feat(control-generator): 7-stage pipeline for RAG→LLM→Controls generation
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Implements the Control Generator Pipeline that systematically generates canonical security controls from 150k+ RAG chunks across all compliance collections (BSI, NIST, OWASP, ENISA, EU laws, German laws). Three license rules enforced throughout: - Rule 1 (free_use): Laws/Public Domain — original text preserved - Rule 2 (citation_required): CC-BY/CC-BY-SA — text with citation - Rule 3 (restricted): BSI/ISO — full reformulation, no source traces New files: - Migration 046: job tracking, chunk tracking, blocked sources tables - control_generator.py: 7-stage pipeline (scan→classify→structure/reform→harmonize→anchor→store→mark) - anchor_finder.py: RAG + DuckDuckGo open-source reference search - control_generator_routes.py: REST API (generate, review, stats, blocked-sources) - test_control_generator.py: license mapping, rule enforcement, anchor filtering tests Modified: - __init__.py: register control_generator_router - route.ts: proxy generator/review/stats endpoints - page.tsx: Generator modal, stats panel, state filter, review queue, license badges Co-Authored-By: Claude Opus 4.6 <noreply@anthropic.com>
This commit is contained in:
@@ -34,6 +34,7 @@ from .generation_routes import router as generation_router
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from .project_routes import router as project_router
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from .wiki_routes import router as wiki_router
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from .canonical_control_routes import router as canonical_control_router
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from .control_generator_routes import router as control_generator_router
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# Include sub-routers
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router.include_router(audit_router)
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@@ -69,6 +70,7 @@ router.include_router(generation_router)
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router.include_router(project_router)
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router.include_router(wiki_router)
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router.include_router(canonical_control_router)
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router.include_router(control_generator_router)
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__all__ = [
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"router",
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@@ -104,4 +106,5 @@ __all__ = [
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"project_router",
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"wiki_router",
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"canonical_control_router",
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"control_generator_router",
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]
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433
backend-compliance/compliance/api/control_generator_routes.py
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433
backend-compliance/compliance/api/control_generator_routes.py
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@@ -0,0 +1,433 @@
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"""
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FastAPI routes for the Control Generator Pipeline.
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Endpoints:
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POST /v1/canonical/generate — Start generation run
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GET /v1/canonical/generate/status/{job_id} — Job status
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GET /v1/canonical/generate/jobs — All jobs
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GET /v1/canonical/generate/review-queue — Controls needing review
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POST /v1/canonical/generate/review/{control_id} — Complete review
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GET /v1/canonical/generate/processed-stats — Processing stats per collection
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GET /v1/canonical/blocked-sources — Blocked sources list
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POST /v1/canonical/blocked-sources/cleanup — Start cleanup workflow
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"""
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from __future__ import annotations
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import json
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import logging
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from typing import Optional
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from fastapi import APIRouter, HTTPException, Query
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from pydantic import BaseModel
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from sqlalchemy import text
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from database import SessionLocal
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from compliance.services.control_generator import (
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ControlGeneratorPipeline,
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GeneratorConfig,
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ALL_COLLECTIONS,
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)
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from compliance.services.rag_client import get_rag_client
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logger = logging.getLogger(__name__)
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router = APIRouter(prefix="/v1/canonical", tags=["control-generator"])
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# =============================================================================
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# REQUEST / RESPONSE MODELS
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# =============================================================================
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class GenerateRequest(BaseModel):
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domain: str | None = None
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collections: list[str] | None = None
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max_controls: int = 50
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batch_size: int = 5
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skip_web_search: bool = False
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dry_run: bool = False
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class GenerateResponse(BaseModel):
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job_id: str
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status: str
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message: str
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total_chunks_scanned: int = 0
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controls_generated: int = 0
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controls_verified: int = 0
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controls_needs_review: int = 0
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controls_too_close: int = 0
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controls_duplicates_found: int = 0
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errors: list = []
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controls: list = []
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class ReviewRequest(BaseModel):
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action: str # "approve", "reject", "needs_rework"
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release_state: str | None = None # Override release_state
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notes: str | None = None
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class ProcessedStats(BaseModel):
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collection: str
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total_chunks_estimated: int
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processed_chunks: int
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pending_chunks: int
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direct_adopted: int
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llm_reformed: int
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skipped: int
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class BlockedSourceResponse(BaseModel):
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id: str
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regulation_code: str
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document_title: str
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reason: str
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deletion_status: str
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qdrant_collection: str | None = None
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marked_at: str
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# =============================================================================
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# ENDPOINTS
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# =============================================================================
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@router.post("/generate", response_model=GenerateResponse)
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async def start_generation(req: GenerateRequest):
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"""Start a control generation run."""
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config = GeneratorConfig(
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collections=req.collections,
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domain=req.domain,
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batch_size=req.batch_size,
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max_controls=req.max_controls,
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skip_web_search=req.skip_web_search,
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dry_run=req.dry_run,
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)
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db = SessionLocal()
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try:
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pipeline = ControlGeneratorPipeline(db=db, rag_client=get_rag_client())
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result = await pipeline.run(config)
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return GenerateResponse(
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job_id=result.job_id,
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status=result.status,
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message=f"Generated {result.controls_generated} controls from {result.total_chunks_scanned} chunks",
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total_chunks_scanned=result.total_chunks_scanned,
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controls_generated=result.controls_generated,
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controls_verified=result.controls_verified,
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controls_needs_review=result.controls_needs_review,
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controls_too_close=result.controls_too_close,
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controls_duplicates_found=result.controls_duplicates_found,
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errors=result.errors,
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controls=result.controls if req.dry_run else [],
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)
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except Exception as e:
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logger.error("Generation failed: %s", e)
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raise HTTPException(status_code=500, detail=str(e))
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finally:
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db.close()
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@router.get("/generate/status/{job_id}")
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async def get_job_status(job_id: str):
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"""Get status of a generation job."""
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db = SessionLocal()
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try:
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result = db.execute(
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text("SELECT * FROM canonical_generation_jobs WHERE id = :id::uuid"),
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{"id": job_id},
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)
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row = result.fetchone()
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if not row:
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raise HTTPException(status_code=404, detail="Job not found")
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cols = result.keys()
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job = dict(zip(cols, row))
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# Serialize datetime fields
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for key in ("started_at", "completed_at", "created_at"):
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if job.get(key):
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job[key] = str(job[key])
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job["id"] = str(job["id"])
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return job
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finally:
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db.close()
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@router.get("/generate/jobs")
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async def list_jobs(
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limit: int = Query(20, ge=1, le=100),
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offset: int = Query(0, ge=0),
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):
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"""List all generation jobs."""
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db = SessionLocal()
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try:
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result = db.execute(
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text("""
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SELECT id, status, total_chunks_scanned, controls_generated,
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controls_verified, controls_needs_review, controls_too_close,
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controls_duplicates_found, created_at, completed_at
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FROM canonical_generation_jobs
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ORDER BY created_at DESC
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LIMIT :limit OFFSET :offset
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"""),
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{"limit": limit, "offset": offset},
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)
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jobs = []
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cols = result.keys()
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for row in result:
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job = dict(zip(cols, row))
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job["id"] = str(job["id"])
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for key in ("created_at", "completed_at"):
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if job.get(key):
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job[key] = str(job[key])
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jobs.append(job)
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return {"jobs": jobs, "total": len(jobs)}
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finally:
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db.close()
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@router.get("/generate/review-queue")
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async def get_review_queue(
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release_state: str = Query("needs_review", regex="^(needs_review|too_close|duplicate)$"),
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limit: int = Query(50, ge=1, le=200),
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):
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"""Get controls that need manual review."""
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db = SessionLocal()
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try:
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result = db.execute(
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text("""
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SELECT c.id, c.control_id, c.title, c.objective, c.severity,
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c.release_state, c.license_rule, c.customer_visible,
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c.generation_metadata, c.open_anchors, c.tags,
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c.created_at
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FROM canonical_controls c
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WHERE c.release_state = :state
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ORDER BY c.created_at DESC
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LIMIT :limit
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"""),
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{"state": release_state, "limit": limit},
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)
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controls = []
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cols = result.keys()
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for row in result:
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ctrl = dict(zip(cols, row))
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ctrl["id"] = str(ctrl["id"])
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ctrl["created_at"] = str(ctrl["created_at"])
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# Parse JSON fields
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for jf in ("generation_metadata", "open_anchors", "tags"):
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if isinstance(ctrl.get(jf), str):
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try:
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ctrl[jf] = json.loads(ctrl[jf])
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except (json.JSONDecodeError, TypeError):
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pass
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controls.append(ctrl)
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return {"controls": controls, "total": len(controls)}
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finally:
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db.close()
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@router.post("/generate/review/{control_id}")
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async def review_control(control_id: str, req: ReviewRequest):
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"""Complete review of a generated control."""
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db = SessionLocal()
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try:
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# Validate control exists and is in reviewable state
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result = db.execute(
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text("SELECT id, release_state FROM canonical_controls WHERE control_id = :cid"),
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{"cid": control_id},
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)
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row = result.fetchone()
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if not row:
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raise HTTPException(status_code=404, detail="Control not found")
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current_state = row[1]
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if current_state not in ("needs_review", "too_close", "duplicate"):
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raise HTTPException(status_code=400, detail=f"Control is in state '{current_state}', not reviewable")
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# Determine new state
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if req.action == "approve":
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new_state = req.release_state or "draft"
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elif req.action == "reject":
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new_state = "deprecated"
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elif req.action == "needs_rework":
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new_state = "needs_review"
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else:
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raise HTTPException(status_code=400, detail=f"Unknown action: {req.action}")
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if new_state not in ("draft", "review", "approved", "deprecated", "needs_review", "too_close", "duplicate"):
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raise HTTPException(status_code=400, detail=f"Invalid release_state: {new_state}")
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db.execute(
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text("""
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UPDATE canonical_controls
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SET release_state = :state, updated_at = NOW()
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WHERE control_id = :cid
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"""),
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{"state": new_state, "cid": control_id},
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)
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db.commit()
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return {"control_id": control_id, "release_state": new_state, "action": req.action}
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finally:
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db.close()
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@router.get("/generate/processed-stats")
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async def get_processed_stats():
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"""Get processing statistics per collection."""
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db = SessionLocal()
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try:
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result = db.execute(
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text("""
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SELECT
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collection,
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COUNT(*) as processed_chunks,
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COUNT(*) FILTER (WHERE processing_path = 'structured') as direct_adopted,
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COUNT(*) FILTER (WHERE processing_path = 'llm_reform') as llm_reformed,
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COUNT(*) FILTER (WHERE processing_path = 'skipped') as skipped
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FROM canonical_processed_chunks
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GROUP BY collection
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ORDER BY collection
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""")
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)
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stats = []
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cols = result.keys()
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for row in result:
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stat = dict(zip(cols, row))
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stat["total_chunks_estimated"] = 0 # Would need Qdrant API to get total
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stat["pending_chunks"] = 0
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stats.append(stat)
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return {"stats": stats}
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finally:
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db.close()
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# =============================================================================
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# BLOCKED SOURCES
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# =============================================================================
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@router.get("/blocked-sources")
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async def list_blocked_sources():
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"""List all blocked (Rule 3) sources."""
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db = SessionLocal()
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try:
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result = db.execute(
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text("""
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SELECT id, regulation_code, document_title, reason,
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deletion_status, qdrant_collection, marked_at
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FROM canonical_blocked_sources
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ORDER BY marked_at DESC
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""")
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)
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sources = []
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cols = result.keys()
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for row in result:
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src = dict(zip(cols, row))
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src["id"] = str(src["id"])
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src["marked_at"] = str(src["marked_at"])
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sources.append(src)
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return {"sources": sources}
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finally:
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db.close()
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@router.post("/blocked-sources/cleanup")
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async def start_cleanup():
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"""Start cleanup workflow for blocked sources.
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This marks all pending blocked sources for deletion.
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Actual RAG chunk deletion and file removal is a separate manual step.
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"""
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db = SessionLocal()
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try:
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result = db.execute(
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text("""
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UPDATE canonical_blocked_sources
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SET deletion_status = 'marked_for_deletion'
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WHERE deletion_status = 'pending'
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RETURNING regulation_code
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""")
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)
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marked = [row[0] for row in result]
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db.commit()
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return {
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"status": "marked_for_deletion",
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"marked_count": len(marked),
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"regulation_codes": marked,
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"message": "Sources marked for deletion. Run manual cleanup to remove RAG chunks and files.",
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}
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finally:
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db.close()
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# =============================================================================
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# CUSTOMER VIEW FILTER
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# =============================================================================
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@router.get("/controls-customer")
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async def get_controls_customer_view(
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severity: str | None = Query(None),
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domain: str | None = Query(None),
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):
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"""Get controls filtered for customer visibility.
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Rule 3 controls have source_citation and source_original_text hidden.
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generation_metadata is NEVER shown to customers.
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"""
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db = SessionLocal()
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try:
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query = """
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SELECT c.id, c.control_id, c.title, c.objective, c.rationale,
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c.scope, c.requirements, c.test_procedure, c.evidence,
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c.severity, c.risk_score, c.implementation_effort,
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c.open_anchors, c.release_state, c.tags,
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c.license_rule, c.customer_visible,
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c.source_original_text, c.source_citation,
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c.created_at, c.updated_at
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FROM canonical_controls c
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WHERE c.release_state IN ('draft', 'approved')
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"""
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params: dict = {}
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if severity:
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query += " AND c.severity = :severity"
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params["severity"] = severity
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if domain:
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query += " AND c.control_id LIKE :domain"
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params["domain"] = f"{domain.upper()}-%"
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query += " ORDER BY c.control_id"
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result = db.execute(text(query), params)
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controls = []
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cols = result.keys()
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for row in result:
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ctrl = dict(zip(cols, row))
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ctrl["id"] = str(ctrl["id"])
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for key in ("created_at", "updated_at"):
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if ctrl.get(key):
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ctrl[key] = str(ctrl[key])
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# Parse JSON fields
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for jf in ("scope", "requirements", "test_procedure", "evidence",
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"open_anchors", "tags", "source_citation"):
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if isinstance(ctrl.get(jf), str):
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try:
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ctrl[jf] = json.loads(ctrl[jf])
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except (json.JSONDecodeError, TypeError):
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pass
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# Customer visibility rules:
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# - NEVER show generation_metadata
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# - Rule 3: NEVER show source_citation or source_original_text
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ctrl.pop("generation_metadata", None)
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if not ctrl.get("customer_visible", True):
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ctrl["source_citation"] = None
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ctrl["source_original_text"] = None
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controls.append(ctrl)
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return {"controls": controls, "total": len(controls)}
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finally:
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db.close()
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188
backend-compliance/compliance/services/anchor_finder.py
Normal file
188
backend-compliance/compliance/services/anchor_finder.py
Normal file
@@ -0,0 +1,188 @@
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"""
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Anchor Finder — finds open-source references (OWASP, NIST, ENISA) for controls.
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|
||||
Two-stage search:
|
||||
Stage A: RAG-internal search for open-source chunks matching the control topic
|
||||
Stage B: Web search via DuckDuckGo Instant Answer API (no API key needed)
|
||||
|
||||
Only open-source references (Rule 1+2) are accepted as anchors.
|
||||
"""
|
||||
|
||||
from __future__ import annotations
|
||||
|
||||
import logging
|
||||
from dataclasses import dataclass
|
||||
|
||||
import httpx
|
||||
|
||||
from .rag_client import ComplianceRAGClient, get_rag_client
|
||||
from .control_generator import (
|
||||
GeneratedControl,
|
||||
REGULATION_LICENSE_MAP,
|
||||
_RULE2_PREFIXES,
|
||||
_RULE3_PREFIXES,
|
||||
_classify_regulation,
|
||||
)
|
||||
|
||||
logger = logging.getLogger(__name__)
|
||||
|
||||
# Regulation codes that are safe to reference as open anchors (Rule 1+2)
|
||||
_OPEN_SOURCE_RULES = {1, 2}
|
||||
|
||||
|
||||
@dataclass
|
||||
class OpenAnchor:
|
||||
framework: str
|
||||
ref: str
|
||||
url: str
|
||||
|
||||
|
||||
class AnchorFinder:
|
||||
"""Finds open-source references to anchor generated controls."""
|
||||
|
||||
def __init__(self, rag_client: ComplianceRAGClient | None = None):
|
||||
self.rag = rag_client or get_rag_client()
|
||||
|
||||
async def find_anchors(
|
||||
self,
|
||||
control: GeneratedControl,
|
||||
skip_web: bool = False,
|
||||
min_anchors: int = 2,
|
||||
) -> list[OpenAnchor]:
|
||||
"""Find open-source anchors for a control."""
|
||||
# Stage A: RAG-internal search
|
||||
anchors = await self._search_rag_for_open_anchors(control)
|
||||
|
||||
# Stage B: Web search if not enough anchors
|
||||
if len(anchors) < min_anchors and not skip_web:
|
||||
web_anchors = await self._search_web(control)
|
||||
# Deduplicate by framework+ref
|
||||
existing_keys = {(a.framework, a.ref) for a in anchors}
|
||||
for wa in web_anchors:
|
||||
if (wa.framework, wa.ref) not in existing_keys:
|
||||
anchors.append(wa)
|
||||
|
||||
return anchors
|
||||
|
||||
async def _search_rag_for_open_anchors(self, control: GeneratedControl) -> list[OpenAnchor]:
|
||||
"""Search RAG for chunks from open sources matching the control topic."""
|
||||
# Build search query from control title + first 3 tags
|
||||
tags_str = " ".join(control.tags[:3]) if control.tags else ""
|
||||
query = f"{control.title} {tags_str}".strip()
|
||||
|
||||
results = await self.rag.search(
|
||||
query=query,
|
||||
collection="bp_compliance_ce",
|
||||
top_k=15,
|
||||
)
|
||||
|
||||
anchors: list[OpenAnchor] = []
|
||||
seen: set[str] = set()
|
||||
|
||||
for r in results:
|
||||
if not r.regulation_code:
|
||||
continue
|
||||
|
||||
# Only accept open-source references
|
||||
license_info = _classify_regulation(r.regulation_code)
|
||||
if license_info.get("rule") not in _OPEN_SOURCE_RULES:
|
||||
continue
|
||||
|
||||
# Build reference key for dedup
|
||||
ref = r.article or r.category or ""
|
||||
key = f"{r.regulation_code}:{ref}"
|
||||
if key in seen:
|
||||
continue
|
||||
seen.add(key)
|
||||
|
||||
framework_name = license_info.get("name", r.regulation_name or r.regulation_short or r.regulation_code)
|
||||
url = r.source_url or self._build_reference_url(r.regulation_code, ref)
|
||||
|
||||
anchors.append(OpenAnchor(
|
||||
framework=framework_name,
|
||||
ref=ref,
|
||||
url=url,
|
||||
))
|
||||
|
||||
if len(anchors) >= 5:
|
||||
break
|
||||
|
||||
return anchors
|
||||
|
||||
async def _search_web(self, control: GeneratedControl) -> list[OpenAnchor]:
|
||||
"""Search DuckDuckGo Instant Answer API for open references."""
|
||||
keywords = f"{control.title} security control OWASP NIST"
|
||||
try:
|
||||
async with httpx.AsyncClient(timeout=10.0) as client:
|
||||
resp = await client.get(
|
||||
"https://api.duckduckgo.com/",
|
||||
params={
|
||||
"q": keywords,
|
||||
"format": "json",
|
||||
"no_html": "1",
|
||||
"skip_disambig": "1",
|
||||
},
|
||||
)
|
||||
if resp.status_code != 200:
|
||||
return []
|
||||
|
||||
data = resp.json()
|
||||
anchors: list[OpenAnchor] = []
|
||||
|
||||
# Parse RelatedTopics
|
||||
for topic in data.get("RelatedTopics", [])[:10]:
|
||||
url = topic.get("FirstURL", "")
|
||||
text = topic.get("Text", "")
|
||||
|
||||
if not url:
|
||||
continue
|
||||
|
||||
# Only accept known open-source domains
|
||||
framework = self._identify_framework_from_url(url)
|
||||
if framework:
|
||||
anchors.append(OpenAnchor(
|
||||
framework=framework,
|
||||
ref=text[:100] if text else url,
|
||||
url=url,
|
||||
))
|
||||
|
||||
if len(anchors) >= 3:
|
||||
break
|
||||
|
||||
return anchors
|
||||
|
||||
except Exception as e:
|
||||
logger.warning("Web anchor search failed: %s", e)
|
||||
return []
|
||||
|
||||
@staticmethod
|
||||
def _identify_framework_from_url(url: str) -> str | None:
|
||||
"""Identify if a URL belongs to a known open-source framework."""
|
||||
url_lower = url.lower()
|
||||
if "owasp.org" in url_lower:
|
||||
return "OWASP"
|
||||
if "nist.gov" in url_lower or "csrc.nist.gov" in url_lower:
|
||||
return "NIST"
|
||||
if "enisa.europa.eu" in url_lower:
|
||||
return "ENISA"
|
||||
if "cisa.gov" in url_lower:
|
||||
return "CISA"
|
||||
if "eur-lex.europa.eu" in url_lower:
|
||||
return "EU Law"
|
||||
return None
|
||||
|
||||
@staticmethod
|
||||
def _build_reference_url(regulation_code: str, ref: str) -> str:
|
||||
"""Build a reference URL for known frameworks."""
|
||||
code = regulation_code.lower()
|
||||
if code.startswith("owasp"):
|
||||
return "https://owasp.org/www-project-application-security-verification-standard/"
|
||||
if code.startswith("nist"):
|
||||
return "https://csrc.nist.gov/publications"
|
||||
if code.startswith("enisa"):
|
||||
return "https://www.enisa.europa.eu/publications"
|
||||
if code.startswith("eu_"):
|
||||
return "https://eur-lex.europa.eu/"
|
||||
if code == "cisa_secure_by_design":
|
||||
return "https://www.cisa.gov/securebydesign"
|
||||
return ""
|
||||
951
backend-compliance/compliance/services/control_generator.py
Normal file
951
backend-compliance/compliance/services/control_generator.py
Normal file
@@ -0,0 +1,951 @@
|
||||
"""
|
||||
Control Generator Pipeline — RAG → License → Structure/Reform → Harmonize → Anchor → Store.
|
||||
|
||||
7-stage pipeline that generates canonical security controls from RAG chunks:
|
||||
1. RAG SCAN — Load unprocessed chunks (or new document versions)
|
||||
2. LICENSE CLASSIFY — Determine which of 3 license rules applies
|
||||
3a. STRUCTURE — Rule 1+2: Structure original text into control format
|
||||
3b. LLM REFORM — Rule 3: Fully reformulate (no original text, no source names)
|
||||
4. HARMONIZE — Check against existing controls for duplicates
|
||||
5. ANCHOR SEARCH — Find open-source references (OWASP, NIST, ENISA)
|
||||
6. STORE — Persist to DB with correct visibility flags
|
||||
7. MARK PROCESSED — Mark RAG chunks as processed (with version tracking)
|
||||
|
||||
Three License Rules:
|
||||
Rule 1 (free_use): Laws, Public Domain — original text allowed
|
||||
Rule 2 (citation_required): CC-BY, CC-BY-SA — original text with citation
|
||||
Rule 3 (restricted): BSI, ISO — full reformulation, no source names
|
||||
"""
|
||||
|
||||
from __future__ import annotations
|
||||
|
||||
import hashlib
|
||||
import json
|
||||
import logging
|
||||
import os
|
||||
import re
|
||||
import uuid
|
||||
from dataclasses import dataclass, field, asdict
|
||||
from datetime import datetime, timezone
|
||||
from typing import Optional
|
||||
|
||||
import httpx
|
||||
from pydantic import BaseModel
|
||||
from sqlalchemy import text
|
||||
from sqlalchemy.orm import Session
|
||||
|
||||
from .rag_client import ComplianceRAGClient, RAGSearchResult, get_rag_client
|
||||
from .similarity_detector import check_similarity, SimilarityReport
|
||||
|
||||
logger = logging.getLogger(__name__)
|
||||
|
||||
# ---------------------------------------------------------------------------
|
||||
# Configuration
|
||||
# ---------------------------------------------------------------------------
|
||||
|
||||
SDK_URL = os.getenv("SDK_URL", "http://ai-compliance-sdk:8090")
|
||||
LLM_CHAT_URL = f"{SDK_URL}/sdk/v1/llm/chat"
|
||||
EMBEDDING_URL = os.getenv("EMBEDDING_URL", "http://embedding-service:8087")
|
||||
LLM_MODEL = os.getenv("CONTROL_GEN_LLM_MODEL", "qwen3:30b-a3b")
|
||||
LLM_TIMEOUT = float(os.getenv("CONTROL_GEN_LLM_TIMEOUT", "120"))
|
||||
|
||||
HARMONIZATION_THRESHOLD = 0.85 # Cosine similarity above this = duplicate
|
||||
|
||||
ALL_COLLECTIONS = [
|
||||
"bp_compliance_ce",
|
||||
"bp_compliance_recht",
|
||||
"bp_compliance_gesetze",
|
||||
"bp_compliance_datenschutz",
|
||||
"bp_dsfa_corpus",
|
||||
"bp_legal_templates",
|
||||
]
|
||||
|
||||
# ---------------------------------------------------------------------------
|
||||
# License Mapping (3-Rule System)
|
||||
# ---------------------------------------------------------------------------
|
||||
|
||||
REGULATION_LICENSE_MAP: dict[str, dict] = {
|
||||
# RULE 1: FREE USE — Laws, Public Domain
|
||||
"eu_2016_679": {"license": "EU_LAW", "rule": 1, "name": "DSGVO"},
|
||||
"eu_2024_1689": {"license": "EU_LAW", "rule": 1, "name": "AI Act"},
|
||||
"eu_2022_2555": {"license": "EU_LAW", "rule": 1, "name": "NIS2"},
|
||||
"eu_2024_2847": {"license": "EU_LAW", "rule": 1, "name": "CRA"},
|
||||
"eu_2023_1230": {"license": "EU_LAW", "rule": 1, "name": "Maschinenverordnung"},
|
||||
"nist_sp_800_53": {"license": "NIST_PUBLIC_DOMAIN", "rule": 1, "name": "NIST SP 800-53"},
|
||||
"nist_sp_800_63b": {"license": "NIST_PUBLIC_DOMAIN", "rule": 1, "name": "NIST SP 800-63B"},
|
||||
"nist_csf_2_0": {"license": "NIST_PUBLIC_DOMAIN", "rule": 1, "name": "NIST CSF 2.0"},
|
||||
"nist_sp_800_218": {"license": "NIST_PUBLIC_DOMAIN", "rule": 1, "name": "NIST SSDF"},
|
||||
"cisa_secure_by_design": {"license": "US_GOV_PUBLIC", "rule": 1, "name": "CISA Secure by Design"},
|
||||
"bdsg": {"license": "DE_LAW", "rule": 1, "name": "BDSG"},
|
||||
"ttdsg": {"license": "DE_LAW", "rule": 1, "name": "TTDSG"},
|
||||
"tkg": {"license": "DE_LAW", "rule": 1, "name": "TKG"},
|
||||
|
||||
# RULE 2: CITATION REQUIRED — CC-BY, CC-BY-SA
|
||||
"owasp_asvs": {"license": "CC-BY-SA-4.0", "rule": 2, "name": "OWASP ASVS",
|
||||
"attribution": "OWASP Foundation, CC BY-SA 4.0"},
|
||||
"owasp_masvs": {"license": "CC-BY-SA-4.0", "rule": 2, "name": "OWASP MASVS",
|
||||
"attribution": "OWASP Foundation, CC BY-SA 4.0"},
|
||||
"owasp_top10": {"license": "CC-BY-SA-4.0", "rule": 2, "name": "OWASP Top 10",
|
||||
"attribution": "OWASP Foundation, CC BY-SA 4.0"},
|
||||
"oecd_ai_principles": {"license": "OECD_PUBLIC", "rule": 2, "name": "OECD AI Principles",
|
||||
"attribution": "OECD"},
|
||||
|
||||
# RULE 3: RESTRICTED — Full reformulation required
|
||||
# Names stored as INTERNAL_ONLY — never exposed to customers
|
||||
}
|
||||
|
||||
# Prefix-based matching for wildcard entries
|
||||
_RULE3_PREFIXES = ["bsi_", "iso_", "etsi_"]
|
||||
_RULE2_PREFIXES = ["enisa_"]
|
||||
|
||||
|
||||
def _classify_regulation(regulation_code: str) -> dict:
|
||||
"""Determine license rule for a regulation_code."""
|
||||
code = regulation_code.lower().strip()
|
||||
|
||||
# Exact match first
|
||||
if code in REGULATION_LICENSE_MAP:
|
||||
return REGULATION_LICENSE_MAP[code]
|
||||
|
||||
# Prefix match for Rule 2
|
||||
for prefix in _RULE2_PREFIXES:
|
||||
if code.startswith(prefix):
|
||||
return {"license": "CC-BY-4.0", "rule": 2, "name": "ENISA",
|
||||
"attribution": "ENISA, CC BY 4.0"}
|
||||
|
||||
# Prefix match for Rule 3
|
||||
for prefix in _RULE3_PREFIXES:
|
||||
if code.startswith(prefix):
|
||||
return {"license": f"{prefix.rstrip('_').upper()}_RESTRICTED", "rule": 3,
|
||||
"name": "INTERNAL_ONLY"}
|
||||
|
||||
# Unknown → treat as restricted (safe default)
|
||||
logger.warning("Unknown regulation_code %r — defaulting to Rule 3 (restricted)", code)
|
||||
return {"license": "UNKNOWN", "rule": 3, "name": "INTERNAL_ONLY"}
|
||||
|
||||
|
||||
# ---------------------------------------------------------------------------
|
||||
# Domain detection from content
|
||||
# ---------------------------------------------------------------------------
|
||||
|
||||
DOMAIN_KEYWORDS = {
|
||||
"AUTH": ["authentication", "login", "password", "credential", "mfa", "2fa",
|
||||
"session", "token", "oauth", "identity", "authentifizierung", "anmeldung"],
|
||||
"CRYPT": ["encryption", "cryptography", "tls", "ssl", "certificate", "hashing",
|
||||
"aes", "rsa", "verschlüsselung", "kryptographie", "zertifikat"],
|
||||
"NET": ["network", "firewall", "dns", "vpn", "proxy", "segmentation",
|
||||
"netzwerk", "routing", "port", "intrusion"],
|
||||
"DATA": ["data protection", "privacy", "personal data", "datenschutz",
|
||||
"personenbezogen", "dsgvo", "gdpr", "löschung", "verarbeitung"],
|
||||
"LOG": ["logging", "monitoring", "audit", "siem", "alert", "anomaly",
|
||||
"protokollierung", "überwachung"],
|
||||
"ACC": ["access control", "authorization", "rbac", "permission", "privilege",
|
||||
"zugriffskontrolle", "berechtigung", "autorisierung"],
|
||||
"SEC": ["vulnerability", "patch", "update", "hardening", "configuration",
|
||||
"schwachstelle", "härtung", "konfiguration"],
|
||||
"INC": ["incident", "response", "breach", "recovery", "backup",
|
||||
"vorfall", "wiederherstellung", "notfall"],
|
||||
"AI": ["artificial intelligence", "machine learning", "model", "bias",
|
||||
"ki", "künstliche intelligenz", "algorithmus", "training"],
|
||||
"COMP": ["compliance", "audit", "regulation", "standard", "certification",
|
||||
"konformität", "prüfung", "zertifizierung"],
|
||||
}
|
||||
|
||||
|
||||
def _detect_domain(text: str) -> str:
|
||||
"""Detect the most likely domain from text content."""
|
||||
text_lower = text.lower()
|
||||
scores: dict[str, int] = {}
|
||||
for domain, keywords in DOMAIN_KEYWORDS.items():
|
||||
scores[domain] = sum(1 for kw in keywords if kw in text_lower)
|
||||
if not scores or max(scores.values()) == 0:
|
||||
return "SEC" # Default
|
||||
return max(scores, key=scores.get)
|
||||
|
||||
|
||||
# ---------------------------------------------------------------------------
|
||||
# Data Models
|
||||
# ---------------------------------------------------------------------------
|
||||
|
||||
class GeneratorConfig(BaseModel):
|
||||
collections: list[str] | None = None
|
||||
domain: str | None = None
|
||||
batch_size: int = 5
|
||||
max_controls: int = 50
|
||||
skip_processed: bool = True
|
||||
skip_web_search: bool = False
|
||||
dry_run: bool = False
|
||||
|
||||
|
||||
@dataclass
|
||||
class GeneratedControl:
|
||||
control_id: str = ""
|
||||
title: str = ""
|
||||
objective: str = ""
|
||||
rationale: str = ""
|
||||
scope: dict = field(default_factory=dict)
|
||||
requirements: list = field(default_factory=list)
|
||||
test_procedure: list = field(default_factory=list)
|
||||
evidence: list = field(default_factory=list)
|
||||
severity: str = "medium"
|
||||
risk_score: float = 5.0
|
||||
implementation_effort: str = "m"
|
||||
open_anchors: list = field(default_factory=list)
|
||||
release_state: str = "draft"
|
||||
tags: list = field(default_factory=list)
|
||||
# 3-rule fields
|
||||
license_rule: int | None = None
|
||||
source_original_text: str | None = None
|
||||
source_citation: dict | None = None
|
||||
customer_visible: bool = True
|
||||
generation_metadata: dict = field(default_factory=dict)
|
||||
|
||||
|
||||
@dataclass
|
||||
class GeneratorResult:
|
||||
job_id: str = ""
|
||||
status: str = "completed"
|
||||
total_chunks_scanned: int = 0
|
||||
controls_generated: int = 0
|
||||
controls_verified: int = 0
|
||||
controls_needs_review: int = 0
|
||||
controls_too_close: int = 0
|
||||
controls_duplicates_found: int = 0
|
||||
errors: list = field(default_factory=list)
|
||||
controls: list = field(default_factory=list)
|
||||
|
||||
|
||||
# ---------------------------------------------------------------------------
|
||||
# LLM Client (via Go SDK)
|
||||
# ---------------------------------------------------------------------------
|
||||
|
||||
async def _llm_chat(prompt: str, system_prompt: str | None = None) -> str:
|
||||
"""Call the Go SDK LLM chat endpoint."""
|
||||
messages = []
|
||||
if system_prompt:
|
||||
messages.append({"role": "system", "content": system_prompt})
|
||||
messages.append({"role": "user", "content": prompt})
|
||||
|
||||
payload = {
|
||||
"model": LLM_MODEL,
|
||||
"messages": messages,
|
||||
"stream": False,
|
||||
}
|
||||
|
||||
try:
|
||||
async with httpx.AsyncClient(timeout=LLM_TIMEOUT) as client:
|
||||
resp = await client.post(LLM_CHAT_URL, json=payload)
|
||||
if resp.status_code != 200:
|
||||
logger.error("LLM chat failed %d: %s", resp.status_code, resp.text[:300])
|
||||
return ""
|
||||
data = resp.json()
|
||||
# Go SDK returns {message: {content: "..."}} or {response: "..."}
|
||||
msg = data.get("message", {})
|
||||
if isinstance(msg, dict):
|
||||
return msg.get("content", "")
|
||||
return data.get("response", str(msg))
|
||||
except Exception as e:
|
||||
logger.error("LLM chat request failed: %s", e)
|
||||
return ""
|
||||
|
||||
|
||||
async def _get_embedding(text: str) -> list[float]:
|
||||
"""Get embedding vector for text via embedding service."""
|
||||
try:
|
||||
async with httpx.AsyncClient(timeout=10.0) as client:
|
||||
resp = await client.post(
|
||||
f"{EMBEDDING_URL}/embed",
|
||||
json={"texts": [text]},
|
||||
)
|
||||
resp.raise_for_status()
|
||||
embeddings = resp.json().get("embeddings", [])
|
||||
return embeddings[0] if embeddings else []
|
||||
except Exception:
|
||||
return []
|
||||
|
||||
|
||||
def _cosine_sim(a: list[float], b: list[float]) -> float:
|
||||
"""Compute cosine similarity between two vectors."""
|
||||
if not a or not b or len(a) != len(b):
|
||||
return 0.0
|
||||
dot = sum(x * y for x, y in zip(a, b))
|
||||
norm_a = sum(x * x for x in a) ** 0.5
|
||||
norm_b = sum(x * x for x in b) ** 0.5
|
||||
if norm_a == 0 or norm_b == 0:
|
||||
return 0.0
|
||||
return dot / (norm_a * norm_b)
|
||||
|
||||
|
||||
# ---------------------------------------------------------------------------
|
||||
# JSON Parsing Helper
|
||||
# ---------------------------------------------------------------------------
|
||||
|
||||
def _parse_llm_json(raw: str) -> dict:
|
||||
"""Extract JSON from LLM response (handles markdown fences)."""
|
||||
# Try extracting from ```json ... ``` blocks
|
||||
match = re.search(r"```(?:json)?\s*\n?(.*?)\n?```", raw, re.DOTALL)
|
||||
text = match.group(1) if match else raw
|
||||
|
||||
# Try parsing directly
|
||||
try:
|
||||
return json.loads(text)
|
||||
except json.JSONDecodeError:
|
||||
pass
|
||||
|
||||
# Try finding first { ... } block
|
||||
brace_match = re.search(r"\{.*\}", text, re.DOTALL)
|
||||
if brace_match:
|
||||
try:
|
||||
return json.loads(brace_match.group(0))
|
||||
except json.JSONDecodeError:
|
||||
pass
|
||||
|
||||
logger.warning("Failed to parse LLM JSON response")
|
||||
return {}
|
||||
|
||||
|
||||
# ---------------------------------------------------------------------------
|
||||
# Pipeline
|
||||
# ---------------------------------------------------------------------------
|
||||
|
||||
REFORM_SYSTEM_PROMPT = """Du bist ein Security-Compliance-Experte. Deine Aufgabe ist es, eigenständige
|
||||
Security Controls zu formulieren. Du formulierst IMMER in eigenen Worten.
|
||||
KOPIERE KEINE Sätze aus dem Quelltext. Verwende eigene Begriffe und Struktur.
|
||||
NENNE NICHT die Quelle. Keine proprietären Bezeichner.
|
||||
Antworte NUR mit validem JSON."""
|
||||
|
||||
STRUCTURE_SYSTEM_PROMPT = """Du bist ein Security-Compliance-Experte. Strukturiere den gegebenen Text
|
||||
als praxisorientiertes Security Control. Erstelle eine verständliche, umsetzbare Formulierung.
|
||||
Antworte NUR mit validem JSON."""
|
||||
|
||||
|
||||
class ControlGeneratorPipeline:
|
||||
"""Orchestrates the 7-stage control generation pipeline."""
|
||||
|
||||
def __init__(self, db: Session, rag_client: ComplianceRAGClient | None = None):
|
||||
self.db = db
|
||||
self.rag = rag_client or get_rag_client()
|
||||
self._existing_controls: list[dict] | None = None
|
||||
self._existing_embeddings: dict[str, list[float]] = {}
|
||||
|
||||
# ── Stage 1: RAG Scan ──────────────────────────────────────────────
|
||||
|
||||
async def _scan_rag(self, config: GeneratorConfig) -> list[RAGSearchResult]:
|
||||
"""Load unprocessed chunks from RAG collections."""
|
||||
collections = config.collections or ALL_COLLECTIONS
|
||||
all_results: list[RAGSearchResult] = []
|
||||
|
||||
queries = [
|
||||
"security requirement control measure",
|
||||
"Sicherheitsanforderung Maßnahme Prüfaspekt",
|
||||
"compliance requirement audit criterion",
|
||||
"data protection privacy obligation",
|
||||
"access control authentication authorization",
|
||||
]
|
||||
|
||||
if config.domain:
|
||||
domain_kw = DOMAIN_KEYWORDS.get(config.domain, [])
|
||||
if domain_kw:
|
||||
queries.append(" ".join(domain_kw[:5]))
|
||||
|
||||
for collection in collections:
|
||||
for query in queries:
|
||||
results = await self.rag.search(
|
||||
query=query,
|
||||
collection=collection,
|
||||
top_k=20,
|
||||
)
|
||||
all_results.extend(results)
|
||||
|
||||
# Deduplicate by text hash
|
||||
seen_hashes: set[str] = set()
|
||||
unique: list[RAGSearchResult] = []
|
||||
for r in all_results:
|
||||
h = hashlib.sha256(r.text.encode()).hexdigest()
|
||||
if h not in seen_hashes:
|
||||
seen_hashes.add(h)
|
||||
unique.append(r)
|
||||
|
||||
# Filter out already-processed chunks
|
||||
if config.skip_processed and unique:
|
||||
hashes = [hashlib.sha256(r.text.encode()).hexdigest() for r in unique]
|
||||
processed = self._get_processed_hashes(hashes)
|
||||
unique = [r for r, h in zip(unique, hashes) if h not in processed]
|
||||
|
||||
logger.info("RAG scan: %d unique chunks (%d after filtering processed)",
|
||||
len(seen_hashes), len(unique))
|
||||
return unique[:config.max_controls * 3] # Over-fetch to account for duplicates
|
||||
|
||||
def _get_processed_hashes(self, hashes: list[str]) -> set[str]:
|
||||
"""Check which chunk hashes are already processed."""
|
||||
if not hashes:
|
||||
return set()
|
||||
try:
|
||||
result = self.db.execute(
|
||||
text("SELECT chunk_hash FROM canonical_processed_chunks WHERE chunk_hash = ANY(:hashes)"),
|
||||
{"hashes": hashes},
|
||||
)
|
||||
return {row[0] for row in result}
|
||||
except Exception as e:
|
||||
logger.warning("Error checking processed chunks: %s", e)
|
||||
return set()
|
||||
|
||||
# ── Stage 2: License Classification ────────────────────────────────
|
||||
|
||||
def _classify_license(self, chunk: RAGSearchResult) -> dict:
|
||||
"""Determine which license rule applies to this chunk."""
|
||||
return _classify_regulation(chunk.regulation_code)
|
||||
|
||||
# ── Stage 3a: Structure (Rule 1 — Free Use) ───────────────────────
|
||||
|
||||
async def _structure_free_use(self, chunk: RAGSearchResult, license_info: dict) -> GeneratedControl:
|
||||
"""Structure a freely usable text into control format."""
|
||||
source_name = license_info.get("name", chunk.regulation_name)
|
||||
prompt = f"""Strukturiere den folgenden Gesetzestext als Security/Compliance Control.
|
||||
Du DARFST den Originaltext verwenden (Quelle: {source_name}, {license_info.get('license', '')}).
|
||||
|
||||
WICHTIG: Erstelle eine verständliche, praxisorientierte Formulierung.
|
||||
Der Originaltext wird separat gespeichert — deine Formulierung soll klar und umsetzbar sein.
|
||||
|
||||
Gib JSON zurück mit diesen Feldern:
|
||||
- title: Kurzer prägnanter Titel (max 100 Zeichen)
|
||||
- objective: Was soll erreicht werden? (1-3 Sätze)
|
||||
- rationale: Warum ist das wichtig? (1-2 Sätze)
|
||||
- requirements: Liste von konkreten Anforderungen (Strings)
|
||||
- test_procedure: Liste von Prüfschritten (Strings)
|
||||
- evidence: Liste von Nachweisdokumenten (Strings)
|
||||
- severity: low/medium/high/critical
|
||||
- tags: Liste von Tags
|
||||
|
||||
Text: {chunk.text[:2000]}
|
||||
Quelle: {chunk.regulation_name} ({chunk.regulation_code}), {chunk.article}"""
|
||||
|
||||
raw = await _llm_chat(prompt, STRUCTURE_SYSTEM_PROMPT)
|
||||
data = _parse_llm_json(raw)
|
||||
if not data:
|
||||
return self._fallback_control(chunk)
|
||||
|
||||
domain = _detect_domain(chunk.text)
|
||||
control = self._build_control_from_json(data, domain)
|
||||
control.license_rule = 1
|
||||
control.source_original_text = chunk.text
|
||||
control.source_citation = {
|
||||
"source": f"{chunk.regulation_name} {chunk.article or ''}".strip(),
|
||||
"license": license_info.get("license", ""),
|
||||
"url": chunk.source_url or "",
|
||||
}
|
||||
control.customer_visible = True
|
||||
control.generation_metadata = {
|
||||
"processing_path": "structured",
|
||||
"license_rule": 1,
|
||||
"source_regulation": chunk.regulation_code,
|
||||
"source_article": chunk.article,
|
||||
}
|
||||
return control
|
||||
|
||||
# ── Stage 3b: Structure with Citation (Rule 2) ────────────────────
|
||||
|
||||
async def _structure_with_citation(self, chunk: RAGSearchResult, license_info: dict) -> GeneratedControl:
|
||||
"""Structure text that requires citation."""
|
||||
source_name = license_info.get("name", chunk.regulation_name)
|
||||
attribution = license_info.get("attribution", "")
|
||||
prompt = f"""Strukturiere den folgenden Text als Security Control.
|
||||
Quelle: {source_name} ({license_info.get('license', '')}) — Zitation erforderlich.
|
||||
|
||||
Du darfst den Text übernehmen oder verständlicher umformulieren.
|
||||
Die Quelle wird automatisch zitiert — fokussiere dich auf Klarheit.
|
||||
|
||||
Gib JSON zurück mit diesen Feldern:
|
||||
- title: Kurzer prägnanter Titel (max 100 Zeichen)
|
||||
- objective: Was soll erreicht werden? (1-3 Sätze)
|
||||
- rationale: Warum ist das wichtig? (1-2 Sätze)
|
||||
- requirements: Liste von konkreten Anforderungen (Strings)
|
||||
- test_procedure: Liste von Prüfschritten (Strings)
|
||||
- evidence: Liste von Nachweisdokumenten (Strings)
|
||||
- severity: low/medium/high/critical
|
||||
- tags: Liste von Tags
|
||||
|
||||
Text: {chunk.text[:2000]}
|
||||
Quelle: {chunk.regulation_name}, {chunk.article}"""
|
||||
|
||||
raw = await _llm_chat(prompt, STRUCTURE_SYSTEM_PROMPT)
|
||||
data = _parse_llm_json(raw)
|
||||
if not data:
|
||||
return self._fallback_control(chunk)
|
||||
|
||||
domain = _detect_domain(chunk.text)
|
||||
control = self._build_control_from_json(data, domain)
|
||||
control.license_rule = 2
|
||||
control.source_original_text = chunk.text
|
||||
control.source_citation = {
|
||||
"source": f"{chunk.regulation_name} {chunk.article or ''}".strip(),
|
||||
"license": license_info.get("license", ""),
|
||||
"license_notice": attribution,
|
||||
"url": chunk.source_url or "",
|
||||
}
|
||||
control.customer_visible = True
|
||||
control.generation_metadata = {
|
||||
"processing_path": "structured",
|
||||
"license_rule": 2,
|
||||
"source_regulation": chunk.regulation_code,
|
||||
"source_article": chunk.article,
|
||||
}
|
||||
return control
|
||||
|
||||
# ── Stage 3c: LLM Reformulation (Rule 3 — Restricted) ─────────────
|
||||
|
||||
async def _llm_reformulate(self, chunk: RAGSearchResult, config: GeneratorConfig) -> GeneratedControl:
|
||||
"""Fully reformulate — NO original text, NO source names."""
|
||||
domain = config.domain or _detect_domain(chunk.text)
|
||||
prompt = f"""Analysiere den folgenden Prüfaspekt und formuliere ein EIGENSTÄNDIGES Security Control.
|
||||
KOPIERE KEINE Sätze. Verwende eigene Begriffe und Struktur.
|
||||
NENNE NICHT die Quelle. Keine proprietären Bezeichner (kein O.Auth_*, TR-03161, BSI-TR etc.).
|
||||
|
||||
Aspekt (nur zur Analyse, NICHT kopieren, NICHT referenzieren):
|
||||
---
|
||||
{chunk.text[:1500]}
|
||||
---
|
||||
|
||||
Domain: {domain}
|
||||
|
||||
Gib JSON zurück mit diesen Feldern:
|
||||
- title: Kurzer eigenständiger Titel (max 100 Zeichen)
|
||||
- objective: Eigenständige Formulierung des Ziels (1-3 Sätze)
|
||||
- rationale: Eigenständige Begründung (1-2 Sätze)
|
||||
- requirements: Liste von konkreten Anforderungen (Strings, eigene Worte)
|
||||
- test_procedure: Liste von Prüfschritten (Strings)
|
||||
- evidence: Liste von Nachweisdokumenten (Strings)
|
||||
- severity: low/medium/high/critical
|
||||
- tags: Liste von Tags (eigene Begriffe)"""
|
||||
|
||||
raw = await _llm_chat(prompt, REFORM_SYSTEM_PROMPT)
|
||||
data = _parse_llm_json(raw)
|
||||
if not data:
|
||||
return self._fallback_control(chunk)
|
||||
|
||||
control = self._build_control_from_json(data, domain)
|
||||
control.license_rule = 3
|
||||
control.source_original_text = None # NEVER store original
|
||||
control.source_citation = None # NEVER cite source
|
||||
control.customer_visible = False # Only our formulation
|
||||
# generation_metadata: NO source names, NO original texts
|
||||
control.generation_metadata = {
|
||||
"processing_path": "llm_reform",
|
||||
"license_rule": 3,
|
||||
}
|
||||
return control
|
||||
|
||||
# ── Stage 4: Harmonization ─────────────────────────────────────────
|
||||
|
||||
async def _check_harmonization(self, new_control: GeneratedControl) -> list | None:
|
||||
"""Check if a new control duplicates existing ones via embedding similarity."""
|
||||
existing = self._load_existing_controls()
|
||||
if not existing:
|
||||
return None
|
||||
|
||||
new_text = f"{new_control.title} {new_control.objective}"
|
||||
new_emb = await _get_embedding(new_text)
|
||||
if not new_emb:
|
||||
return None
|
||||
|
||||
similar = []
|
||||
for ex in existing:
|
||||
ex_key = ex.get("control_id", "")
|
||||
ex_text = f"{ex.get('title', '')} {ex.get('objective', '')}"
|
||||
|
||||
# Get or compute embedding for existing control
|
||||
if ex_key not in self._existing_embeddings:
|
||||
emb = await _get_embedding(ex_text)
|
||||
self._existing_embeddings[ex_key] = emb
|
||||
ex_emb = self._existing_embeddings.get(ex_key, [])
|
||||
|
||||
if not ex_emb:
|
||||
continue
|
||||
|
||||
cosine = _cosine_sim(new_emb, ex_emb)
|
||||
if cosine > HARMONIZATION_THRESHOLD:
|
||||
similar.append({
|
||||
"control_id": ex.get("control_id", ""),
|
||||
"title": ex.get("title", ""),
|
||||
"similarity": round(cosine, 3),
|
||||
})
|
||||
|
||||
return similar if similar else None
|
||||
|
||||
def _load_existing_controls(self) -> list[dict]:
|
||||
"""Load existing controls from DB (cached per pipeline run)."""
|
||||
if self._existing_controls is not None:
|
||||
return self._existing_controls
|
||||
|
||||
try:
|
||||
result = self.db.execute(
|
||||
text("SELECT control_id, title, objective FROM canonical_controls WHERE release_state != 'deprecated'")
|
||||
)
|
||||
self._existing_controls = [
|
||||
{"control_id": r[0], "title": r[1], "objective": r[2]}
|
||||
for r in result
|
||||
]
|
||||
except Exception as e:
|
||||
logger.warning("Error loading existing controls: %s", e)
|
||||
self._existing_controls = []
|
||||
|
||||
return self._existing_controls
|
||||
|
||||
# ── Helpers ────────────────────────────────────────────────────────
|
||||
|
||||
def _build_control_from_json(self, data: dict, domain: str) -> GeneratedControl:
|
||||
"""Build a GeneratedControl from parsed LLM JSON."""
|
||||
severity = data.get("severity", "medium")
|
||||
if severity not in ("low", "medium", "high", "critical"):
|
||||
severity = "medium"
|
||||
|
||||
tags = data.get("tags", [])
|
||||
if isinstance(tags, str):
|
||||
tags = [t.strip() for t in tags.split(",")]
|
||||
|
||||
return GeneratedControl(
|
||||
title=str(data.get("title", "Untitled Control"))[:255],
|
||||
objective=str(data.get("objective", "")),
|
||||
rationale=str(data.get("rationale", "")),
|
||||
scope=data.get("scope", {}),
|
||||
requirements=data.get("requirements", []) if isinstance(data.get("requirements"), list) else [],
|
||||
test_procedure=data.get("test_procedure", []) if isinstance(data.get("test_procedure"), list) else [],
|
||||
evidence=data.get("evidence", []) if isinstance(data.get("evidence"), list) else [],
|
||||
severity=severity,
|
||||
risk_score=min(10.0, max(0.0, float(data.get("risk_score", 5.0)))),
|
||||
implementation_effort=data.get("implementation_effort", "m") if data.get("implementation_effort") in ("s", "m", "l", "xl") else "m",
|
||||
tags=tags[:20],
|
||||
)
|
||||
|
||||
def _fallback_control(self, chunk: RAGSearchResult) -> GeneratedControl:
|
||||
"""Create a minimal control when LLM parsing fails."""
|
||||
domain = _detect_domain(chunk.text)
|
||||
return GeneratedControl(
|
||||
title=f"Control from {chunk.regulation_code} {chunk.article or ''}".strip()[:255],
|
||||
objective=chunk.text[:500] if chunk.text else "Needs manual review",
|
||||
rationale="Auto-generated — LLM parsing failed, manual review required.",
|
||||
severity="medium",
|
||||
release_state="needs_review",
|
||||
tags=[domain.lower()],
|
||||
)
|
||||
|
||||
def _generate_control_id(self, domain: str, db: Session) -> str:
|
||||
"""Generate next sequential control ID like AUTH-011."""
|
||||
prefix = domain.upper()[:4]
|
||||
try:
|
||||
result = db.execute(
|
||||
text("SELECT control_id FROM canonical_controls WHERE control_id LIKE :prefix ORDER BY control_id DESC LIMIT 1"),
|
||||
{"prefix": f"{prefix}-%"},
|
||||
)
|
||||
row = result.fetchone()
|
||||
if row:
|
||||
last_num = int(row[0].split("-")[-1])
|
||||
return f"{prefix}-{last_num + 1:03d}"
|
||||
except Exception:
|
||||
pass
|
||||
return f"{prefix}-001"
|
||||
|
||||
# ── Pipeline Orchestration ─────────────────────────────────────────
|
||||
|
||||
def _create_job(self, config: GeneratorConfig) -> str:
|
||||
"""Create a generation job record."""
|
||||
try:
|
||||
result = self.db.execute(
|
||||
text("""
|
||||
INSERT INTO canonical_generation_jobs (status, config)
|
||||
VALUES ('running', :config)
|
||||
RETURNING id
|
||||
"""),
|
||||
{"config": json.dumps(config.model_dump())},
|
||||
)
|
||||
self.db.commit()
|
||||
row = result.fetchone()
|
||||
return str(row[0]) if row else str(uuid.uuid4())
|
||||
except Exception as e:
|
||||
logger.error("Failed to create job: %s", e)
|
||||
return str(uuid.uuid4())
|
||||
|
||||
def _update_job(self, job_id: str, result: GeneratorResult):
|
||||
"""Update job with final stats."""
|
||||
try:
|
||||
self.db.execute(
|
||||
text("""
|
||||
UPDATE canonical_generation_jobs
|
||||
SET status = :status,
|
||||
total_chunks_scanned = :scanned,
|
||||
controls_generated = :generated,
|
||||
controls_verified = :verified,
|
||||
controls_needs_review = :needs_review,
|
||||
controls_too_close = :too_close,
|
||||
controls_duplicates_found = :duplicates,
|
||||
errors = :errors,
|
||||
completed_at = NOW()
|
||||
WHERE id = :job_id::uuid
|
||||
"""),
|
||||
{
|
||||
"job_id": job_id,
|
||||
"status": result.status,
|
||||
"scanned": result.total_chunks_scanned,
|
||||
"generated": result.controls_generated,
|
||||
"verified": result.controls_verified,
|
||||
"needs_review": result.controls_needs_review,
|
||||
"too_close": result.controls_too_close,
|
||||
"duplicates": result.controls_duplicates_found,
|
||||
"errors": json.dumps(result.errors[-50:]),
|
||||
},
|
||||
)
|
||||
self.db.commit()
|
||||
except Exception as e:
|
||||
logger.error("Failed to update job: %s", e)
|
||||
|
||||
def _store_control(self, control: GeneratedControl, job_id: str) -> str | None:
|
||||
"""Persist a generated control to DB. Returns the control UUID or None."""
|
||||
try:
|
||||
# Get framework UUID
|
||||
fw_result = self.db.execute(
|
||||
text("SELECT id FROM canonical_control_frameworks WHERE framework_id = 'bp_security_v1' LIMIT 1")
|
||||
)
|
||||
fw_row = fw_result.fetchone()
|
||||
if not fw_row:
|
||||
logger.error("Framework bp_security_v1 not found")
|
||||
return None
|
||||
framework_uuid = fw_row[0]
|
||||
|
||||
# Generate control_id if not set
|
||||
if not control.control_id:
|
||||
domain = _detect_domain(control.objective) if control.objective else "SEC"
|
||||
control.control_id = self._generate_control_id(domain, self.db)
|
||||
|
||||
result = self.db.execute(
|
||||
text("""
|
||||
INSERT INTO canonical_controls (
|
||||
framework_id, control_id, title, objective, rationale,
|
||||
scope, requirements, test_procedure, evidence,
|
||||
severity, risk_score, implementation_effort,
|
||||
open_anchors, release_state, tags,
|
||||
license_rule, source_original_text, source_citation,
|
||||
customer_visible, generation_metadata
|
||||
) VALUES (
|
||||
:framework_id, :control_id, :title, :objective, :rationale,
|
||||
:scope, :requirements, :test_procedure, :evidence,
|
||||
:severity, :risk_score, :implementation_effort,
|
||||
:open_anchors, :release_state, :tags,
|
||||
:license_rule, :source_original_text, :source_citation,
|
||||
:customer_visible, :generation_metadata
|
||||
)
|
||||
ON CONFLICT (framework_id, control_id) DO NOTHING
|
||||
RETURNING id
|
||||
"""),
|
||||
{
|
||||
"framework_id": framework_uuid,
|
||||
"control_id": control.control_id,
|
||||
"title": control.title,
|
||||
"objective": control.objective,
|
||||
"rationale": control.rationale,
|
||||
"scope": json.dumps(control.scope),
|
||||
"requirements": json.dumps(control.requirements),
|
||||
"test_procedure": json.dumps(control.test_procedure),
|
||||
"evidence": json.dumps(control.evidence),
|
||||
"severity": control.severity,
|
||||
"risk_score": control.risk_score,
|
||||
"implementation_effort": control.implementation_effort,
|
||||
"open_anchors": json.dumps(control.open_anchors),
|
||||
"release_state": control.release_state,
|
||||
"tags": json.dumps(control.tags),
|
||||
"license_rule": control.license_rule,
|
||||
"source_original_text": control.source_original_text,
|
||||
"source_citation": json.dumps(control.source_citation) if control.source_citation else None,
|
||||
"customer_visible": control.customer_visible,
|
||||
"generation_metadata": json.dumps(control.generation_metadata) if control.generation_metadata else None,
|
||||
},
|
||||
)
|
||||
self.db.commit()
|
||||
row = result.fetchone()
|
||||
return str(row[0]) if row else None
|
||||
except Exception as e:
|
||||
logger.error("Failed to store control %s: %s", control.control_id, e)
|
||||
self.db.rollback()
|
||||
return None
|
||||
|
||||
def _mark_chunk_processed(
|
||||
self,
|
||||
chunk: RAGSearchResult,
|
||||
license_info: dict,
|
||||
processing_path: str,
|
||||
control_ids: list[str],
|
||||
job_id: str,
|
||||
):
|
||||
"""Mark a RAG chunk as processed (Stage 7)."""
|
||||
chunk_hash = hashlib.sha256(chunk.text.encode()).hexdigest()
|
||||
try:
|
||||
self.db.execute(
|
||||
text("""
|
||||
INSERT INTO canonical_processed_chunks (
|
||||
chunk_hash, collection, regulation_code,
|
||||
document_version, source_license, license_rule,
|
||||
processing_path, generated_control_ids, job_id
|
||||
) VALUES (
|
||||
:hash, :collection, :regulation_code,
|
||||
:doc_version, :license, :rule,
|
||||
:path, :control_ids, :job_id::uuid
|
||||
)
|
||||
ON CONFLICT (chunk_hash, collection, document_version) DO NOTHING
|
||||
"""),
|
||||
{
|
||||
"hash": chunk_hash,
|
||||
"collection": "bp_compliance_ce", # Default, we don't track collection per result
|
||||
"regulation_code": chunk.regulation_code,
|
||||
"doc_version": "1.0",
|
||||
"license": license_info.get("license", ""),
|
||||
"rule": license_info.get("rule", 3),
|
||||
"path": processing_path,
|
||||
"control_ids": json.dumps(control_ids),
|
||||
"job_id": job_id,
|
||||
},
|
||||
)
|
||||
self.db.commit()
|
||||
except Exception as e:
|
||||
logger.warning("Failed to mark chunk processed: %s", e)
|
||||
|
||||
# ── Main Pipeline ──────────────────────────────────────────────────
|
||||
|
||||
async def run(self, config: GeneratorConfig) -> GeneratorResult:
|
||||
"""Execute the full 7-stage pipeline."""
|
||||
result = GeneratorResult()
|
||||
|
||||
# Create job
|
||||
job_id = self._create_job(config)
|
||||
result.job_id = job_id
|
||||
|
||||
try:
|
||||
# Stage 1: RAG Scan
|
||||
chunks = await self._scan_rag(config)
|
||||
result.total_chunks_scanned = len(chunks)
|
||||
|
||||
if not chunks:
|
||||
result.status = "completed"
|
||||
self._update_job(job_id, result)
|
||||
return result
|
||||
|
||||
# Process chunks
|
||||
controls_count = 0
|
||||
for chunk in chunks:
|
||||
if controls_count >= config.max_controls:
|
||||
break
|
||||
|
||||
try:
|
||||
control = await self._process_single_chunk(chunk, config, job_id)
|
||||
if control is None:
|
||||
continue
|
||||
|
||||
# Count by state
|
||||
if control.release_state == "too_close":
|
||||
result.controls_too_close += 1
|
||||
elif control.release_state == "duplicate":
|
||||
result.controls_duplicates_found += 1
|
||||
elif control.release_state == "needs_review":
|
||||
result.controls_needs_review += 1
|
||||
else:
|
||||
result.controls_verified += 1
|
||||
|
||||
# Store (unless dry run)
|
||||
if not config.dry_run:
|
||||
ctrl_uuid = self._store_control(control, job_id)
|
||||
if ctrl_uuid:
|
||||
# Stage 7: Mark chunk processed
|
||||
license_info = self._classify_license(chunk)
|
||||
path = "llm_reform" if license_info["rule"] == 3 else "structured"
|
||||
self._mark_chunk_processed(chunk, license_info, path, [ctrl_uuid], job_id)
|
||||
|
||||
result.controls_generated += 1
|
||||
result.controls.append(asdict(control))
|
||||
controls_count += 1
|
||||
|
||||
# Add to existing controls for harmonization of next chunks
|
||||
if self._existing_controls is not None:
|
||||
self._existing_controls.append({
|
||||
"control_id": control.control_id,
|
||||
"title": control.title,
|
||||
"objective": control.objective,
|
||||
})
|
||||
|
||||
except Exception as e:
|
||||
error_msg = f"Error processing chunk {chunk.regulation_code}/{chunk.article}: {e}"
|
||||
logger.error(error_msg)
|
||||
result.errors.append(error_msg)
|
||||
|
||||
result.status = "completed"
|
||||
|
||||
except Exception as e:
|
||||
result.status = "failed"
|
||||
result.errors.append(str(e))
|
||||
logger.error("Pipeline failed: %s", e)
|
||||
|
||||
self._update_job(job_id, result)
|
||||
return result
|
||||
|
||||
async def _process_single_chunk(
|
||||
self,
|
||||
chunk: RAGSearchResult,
|
||||
config: GeneratorConfig,
|
||||
job_id: str,
|
||||
) -> GeneratedControl | None:
|
||||
"""Process a single chunk through stages 2-5."""
|
||||
# Stage 2: License classification
|
||||
license_info = self._classify_license(chunk)
|
||||
|
||||
# Stage 3: Structure or Reform based on rule
|
||||
if license_info["rule"] == 1:
|
||||
control = await self._structure_free_use(chunk, license_info)
|
||||
elif license_info["rule"] == 2:
|
||||
control = await self._structure_with_citation(chunk, license_info)
|
||||
else:
|
||||
control = await self._llm_reformulate(chunk, config)
|
||||
|
||||
# Too-Close-Check for Rule 3
|
||||
similarity = await check_similarity(chunk.text, f"{control.objective} {control.rationale}")
|
||||
if similarity.status == "FAIL":
|
||||
control.release_state = "too_close"
|
||||
control.generation_metadata["similarity_status"] = "FAIL"
|
||||
control.generation_metadata["similarity_scores"] = {
|
||||
"token_overlap": similarity.token_overlap,
|
||||
"ngram_jaccard": similarity.ngram_jaccard,
|
||||
"lcs_ratio": similarity.lcs_ratio,
|
||||
}
|
||||
return control
|
||||
|
||||
if not control.title or not control.objective:
|
||||
return None
|
||||
|
||||
# Stage 4: Harmonization
|
||||
duplicates = await self._check_harmonization(control)
|
||||
if duplicates:
|
||||
control.release_state = "duplicate"
|
||||
control.generation_metadata["similar_controls"] = duplicates
|
||||
return control
|
||||
|
||||
# Stage 5: Anchor Search (imported from anchor_finder)
|
||||
try:
|
||||
from .anchor_finder import AnchorFinder
|
||||
finder = AnchorFinder(self.rag)
|
||||
anchors = await finder.find_anchors(control, skip_web=config.skip_web_search)
|
||||
control.open_anchors = [asdict(a) if hasattr(a, '__dataclass_fields__') else a for a in anchors]
|
||||
except Exception as e:
|
||||
logger.warning("Anchor search failed: %s", e)
|
||||
|
||||
# Determine release state
|
||||
if control.license_rule in (1, 2):
|
||||
control.release_state = "draft"
|
||||
elif control.open_anchors:
|
||||
control.release_state = "draft"
|
||||
else:
|
||||
control.release_state = "needs_review"
|
||||
|
||||
# Generate control_id
|
||||
domain = config.domain or _detect_domain(control.objective)
|
||||
control.control_id = self._generate_control_id(domain, self.db)
|
||||
|
||||
# Store job_id in metadata
|
||||
control.generation_metadata["job_id"] = job_id
|
||||
|
||||
return control
|
||||
Reference in New Issue
Block a user