
"family": "remote_access",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (1)(2)(g)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "remote_access_user_validation_ot",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_training",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_architecture_design",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_attack_surface_min",
"regulation": "CRA",
"family": "remote_access",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (1)(2)(a)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "remote_access_vuln_patch_mgmt",
"regulation": "CRA",
"family": "remote_access",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (2)(1)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "remote_access_threat_detection",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_maintenance_governance",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "temporary_remote_access_mgmt",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_data_export_protection",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "component_remote_interface_security",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "remote_access_fallback_concept",
"regulation": "CRA",
"family": "remote_access",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "provide_security_updates",
"regulation": "CRA",
"family": "updates",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (2)(c)",
"Art. 13"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "support_period_maintenance",
"regulation": "CRA",
"family": "updates",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Art. 13(8)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "signed_update_integrity",
"regulation": "CRA",
"family": "updates",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (1)(3)(f)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "trusted_update_source",
"regulation": "CRA",
"family": "updates",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (1)(3)(d)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "update_testing_validation",
"regulation": "CRA",
"family": "updates",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "update_rollback",
"regulation": "CRA",
"family": "updates",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "GUIDANCE"
},
{
"obligation_id": "automatic_updates_optout",
"regulation": "CRA",
"family": "updates",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (2)(c)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "update_risk_assessment",
"regulation": "CRA",
"family": "updates",
"tier": "LEGAL_MINIMUM",
"citation_units": [
"Annex I (1)(2)"
],
"source_role": "LEGAL_BASIS"
},
{
"obligation_id": "secure_modification_control",
"regulation": "CRA",
"family": "updates",
"tier": "BEST_PRACTICE",
"citation_units": [],
"source_role": "IMPLEMENTATION"
}
]
}
@@ -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)
}
}
}
+8 -1
View File
@@ -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
}
+2
View File
@@ -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
}