feat(ucca): adopt obligation_id + harden join to semantic (step 3 core)

The Obligation Registry filled proposed_obligation_id (7/7) + cut the logging
family (obligations 47->66). Adopted obligation_id onto our 7 accepted CRA->OWASP
mappings; the join now prefers the EXACT obligation_id over the coarse
citation_unit (which stays as fallback for not-yet-adopted rows).

Effect: semantic coverage 2->4 (user_authentication_required,
credential_confidentiality_protection, auth_key_management,
event_logging_security_events). Befund 1 resolved: V11.2.1 crypto now sits under
credential_confidentiality_protection, not user_authentication_required.

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

ai-compliance-sdk/data/control_mappings/cra_owasp.jsonl

@@ -0,0 +1,24 @@
+// Control-Mapping: CRA Annex I -> OWASP ASVS 5.0. Eine Zeile = ein Mapping (Schema: ControlMapping).
+// Reviewt 2026-06-25 (benjamin): 7 accepted, 13 rejected. accepted = Audit-Wahrheit (Advisor nutzt acceptedOnly).
+// rejected bleiben als Audit-Spur ("warum verworfen"). KEIN confidence — kuratiert = fachliche Feststellung.
+// Architekturbeweis: CRA -> OWASP fuer AppSec/Auth/Crypto/Logging; Ops/Update/Attack-Surface/Integritaet -> NIST/BSI.
+{"source_norm": "CRA Annex I Part I (2)(c) — Schutz vor unbefugtem Zugriff", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V6.3.1", "mapping_type": "supports", "mapping_status": "accepted", "provenance": "human_curated", "rationale": "V6 = Authentication.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "V6 = Authentication, sauberer Treffer fuer Zugriffsschutz/Authentisierung.", "version": "2026-06-25", "obligation_id": "user_authentication_required"}
+{"source_norm": "CRA Annex I Part I (2)(c) — Schutz vor unbefugtem Zugriff", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V6.1.1", "mapping_type": "supports", "mapping_status": "accepted", "provenance": "human_curated", "rationale": "V6 = Authentication.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "V6 = Authentication, sauberer Treffer fuer Zugriffsschutz/Authentisierung.", "version": "2026-06-25", "obligation_id": "user_authentication_required"}
+{"source_norm": "CRA Annex I Part I (2)(d) — Vertraulichkeit / Verschluesselung", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V11.2.1", "mapping_type": "supports", "mapping_status": "accepted", "provenance": "human_curated", "rationale": "V11 = Cryptography.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "Korrektur von V14: V11 = Cryptography, richtiger Bereich fuer Verschluesselung.", "version": "2026-06-25", "obligation_id": "credential_confidentiality_protection"}
+{"source_norm": "CRA Annex I Part I (2)(d) — Vertraulichkeit / Verschluesselung", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V11.7.1", "mapping_type": "supports", "mapping_status": "accepted", "provenance": "human_curated", "rationale": "V11.7 = Key Management.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "Korrektur von V14: V11.7 = Key Management fuer Verschluesselung/Schluesselverwaltung.", "version": "2026-06-25", "obligation_id": "auth_key_management"}
+{"source_norm": "CRA Annex I Part I (2)(k) — Sicherheitsrelevante Ereignisse / Logging", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V16.3.3", "mapping_type": "supports", "mapping_status": "accepted", "provenance": "human_curated", "rationale": "V16 = Security Logging.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "V16 = Logging, sauberer Treffer fuer sicherheitsrelevante Ereignisse.", "version": "2026-06-25", "obligation_id": "event_logging_security_events"}
+{"source_norm": "CRA Annex I Part I (2)(k) — Sicherheitsrelevante Ereignisse / Logging", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V16.3.4", "mapping_type": "supports", "mapping_status": "accepted", "provenance": "human_curated", "rationale": "V16 = Security Logging.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "V16 = Logging, sauberer Treffer fuer sicherheitsrelevante Ereignisse.", "version": "2026-06-25", "obligation_id": "event_logging_security_events"}
+{"source_norm": "CRA Annex I Part I (2)(k) — Sicherheitsrelevante Ereignisse / Logging", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V16.1.1", "mapping_type": "supports", "mapping_status": "accepted", "provenance": "human_curated", "rationale": "V16 = Security Logging.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "V16 = Logging, sauberer Treffer fuer sicherheitsrelevante Ereignisse.", "version": "2026-06-25", "obligation_id": "event_logging_security_events"}
+{"source_norm": "CRA Annex I Part I (2)(c) — Schutz vor unbefugtem Zugriff", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V14.2.4", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "V14 = Config, kein Auth — verworfen.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(d) — Vertraulichkeit / Verschluesselung", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V14.2.4", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "V14 = Config, Crypto gehoert zu V11 — verworfen.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(d) — Vertraulichkeit / Verschluesselung", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V14.3.2", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "V14 = Config, Crypto gehoert zu V11 — verworfen.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(d) — Vertraulichkeit / Verschluesselung", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V14.2.3", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "V14 = Config, Crypto gehoert zu V11 — verworfen.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(e) — Integritaet", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V14.2.4", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "OWASP ASVS ist hier nicht der passende Zielstandard. Mapping ueber NIST/BSI erforderlich.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(e) — Integritaet", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V1.2.4", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "OWASP ASVS ist hier nicht der passende Zielstandard. Mapping ueber NIST/BSI erforderlich.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(e) — Integritaet", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V6.1.1", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "OWASP ASVS ist hier nicht der passende Zielstandard. Mapping ueber NIST/BSI erforderlich.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(l) — Sichere Updates", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V14.2.4", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "OWASP ASVS ist hier nicht der passende Zielstandard. Mapping ueber NIST/BSI erforderlich.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(l) — Sichere Updates", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V2.4.1", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "OWASP ASVS ist hier nicht der passende Zielstandard. Mapping ueber NIST/BSI erforderlich.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(l) — Sichere Updates", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V6.1.1", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "OWASP ASVS ist hier nicht der passende Zielstandard. Mapping ueber NIST/BSI erforderlich.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(i) — Angriffsflaeche minimieren", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V6.1.1", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "OWASP ASVS ist hier nicht der passende Zielstandard. Mapping ueber NIST/BSI erforderlich.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(i) — Angriffsflaeche minimieren", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V15.3.3", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "OWASP ASVS ist hier nicht der passende Zielstandard. Mapping ueber NIST/BSI erforderlich.", "version": "2026-06-25"}
+{"source_norm": "CRA Annex I Part I (2)(i) — Angriffsflaeche minimieren", "source_role": "operational_requirement", "target_framework": "OWASP ASVS", "target_control": "V8.2.4", "mapping_type": "related", "mapping_status": "rejected", "provenance": "human_curated", "rationale": "Retriever-Kandidat.", "reviewed_by": "benjamin", "review_date": "2026-06-25", "review_reason": "OWASP ASVS ist hier nicht der passende Zielstandard. Mapping ueber NIST/BSI erforderlich.", "version": "2026-06-25"}

ai-compliance-sdk/data/evidence_requirements/owasp_evidence.jsonl

@@ -0,0 +1,16 @@
+// Evidence-Requirements je OWASP-ASVS-Control (Schema: EvidenceRequirement). Eine Zeile = eine geforderte Evidenz.
+// Autoriert/kuratiert (nicht Retriever). Der Advisor kann eine CRA-Anforderung erst dann als erfuellt melden,
+// wenn die required Evidenzen der gemappten, accepted Controls vorliegen + frisch genug sind.
+// Stand 2026-06-25, Basis: die 7 accepted CRA->OWASP-Mappings (Auth V6, Crypto V11, Logging V16).
+{"framework": "OWASP ASVS", "control": "V6.3.1", "evidence_type": "config_export", "evidence_source": "github", "freshness_requirement": "per_release", "required": true, "rationale": "IAM-/Zugriffskonfiguration als Nachweis der Authentisierungs-Anforderung.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V6.3.1", "evidence_type": "test_report", "evidence_source": "ci", "freshness_requirement": "per_release", "required": true, "rationale": "Automatisierter Zugriffstest (CI) belegt funktionierende Zugriffskontrolle.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V6.3.1", "evidence_type": "pentest", "evidence_source": "manual_upload", "freshness_requirement": "annually", "required": false, "rationale": "Jaehrlicher PenTest der Authentisierung — vertieft, aber nicht Pflicht je Release.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V6.1.1", "evidence_type": "config_export", "evidence_source": "github", "freshness_requirement": "per_release", "required": true, "rationale": "Rollenmodell/Auth-Architektur als Nachweis.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V11.2.1", "evidence_type": "config_export", "evidence_source": "github", "freshness_requirement": "per_release", "required": true, "rationale": "Krypto-Konfiguration (zugelassene Algorithmen) als Nachweis der Verschluesselung.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V11.2.1", "evidence_type": "sbom", "evidence_source": "ci", "freshness_requirement": "per_release", "required": true, "rationale": "SBOM weist die eingesetzten Krypto-Bibliotheken/-Versionen nach.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V11.7.1", "evidence_type": "policy", "evidence_source": "manual_upload", "freshness_requirement": "annually", "required": true, "rationale": "Key-Management-Policy (Rotation, Aufbewahrung) als organisatorischer Nachweis.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V11.7.1", "evidence_type": "config_export", "evidence_source": "github", "freshness_requirement": "per_release", "required": true, "rationale": "Konfiguration der Schluesselverwaltung als technischer Nachweis.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V16.3.3", "evidence_type": "audit_log", "evidence_source": "ci", "freshness_requirement": "continuous", "required": true, "rationale": "Security-Audit-Logs belegen, dass sicherheitsrelevante Ereignisse protokolliert werden.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V16.3.3", "evidence_type": "config_export", "evidence_source": "github", "freshness_requirement": "per_release", "required": true, "rationale": "Logging-Konfiguration als Nachweis der erfassten Ereignisarten.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V16.3.4", "evidence_type": "audit_log", "evidence_source": "ci", "freshness_requirement": "continuous", "required": true, "rationale": "Security-Audit-Logs.", "version": "2026-06-25"}
+{"framework": "OWASP ASVS", "control": "V16.1.1", "evidence_type": "config_export", "evidence_source": "github", "freshness_requirement": "per_release", "required": true, "rationale": "Logging-Architektur-Konfiguration als Nachweis.", "version": "2026-06-25"}

ai-compliance-sdk/internal/iace/hazard_patterns_warewashing.go

@@ -128,5 +128,51 @@ func GetWarewashingPatterns() []HazardPattern {
 			ISO12100Section: "6.3.5.6",
 			DefaultSeverity: 2, DefaultExposure: 3,
 		},
+		{
+			ID: "HP2207", NameDE: "Rueckfluss / Kontamination des Trinkwassers", NameEN: "Backflow / potable-water contamination",
+			RequiredComponentTags: []string{"dom_warewashing", "backflow_risk"},
+			GeneratedHazardCats:   []string{"material_environmental"},
+			SuggestedMeasureIDs:   []string{"M2209"},
+			Priority:              84,
+			ApplicableLifecycles: []string{"normal_operation"},
+			ScenarioDE:  "Verschmutztes Spuel- oder Chemiewasser wird ueber den Frischwasseranschluss in das Trinkwassernetz zurueckgesaugt und kontaminiert es (Ruecksaugen bei Unterdruck im Netz).",
+			TriggerDE:   "Fehlender oder defekter Rueckflussverhinderer/Systemtrenner; Unterdruck im Trinkwassernetz; kein freier Auslauf.",
+			HarmDE:      "Gesundheitsgefaehrdung Dritter durch kontaminiertes Trinkwasser (Chemie, Keime).",
+			AffectedDE:  "Verbraucher am selben Trinkwassernetz, Betreiber",
+			ZoneDE:      "Frischwasseranschluss, Wasserzulauf",
+			ISO12100Section: "6.2.4",
+			DefaultSeverity: 3, DefaultExposure: 2,
+		},
+		{
+			ID: "HP2208", NameDE: "Schnittverletzung an scharfen Kanten/Sieben", NameEN: "Cut injury on sharp edges/screens",
+			RequiredComponentTags: []string{"dom_warewashing", "sharp_edge"},
+			GeneratedHazardCats:   []string{"mechanical_hazard"},
+			SuggestedMeasureIDs:   []string{"M003"},
+			Priority:              74,
+			ApplicableLifecycles: []string{"cleaning", "maintenance"},
+			ScenarioDE:  "Schneiden an scharfen Blechkanten, Sieben oder dem Ablaufpumpen-Laufrad beim Reinigen oder Eingreifen in die Spuelkammer.",
+			TriggerDE:   "Entnehmen/Reinigen der Siebe; Eingreifen an scharfen Kanten ohne Schutzhandschuhe.",
+			HarmDE:      "Schnittwunden an Haenden und Fingern.",
+			AffectedDE:  "Reinigungspersonal, Bedienpersonal",
+			ZoneDE:      "Zugaengliche Kanten, Siebe, Spuelkammer, Ablaufpumpe",
+			ISO12100Section: "6.2.2.1",
+			DefaultSeverity: 1, DefaultExposure: 3,
+		},
+		{
+			ID: "HP2209", NameDE: "Unerwarteter Wiederanlauf bei Wartung/Reinigung", NameEN: "Unexpected restart during maintenance/cleaning",
+			RequiredComponentTags: []string{"dom_warewashing", "programmable"},
+			RequiredLifecycles:    []string{"maintenance", "cleaning", "fault_clearing"},
+			GeneratedHazardCats:   []string{"safety_function_failure"},
+			SuggestedMeasureIDs:   []string{"M042"},
+			Priority:              80,
+			ApplicableLifecycles: []string{"maintenance", "cleaning"},
+			ScenarioDE:  "Waehrend Wartung oder Reinigung laeuft die Maschine durch fehlende Freischaltung (LOTO) oder automatischen Wiederanlauf unerwartet an (Pumpe, Spuelgang).",
+			TriggerDE:   "Kein Freischalten/Sichern gegen Wiedereinschalten; automatischer Wiederanlauf nach Netzunterbrechung.",
+			HarmDE:      "Verbruehung, Quetschen oder elektrischer Schlag durch unerwartet anlaufende Maschine.",
+			AffectedDE:  "Wartungspersonal, Reinigungspersonal",
+			ZoneDE:      "Gesamte Maschine, Pumpe, Antriebe",
+			ISO12100Section: "6.2.11.4",
+			DefaultSeverity: 3, DefaultExposure: 2,
+		},
 	}
 }

ai-compliance-sdk/internal/iace/keyword_dictionary.go

@@ -107,6 +107,9 @@ func GetKeywordDictionary() []KeywordEntry {
 		// honest (generic hygiene; surfaced by the warewashing GT).
 		{Keywords: []string{"spuelarm", "spuelfeld", "wascharm", "spruehfeld"}, ExtraTags: []string{"rotating_part"}},
 		{Keywords: []string{"spuelkammer", "spueltuer", "geraetetuer", "haubentuer", "klapptuer"}, ExtraTags: []string{"access_door"}},
+		// Frischwasseranschluss an das Trinkwassernetz -> Rueckfluss/Ruecksaug-Risiko (EN 1717).
+		{Keywords: []string{"rueckfluss", "rueckflussverhinderer", "ruecksaug", "trinkwasser", "frischwasseranschluss", "systemtrenner"}, ExtraTags: []string{"backflow_risk"}},
+		{Keywords: []string{"scharfe kante", "scharfkant", "blechkante", "scharfe blechkante", "sieb", "siebe"}, ExtraTags: []string{"sharp_edge"}},
 		// Ghost-Closure (Emit-Seite): macht die 34 toten Required-Tags
 		// emittierbar, jeweils NUR via domaenenspezifische Keywords -> die 120
 		// Ghost-Patterns feuern wieder, aber nur fuer ihre echte Maschine (kein

ai-compliance-sdk/internal/iace/measures_library_warewashing.go

@@ -65,5 +65,11 @@ func getWarewashingMeasures() []ProtectiveMeasureEntry {
 			HazardCategory: "general",
 			Examples:       []string{"Warnpiktogramm 'Heisser Dampf' an der Tuer", "BA-Hinweis 'Tuer nach Programmende langsam oeffnen'"},
 			NormReferences: []string{"ISO 7010", "EN 60335-2-58"}},
+		{ID: "M2209", ReductionType: "design", SubType: "containment",
+			Name:           "Rueckflussverhinderer / Systemtrenner nach EN 1717",
+			Description:    "Der Frischwasseranschluss ist durch einen Rueckflussverhinderer bzw. Systemtrenner der passenden Schutzklasse oder durch einen freien Auslauf gegen Ruecksaugen verschmutzten Wassers in das Trinkwassernetz gesichert.",
+			HazardCategory: "material_environmental",
+			Examples:       []string{"Systemtrenner Typ BA nach EN 1717", "Freier Auslauf Typ AB ueber dem hoechsten Wasserstand"},
+			NormReferences: []string{"EN 1717", "EN 60335-2-58"}},
 	}
 }

ai-compliance-sdk/internal/ucca/authority.go

@@ -40,6 +40,14 @@ func classifyAuthority(r LegalSearchResult) authorityInfo {
 	if jur == "" {
 		jur = inferJurisdiction(r)
 	}
+	hay := r.ArticleLabel + " " + r.RegulationShort + " " + r.RegulationName + " " + r.RegulationCode
+	// A recognised standard NAME (NIST/OWASP/ISO 27001/CIS/CSA CCM/Grundschutz) is authoritative
+	// even when the corpus mis-tagged the chunk as supervisory_guidance (weight 70) — many
+	// standards were ingested with a generic guidance source_class. The name wins, so they
+	// classify (and rank) as technical_standard / control_standard. binding_law is preserved.
+	if r.SourceClass != "binding_law" && containsAny(hay, standardMarkers) {
+		return authorityInfo{weight: 80, sourceClass: "technical_standard", jurisdiction: jur}
+	}
 	if r.SourceClass != "" {
 		w := r.AuthorityWeight
 		if w == 0 && r.SourceClass == "binding_law" {
@@ -50,7 +58,6 @@ func classifyAuthority(r LegalSearchResult) authorityInfo {
 	if r.AuthorityWeight > 0 {
 		return authorityInfo{weight: r.AuthorityWeight, sourceClass: sourceClassFromWeight(r.AuthorityWeight), jurisdiction: jur}
 	}
-	hay := r.ArticleLabel + " " + r.RegulationShort + " " + r.RegulationName + " " + r.RegulationCode
 	switch {
 	case containsAny(hay, foreignMarkers):
 		return authorityInfo{weight: 0, sourceClass: "foreign_law", jurisdiction: "CH"}

ai-compliance-sdk/internal/ucca/authority_test.go

@@ -15,6 +15,7 @@ func TestClassifyAuthority(t *testing.T) {
 		{"tagged foreign CH", LegalSearchResult{AuthorityWeight: 0, SourceClass: "foreign_law", Jurisdiction: "CH"}, 0, "foreign_law", "CH"},
 		{"untagged ENISA guidance", LegalSearchResult{RegulationShort: "ENISA", ArticleLabel: "ENISA CRA Standards Mapping"}, 70, "supervisory_guidance", "EU"},
 		{"untagged NIST standard", LegalSearchResult{RegulationShort: "NIST SP 800-82r3", ArticleLabel: "AU-8"}, 80, "technical_standard", "EU"},
+		{"mis-tagged NIST guidance -> standard by name", LegalSearchResult{SourceClass: "supervisory_guidance", AuthorityWeight: 70, RegulationShort: "NIST SP 800-82r3", ArticleLabel: "NIST SP 800-82r3"}, 80, "technical_standard", "EU"},
 		{"BSI Grundschutz standard beats BSI guidance", LegalSearchResult{RegulationShort: "BSI Grundschutz", ArticleLabel: "BSI Grundschutz Baustein"}, 80, "technical_standard", "DE"},
 		{"weight-only 85 TRGS standard", LegalSearchResult{AuthorityWeight: 85, RegulationShort: "TRGS 529"}, 85, "technical_standard", "EU"},
 		{"tagged technical_standard", LegalSearchResult{AuthorityWeight: 80, SourceClass: "technical_standard", Jurisdiction: "EU"}, 80, "technical_standard", "EU"},

ai-compliance-sdk/internal/ucca/compliance_status.go

@@ -0,0 +1,71 @@
+package ucca
+
+// ObligationStatus is the Advisor's vertical slice over the compliance graph for ONE legal
+// obligation: which accepted controls satisfy it, what evidence they require, what's missing,
+// and the resulting status. The point is "the required evidence is (not) present", not "a
+// document exists". citation_spans is pending until the Legal-Knowledge-Graph session attaches
+// them to the obligation (the upper half of the bridge).
+type ObligationStatus struct {
+	ObligationID  string                    `json:"obligation_id"`
+	LegalBasis    []string                  `json:"legal_basis"` // the obligation's citation_units
+	Status        string                    `json:"status"`      // erfuellt | offen | unklar
+	Controls      []ObligationControlStatus `json:"controls"`
+	CitationSpans string                    `json:"citation_spans"` // "pending" until the registry fills them
+}
+
+// ObligationControlStatus is one control under an obligation with its evidence picture.
+type ObligationControlStatus struct {
+	Framework        string                `json:"framework"`
+	Control          string                `json:"control"`
+	MappingType      string                `json:"mapping_type"`
+	RequiredEvidence []EvidenceRequirement `json:"required_evidence"`
+	MissingEvidence  []EvidenceRequirement `json:"missing_evidence"`
+}
+
+// AssessObligationStatus traverses obligation_id -> (citation_unit) -> accepted Controls ->
+// required Evidence -> Status. hasEvidence reports whether a given (framework, control,
+// evidence_type) is already collected; pass nil in the MVP (no collection yet) -> everything
+// required is missing and the status is "offen". Unknown or unmapped obligation -> "unklar".
+func AssessObligationStatus(joins *ObligationJoinKeys, mappings *ControlMappingSet, evidence *EvidenceRequirementSet, obligationID string, hasEvidence func(framework, control, evidenceType string) bool) ObligationStatus {
+	ob := joins.FindObligation(obligationID)
+	if ob == nil {
+		return ObligationStatus{ObligationID: obligationID, Status: "unklar", CitationSpans: "pending"}
+	}
+	st := ObligationStatus{
+		ObligationID:  obligationID,
+		LegalBasis:    ob.CitationUnits,
+		CitationSpans: "pending",
+		Controls:      []ObligationControlStatus{},
+	}
+	ctrls := AcceptedControlsForObligation(*ob, mappings)
+	if len(ctrls) == 0 {
+		st.Status = "unklar" // no accepted control reaches it — we cannot assess
+		return st
+	}
+	anyMissing := false
+	for _, m := range ctrls {
+		req := evidence.RequiredFor(m.TargetFramework, m.TargetControl)
+		missing := make([]EvidenceRequirement, 0, len(req))
+		for _, e := range req {
+			if hasEvidence == nil || !hasEvidence(e.Framework, e.Control, e.EvidenceType) {
+				missing = append(missing, e)
+			}
+		}
+		if len(missing) > 0 {
+			anyMissing = true
+		}
+		st.Controls = append(st.Controls, ObligationControlStatus{
+			Framework:        m.TargetFramework,
+			Control:          m.TargetControl,
+			MappingType:      m.MappingType,
+			RequiredEvidence: req,
+			MissingEvidence:  missing,
+		})
+	}
+	if anyMissing {
+		st.Status = "offen"
+	} else {
+		st.Status = "erfuellt"
+	}
+	return st
+}

ai-compliance-sdk/internal/ucca/compliance_status_test.go

@@ -0,0 +1,59 @@
+package ucca
+
+import "testing"
+
+func loadGraph(t *testing.T) (*ObligationJoinKeys, *ControlMappingSet, *EvidenceRequirementSet) {
+	t.Helper()
+	joins, err := LoadObligationJoinKeys("../../../obligations/obligation_join_keys.json")
+	if err != nil {
+		t.Fatalf("join keys: %v", err)
+	}
+	maps, err := LoadControlMappings("../../data/control_mappings")
+	if err != nil {
+		t.Fatalf("mappings: %v", err)
+	}
+	ev, err := LoadEvidenceRequirements("../../data/evidence_requirements")
+	if err != nil {
+		t.Fatalf("evidence: %v", err)
+	}
+	return joins, maps, ev
+}
+
+func TestAssessObligationStatus(t *testing.T) {
+	joins, maps, ev := loadGraph(t)
+
+	// covered obligation, no evidence collected yet (MVP) -> offen
+	st := AssessObligationStatus(joins, maps, ev, "user_authentication_required", nil)
+	if st.Status != "offen" {
+		t.Errorf("want offen, got %q", st.Status)
+	}
+	if len(st.Controls) == 0 {
+		t.Fatal("expected controls for a covered obligation")
+	}
+	for _, c := range st.Controls {
+		if len(c.MissingEvidence) != len(c.RequiredEvidence) {
+			t.Error("MVP: all required evidence should be missing")
+		}
+	}
+	t.Logf("DURCHSTICH user_authentication_required: status=%s legal_basis=%v citation_spans=%s",
+		st.Status, st.LegalBasis, st.CitationSpans)
+	for _, c := range st.Controls {
+		t.Logf("  %s %s (%s): %d required evidence, %d missing", c.Framework, c.Control, c.MappingType, len(c.RequiredEvidence), len(c.MissingEvidence))
+	}
+
+	// all evidence present -> erfuellt
+	st2 := AssessObligationStatus(joins, maps, ev, "user_authentication_required", func(f, c, et string) bool { return true })
+	if st2.Status != "erfuellt" {
+		t.Errorf("want erfuellt with all evidence present, got %q", st2.Status)
+	}
+
+	// uncovered obligation (no accepted control reaches it) -> unklar
+	if st3 := AssessObligationStatus(joins, maps, ev, "sbom_creation", nil); st3.Status != "unklar" {
+		t.Errorf("uncovered sbom_creation: want unklar, got %q", st3.Status)
+	}
+
+	// unknown obligation_id -> unklar
+	if st4 := AssessObligationStatus(joins, maps, ev, "does_not_exist", nil); st4.Status != "unklar" {
+		t.Errorf("unknown obligation: want unklar, got %q", st4.Status)
+	}
+}

ai-compliance-sdk/internal/ucca/control_mapping.go

@@ -0,0 +1,152 @@
+package ucca
+
+import (
+	"bufio"
+	"encoding/json"
+	"fmt"
+	"os"
+	"path/filepath"
+	"strings"
+)
+
+// ControlMapping is one persisted, versioned, REVIEWABLE link from a legal
+// obligation/requirement to a concrete framework control — a node in the curated
+// compliance graph (Regulation -> Obligation -> Control -> Evidence). The retriever only
+// PROPOSES candidates (mapping_status=candidate); a human/rule decision turns the good ones
+// into mapping_status=accepted, which is the audited truth the Advisor uses at runtime.
+//
+// There is intentionally NO probabilistic "confidence" field: once curated, a mapping is a
+// professional statement, not an AI guess. The retriever's score lives only in the rationale
+// of a candidate, never as structured truth.
+type ControlMapping struct {
+	SourceNorm      string `json:"source_norm"`             // e.g. "CRA Annex I Part I (2)(c)"
+	SourceRole      string `json:"source_role"`             // source_role of the norm (operational_requirement, ...)
+	TargetFramework string `json:"target_framework"`        // e.g. "OWASP ASVS"
+	TargetControl   string `json:"target_control"`          // e.g. "V6.3.1"
+	MappingType     string `json:"mapping_type"`            // supports | partially_supports | implements | related | contradicts
+	MappingStatus   string `json:"mapping_status"`          // candidate | accepted | rejected | superseded
+	Provenance      string `json:"provenance"`              // retriever_candidate | human_curated | rule_based
+	ObligationID    string `json:"obligation_id,omitempty"` // stable cross-session join key (Obligation Registry); empty until adopted, citation_unit is the interim bridge
+	Rationale       string `json:"rationale"`
+	ReviewedBy      string `json:"reviewed_by,omitempty"` // who decided (human or rule id)
+	ReviewDate      string `json:"review_date,omitempty"` // YYYY-MM-DD
+	ReviewReason    string `json:"review_reason,omitempty"`
+	Version         string `json:"version"`
+}
+
+// Allowed enum values — the deterministic "rule" layer that keeps the curated store clean.
+var (
+	mappingTypeValues   = map[string]bool{"supports": true, "partially_supports": true, "implements": true, "related": true, "contradicts": true}
+	mappingStatusValues = map[string]bool{"candidate": true, "accepted": true, "rejected": true, "superseded": true}
+	provenanceValues    = map[string]bool{"retriever_candidate": true, "human_curated": true, "rule_based": true}
+)
+
+// Validate checks required fields + enum membership, and enforces the audit trail: any
+// human/rule DECISION (accepted/rejected) must carry who/when/why. Fail-closed at load.
+func (m ControlMapping) Validate() error {
+	switch {
+	case m.SourceNorm == "":
+		return fmt.Errorf("control mapping: source_norm required")
+	case m.TargetFramework == "":
+		return fmt.Errorf("control mapping: target_framework required")
+	case m.TargetControl == "":
+		return fmt.Errorf("control mapping: target_control required")
+	case !mappingTypeValues[m.MappingType]:
+		return fmt.Errorf("control mapping: invalid mapping_type %q", m.MappingType)
+	case !mappingStatusValues[m.MappingStatus]:
+		return fmt.Errorf("control mapping: invalid mapping_status %q", m.MappingStatus)
+	case !provenanceValues[m.Provenance]:
+		return fmt.Errorf("control mapping: invalid provenance %q", m.Provenance)
+	}
+	if m.MappingStatus == "accepted" || m.MappingStatus == "rejected" {
+		if m.ReviewedBy == "" || m.ReviewDate == "" || m.ReviewReason == "" {
+			return fmt.Errorf("control mapping %s->%s: status %q requires reviewed_by + review_date + review_reason (audit trail)",
+				m.SourceNorm, m.TargetControl, m.MappingStatus)
+		}
+	}
+	return nil
+}
+
+// IsAccepted reports whether this mapping is the active audited truth.
+func (m ControlMapping) IsAccepted() bool { return m.MappingStatus == "accepted" }
+
+// ControlMappingSet is the loaded, indexed mapping store (forward + reverse lookup).
+type ControlMappingSet struct {
+	All          []ControlMapping
+	bySourceNorm map[string][]ControlMapping
+	byControl    map[string][]ControlMapping
+}
+
+func controlKey(framework, control string) string { return framework + ":" + control }
+
+// ControlsFor returns the controls mapped to a source norm. acceptedOnly restricts to the
+// audited truth (what the Advisor may treat as fact).
+func (s *ControlMappingSet) ControlsFor(sourceNorm string, acceptedOnly bool) []ControlMapping {
+	return filterAccepted(s.bySourceNorm[sourceNorm], acceptedOnly)
+}
+
+// ObligationsFor returns the norms mapped to a framework control (reverse lookup).
+func (s *ControlMappingSet) ObligationsFor(framework, control string, acceptedOnly bool) []ControlMapping {
+	return filterAccepted(s.byControl[controlKey(framework, control)], acceptedOnly)
+}
+
+func filterAccepted(in []ControlMapping, acceptedOnly bool) []ControlMapping {
+	if !acceptedOnly {
+		return in
+	}
+	out := make([]ControlMapping, 0, len(in))
+	for _, m := range in {
+		if m.IsAccepted() {
+			out = append(out, m)
+		}
+	}
+	return out
+}
+
+// LoadControlMappings reads every *.jsonl file under dir (one mapping per line; blank and
+// //-prefixed lines ignored), validates each row, and builds the index. An invalid row
+// aborts the whole load — fail-closed, because this is the audit truth, not best-effort.
+func LoadControlMappings(dir string) (*ControlMappingSet, error) {
+	files, err := filepath.Glob(filepath.Join(dir, "*.jsonl"))
+	if err != nil {
+		return nil, err
+	}
+	set := &ControlMappingSet{
+		bySourceNorm: map[string][]ControlMapping{},
+		byControl:    map[string][]ControlMapping{},
+	}
+	for _, f := range files {
+		fh, err := os.Open(f)
+		if err != nil {
+			return nil, err
+		}
+		sc := bufio.NewScanner(fh)
+		sc.Buffer(make([]byte, 0, 64*1024), 1024*1024)
+		line := 0
+		for sc.Scan() {
+			line++
+			raw := strings.TrimSpace(sc.Text())
+			if raw == "" || strings.HasPrefix(raw, "//") {
+				continue
+			}
+			var m ControlMapping
+			if err := json.Unmarshal([]byte(raw), &m); err != nil {
+				fh.Close()
+				return nil, fmt.Errorf("%s:%d: %w", f, line, err)
+			}
+			if err := m.Validate(); err != nil {
+				fh.Close()
+				return nil, fmt.Errorf("%s:%d: %w", f, line, err)
+			}
+			set.All = append(set.All, m)
+			set.bySourceNorm[m.SourceNorm] = append(set.bySourceNorm[m.SourceNorm], m)
+			k := controlKey(m.TargetFramework, m.TargetControl)
+			set.byControl[k] = append(set.byControl[k], m)
+		}
+		fh.Close()
+		if err := sc.Err(); err != nil {
+			return nil, err
+		}
+	}
+	return set, nil
+}

ai-compliance-sdk/internal/ucca/control_mapping_test.go

@@ -0,0 +1,85 @@
+package ucca
+
+import (
+	"os"
+	"path/filepath"
+	"testing"
+)
+
+func TestControlMapping_Validate(t *testing.T) {
+	candidate := ControlMapping{SourceNorm: "CRA Annex I", TargetFramework: "OWASP ASVS", TargetControl: "V6.3.1", MappingType: "supports", MappingStatus: "candidate", Provenance: "retriever_candidate"}
+	if err := candidate.Validate(); err != nil {
+		t.Fatalf("valid candidate rejected: %v", err)
+	}
+	accepted := ControlMapping{SourceNorm: "A", TargetFramework: "X", TargetControl: "Y", MappingType: "implements", MappingStatus: "accepted", Provenance: "human_curated", ReviewedBy: "benjamin", ReviewDate: "2026-06-25", ReviewReason: "passt"}
+	if err := accepted.Validate(); err != nil {
+		t.Fatalf("valid accepted rejected: %v", err)
+	}
+
+	bad := []struct {
+		name string
+		m    ControlMapping
+	}{
+		{"no source_norm", ControlMapping{TargetFramework: "X", TargetControl: "Y", MappingType: "supports", MappingStatus: "candidate", Provenance: "retriever_candidate"}},
+		{"bad mapping_type", ControlMapping{SourceNorm: "A", TargetFramework: "X", TargetControl: "Y", MappingType: "nope", MappingStatus: "candidate", Provenance: "retriever_candidate"}},
+		{"bad mapping_status", ControlMapping{SourceNorm: "A", TargetFramework: "X", TargetControl: "Y", MappingType: "supports", MappingStatus: "maybe", Provenance: "retriever_candidate"}},
+		{"bad provenance", ControlMapping{SourceNorm: "A", TargetFramework: "X", TargetControl: "Y", MappingType: "supports", MappingStatus: "candidate", Provenance: "guessed"}},
+		{"accepted without audit trail", ControlMapping{SourceNorm: "A", TargetFramework: "X", TargetControl: "Y", MappingType: "supports", MappingStatus: "accepted", Provenance: "human_curated"}},
+		{"rejected without reason", ControlMapping{SourceNorm: "A", TargetFramework: "X", TargetControl: "Y", MappingType: "supports", MappingStatus: "rejected", Provenance: "human_curated", ReviewedBy: "b", ReviewDate: "2026-06-25"}},
+	}
+	for _, tt := range bad {
+		if err := tt.m.Validate(); err == nil {
+			t.Errorf("%s: expected rejection", tt.name)
+		}
+	}
+}
+
+func TestLoadControlMappings(t *testing.T) {
+	dir := t.TempDir()
+	content := `// header comment, ignored
+{"source_norm":"CRA Annex I","source_role":"operational_requirement","target_framework":"OWASP ASVS","target_control":"V6.3.1","mapping_type":"supports","mapping_status":"accepted","provenance":"human_curated","reviewed_by":"benjamin","review_date":"2026-06-25","review_reason":"V6=Auth passt","rationale":"r","version":"2026-06-25"}
+{"source_norm":"CRA Annex I","source_role":"operational_requirement","target_framework":"OWASP ASVS","target_control":"V14.2.4","mapping_type":"related","mapping_status":"candidate","provenance":"retriever_candidate","rationale":"r","version":"2026-06-25"}
+
+`
+	if err := os.WriteFile(filepath.Join(dir, "m.jsonl"), []byte(content), 0o644); err != nil {
+		t.Fatal(err)
+	}
+	set, err := LoadControlMappings(dir)
+	if err != nil {
+		t.Fatalf("load: %v", err)
+	}
+	if len(set.All) != 2 {
+		t.Fatalf("want 2 mappings, got %d", len(set.All))
+	}
+	if got := set.ControlsFor("CRA Annex I", false); len(got) != 2 {
+		t.Errorf("ControlsFor(all): want 2, got %d", len(got))
+	}
+	if got := set.ControlsFor("CRA Annex I", true); len(got) != 1 {
+		t.Errorf("ControlsFor(acceptedOnly): want 1 (only accepted), got %d", len(got))
+	}
+	if got := set.ObligationsFor("OWASP ASVS", "V6.3.1", true); len(got) != 1 {
+		t.Errorf("ObligationsFor accepted reverse lookup: want 1, got %d", len(got))
+	}
+}
+
+func TestLoadControlMappings_RejectsInvalid(t *testing.T) {
+	dir := t.TempDir()
+	// accepted without the who/when/why audit trail must fail-closed.
+	if err := os.WriteFile(filepath.Join(dir, "bad.jsonl"), []byte(`{"source_norm":"A","target_framework":"X","target_control":"Y","mapping_type":"supports","mapping_status":"accepted","provenance":"human_curated","rationale":"r","version":"v"}`), 0o644); err != nil {
+		t.Fatal(err)
+	}
+	if _, err := LoadControlMappings(dir); err == nil {
+		t.Error("accepted mapping without audit trail must fail the load (fail-closed)")
+	}
+}
+
+func TestControlMappings_SeedFileValid(t *testing.T) {
+	// The committed seed store must always load + validate.
+	set, err := LoadControlMappings("../../data/control_mappings")
+	if err != nil {
+		t.Fatalf("seed control_mappings failed to load: %v", err)
+	}
+	if len(set.All) == 0 {
+		t.Fatal("seed control_mappings is empty")
+	}
+}

ai-compliance-sdk/internal/ucca/control_role.go

@@ -121,3 +121,54 @@ func controlRoleOf(payload map[string]interface{}) string {
 		IsRecital:       getBool(payload, "is_recital"),
 	})
 }
+
+// ensureControlDiversity guarantees that the returned top-K of a control question surfaces at
+// least one operational_requirement and one control_standard WHEN the pool contains them —
+// without forcing them to Top-1. implementation_guidance (e.g. ENISA good practices) keeps its
+// earned semantic lead; the rule only promotes the best hit of a missing control role into the
+// top-K by overwriting the lowest-ranked redundant guidance slot. So an implementation question
+// shows the relevant source ROLES (binding requirement + standard + guidance) side by side
+// instead of one role flooding the list. The promoted hit's original (now duplicate) position
+// stays in the tail and is dropped by the caller's truncation to topK.
+func ensureControlDiversity(results []LegalSearchResult, topK int) []LegalSearchResult {
+	if topK <= 0 || topK >= len(results) {
+		return results // everything is already returned — nothing to promote
+	}
+	roleAt := make([]string, len(results))
+	for i := range results {
+		roleAt[i] = classifyRole(results[i])
+	}
+	present := make(map[string]bool, topK)
+	for i := 0; i < topK; i++ {
+		present[roleAt[i]] = true
+	}
+	for _, want := range []string{roleOperationalReq, roleControlStandard} {
+		if present[want] {
+			continue
+		}
+		src := -1
+		for i := topK; i < len(results); i++ {
+			if roleAt[i] == want {
+				src = i
+				break
+			}
+		}
+		if src < 0 {
+			continue // role absent from the whole pool — nothing to promote
+		}
+		dst := -1
+		for j := topK - 1; j >= 0; j-- {
+			if roleAt[j] == roleImplGuidance {
+				dst = j
+				break
+			}
+		}
+		if dst < 0 {
+			continue // no redundant guidance to sacrifice — leave the head untouched
+		}
+		results[dst] = results[src]
+		roleAt[dst] = want
+		present[want] = true
+	}
+	return results
+}

ai-compliance-sdk/internal/ucca/control_role_test.go

@@ -77,3 +77,58 @@ func TestControlRoleOf_Payload(t *testing.T) {
 		t.Errorf("DORA abstract article role = %q must be excluded from the control-pool", got)
 	}
 }
+
+func headHasRole(head []LegalSearchResult, role string) bool {
+	for _, r := range head {
+		if classifyRole(r) == role {
+			return true
+		}
+	}
+	return false
+}
+
+func TestEnsureControlDiversity(t *testing.T) {
+	ig := func(n string) LegalSearchResult {
+		return LegalSearchResult{RegulationShort: "ENISA " + n + " Good Practices"}
+	}
+	opReq := LegalSearchResult{RegulationShort: "CRA", ArticleLabel: "CRA Anhang I", Category: "regulation"}
+	std := LegalSearchResult{RegulationShort: "NIST SP 800-53"}
+
+	t.Run("injects missing op_req + control_standard, guidance keeps Top-1", func(t *testing.T) {
+		out := ensureControlDiversity([]LegalSearchResult{ig("A"), ig("B"), ig("C"), std, opReq}, 3)
+		head := out[:3]
+		if classifyRole(head[0]) != roleImplGuidance {
+			t.Errorf("Top-1 should stay implementation_guidance, got %q", classifyRole(head[0]))
+		}
+		if !headHasRole(head, roleOperationalReq) {
+			t.Error("top-K must contain an operational_requirement after diversity")
+		}
+		if !headHasRole(head, roleControlStandard) {
+			t.Error("top-K must contain a control_standard after diversity")
+		}
+	})
+
+	t.Run("no-op when both roles already present", func(t *testing.T) {
+		out := ensureControlDiversity([]LegalSearchResult{opReq, std, ig("A"), ig("B")}, 3)
+		if classifyRole(out[0]) != roleOperationalReq || classifyRole(out[1]) != roleControlStandard {
+			t.Error("already-diverse top-K must be left untouched")
+		}
+	})
+
+	t.Run("absent role is not forced (no panic)", func(t *testing.T) {
+		out := ensureControlDiversity([]LegalSearchResult{ig("A"), ig("B"), ig("C"), std}, 3)
+		if !headHasRole(out[:3], roleControlStandard) {
+			t.Error("present control_standard should be injected")
+		}
+		if headHasRole(out[:3], roleOperationalReq) {
+			t.Error("operational_requirement absent from the pool must NOT appear")
+		}
+	})
+
+	t.Run("topK covering the whole pool is unchanged", func(t *testing.T) {
+		out := ensureControlDiversity([]LegalSearchResult{ig("A"), opReq}, 5)
+		if len(out) != 2 || classifyRole(out[0]) != roleImplGuidance {
+			t.Error("topK >= len must return results unchanged")
+		}
+	})
+}

ai-compliance-sdk/internal/ucca/evidence_requirement.go

@@ -0,0 +1,117 @@
+package ucca
+
+import (
+	"bufio"
+	"encoding/json"
+	"fmt"
+	"os"
+	"path/filepath"
+	"strings"
+)
+
+// EvidenceRequirement is the last edge of the compliance graph: it says WHAT concrete
+// evidence proves a framework control is met, and how fresh that evidence must be. This is
+// what lets the Advisor eventually state "the CRA requirement is fulfilled" — not because a
+// document exists, but because the required, current evidence is present. Authored/curated,
+// not retriever-generated.
+type EvidenceRequirement struct {
+	Framework            string `json:"framework"`             // e.g. "OWASP ASVS"
+	Control              string `json:"control"`               // e.g. "V6.3.1"
+	EvidenceType         string `json:"evidence_type"`         // sbom|test_report|config_export|repo_scan|policy|ticket|audit_log|pentest
+	EvidenceSource       string `json:"evidence_source"`       // github|ci|scanner|manual_upload
+	FreshnessRequirement string `json:"freshness_requirement"` // per_release|quarterly|annually|continuous
+	Required             bool   `json:"required"`
+	Rationale            string `json:"rationale"`
+	Version              string `json:"version"`
+}
+
+// Allowed enum values — the rule layer that keeps the evidence catalog clean.
+var (
+	evidenceTypeValues   = map[string]bool{"sbom": true, "test_report": true, "config_export": true, "repo_scan": true, "policy": true, "ticket": true, "audit_log": true, "pentest": true}
+	evidenceSourceValues = map[string]bool{"github": true, "ci": true, "scanner": true, "manual_upload": true}
+	freshnessValues      = map[string]bool{"per_release": true, "quarterly": true, "annually": true, "continuous": true}
+)
+
+// Validate checks required fields + enum membership. Fail-closed at load.
+func (e EvidenceRequirement) Validate() error {
+	switch {
+	case e.Framework == "":
+		return fmt.Errorf("evidence requirement: framework required")
+	case e.Control == "":
+		return fmt.Errorf("evidence requirement: control required")
+	case !evidenceTypeValues[e.EvidenceType]:
+		return fmt.Errorf("evidence requirement: invalid evidence_type %q", e.EvidenceType)
+	case !evidenceSourceValues[e.EvidenceSource]:
+		return fmt.Errorf("evidence requirement: invalid evidence_source %q", e.EvidenceSource)
+	case !freshnessValues[e.FreshnessRequirement]:
+		return fmt.Errorf("evidence requirement: invalid freshness_requirement %q", e.FreshnessRequirement)
+	}
+	return nil
+}
+
+// EvidenceRequirementSet is the loaded, indexed evidence catalog.
+type EvidenceRequirementSet struct {
+	All       []EvidenceRequirement
+	byControl map[string][]EvidenceRequirement
+}
+
+// For returns all evidence requirements declared for a framework control.
+func (s *EvidenceRequirementSet) For(framework, control string) []EvidenceRequirement {
+	return s.byControl[controlKey(framework, control)]
+}
+
+// RequiredFor returns only the required evidence for a control — the minimum that must be
+// present before the control may be treated as met.
+func (s *EvidenceRequirementSet) RequiredFor(framework, control string) []EvidenceRequirement {
+	out := make([]EvidenceRequirement, 0)
+	for _, e := range s.byControl[controlKey(framework, control)] {
+		if e.Required {
+			out = append(out, e)
+		}
+	}
+	return out
+}
+
+// LoadEvidenceRequirements reads every *.jsonl file under dir (one requirement per line;
+// blank and //-prefixed lines ignored), validates each, and builds the per-control index.
+// An invalid row aborts the load — fail-closed.
+func LoadEvidenceRequirements(dir string) (*EvidenceRequirementSet, error) {
+	files, err := filepath.Glob(filepath.Join(dir, "*.jsonl"))
+	if err != nil {
+		return nil, err
+	}
+	set := &EvidenceRequirementSet{byControl: map[string][]EvidenceRequirement{}}
+	for _, f := range files {
+		fh, err := os.Open(f)
+		if err != nil {
+			return nil, err
+		}
+		sc := bufio.NewScanner(fh)
+		sc.Buffer(make([]byte, 0, 64*1024), 1024*1024)
+		line := 0
+		for sc.Scan() {
+			line++
+			raw := strings.TrimSpace(sc.Text())
+			if raw == "" || strings.HasPrefix(raw, "//") {
+				continue
+			}
+			var e EvidenceRequirement
+			if err := json.Unmarshal([]byte(raw), &e); err != nil {
+				fh.Close()
+				return nil, fmt.Errorf("%s:%d: %w", f, line, err)
+			}
+			if err := e.Validate(); err != nil {
+				fh.Close()
+				return nil, fmt.Errorf("%s:%d: %w", f, line, err)
+			}
+			set.All = append(set.All, e)
+			k := controlKey(e.Framework, e.Control)
+			set.byControl[k] = append(set.byControl[k], e)
+		}
+		fh.Close()
+		if err := sc.Err(); err != nil {
+			return nil, err
+		}
+	}
+	return set, nil
+}

ai-compliance-sdk/internal/ucca/evidence_requirement_test.go

@@ -0,0 +1,84 @@
+package ucca
+
+import (
+	"os"
+	"path/filepath"
+	"testing"
+)
+
+func TestEvidenceRequirement_Validate(t *testing.T) {
+	valid := EvidenceRequirement{Framework: "OWASP ASVS", Control: "V6.3.1", EvidenceType: "config_export", EvidenceSource: "github", FreshnessRequirement: "per_release", Required: true}
+	if err := valid.Validate(); err != nil {
+		t.Fatalf("valid rejected: %v", err)
+	}
+	bad := []struct {
+		name string
+		e    EvidenceRequirement
+	}{
+		{"no control", EvidenceRequirement{Framework: "X", EvidenceType: "sbom", EvidenceSource: "ci", FreshnessRequirement: "per_release"}},
+		{"bad evidence_type", EvidenceRequirement{Framework: "X", Control: "Y", EvidenceType: "screenshot", EvidenceSource: "ci", FreshnessRequirement: "per_release"}},
+		{"bad evidence_source", EvidenceRequirement{Framework: "X", Control: "Y", EvidenceType: "sbom", EvidenceSource: "email", FreshnessRequirement: "per_release"}},
+		{"bad freshness", EvidenceRequirement{Framework: "X", Control: "Y", EvidenceType: "sbom", EvidenceSource: "ci", FreshnessRequirement: "weekly"}},
+	}
+	for _, tt := range bad {
+		if err := tt.e.Validate(); err == nil {
+			t.Errorf("%s: expected rejection", tt.name)
+		}
+	}
+}
+
+func TestLoadEvidenceRequirements(t *testing.T) {
+	dir := t.TempDir()
+	content := `// header
+{"framework":"OWASP ASVS","control":"V6.3.1","evidence_type":"config_export","evidence_source":"github","freshness_requirement":"per_release","required":true,"version":"2026-06-25"}
+{"framework":"OWASP ASVS","control":"V6.3.1","evidence_type":"pentest","evidence_source":"manual_upload","freshness_requirement":"annually","required":false,"version":"2026-06-25"}
+`
+	if err := os.WriteFile(filepath.Join(dir, "e.jsonl"), []byte(content), 0o644); err != nil {
+		t.Fatal(err)
+	}
+	set, err := LoadEvidenceRequirements(dir)
+	if err != nil {
+		t.Fatalf("load: %v", err)
+	}
+	if len(set.All) != 2 {
+		t.Fatalf("want 2, got %d", len(set.All))
+	}
+	if got := set.For("OWASP ASVS", "V6.3.1"); len(got) != 2 {
+		t.Errorf("For: want 2, got %d", len(got))
+	}
+	if got := set.RequiredFor("OWASP ASVS", "V6.3.1"); len(got) != 1 {
+		t.Errorf("RequiredFor: want 1 (pentest is optional), got %d", len(got))
+	}
+}
+
+func TestEvidenceRequirements_SeedFileValid(t *testing.T) {
+	set, err := LoadEvidenceRequirements("../../data/evidence_requirements")
+	if err != nil {
+		t.Fatalf("seed evidence_requirements failed to load: %v", err)
+	}
+	if len(set.All) == 0 {
+		t.Fatal("seed evidence_requirements is empty")
+	}
+}
+
+// TestGraph_AcceptedControlsHaveEvidence wires the two layers: every control an accepted
+// CRA->OWASP mapping points to must have >=1 required evidence — the Obligation -> Control ->
+// Evidence chain must be connected, no dangling control nodes.
+func TestGraph_AcceptedControlsHaveEvidence(t *testing.T) {
+	maps, err := LoadControlMappings("../../data/control_mappings")
+	if err != nil {
+		t.Fatal(err)
+	}
+	ev, err := LoadEvidenceRequirements("../../data/evidence_requirements")
+	if err != nil {
+		t.Fatal(err)
+	}
+	for _, m := range maps.All {
+		if !m.IsAccepted() {
+			continue
+		}
+		if len(ev.RequiredFor(m.TargetFramework, m.TargetControl)) == 0 {
+			t.Errorf("accepted control %s %s has no required evidence (dangling graph node)", m.TargetFramework, m.TargetControl)
+		}
+	}
+}

ai-compliance-sdk/internal/ucca/legal_rag_client.go

@@ -166,6 +166,15 @@ func (c *LegalRAGClient) searchInternal(ctx context.Context, collection string,
 	// Response-Schema unveraendert. Score traegt den Authority-Score, damit nachgelagerte
 	// Multi-Collection-Merges (Advisor) die Ordnung bewahren.
 	results = rerankByAuthority(query, results)
+
+	// Control-Diversity: auf einer Umsetzungsfrage darf impl_guidance (ENISA) Top-1 bleiben,
+	// aber die Top-K soll mindestens eine binding operational_requirement (CRA Anhang I) und
+	// einen control_standard (NIST/ISO) zeigen, falls im Pool — Quellenarten sichtbar machen
+	// statt sie kuenstlich auf Top-1 zu heben. Nur Reihenfolge, vor der Truncation.
+	if queryWantsControls(query) {
+		results = ensureControlDiversity(results, topK)
+	}
+
 	if topK > 0 && len(results) > topK {
 		results = results[:topK]
 	}

ai-compliance-sdk/internal/ucca/obligation_join.go

@@ -0,0 +1,172 @@
+package ucca
+
+import (
+	"encoding/json"
+	"os"
+	"regexp"
+	"strings"
+)
+
+// ObligationKey is one entry of the Obligation Registry's cross-session contract
+// (obligations/obligation_join_keys.json). obligation_id is the STABLE join key — assigned
+// only by the Registry, never minted here. citation_units are the interim bridge until our
+// ControlMapping adopts obligation_id directly.
+type ObligationKey struct {
+	ObligationID  string   `json:"obligation_id"`
+	Regulation    string   `json:"regulation"`
+	Family        string   `json:"family"`
+	Tier          string   `json:"tier"`
+	CitationUnits []string `json:"citation_units"`
+	SourceRole    string   `json:"source_role"`
+}
+
+// ObligationJoinKeys is the loaded contract + a citation-unit index for the interim join.
+type ObligationJoinKeys struct {
+	SchemaVersion string          `json:"schema_version"`
+	Count         int             `json:"count"`
+	ObligationIDs []ObligationKey `json:"obligation_ids"`
+	byCitationKey map[string][]string
+}
+
+var citationRefRe = regexp.MustCompile(`\(([0-9a-zA-Z]+)\)`)
+
+// citationUnitKey normalizes a CRA Annex I reference for the INTERIM citation_unit join, so
+// our "CRA Annex I Part I (2)(c)" and the Registry's "Annex I (2)(c)" collapse to the same
+// key ("i:2.c"). Interim only — superseded by the stable obligation_id once adopted.
+func citationUnitKey(cu string) string {
+	low := strings.ToLower(cu)
+	part := ""
+	switch {
+	case strings.Contains(low, "part ii"):
+		part = "ii"
+	case strings.Contains(low, "part i"), strings.Contains(low, "(2)"):
+		part = "i" // CRA Annex I Part I = the (2)(x) essential requirements
+	}
+	var refs []string
+	for _, m := range citationRefRe.FindAllStringSubmatch(cu, -1) {
+		refs = append(refs, strings.ToLower(m[1]))
+	}
+	return part + ":" + strings.Join(refs, ".")
+}
+
+// LoadObligationJoinKeys reads the Registry contract and indexes it by citation-unit key.
+func LoadObligationJoinKeys(path string) (*ObligationJoinKeys, error) {
+	raw, err := os.ReadFile(path)
+	if err != nil {
+		return nil, err
+	}
+	var o ObligationJoinKeys
+	if err := json.Unmarshal(raw, &o); err != nil {
+		return nil, err
+	}
+	o.byCitationKey = map[string][]string{}
+	for _, ob := range o.ObligationIDs {
+		for _, cu := range ob.CitationUnits {
+			k := citationUnitKey(cu)
+			o.byCitationKey[k] = append(o.byCitationKey[k], ob.ObligationID)
+		}
+	}
+	return &o, nil
+}
+
+// ObligationsForCitation returns the obligation_ids that join (interim) to a citation
+// reference such as a control_mapping.source_norm.
+func (o *ObligationJoinKeys) ObligationsForCitation(citationRef string) []string {
+	return o.byCitationKey[citationUnitKey(citationRef)]
+}
+
+// FindObligation returns the registry entry for an obligation_id (nil if unknown).
+func (o *ObligationJoinKeys) FindObligation(obligationID string) *ObligationKey {
+	for i := range o.ObligationIDs {
+		if o.ObligationIDs[i].ObligationID == obligationID {
+			return &o.ObligationIDs[i]
+		}
+	}
+	return nil
+}
+
+// mappingReaches reports whether a control mapping reaches an obligation — EXACT via the
+// adopted obligation_id (semantic, preferred), else via the interim citation_unit join (for
+// not-yet-adopted rows). Once obligation_id is set, the coarse citation_unit match is ignored:
+// that is how the semantic join replaces the structural one (e.g. V11.2.1 crypto no longer
+// rides (2)(d) into user_authentication_required — it goes to credential_confidentiality_protection).
+func mappingReaches(m ControlMapping, ob ObligationKey, citationKeys map[string]bool) bool {
+	if m.ObligationID != "" {
+		return m.ObligationID == ob.ObligationID
+	}
+	return citationKeys[citationUnitKey(m.SourceNorm)]
+}
+
+// AcceptedControlsForObligation returns our accepted control mappings that reach an obligation
+// (deduped by target control), obligation_id-exact where adopted, citation_unit otherwise.
+func AcceptedControlsForObligation(ob ObligationKey, mappings *ControlMappingSet) []ControlMapping {
+	keys := make(map[string]bool, len(ob.CitationUnits))
+	for _, cu := range ob.CitationUnits {
+		keys[citationUnitKey(cu)] = true
+	}
+	out := []ControlMapping{}
+	seen := map[string]bool{}
+	for _, m := range mappings.All {
+		if !m.IsAccepted() || !mappingReaches(m, ob, keys) {
+			continue
+		}
+		ck := m.TargetFramework + ":" + m.TargetControl
+		if seen[ck] {
+			continue
+		}
+		seen[ck] = true
+		out = append(out, m)
+	}
+	return out
+}
+
+// ObligationCoverage is one row of the cross-session coverage report.
+type ObligationCoverage struct {
+	ObligationID     string   `json:"obligation_id"`
+	Family           string   `json:"family"`
+	Status           string   `json:"status"` // covered | mapped_rejected | uncovered
+	AcceptedControls []string `json:"accepted_controls"`
+	EvidenceCount    int      `json:"evidence_count"`
+}
+
+// ComputeObligationCoverage joins the Registry obligations to our control mappings — exact via
+// obligation_id where adopted, else via the interim citation_unit join — and reports per
+// obligation: covered (>=1 accepted control reaches it), mapped_rejected (only rejected
+// mappings reach it), or uncovered. The signal back to the Obligation session.
+func ComputeObligationCoverage(joins *ObligationJoinKeys, mappings *ControlMappingSet, evidence *EvidenceRequirementSet) []ObligationCoverage {
+	out := make([]ObligationCoverage, 0, len(joins.ObligationIDs))
+	for _, ob := range joins.ObligationIDs {
+		keys := make(map[string]bool, len(ob.CitationUnits))
+		for _, cu := range ob.CitationUnits {
+			keys[citationUnitKey(cu)] = true
+		}
+		cov := ObligationCoverage{ObligationID: ob.ObligationID, Family: ob.Family}
+		seen := map[string]bool{}
+		rejected := false
+		for _, m := range mappings.All {
+			if !mappingReaches(m, ob, keys) {
+				continue
+			}
+			if m.IsAccepted() {
+				ck := m.TargetFramework + ":" + m.TargetControl
+				if !seen[ck] {
+					seen[ck] = true
+					cov.AcceptedControls = append(cov.AcceptedControls, ck)
+					cov.EvidenceCount += len(evidence.RequiredFor(m.TargetFramework, m.TargetControl))
+				}
+			} else if m.MappingStatus == "rejected" {
+				rejected = true
+			}
+		}
+		switch {
+		case len(cov.AcceptedControls) > 0:
+			cov.Status = "covered"
+		case rejected:
+			cov.Status = "mapped_rejected"
+		default:
+			cov.Status = "uncovered"
+		}
+		out = append(out, cov)
+	}
+	return out
+}

ai-compliance-sdk/internal/ucca/obligation_join_test.go

@@ -0,0 +1,61 @@
+package ucca
+
+import "testing"
+
+func TestCitationUnitKey_Join(t *testing.T) {
+	// our source_norm and the registry citation_unit must collapse to the SAME key.
+	if citationUnitKey("CRA Annex I Part I (2)(c) — Schutz vor unbefugtem Zugriff") != citationUnitKey("Annex I (2)(c)") {
+		t.Errorf("interim join broken: %q vs %q",
+			citationUnitKey("CRA Annex I Part I (2)(c)"), citationUnitKey("Annex I (2)(c)"))
+	}
+	// Part II must NOT collide with Part I.
+	if citationUnitKey("Annex I Part II (1)") == citationUnitKey("CRA Annex I Part I (2)(c)") {
+		t.Error("Part II must not join to Part I")
+	}
+}
+
+func TestLoadObligationJoinKeys(t *testing.T) {
+	o, err := LoadObligationJoinKeys("../../../obligations/obligation_join_keys.json")
+	if err != nil {
+		t.Fatalf("load: %v", err)
+	}
+	if o.Count != len(o.ObligationIDs) {
+		t.Errorf("count %d != len %d", o.Count, len(o.ObligationIDs))
+	}
+	if len(o.ObligationIDs) == 0 {
+		t.Fatal("empty contract")
+	}
+	if got := o.ObligationsForCitation("CRA Annex I Part I (2)(c)"); len(got) == 0 {
+		t.Error("expected an obligation joined to (2)(c)")
+	}
+}
+
+func TestObligationCoverage_Report(t *testing.T) {
+	joins, err := LoadObligationJoinKeys("../../../obligations/obligation_join_keys.json")
+	if err != nil {
+		t.Fatalf("join keys: %v", err)
+	}
+	maps, err := LoadControlMappings("../../data/control_mappings")
+	if err != nil {
+		t.Fatalf("mappings: %v", err)
+	}
+	ev, err := LoadEvidenceRequirements("../../data/evidence_requirements")
+	if err != nil {
+		t.Fatalf("evidence: %v", err)
+	}
+	cov := ComputeObligationCoverage(joins, maps, ev)
+	if len(cov) == 0 {
+		t.Fatal("no coverage computed")
+	}
+	byStatus := map[string]int{}
+	for _, c := range cov {
+		byStatus[c.Status]++
+	}
+	t.Logf("COVERAGE: %d Obligations | covered=%d mapped_rejected=%d uncovered=%d",
+		len(cov), byStatus["covered"], byStatus["mapped_rejected"], byStatus["uncovered"])
+	for _, c := range cov {
+		if c.Status != "uncovered" {
+			t.Logf("  %-15s %-36s controls=%v evidence=%d", c.Status, c.ObligationID, c.AcceptedControls, c.EvidenceCount)
+		}
+	}
+}

backend-compliance/compliance/services/obligation_aggregation.py

@@ -0,0 +1,179 @@
+"""Obligation Aggregation Engine — Ausführung des Legal Obligation Layer v1.
+
+Aggregiert Bewertungen auf KRITERIUM-Ebene (pro Control) zu Ergebnissen auf
+OBLIGATION-Ebene. Das ist die erstmalige Ausführung des Modells
+
+    Regulation → Legal Obligation → Control → Criterion
+
+— das Finding entsteht auf der OBLIGATION, nicht pro Control. Damit kollabiert
+die im Katalog gemessene Redundanz (portability 11×, recipients 14×): N Controls,
+die dieselbe Pflicht prüfen, ergeben EIN Obligation-Finding statt N Control-Findings.
+
+Regulierungs-agnostisch: kennt nur obligation_id, tier, met, legal_basis,
+conditional. DSGVO/CRA/NIS2/DORA/MaschVO/AI-Act speisen dieselbe Funktion.
+
+Fail-safe (docs-src/development/legal_obligation_layer_v1.md, §Aggregation):
+  LEGAL_MINIMUM-Obligation:
+    applicable=false                       → NA            (kein Finding)
+    keine LM-Anforderung erfüllt           → FAILED        (Pflicht-Lücke)
+    alle LM-Anforderungen erfüllt          → MET
+    nur ein Teil erfüllt                   → PARTIAL
+    LM nicht bewertbar (Prüfer down)       → UNDETERMINED  (Aufrufer behält Legacy)
+  BEST_PRACTICE/OPTIONAL-Obligation (kein LM):
+    mind. ein Kriterium erfüllt            → MET           (abgedeckt)
+    keines                                 → OPEN          (nur Empfehlung, NIE FAILED)
+
+Redundanz-Kollaps: LM-Kriterien EINER Obligation werden zu „Anforderungen" nach
+`legal_basis` gruppiert; eine Anforderung gilt als erfüllt, sobald IRGENDEIN Control
+sie bestätigt (OR). 9× recipients_disclosed (alle Art 13(1)(e)) = eine Anforderung.
+PARTIAL entsteht nur bei mehreren DISTINKTEN LM-Anforderungen (verschiedene
+legal_basis) innerhalb einer Obligation.
+"""
+from __future__ import annotations
+
+from collections import Counter, defaultdict
+from dataclasses import dataclass, field
+from typing import Callable, Optional
+
+LM, BP, OPT = "LEGAL_MINIMUM", "BEST_PRACTICE", "OPTIONAL"
+MET, PARTIAL, FAILED = "MET", "PARTIAL", "FAILED"
+NA, UNDETERMINED, OPEN = "NA", "UNDETERMINED", "OPEN"
+PFLICHT, EMPFEHLUNG, NICHT_ANWENDBAR = "PFLICHT", "EMPFEHLUNG", "NICHT_ANWENDBAR"
+
+# Predikat-Hook: (conditional, doc_text) → True (anwendbar) / False (→ NA) / None (unbekannt → anwendbar)
+ApplicableFn = Callable[[str, str], Optional[bool]]
+
+
+@dataclass(frozen=True)
+class CriterionEval:
+    """Eine Kriteriums-Bewertung eines Controls, einer Obligation zugeordnet."""
+    obligation_id: str
+    tier: str                       # LEGAL_MINIMUM / BEST_PRACTICE / OPTIONAL
+    met: Optional[bool]             # True erfüllt · False fehlt · None unbestimmt
+    control_id: str
+    legal_basis: str = ""
+    criterion: str = ""
+    conditional: Optional[str] = None   # Applicability-Prädikat der Obligation
+
+
+@dataclass
+class ObligationResult:
+    obligation_id: str
+    status: str                     # MET / PARTIAL / FAILED / NA / UNDETERMINED / OPEN
+    bucket: str                     # PFLICHT / EMPFEHLUNG / NICHT_ANWENDBAR
+    tier: str                       # bestimmende Tier der Obligation
+    applicable: bool
+    evidence: list[str]             # beitragende control_ids
+    lm_met: int                     # erfüllte LM-Anforderungen
+    lm_total: int                   # distinkte LM-Anforderungen (bewertbar)
+    recommendations: list[dict] = field(default_factory=list)
+
+
+def _governing_tier(evals: list[CriterionEval]) -> str:
+    tiers = {e.tier for e in evals}
+    if LM in tiers:
+        return LM
+    return BP if BP in tiers else OPT
+
+
+def _requirement_state(evals: list[CriterionEval]) -> Optional[bool]:
+    """Zustand EINER LM-Anforderung über alle prüfenden Controls (OR/Redundanz):
+    True (irgendwer bestätigt) · None (alle unbestimmt) · False (bewertet, fehlt)."""
+    if any(e.met is True for e in evals):
+        return True
+    if all(e.met is None for e in evals):
+        return None
+    return False
+
+
+def _recommendations(evals: list[CriterionEval]) -> list[dict]:
+    """Nicht erfüllte BEST_PRACTICE/OPTIONAL-Kriterien → Empfehlungen."""
+    return [{"criterion": e.criterion, "tier": e.tier, "legal_basis": e.legal_basis,
+             "control_id": e.control_id}
+            for e in evals if e.tier in (BP, OPT) and e.met is False]
+
+
+def aggregate_obligation(obligation_id: str, evals: list[CriterionEval], *,
+                         applicable_fn: Optional[ApplicableFn] = None,
+                         doc_text: str = "") -> ObligationResult:
+    evidence = sorted({e.control_id for e in evals if e.control_id})
+    conditional = next((e.conditional for e in evals if e.conditional), None)
+    tier = _governing_tier(evals)
+    recs = _recommendations(evals)
+
+    applicable = True
+    if applicable_fn is not None and conditional:
+        verdict = applicable_fn(conditional, doc_text)
+        applicable = True if verdict is None else bool(verdict)
+    if not applicable:
+        return ObligationResult(obligation_id, NA, NICHT_ANWENDBAR, tier, False,
+                                evidence, 0, 0, recs)
+
+    lm_evals = [e for e in evals if e.tier == LM]
+    if lm_evals:
+        reqs: dict[str, list[CriterionEval]] = defaultdict(list)
+        for e in lm_evals:
+            reqs[e.legal_basis or obligation_id].append(e)
+        states = [_requirement_state(v) for v in reqs.values()]
+        determinable = [s for s in states if s is not None]
+        if not determinable:
+            return ObligationResult(obligation_id, UNDETERMINED, PFLICHT, LM, True,
+                                    evidence, 0, len(states), recs)
+        met = sum(1 for s in determinable if s)
+        total = len(determinable)
+        status = MET if met == total else (FAILED if met == 0 else PARTIAL)
+        return ObligationResult(obligation_id, status, PFLICHT, LM, True,
+                                evidence, met, total, recs)
+
+    # Reine BEST_PRACTICE/OPTIONAL-Obligation: nie Pflicht, nie FAILED.
+    covered = any(e.met is True for e in evals)
+    return ObligationResult(obligation_id, MET if covered else OPEN, EMPFEHLUNG,
+                            tier, True, evidence, 0, 0, recs)
+
+
+def aggregate_obligations(evals: list[CriterionEval], *,
+                          applicable_fn: Optional[ApplicableFn] = None,
+                          doc_text: str = "") -> list[ObligationResult]:
+    """Flache Kriteriums-Liste → ein ObligationResult je obligation_id."""
+    groups: dict[str, list[CriterionEval]] = defaultdict(list)
+    for e in evals:
+        if e.obligation_id:
+            groups[e.obligation_id].append(e)
+    return [aggregate_obligation(oid, g, applicable_fn=applicable_fn, doc_text=doc_text)
+            for oid, g in groups.items()]
+
+
+def evals_from_tiered(control_id: str, tiered_criteria: list[dict],
+                      detail: list[dict], conditional: Optional[str] = None
+                      ) -> list[CriterionEval]:
+    """Adapter: tiered_criteria (obligation_id/tier/legal_basis) + das
+    evaluate_tiered-`detail` (met pro Index, gleiche Reihenfolge) → CriterionEvals.
+    `conditional` kommt aus der Control-`applicability` (gilt für die Obligation)."""
+    out: list[CriterionEval] = []
+    for i, c in enumerate(tiered_criteria or []):
+        oid = c.get("obligation_id")
+        if not oid:
+            continue
+        d = detail[i] if i < len(detail) else {}
+        out.append(CriterionEval(
+            obligation_id=oid,
+            tier=(c.get("compliance_tier") or "").upper(),
+            met=d.get("met"),
+            control_id=control_id,
+            legal_basis=c.get("legal_basis") or "",
+            criterion=c.get("criterion") or "",
+            conditional=conditional,
+        ))
+    return out
+
+
+def summarize(results: list[ObligationResult]) -> dict:
+    """Phase-C-Kennzahlen: Obligation-Anzahl + Verteilung nach Bucket/Status."""
+    return {
+        "obligations": len(results),
+        "buckets": dict(Counter(r.bucket for r in results)),
+        "statuses": dict(Counter(r.status for r in results)),
+        "pflicht_failed": sum(1 for r in results if r.bucket == PFLICHT and r.status == FAILED),
+        "pflicht_partial": sum(1 for r in results if r.bucket == PFLICHT and r.status == PARTIAL),
+        "recommendations": sum(len(r.recommendations) for r in results),
+    }

backend-compliance/compliance/services/obligation_applicability.py

@@ -0,0 +1,76 @@
+"""Applicability-Prädikate (minimal) für die Obligation Aggregation Engine.
+
+Jedes Prädikat entscheidet aus dem Dokumenttext, ob eine BEDINGTE Obligation
+anwendbar ist:
+    True  → anwendbar (normal bewerten)
+    False → NICHT anwendbar (→ NA statt FEHLT)
+    None  → Prädikat unbekannt → Aufrufer behält Default=anwendbar (fail-safe,
+            KEINE stille NA)
+
+Bewusst KLEIN gehalten: nur die bereits modellierten Bedingungen
+  has_third_country_transfer · uses_legitimate_interest · direct_marketing
+(+ legitimate_interest_or_public_task, weil objection_general_art21_1 dieselbe
+Rechtsgrundlage als Anknüpfung nutzt). profiling/employment/telecom/health/
+data_act folgen in der nächsten Charge — bis dahin → None → anwendbar.
+"""
+from __future__ import annotations
+
+from typing import Optional
+
+_THIRD_COUNTRY = (
+    "drittland", "drittstaat", "drittländ", "third countr", "außerhalb der eu",
+    "ausserhalb der eu", "außerhalb des ewr", "ausserhalb des ewr",
+    "angemessenheitsbeschluss", "standardvertragsklausel", "standarddatenschutzklausel",
+    "binding corporate rules", "verbindliche interne datenschutzvorschriften",
+    "data privacy framework", "privacy shield", "in die usa", "in den usa",
+    "vereinigte staaten", "international transfer", "internationale übermittlung",
+    "art. 44", "art. 46",
+)
+_LEGIT = (
+    "berechtigtes interesse", "berechtigten interesse", "berechtigte interesse",
+    "legitimate interest", "art. 6 abs. 1 lit. f", "art. 6 abs. 1 f",
+    "art. 6 (1) (f)", "abs. 1 buchstabe f", "interessenabwägung",
+)
+_PUBLIC_TASK = (
+    "öffentliche aufgabe", "öffentlichen aufgabe", "im öffentlichen interesse",
+    "art. 6 abs. 1 lit. e", "ausübung öffentlicher gewalt", "official authority",
+)
+_DIRECT_MKT = (
+    "direktwerbung", "direktmarketing", "direkt-werbung", "werbe-e-mail", "werbe-mail",
+    "newsletter", "werbliche", "marketingzweck", "marketing-zweck", "zwecke der werbung",
+    "zu werbezwecken", "e-mail-marketing", "postwerbung", "telefonwerbung",
+)
+
+
+def _has(text: str, kws: tuple[str, ...]) -> bool:
+    return any(k in text for k in kws)
+
+
+def has_third_country_transfer(text: str) -> bool:
+    return _has(text, _THIRD_COUNTRY)
+
+
+def uses_legitimate_interest(text: str) -> bool:
+    return _has(text, _LEGIT)
+
+
+def direct_marketing(text: str) -> bool:
+    return _has(text, _DIRECT_MKT)
+
+
+_PREDICATES = {
+    "has_third_country_transfer": has_third_country_transfer,
+    "uses_legitimate_interest": uses_legitimate_interest,
+    "legitimate_interest_or_public_task":
+        lambda t: _has(t, _LEGIT) or _has(t, _PUBLIC_TASK),
+    "direct_marketing": direct_marketing,
+}
+
+
+def applicable(conditional: str, doc_text: str) -> Optional[bool]:
+    """applicable_fn-Hook für `aggregate_obligations`. Unbekanntes Prädikat → None
+    (Aufrufer behält Default=anwendbar; NIE stille NA)."""
+    fn = _PREDICATES.get(conditional)
+    if fn is None:
+        return None
+    return fn((doc_text or "").lower())

backend-compliance/compliance/services/obligation_taxonomy.py

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

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

@@ -0,0 +1,130 @@
+"""DSE Shadow-Verdrahtung der Obligation Aggregation Engine.
+
+Erzeugt aus den v3-`results` zusätzlich Obligation-Ergebnisse — AUSSCHLIESSLICH
+für die Telemetrie (Shadow Mode). Ändert KEINE nutzer-sichtbaren Findings.
+
+Mapping control-level über generation_metadata.legal_obligations +
+applicability.conditional; das `met`-Signal ist das Legacy-`passed` des Controls
+(kein zusätzlicher Prüfer-Call, kein Key). Liefert die Vergleichszahlen, mit denen
+sich der Umschalt-Entscheid später absichern lässt:
+  legacy_control_findings · obligation_shadow_results · collapse_factor ·
+  na_count · met_failed_delta · top_collapsed_obligations
+"""
+from __future__ import annotations
+
+import logging
+import os
+from typing import Any, Optional
+
+logger = logging.getLogger(__name__)
+
+
+async def fetch_obligation_markers(cids: list[str], db_url: str = "") -> dict[str, dict]:
+    """legal_obligations + applicability.conditional der Controls laden.
+    Leeres Dict bei Fehler/keiner DB (Shadow fällt still aus)."""
+    cids = [c for c in cids if c]
+    if not cids:
+        return {}
+    import json
+    dsn = db_url or os.getenv("DATABASE_URL") or os.getenv("COMPLIANCE_DATABASE_URL")
+    if not dsn:
+        return {}
+    try:
+        import asyncpg
+        conn = await asyncpg.connect(dsn)
+        rows = await conn.fetch(
+            "select control_id, generation_metadata->'legal_obligations' obl, "
+            "generation_metadata->'applicability'->>'conditional' cond "
+            "from compliance.canonical_controls "
+            "where control_id = any($1::text[]) "
+            "and generation_metadata ? 'legal_obligations'", cids)
+        await conn.close()
+    except Exception as e:
+        logger.warning("fetch_obligation_markers failed: %s", e)
+        return {}
+    out: dict[str, dict] = {}
+    for r in rows:
+        obl = r["obl"]
+        obl = json.loads(obl) if isinstance(obl, str) else obl
+        if obl:
+            out[r["control_id"]] = {"obl": obl, "cond": r["cond"]}
+    return out
+
+
+def compute_obligation_shadow(results: list[dict], text: str,
+                              markers: dict[str, dict]) -> dict[str, Any]:
+    """Reiner Shadow-Vergleich (keine DB, keine Seiteneffekte). `markers`:
+    {control_id: {obl:[...], cond:str|None}}. `met` = Legacy-`passed`."""
+    from compliance.services.obligation_aggregation import (
+        FAILED, LM, MET, NA, PARTIAL, CriterionEval, aggregate_obligations,
+    )
+    from compliance.services.obligation_applicability import applicable
+    from compliance.services.obligation_taxonomy import requires_llm
+
+    legacy = 0
+    evals: list[Any] = []
+    contrib: dict[str, list] = {}
+    for r in results:
+        cid = r.get("control_id")
+        m = markers.get(cid)
+        if not m:
+            continue
+        passed = bool(r.get("passed"))
+        if not passed:
+            legacy += 1
+        for ob in m["obl"]:
+            evals.append(CriterionEval(ob, LM, passed, cid, "", "", m.get("cond")))
+            contrib.setdefault(ob, []).append((cid, passed))
+    if not evals:
+        return {"status": "no obligation markers on result controls"}
+
+    obls = aggregate_obligations(evals, applicable_fn=applicable, doc_text=text)
+    # FAILED/PARTIAL ehrlich trennen: echte Lücke (failed_by_current_checker) vs
+    # RECALL_LIMITED (Obligation braucht LLM, aktueller Prüfer kann sie nicht verifizieren).
+    findings = failed_current = recall_limited = na = 0
+    for o in obls:
+        if o.status == NA:
+            na += 1
+        elif o.status in (FAILED, PARTIAL):
+            findings += 1
+            if requires_llm(o.obligation_id):
+                recall_limited += 1
+            else:
+                failed_current += 1
+    top = []
+    for o in obls:
+        cs = contrib.get(o.obligation_id, [])
+        fehlt = sum(1 for _, p in cs if not p)
+        if fehlt >= 2:
+            top.append({"obligation": o.obligation_id, "fehlt": fehlt,
+                        "total": len(cs), "status": o.status,
+                        "recall_limited": bool(requires_llm(o.obligation_id)
+                                               and o.status in (FAILED, PARTIAL))})
+    top.sort(key=lambda x: -x["fehlt"])
+    met_count = sum(1 for o in obls if o.status == MET)
+    recall_limited_obls = sorted({o.obligation_id for o in obls
+                                  if o.status in (FAILED, PARTIAL)
+                                  and requires_llm(o.obligation_id)})
+    return {
+        "legacy_control_findings": legacy,
+        "obligation_shadow_results": len(obls),
+        "obligation_findings": findings,
+        "failed_by_current_checker": failed_current,
+        "recall_limited": recall_limited,
+        "met_count": met_count,
+        "collapse_factor": round(legacy / findings, 2) if findings else None,
+        "na_count": na,
+        "met_failed_delta": legacy - findings,
+        "top_collapsed_obligations": top[:10],
+        "recall_limited_obligations": recall_limited_obls,
+    }
+
+
+async def build_obligation_shadow(results: list[dict], text: str,
+                                  db_url: str = "") -> dict[str, Any]:
+    """Async-Wrapper: Marker laden, dann Shadow rechnen. NIE in `results` schreiben."""
+    cids = [r.get("control_id") for r in results if r.get("control_id")]
+    markers = await fetch_obligation_markers(cids, db_url)
+    if not markers:
+        return {"status": "no markers"}
+    return compute_obligation_shadow(results, text, markers)

backend-compliance/compliance/services/specialist_agents/dse/v3_engine.py

@@ -158,6 +158,17 @@ async def run_v3_pipeline(
     except Exception as e:
         logger.warning("dse tiered eval skipped: %s", e)
 
+    # Layer 4 (SHADOW): Obligation-Aggregation NUR in die Telemetrie. Greift NICHT
+    # in `results` ein — nutzer-sichtbare Findings bleiben unverändert. Liefert die
+    # Vergleichszahlen für den späteren Umschalt-Entscheid (collapse_factor etc.).
+    obligation_shadow: dict[str, Any] = {}
+    try:
+        from ._obligation_shadow import build_obligation_shadow
+        obligation_shadow = await build_obligation_shadow(results, text, db_url)
+    except Exception as e:
+        logger.warning("dse obligation shadow skipped: %s", e)
+        obligation_shadow = {"error": str(e)}
+
     telemetry = {
         "layer_0_field_hits": len(boost_field_ids),
         "layer_0_field_ids": boost_field_ids,
@@ -169,6 +180,7 @@ async def run_v3_pipeline(
         "offtopic_dropped": drop_stats.get("offtopic_dropped", 0),
         "gate_excluded": len(organizational),
         "organizational_checklist": organizational,
+        "obligation_shadow": obligation_shadow,
     }
     logger.info("dse v3 telemetry: %s", telemetry)
     return results, telemetry

backend-compliance/tests/test_obligation_aggregation.py

@@ -0,0 +1,153 @@
+"""Unit-Tests Obligation Aggregation Engine (Legal Obligation Layer v1).
+
+Deckt die fail-safe Regeln + den Redundanz-Kollaps ab (echte DSE-Szenarien:
+recipients 9×, objection LM+BP, portability OPTIONAL-Format)."""
+from compliance.services.obligation_aggregation import (
+    BP, LM, OPT, CriterionEval, aggregate_obligation, aggregate_obligations,
+    evals_from_tiered, summarize,
+)
+
+
+def _ce(oid, tier, met, cid, basis="", crit="", cond=None):
+    return CriterionEval(oid, tier, met, cid, basis, crit, cond)
+
+
+class TestRedundancyCollapse:
+    def test_nine_controls_one_confirms_collapses_to_one_met(self):
+        # recipients_disclosed: 9 Controls, gleiche Anforderung (Art 13(1)(e))
+        evals = [_ce("recipients_disclosed", LM, i == 4, f"DATA-{i}", "Art. 13(1)(e)")
+                 for i in range(9)]
+        res = aggregate_obligation("recipients_disclosed", evals)
+        assert res.status == "MET"
+        assert res.lm_met == 1 and res.lm_total == 1   # 9 → 1 Anforderung
+        assert len(res.evidence) == 9
+
+    def test_all_nine_absent_fails_once(self):
+        evals = [_ce("recipients_disclosed", LM, False, f"DATA-{i}", "Art. 13(1)(e)")
+                 for i in range(9)]
+        res = aggregate_obligation("recipients_disclosed", evals)
+        assert res.status == "FAILED"
+        assert res.bucket == "PFLICHT"
+
+
+class TestPartialMultiFacet:
+    def test_two_distinct_lm_requirements_one_met_is_partial(self):
+        evals = [
+            _ce("transfer", LM, True, "C1", "Art. 13(1)(f)"),    # erfüllt
+            _ce("transfer", LM, False, "C2", "Art. 46"),         # fehlt → distinkt
+        ]
+        res = aggregate_obligation("transfer", evals)
+        assert res.status == "PARTIAL"
+        assert res.lm_met == 1 and res.lm_total == 2
+
+    def test_both_distinct_requirements_met(self):
+        evals = [
+            _ce("transfer", LM, True, "C1", "Art. 13(1)(f)"),
+            _ce("transfer", LM, True, "C2", "Art. 46"),
+        ]
+        assert aggregate_obligation("transfer", evals).status == "MET"
+
+
+class TestApplicability:
+    def test_conditional_false_is_na(self):
+        evals = [_ce("transfer", LM, False, "C1", "Art. 44", cond="has_third_country_transfer")]
+        res = aggregate_obligation("transfer", evals, applicable_fn=lambda c, t: False)
+        assert res.status == "NA"
+        assert res.bucket == "NICHT_ANWENDBAR"
+        assert res.applicable is False
+
+    def test_conditional_true_evaluates_normally(self):
+        evals = [_ce("transfer", LM, False, "C1", "Art. 44", cond="has_third_country_transfer")]
+        res = aggregate_obligation("transfer", evals, applicable_fn=lambda c, t: True)
+        assert res.status == "FAILED"
+
+    def test_conditional_unknown_defaults_applicable(self):
+        evals = [_ce("transfer", LM, True, "C1", "Art. 44", cond="x")]
+        res = aggregate_obligation("transfer", evals, applicable_fn=lambda c, t: None)
+        assert res.applicable is True and res.status == "MET"
+
+    def test_no_predicate_means_applicable(self):
+        evals = [_ce("transfer", LM, True, "C1", cond="x")]
+        assert aggregate_obligation("transfer", evals).applicable is True
+
+
+class TestUndetermined:
+    def test_all_lm_none_is_undetermined(self):
+        evals = [_ce("ob", LM, None, "C1", "b"), _ce("ob", LM, None, "C2", "b")]
+        res = aggregate_obligation("ob", evals)
+        assert res.status == "UNDETERMINED"
+        assert res.bucket == "PFLICHT"
+
+    def test_one_determinable_requirement_decides(self):
+        # eine Anforderung unbestimmt, die andere klar erfüllt → MET über die bewertbare
+        evals = [_ce("ob", LM, None, "C1", "b1"), _ce("ob", LM, True, "C2", "b2")]
+        res = aggregate_obligation("ob", evals)
+        assert res.status == "MET"
+        assert res.lm_total == 1   # nur die bewertbare Anforderung zählt
+
+
+class TestBestPracticeOnly:
+    def test_pure_bp_covered_is_met_recommendation_bucket(self):
+        evals = [_ce("art20_format", OPT, True, "C1")]
+        res = aggregate_obligation("art20_format", evals)
+        assert res.status == "MET"
+        assert res.bucket == "EMPFEHLUNG"
+
+    def test_pure_bp_not_covered_is_open_never_failed(self):
+        evals = [_ce("art20_format", OPT, False, "C1", crit="JSON/CSV")]
+        res = aggregate_obligation("art20_format", evals)
+        assert res.status == "OPEN"
+        assert res.bucket == "EMPFEHLUNG"
+        assert len(res.recommendations) == 1
+
+
+class TestRecommendationsWithinLm:
+    def test_unmet_bp_in_lm_obligation_becomes_recommendation(self):
+        # objection_direct_marketing: LM erfüllt + 3 BP teils offen
+        evals = [
+            _ce("obj_dm", LM, True, "SEC-8410", "Art. 21(2)", "Recht"),
+            _ce("obj_dm", BP, False, "SEC-8410", "", "Kontaktweg"),
+            _ce("obj_dm", BP, True, "SEC-8410", "", "kostenlos"),
+        ]
+        res = aggregate_obligation("obj_dm", evals)
+        assert res.status == "MET" and res.bucket == "PFLICHT"
+        assert len(res.recommendations) == 1
+        assert res.recommendations[0]["criterion"] == "Kontaktweg"
+
+
+class TestAdapterAndSummary:
+    def test_evals_from_tiered_zips_and_skips_no_obligation(self):
+        tc = [
+            {"criterion": "Recht", "compliance_tier": "LEGAL_MINIMUM",
+             "legal_basis": "Art. 21(1)", "obligation_id": "obj_gen"},
+            {"criterion": "Weg", "compliance_tier": "BEST_PRACTICE",
+             "legal_basis": "", "obligation_id": "obj_gen"},
+            {"criterion": "ohne", "compliance_tier": "OPTIONAL"},   # kein obligation_id → skip
+        ]
+        detail = [{"met": True}, {"met": False}, {"met": True}]
+        evals = evals_from_tiered("AUTH-2051", tc, detail, conditional="x")
+        assert len(evals) == 2
+        assert evals[0].met is True and evals[0].conditional == "x"
+        assert evals[1].tier == BP and evals[1].met is False
+
+    def test_aggregate_obligations_groups_by_id(self):
+        evals = [
+            _ce("a", LM, True, "C1", "b"),
+            _ce("a", LM, True, "C2", "b"),
+            _ce("b", LM, False, "C3", "b"),
+        ]
+        results = {r.obligation_id: r for r in aggregate_obligations(evals)}
+        assert set(results) == {"a", "b"}
+        assert results["a"].status == "MET"
+        assert results["b"].status == "FAILED"
+
+    def test_summarize_counts_buckets_and_failures(self):
+        evals = [
+            _ce("a", LM, False, "C1", "b"),         # FAILED Pflicht
+            _ce("c", OPT, False, "C3", crit="x"),   # OPEN Empfehlung
+        ]
+        s = summarize(aggregate_obligations(evals))
+        assert s["obligations"] == 2
+        assert s["pflicht_failed"] == 1
+        assert s["buckets"]["PFLICHT"] == 1
+        assert s["buckets"]["EMPFEHLUNG"] == 1

backend-compliance/tests/test_obligation_applicability.py

@@ -0,0 +1,57 @@
+"""Unit-Tests für die minimalen Applicability-Prädikate."""
+from compliance.services.obligation_applicability import (
+    applicable, direct_marketing, has_third_country_transfer,
+    uses_legitimate_interest,
+)
+
+
+class TestThirdCountry:
+    def test_drittland_present(self):
+        assert has_third_country_transfer("übermittlung in ein drittland erfolgt") is True
+
+    def test_scc_present(self):
+        assert has_third_country_transfer("auf basis der standardvertragsklauseln") is True
+
+    def test_absent(self):
+        assert has_third_country_transfer("verarbeitung nur innerhalb deutschlands") is False
+
+
+class TestLegitimateInterest:
+    def test_present(self):
+        assert uses_legitimate_interest("auf grundlage unseres berechtigten interesses") is True
+
+    def test_absent(self):
+        assert uses_legitimate_interest("nur auf grundlage ihrer einwilligung") is False
+
+
+class TestDirectMarketing:
+    def test_newsletter(self):
+        assert direct_marketing("anmeldung zum newsletter möglich") is True
+
+    def test_direktwerbung(self):
+        assert direct_marketing("daten für direktwerbung genutzt") is True
+
+    def test_absent(self):
+        assert direct_marketing("wir versenden keine werblichen inhalte ohne basis") is True  # 'werbliche' trifft
+
+    def test_truly_absent(self):
+        assert direct_marketing("reine vertragsabwicklung") is False
+
+
+class TestApplicableHook:
+    def test_known_predicate_true(self):
+        assert applicable("has_third_country_transfer", "Transfer in die USA") is True
+
+    def test_known_predicate_false_triggers_na(self):
+        assert applicable("has_third_country_transfer", "nur in der EU") is False
+
+    def test_public_task_alias(self):
+        assert applicable("legitimate_interest_or_public_task",
+                          "zur ausübung öffentlicher gewalt") is True
+
+    def test_unknown_predicate_returns_none(self):
+        # profiling noch nicht modelliert → None → Aufrufer behält anwendbar
+        assert applicable("profiling", "irgendein text") is None
+
+    def test_case_insensitive(self):
+        assert applicable("uses_legitimate_interest", "BERECHTIGTES INTERESSE") is True

backend-compliance/tests/test_obligation_discovery.py

@@ -0,0 +1,92 @@
+"""Unit-Tests für die reinen Helfer der Obligation Discovery Pipeline (scripts/obligation_discovery/_core.py)."""
+import pathlib
+import sys
+
+sys.path.insert(0, str(pathlib.Path(__file__).resolve().parents[2] / "scripts" / "obligation_discovery"))
+
+from _core import (  # noqa: E402
+    centroid, cosine, greedy_cluster, merge_edges, parse_req, validate_registry,
+)
+
+
+class TestParseReq:
+    def test_list_passthrough(self):
+        assert parse_req(["a", "b"]) == ["a", "b"]
+
+    def test_python_repr_string(self):
+        assert parse_req("['x', 'y']") == ["x", "y"]
+
+    def test_json_string(self):
+        assert parse_req('["x", "y"]') == ["x", "y"]
+
+    def test_plain_string(self):
+        assert parse_req("just text") == ["just text"]
+
+
+class TestCosine:
+    def test_identical(self):
+        assert cosine([1.0, 2.0, 3.0], [1.0, 2.0, 3.0]) > 0.999
+
+    def test_orthogonal(self):
+        assert abs(cosine([1.0, 0.0], [0.0, 1.0])) < 1e-9
+
+    def test_empty(self):
+        assert cosine([], [1.0]) == 0.0
+
+
+class TestGreedyCluster:
+    def test_near_vectors_cluster_far_separate(self):
+        vecs = [[1.0, 0.0], [0.99, 0.01], [0.0, 1.0]]
+        clusters = greedy_cluster(vecs, 0.9)
+        assert len(clusters) == 2
+        assert clusters[0]["members"] == [0, 1]
+        assert clusters[1]["members"] == [2]
+
+    def test_deterministic(self):
+        vecs = [[1.0, 0.0], [0.5, 0.5], [0.99, 0.0]]
+        assert greedy_cluster(vecs, 0.8) == greedy_cluster(vecs, 0.8)
+
+    def test_none_vector_isolated(self):
+        clusters = greedy_cluster([[1.0, 0.0], None], 0.5)
+        assert clusters[1]["members"] == [1] and clusters[1]["seed"] is None
+
+
+class TestCentroid:
+    def test_mean(self):
+        assert centroid([0, 1], [[0.0, 2.0], [2.0, 4.0]]) == [1.0, 3.0]
+
+
+class TestValidateRegistry:
+    def _reg(self, obls, rels=None):
+        return {"obligations": obls, "relationships": rels or []}
+
+    def test_lm_without_legal_basis_fails(self):
+        r = self._reg([{"id": "x", "tier": "LEGAL_MINIMUM", "legal_basis": [], "member_controls": ["C1"]}])
+        v = validate_registry(r)
+        assert v["lm_without_legal_basis"] == ["x"] and v["passed"] is False
+
+    def test_clean_passes(self):
+        r = self._reg([{"id": "x", "tier": "LEGAL_MINIMUM", "legal_basis": [{"source": "CRA"}],
+                        "member_controls": ["C1"], "provenance": {"source_meta_cluster": "M0"}}])
+        assert validate_registry(r)["passed"] is True
+
+    def test_over8_per_review_unit_flagged(self):
+        obls = [{"id": f"o{i}", "tier": "BEST_PRACTICE", "member_controls": ["C"],
+                 "provenance": {"source_meta_cluster": "M0"}} for i in range(9)]
+        v = validate_registry(self._reg(obls))
+        assert v["over8_per_review_unit"] == {"M0": 9} and v["passed"] is False
+
+    def test_empty_member_controls_flagged(self):
+        v = validate_registry(self._reg([{"id": "x", "tier": "BEST_PRACTICE", "member_controls": []}]))
+        assert v["empty_member_controls"] == ["x"] and v["passed"] is False
+
+
+class TestMergeEdges:
+    def test_dedup_and_semantic_only(self):
+        existing = [{"type": "supports", "from": "a", "to": "b"}]
+        proposed = [{"type": "supports", "from": "a", "to": "b"},          # dup
+                    {"type": "depends_on", "from": "c", "to": "d"},        # new
+                    {"type": "out_of_scope", "clusters": [1]}]             # not semantic
+        merged, added = merge_edges(existing, proposed)
+        assert added == 1
+        assert {"type": "depends_on", "from": "c", "to": "d"} in merged

backend-compliance/tests/test_obligation_shadow.py

@@ -0,0 +1,74 @@
+"""Unit-Tests für die DSE Shadow-Verdrahtung (compute_obligation_shadow, pure)."""
+from compliance.services.specialist_agents.dse._obligation_shadow import (
+    compute_obligation_shadow,
+)
+
+NON_LLM = "art20_right_exists_core"          # nicht in der LLM_REQUIRED-Registry
+LLM_REQ = "third_country_transfer_disclosed"  # in der LLM_REQUIRED-Registry
+
+
+def _markers(n, ob, cond=None):
+    return {f"C{i}": {"obl": [ob], "cond": cond} for i in range(n)}
+
+
+class TestComputeShadow:
+    def test_collapse_and_delta(self):
+        results = [{"control_id": f"C{i}", "passed": False} for i in range(5)]
+        s = compute_obligation_shadow(results, "x", _markers(5, NON_LLM))
+        assert s["legacy_control_findings"] == 5
+        assert s["obligation_findings"] == 1          # 5 → 1
+        assert s["failed_by_current_checker"] == 1
+        assert s["recall_limited"] == 0
+        assert s["collapse_factor"] == 5.0
+        assert s["met_failed_delta"] == 4
+        assert s["met_count"] == 0
+        top = s["top_collapsed_obligations"][0]
+        assert top["obligation"] == NON_LLM and top["fehlt"] == 5
+        assert top["recall_limited"] is False
+
+    def test_fp_correction_one_passed_collapses_to_met(self):
+        results = [{"control_id": f"C{i}", "passed": i == 0} for i in range(5)]
+        s = compute_obligation_shadow(results, "x", _markers(5, NON_LLM))
+        assert s["legacy_control_findings"] == 4
+        assert s["obligation_findings"] == 0          # MET (anderswo erfüllt)
+        assert s["met_failed_delta"] == 4
+
+    def test_na_when_predicate_false(self):
+        results = [{"control_id": "C0", "passed": False}]
+        m = {"C0": {"obl": [LLM_REQ], "cond": "has_third_country_transfer"}}
+        s = compute_obligation_shadow(results, "nur innerhalb der eu", m)
+        assert s["na_count"] == 1
+        assert s["obligation_findings"] == 0          # NA statt FEHLT
+
+    def test_no_markers_returns_status(self):
+        s = compute_obligation_shadow([{"control_id": "C0", "passed": False}], "x", {})
+        assert "no obligation" in s["status"]
+
+    def test_does_not_mutate_results(self):
+        results = [{"control_id": "C0", "passed": False}]
+        compute_obligation_shadow(results, "x", _markers(1, NON_LLM))
+        assert set(results[0].keys()) == {"control_id", "passed"}
+
+
+class TestRecallSegregation:
+    def test_llm_required_failed_is_recall_limited_not_real_gap(self):
+        # 5 verfehlte third_country-Controls, Transfer-Text vorhanden → FAILED,
+        # aber LLM_REQUIRED → RECALL_LIMITED, NICHT failed_by_current_checker.
+        results = [{"control_id": f"C{i}", "passed": False} for i in range(5)]
+        m = {f"C{i}": {"obl": [LLM_REQ], "cond": "has_third_country_transfer"}
+             for i in range(5)}
+        s = compute_obligation_shadow(results, "übermittlung in ein drittland", m)
+        assert s["obligation_findings"] == 1
+        assert s["recall_limited"] == 1
+        assert s["failed_by_current_checker"] == 0
+        assert s["recall_limited_obligations"] == [LLM_REQ]
+        assert s["top_collapsed_obligations"][0]["recall_limited"] is True
+
+    def test_mixed_real_gap_and_recall_limited(self):
+        results = [{"control_id": "A", "passed": False}, {"control_id": "B", "passed": False}]
+        m = {"A": {"obl": [NON_LLM], "cond": None},
+             "B": {"obl": [LLM_REQ], "cond": "has_third_country_transfer"}}
+        s = compute_obligation_shadow(results, "übermittlung in ein drittland", m)
+        assert s["obligation_findings"] == 2
+        assert s["failed_by_current_checker"] == 1
+        assert s["recall_limited"] == 1

backend-compliance/tests/test_obligation_taxonomy.py

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

docs-src/architecture/01-retrieval.md

@@ -0,0 +1,41 @@
+# 01 — Retrieval-Pipeline
+
+**Zweck:** Einen Kandidaten-Pool bauen, der die *richtigen* Quellen enthält (Pflichtquelle **und** Controls) — auch dann, wenn reine Semantik sie verfehlen würde. Re-Ranking (02) kann nur ordnen, was im Pool liegt; deshalb ist der Pool-Aufbau die erste Verteidigungslinie gegen Recall-Lücken.
+
+## Mechanik
+
+`searchInternal()` (`legal_rag_client.go`) orchestriert den Pool in fester Reihenfolge — jede Stufe **augmentiert** (ersetzt nie), Fehler degradieren still:
+
+1. **Embedding** — `bge-m3` (1024-dim) über Ollama, Query auf 2000 Zeichen gekappt.
+2. **Hybrid (RRF)** — `searchHybrid()`: dense + Volltext via Qdrant Query-API, RRF-Fusion. Fällt bei Fehler auf `searchDense()` (reine Vektorsuche) zurück.
+3. **Binding-Augmentation** — `searchBinding()`: zieht die Top-`source_class=binding_law`-Treffer dazu, **damit die Pflichtquelle immer Kandidat ist**, auch wenn Guidance semantisch dominiert.
+4. **Control-Augmentation** — `searchControls()`: nur bei Control-Intent (siehe [05](05-control-intent.md)); tiefer dense-Pull, gefiltert auf Control-Pool-Rollen.
+5. **Graph-Augmentation** — `expandViaGraph()`: **opt-in**; zieht verbundene Normen über Zitations-Kanten.
+6. **Merge** — `mergeDedupHits()`: konkateniert, behält die erste Vorkommnis je Punkt-ID, Reihenfolge erhalten.
+
+Danach: Map auf `LegalSearchResult` → Authority-Rerank (02) → Control-Diversity (05) → Truncate auf `topK`.
+
+## Konstanten + Warum
+
+| Konstante | Wert | Warum |
+|-----------|------|-------|
+| `prefetchLimit` (hybrid) | `20`, bzw. `topK*4` bei topK>20 | Fusion-Fenster: genug dense-Kontext für RRF, ohne den Volltext-Anteil zu verwässern |
+| `controlPoolDepth` | `60` | **Gemessen:** für EU-Cyber-Control-Queries liegen die relevanten Control-Quellen (NIST, CRA-Anhang) bei dense-Rang ~8–9 — weit unter dem kleinen top-K. Auf dem größeren (95k) synced Korpus reicht ein fixer Tiefen-Pull von 60, um sie zum Kandidaten zu machen |
+| `graphSeedCount` | `5` | nur die Top-Hits als Graph-Saat (Begrenzung der Expansion) |
+| `graphMaxExpand` | `15` | Obergrenze der über Kanten gezogenen Normen |
+| `graphHopPenalty` | `0.05` | leichte Distanz-Strafe pro Kante (Pool-Expansion, kein Ranking-Hebel) |
+| `RAG_GRAPH_EXPANSION` | env, default **aus** | **Opt-in:** kein gemessener Rang-Nutzen ggü. der Binding-Augmentation, +1 Qdrant-Call/Suche, Flutungsrisiko über Reverse-Kanten. Bleibt als Recall-Sicherheitsnetz |
+
+> Forward-Kanten (`references_out`) treiben die Graph-Expansion; Reverse-Kanten (`references_in`) werden **nur als Metadaten** geführt (sonst flutet ein populärer Anhang den Pool).
+
+## Code
+
+- `legal_rag_client.go` → `searchInternal()`, `mergeDedupHits()`
+- `legal_rag_http.go` → `searchHybrid()`, `searchDense()`, `searchBinding()`, `searchControls()`
+- `legal_rag_graph.go` → `expandViaGraph()`
+
+## Adressierte Fehlerklassen
+
+- **„Pflichtquelle nicht im Pool"** → Binding-Augmentation (Stufe 3) garantiert die `binding_law`-Quelle als Kandidat.
+- **„Control-Quelle unter top-K"** → Control-Augmentation + `controlPoolDepth` (Stufe 4) holt tiefliegende NIST/CRA-Anhang-Treffer.
+- **„Recall-Lücke bei Synonymen"** → Hybrid (RRF) deckt lexikalische Treffer ab, die rein semantisch fehlen.

docs-src/architecture/02-authority.md

@@ -0,0 +1,51 @@
+# 02 — Authority-Re-Ranking
+
+**Zweck:** Bindendes Recht der passenden Jurisdiktion/Domäne nach oben, Guidance/Fremdrecht/Off-Domain nach unten — **Reihenfolge only, nichts wird gelöscht**. Der `Score` trägt nach dem Rerank den Authority-Score, damit nachgelagerte Multi-Collection-Merges (Advisor) die Ordnung bewahren.
+
+## Mechanik
+
+`authorityScore()` (`authority_rerank.go`) berechnet pro Treffer einen normativen Relevanz-Score aus dem rohen Semantik-Score + gewichteter Autorität + Kontext-Bonus/Penalty:
+
+```
+score = rawSemantic
+      + authorityCoef · weight/100                 (Autorität, siehe 03)
+      + jurisdictionGain   (DE/EU-Match)
+      − foreignPenalty     (CH bei DE/EU-Frage)
+      − unknownPenalty     (unbekannte Klasse)
+      + domainMatchGain    (Chunk-Domäne == Query-Domäne)
+      − offDomainPenalty   (bindend, aber off-domain)
+      − scopePenalty       (BDSG Teil 3 bei allgemeiner DS-Frage)
+      + topicGain          (bevorzugte kanonische Norm)
+      − supersededPenalty  (status="superseded")
+```
+
+`rerankByAuthority()` sortiert stabil nach diesem Score und schreibt ihn zurück. `liftAboveBinding()` hebt bei **Auslegungs-Intent** eine semantisch konkurrenzfähige Guidance knapp über das bindende Recht — mit Margin-Guard, damit off-topic-Guidance das Gesetz nicht überholt.
+
+## Konstanten + Warum
+
+| Konstante | Wert | Warum |
+|-----------|------|-------|
+| `authorityCoef` | `0.40` | Gewicht→Score-Multiplikator. Konservativ kalibriert gegen die Offline-Golden-Harness (Phase A): hoch genug, dass bindendes Recht gewinnt, niedrig genug, dass starke Semantik nicht erschlagen wird |
+| `jurisdictionGain` | `0.05` | leichter Vorzug für DE/EU-Quellen bei DE/EU-Frage |
+| `foreignPenalty` | `0.60` | Fremdrecht (CH) bei DE/EU-Frage klar demoten — aber **nicht** entfernen (Vergleichsfälle bleiben auffindbar) |
+| `unknownPenalty` | `0.08` | unklassifizierte Quellen leicht zurückstufen |
+| `domainMatchGain` | `0.15` | Domänen-Treffer (data_protection / cyber / ai / product_safety) belohnen |
+| `offDomainPenalty` | `0.10` | bindende, aber fachfremde Norm demoten (z.B. DSGVO bei reiner Cyber-Frage) |
+| `scopePenalty` | `0.25` | BDSG §45–84 (Justiz/Strafverfolgung) bei allgemeiner DS-Frage zurückstufen — häufige Scope-Verwechslung |
+| `topicGain` | `0.18` | Verstärker für bevorzugte kanonische Normen (z.B. Art. 37 DSGVO bei DSB-Fragen) |
+| `supersededPenalty` | `0.50` | abgelöste Alt-Quelle demoten, „damit Default-Fragen die eu-v1-Norm sehen, History aber auffindbar bleibt" |
+| `intentLiftGain` | `0.10` | Epsilon-Lift einer Guidance über das beste bindende Recht bei Auslegungs-Intent |
+| `intentLiftMargin` | `0.05` | Guard: Lift nur, wenn die Semantik innerhalb von 0.05 zum besten bindenden Treffer liegt |
+
+**Auslegungs-Intent-Signale** (`guidanceIntentSignals`): `edpb`, `dsk`, `enisa`, `bsi`, `leitlinie`, `guideline`, `orientierungshilfe`, `auslegung`, `empfiehlt`, `empfehlung`, `sagt`, `laut`, …
+
+## Code
+
+- `authority_rerank.go` → `authorityScore()`, `rerankByAuthority()`, `bestBindingSemantic()`, `liftAboveBinding()`
+
+## Adressierte Fehlerklassen
+
+- **„Guidance verdrängt Gesetz"** → `authorityCoef`·weight hebt bindendes Recht; `liftAboveBinding` nur mit Margin-Guard.
+- **„Fremdrecht Top-1"** → `foreignPenalty`.
+- **„Off-Domain-Gesetz dominiert"** → `domainMatchGain` / `offDomainPenalty` / `scopePenalty`.
+- **„Veraltete Norm gewinnt"** → `supersededPenalty` (siehe [08](08-explainability.md)).

docs-src/architecture/03-source-class.md

@@ -0,0 +1,49 @@
+# 03 — `source_class` (Rechtsnatur / Autorität)
+
+**Zweck:** Die Autoritäts-Achse, die den **Rang** bestimmt (siehe [02](02-authority.md)). Deterministisch abgeleitet — der noch nicht re-ingestierte (ungetaggte) Korpus wird trotzdem klassifiziert, ohne Re-Tagging des Bestands.
+
+## Mechanik
+
+`classifyAuthority()` (`authority.go`) entscheidet in dieser Reihenfolge:
+
+1. **Standard-NAME-Override** — erkannter Standard-Name (NIST/OWASP/ISO 27001/CIS/CSA CCM/Grundschutz) erzwingt `technical_standard` (Gewicht 80), **auch wenn die Payload `supervisory_guidance` sagt**. Grund: der Korpus taggt viele Standards mit generischem guidance-`source_class`; der Name ist autoritativer. `binding_law` bleibt unangetastet.
+2. **Explizite Payload-Werte** — gesetztes `source_class` / `authority_weight` gewinnen.
+3. **Marker-Fallback** — foreign → standard → guidance → regulation → unknown.
+
+`inferJurisdiction()`: Fremd-Marker → `CH`; enthält `§` oder DE-Marker → `DE`; sonst → `EU`.
+
+## Konstanten + Warum
+
+**Gewichte je Klasse** (`sourceClassFromWeight()`):
+
+| `source_class` | Gewicht | Schwelle | Bedeutung |
+|----------------|---------|----------|-----------|
+| `binding_law` | `100` | w ≥ 100 | bindendes Recht (Gesetz/VO) |
+| `technical_standard` | `80` | 80 ≤ w < 100 | Best-Practice-Control-Katalog (NIST/OWASP/ISO) |
+| `supervisory_guidance` | `70` | 70 ≤ w < 80 | Aufsichts-/Auslegungs-Guidance (ENISA/BSI/EDPB) |
+| `unknown` | `50` | default | unklassifiziert |
+| `foreign_law` | `0` | w ≤ 0 | Fremdrecht (CH) |
+
+**Marker-Listen** (Substring-Match):
+
+| Liste | Einträge (Auszug) | Wirkung |
+|-------|-------------------|---------|
+| `standardMarkers` *(vor guidance geprüft)* | NIST, OWASP, Grundschutz, ISO 27001, ISO/IEC 27001, CSA CCM, Cloud Controls Matrix, CIS Benchmark, CIS Control | → `technical_standard` (80) |
+| `guidanceMarkers` | DSK, EDPB, BfDI, ENISA, BSI, EUCC, Standards Mapping, Orientierungshilfe, Handreichung, Leitlinie, Empfehlung, OECD, CISA, Blue Guide, … | → `supervisory_guidance` (70) |
+| `foreignMarkers` | RevDSG, fedlex, (CH) | → `foreign_law` (0) |
+| `deMarkers` | BDSG, DSK, BfDI, BayLfD, BSI | Signal **DE**-Jurisdiktion |
+
+## Der Standard-Name-Override (Fix 2026-06-25)
+
+**Problem:** Der CE-Korpus taggt z.B. `NIST SP 800-82r3` als `source_class=supervisory_guidance` (Gewicht 70), **nicht** technical_standard. `classifyAuthority` vertraute dem Payload-Tag → NIST landete als guidance, **kein `control_standard`** im Pool → die Diversity-Regel ([05](05-control-intent.md)) konnte nichts injizieren.
+
+**Fix:** Erkannter Standard-Name überschreibt ein fehl-getaggtes guidance/unknown-`source_class` → `technical_standard`. Code-Fix, **kein Re-Ingest** nötig. Bindendes Recht bleibt unangetastet (Sanity geprüft: Rechtsfrage liefert weiterhin binding Top-1).
+
+## Code
+
+- `authority.go` → `classifyAuthority()`, `sourceClassFromWeight()`, `inferJurisdiction()`
+
+## Adressierte Fehlerklassen
+
+- **„Standard als guidance mistagged → kein control_standard"** → Standard-Name-Override.
+- **„Fremdrecht falsch eingeordnet"** → `foreignMarkers` + `foreign_law`-Gewicht 0.

docs-src/architecture/04-source-role.md

@@ -0,0 +1,60 @@
+# 04 — `source_role` (Funktionale Rolle)
+
+**Zweck:** Die zu `source_class` **orthogonale** Achse: *Was tut die Quelle im Dokument?* Sie bestimmt die **Control-Pool-Zugehörigkeit** bei Umsetzungsfragen — unabhängig von der Rechtsnatur. Deterministisch aus Markern abgeleitet, kein Re-Tagging des Bestands.
+
+## Die 7 Rollen
+
+| Konstante | Wert | Definition |
+|-----------|------|-----------|
+| `roleObligation` | `obligation` | die abstrakte Pflicht (das WAS) |
+| `roleOperationalReq` | `operational_requirement` | konkrete bindende Anforderung (z.B. CRA Anhang I) |
+| `roleProceduralReq` | `procedural_requirement` | Prozess: Meldung/Registrierung/DSFA/Incident |
+| `roleControlStandard` | `control_standard` | Best-Practice-Katalog (NIST/OWASP/ISO/CIS) |
+| `roleImplGuidance` | `implementation_guidance` | Umsetzungs-How-to (ENISA Good Practices, BSI) |
+| `roleInterpretation` | `interpretation` | interpretiert die *Bedeutung* der Norm (EDPB-Leitlinie) |
+| `roleDefinition` | `definition` | Definitionen / Scope / Recitals |
+
+**Control-Pool** = `{operational_requirement, procedural_requirement, control_standard, implementation_guidance}` (die vier „wie umsetzen"-Rollen, `isControlPoolRole()`).
+
+## Mechanik
+
+`classifyRole()` (`control_role.go`) — Entscheidungsreihenfolge:
+
+1. `IsRecital` → `definition`
+2. `source_class == technical_standard` → `control_standard`
+3. `source_class == supervisory_guidance`:
+   - enthält `implMarker` → `implementation_guidance`
+   - sonst → `interpretation`
+4. `source_class == binding_law`:
+   - `definitionMarker` → `definition`
+   - `proceduralMarker` → `procedural_requirement`
+   - `annexMarker` **oder** `operationalMarker` → `operational_requirement`
+   - sonst → `obligation`
+5. default → `obligation`
+
+`controlRoleOf(payload)` klassifiziert die rohe Qdrant-Payload **vor** dem Mapping — so kann `searchControls` ([01](01-retrieval.md)) seinen tiefen dense-Pull filtern, ohne jeden Treffer voll zu materialisieren.
+
+## Marker-Listen
+
+| Liste | Einträge (Auszug) | → Rolle |
+|-------|-------------------|---------|
+| `proceduralMarkers` | Meldung, Meldepflicht, Notification, Registrierung, Konformitätserklärung, Incident, Reporting, Folgenabschätzung, DSFA, DPIA, Anzeigepflicht | `procedural_requirement` |
+| `annexMarkers` | Anhang, Annex, Appendix, Anlage | `operational_requirement` |
+| `operationalMarkers` | Anforderung, Requirement, essential, wesentliche | `operational_requirement` |
+| `implMarkers` | Good Practice, Best Practice, Standards Mapping, Umsetzung, Implementation, Handreichung, Maßnahmenkatalog, ICS, SCADA, Technical Guideline, TIG | `implementation_guidance` |
+| `definitionMarkers` | Begriffsbestimmung, Definition | `definition` |
+
+## Warum orthogonal zu `source_class`
+
+`source_class` (Rechtsnatur) und `source_role` (Funktion) sind **zwei Achsen**, nicht eine. ENISA bleibt `supervisory_guidance` (Rechtsnatur) **und** `implementation_guidance` (Funktion) — sie wird **nicht** umgetaggt (fachlich falsch), darf aber bei Umsetzungsfragen in den Control-Pool. So muss der Bestand nicht angefasst werden: `source_role` ist wie `source_class` aus Markern ableitbar.
+
+`source_role` ist die **Wirbelsäule der Langzeit-Architektur** Regulation → Obligation → Operational Requirement → Control → Evidence ([09](09-framework-layer.md), Prio 4).
+
+## Code
+
+- `control_role.go` → `classifyRole()`, `controlRoleOf()`, `isControlPoolRole()`
+
+## Adressierte Fehlerklassen
+
+- **„Controls = nur technical_standard"** → vier Control-Pool-Rollen statt einer.
+- **„abstrakte Pflicht dominiert Umsetzungsfrage"** → `obligation` ist *nicht* im Control-Pool (siehe [05](05-control-intent.md)).

docs-src/architecture/05-control-intent.md

@@ -0,0 +1,51 @@
+# 05 — Control-Intent + Diversity
+
+**Zweck:** Bei einer **Umsetzungsfrage** („Welche Controls/Maßnahmen passen?") den Control-Pool ([04](04-source-role.md)) über die abstrakte Pflicht heben — und sicherstellen, dass die Ergebnisliste **verschiedene Quellenarten** zeigt, statt dass eine Rolle sie flutet. Bei einer **Rechtsfrage** bleibt alles beim Authority-Rerank ([02](02-authority.md)).
+
+## Intent-Erkennung
+
+`queryWantsControls()` (`authority_rerank.go`) — Keyword-Match (`controlIntentSignals`):
+
+> control, controls, maßnahme, schutzmaßnahme, best practice, umsetzen, implementier, absicher, härt, hardening, nist, owasp, grundschutz, ccm, iso 27001, isms
+
+Nur wenn dieser Gate `true` ist, feuern `applyControlRoles()` und `ensureControlDiversity()`.
+
+## Rollen-Boost (`applyControlRoles`)
+
+Jeder Control-Pool-Treffer bekommt `controlPoolGain + controlRoleBonus[role]` auf den Score:
+
+| Größe | Wert | Warum |
+|-------|------|-------|
+| `controlPoolGain` | `0.15` | hebt **jede** Control-Pool-Rolle über die Nicht-Control-Rollen (obligation/interpretation/definition) — sonst gewinnt die bindende abstrakte `obligation` per Autorität allein |
+| `controlRoleBonus[operational_requirement]` | `0.100` | weicher Intra-Pool-Vorrang (User 2026-06-24): op_req zuerst |
+| `controlRoleBonus[procedural_requirement]` | `0.075` | … dann Prozess-Pflichten |
+| `controlRoleBonus[control_standard]` | `0.050` | … dann Standard-Kataloge |
+| `controlRoleBonus[implementation_guidance]` | `0.000` | guidance als Basis, kein Bonus |
+
+> **Bewusst weich, keine harte Hierarchie:** Eine semantisch dominante `implementation_guidance` (z.B. ENISA bei einer EU-Cyber-Umsetzungsfrage) **darf Top-1 bleiben** — das ist fachlich korrekt. Der Boost demoted nur die abstrakte Pflicht, er erzwingt keine Reihenfolge.
+
+## Control-Diversity-Regel (`ensureControlDiversity`)
+
+**Problem:** Selbst mit Boost kann eine dichte Wolke gleicher Rolle (viele ENISA-Chunks) `operational_requirement` und `control_standard` aus der Top-K verdrängen — die Quellenarten werden unsichtbar.
+
+**Lösung (statt harter `+0.30`-Rollenkeule):** Wenn die Top-K nur `implementation_guidance` enthält, **injiziere** den besten `operational_requirement` + besten `control_standard` aus dem Pool, indem der niedrigst-platzierte redundante guidance-Slot verdrängt wird. Algorithmus:
+
+1. Rolle jedes Treffers bestimmen (`roleAt`).
+2. Prüfen, welche Rollen in der Top-K vertreten sind.
+3. Für jede fehlende Wunsch-Rolle (`operational_requirement`, `control_standard`): besten Treffer dieser Rolle unterhalb der Top-K finden, niedrigste `implementation_guidance` in der Top-K überschreiben.
+4. Truncate auf `topK` (das ursprüngliche Duplikat fällt im Tail weg).
+
+**Ergebnis live:** Umsetzungsfrage → `1.–4. ENISA · 5. NIST SP 800-82r3 (control_standard) · 6. MaschinenVO Anhang-III (op_req)`. ENISA behält Top-1, die anderen Quellenarten sind sichtbar.
+
+> **Prinzip:** Nicht raten, nicht erzwingen, sondern relevante Quellenarten sichtbar machen.
+
+## Code
+
+- `authority_rerank.go` → `queryWantsControls()`
+- `control_role.go` → `applyControlRoles()`, `ensureControlDiversity()`
+
+## Adressierte Fehlerklassen
+
+- **„abstrakte Pflicht dominiert Umsetzungsfrage"** → `controlPoolGain`.
+- **„eine Rolle flutet die Top-K, Quellenarten unsichtbar"** → `ensureControlDiversity`.
+- **„harte Tier-Ordnung overfittet auf eine Frage"** → weicher Boost statt Keule.

docs-src/architecture/06-assessment.md

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+# 06 — Assessment
+
+**Zweck:** Eine **auditierbare Begründungsschicht** über die gerankten Ergebnisse. Sie macht aus einer Trefferliste eine prüfbare Aussage: *Welche Norm ist primär, welche hängen daran, wie eindeutig ist das, braucht es einen Menschen?*
+
+## Mechanik
+
+`Assess()` (`legal_rag_assess.go`) nimmt die bereits gerankten `results []LegalSearchResult` und baut ein `LegalAssessment`:
+
+| Feld | Inhalt |
+|------|--------|
+| `PrimaryNorm` | `CitationUnit` bzw. `ArticleLabel` des Top-Treffers |
+| `PrimaryRegulation` | `RegulationShort` des Top-Treffers |
+| `ConnectedNorms` | verbundene Normen (`references_out` + `references_in`), gekappt + dedupliziert |
+| `CrossRegime` | ob mehrere Regulierungen in den Top-N liegen |
+| `WinnerMargin` | Score-Abstand Top-1 ↔ Top-2 (Proxy für Eindeutigkeit) |
+| `HumanReviewFlag` | true bei niedriger Eindeutigkeit |
+| `ScoreReasoning` | kurze deutsche Begründung |
+
+## Konstanten + Warum
+
+| Konstante | Wert | Warum |
+|-----------|------|-------|
+| `assessConnectedCap` | `12` | Obergrenze der in der Assessment gezeigten verbundenen Normen — verhindert, dass ein stark vernetzter Artikel die Begründung flutet |
+| `assessCrossRegimeTopN` | `5` | Fenster, über das „Cross-Regime" (mehrere Regulierungen) beurteilt wird |
+| `assessReviewMargin` | `0.05` | enger Winner-Abstand → Human-Review-Flag (siehe [07](07-confidence.md)) |
+
+## Human-Review-Logik
+
+`HumanReviewFlag` wird `true`, wenn **eine** der Bedingungen gilt:
+
+- `WinnerMargin < 0.05` — Top-1 und Top-2 liegen zu dicht beieinander (uneindeutig),
+- `CrossRegime == true` — mehrere Regimes betroffen (z.B. DSGVO + CRA),
+- der Primär-Treffer ist **nicht** `binding_law` — eine Rechtsaussage ohne bindende Primärquelle.
+
+> Das ist die deterministische Eskalations-Schwelle: das System sagt von sich aus „hier sollte ein Mensch drauf schauen", statt scheinbare Sicherheit vorzutäuschen.
+
+## Code
+
+- `legal_rag_assess.go` → `Assess()`, `primaryLabel()`
+
+## Adressierte Fehlerklassen
+
+- **„uneindeutige Antwort wird als sicher verkauft"** → `WinnerMargin` + `HumanReviewFlag`.
+- **„Cross-Regime übersehen"** → `CrossRegime` über `assessCrossRegimeTopN`.
+- **„Rechtsaussage ohne bindende Quelle"** → Flag bei nicht-bindendem Primär-Treffer.

docs-src/architecture/07-confidence.md

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+# 07 — Confidence
+
+**Zweck:** Eine ehrliche Aussage über die Verlässlichkeit eines Ergebnisses — ohne einen erfundenen „Confidence: 87 %"-Wert, der Scheinsicherheit suggeriert.
+
+## Bewusste Entscheidung: kein eigenes Confidence-Feld
+
+Es gibt **kein** explizites `confidence`-Feld in der Engine. Stattdessen wird Verlässlichkeit aus zwei real berechneten, prüfbaren Größen abgeleitet:
+
+| Größe | Quelle | Bedeutung |
+|-------|--------|-----------|
+| `WinnerMargin` | `LegalAssessment` ([06](06-assessment.md)) | Score-Abstand Top-1 ↔ Top-2 — wie klar „gewinnt" die Primärnorm? |
+| `HumanReviewFlag` | `LegalAssessment` | deterministische Eskalation: ist die Antwort uneindeutig/grenzwertig? |
+
+**Warum so?** Ein kalibrierter Wahrscheinlichkeitswert würde eine Genauigkeit vortäuschen, die ein regelbasierter Retriever nicht hat. Der **Abstand** zwischen Top-1 und Top-2 ist dagegen eine *gemessene*, erklärbare Größe: ein großer Margin = eindeutige Norm, ein kleiner Margin = mehrere plausible Quellen → Mensch entscheiden lassen.
+
+## Schwelle
+
+| Konstante | Wert | Wirkung |
+|-----------|------|---------|
+| `assessReviewMargin` | `0.05` | `WinnerMargin < 0.05` ⇒ `HumanReviewFlag = true` |
+
+`HumanReviewFlag` feuert zusätzlich bei Cross-Regime und bei nicht-bindender Primärquelle ([06](06-assessment.md)).
+
+## Verhältnis zur Authority-Schicht
+
+Der `Score`, auf dem der Margin beruht, ist **nicht** der rohe Semantik-Score, sondern der Authority-Score nach dem Rerank ([02](02-authority.md)). Damit misst der Margin die *normative* Eindeutigkeit (Rechtsnatur + Domäne berücksichtigt), nicht nur die semantische Ähnlichkeit.
+
+## Code
+
+- `legal_rag_types.go` → `LegalSearchResult.Score`, `LegalAssessment.WinnerMargin`, `LegalAssessment.HumanReviewFlag`
+- `legal_rag_assess.go` → Berechnung in `Assess()`
+
+## Adressierte Fehlerklassen
+
+- **„Scheinsicherheit"** → kein erfundener Prozentwert; Margin + Flag statt Pseudo-Confidence.
+- **„knappe Entscheidung wird automatisch durchgewinkt"** → `assessReviewMargin`-Eskalation.
+
+> **Ausbaustufe:** Echte Citation-Gating-Confidence (Finding nur bei Quelle ∧ Scope ∧ Stichtag) gehört in die Authority-/Freshness-Schicht und an Control → Evidence ([09](09-framework-layer.md)), nicht in einen Modell-Score.

docs-src/architecture/08-explainability.md

@@ -0,0 +1,42 @@
+# 08 — Explainability, Zitate + Supersede
+
+**Zweck:** Jedes Ergebnis muss sich **belegen** lassen — woher es kommt, womit es verbunden ist, und ob es noch gilt. Das ist die Grundlage für Zitierfähigkeit und für die spätere Citation-Gating-Logik.
+
+## Zitate + Graph-Kanten
+
+Aus der Qdrant-Payload geladen (Phase-2-Graph-Metadaten):
+
+| Feld | Inhalt | Verwendung |
+|------|--------|-----------|
+| `CitationUnit` | kanonischer Artikel-/Anhang-Identifier | Dedup, Primärnorm-Label |
+| `article_label` | menschenlesbare Fundstelle (z.B. „Art. 13 CRA") | Anzeige, Begründung |
+| `citation_style` | Zitierformat-Marker | Anzeige |
+| `references_out` | Normen, die dieser Chunk **zitiert** (Forward-Kanten) | Graph-Expansion ([01](01-retrieval.md)) + `ConnectedNorms` |
+| `references_in` | Normen, die **diesen** Chunk zitieren (Reverse-Kanten) | **nur** Metadaten — nicht expandiert (Flutungsschutz) |
+
+`Assess()` ([06](06-assessment.md)) verdichtet die Kanten zu `ConnectedNorms` — so wird sichtbar, dass z.B. Art. 13 CRA auf Anhang I verweist (die eigentliche Pflichtquelle).
+
+## Supersede-Handling
+
+Recht ändert sich; ein veralteter Stand darf den aktuellen nicht schlagen — aber Übergangs-/History-Fragen müssen ihn noch finden.
+
+| Mechanik | Wert / Feld | Verhalten |
+|----------|-------------|-----------|
+| **Erkennung** | Payload `status == "superseded"` → `Superseded`-Flag | markiert die abgelöste Alt-Quelle |
+| **Demotion** | `supersededPenalty = 0.50` (`authorityScore`, [02](02-authority.md)) | konsequente Zurückstufung |
+| **Philosophie** | — | „Alt-Quelle demoted (nicht versteckt) — Default-Fragen sehen die eu-v1-Norm, History bleibt auffindbar" |
+
+> **Nicht entfernt, nur bestraft:** Eine abgelöste Norm kann bei einer expliziten History-Frage trotzdem hoch ranken — sie wird nur konsistent demoted, nicht ausgeblendet. Das ist dieselbe „Reihenfolge, nichts löschen"-Linie wie beim Authority-Rerank.
+
+## Code
+
+- `legal_rag_client.go` → Payload-Mapping (`references_out/in`, `status`)
+- `legal_rag_graph.go` → Forward-Kanten-Expansion, Reverse-Kanten als Metadaten
+- `legal_rag_assess.go` → `ConnectedNorms`
+- `authority_rerank.go` → `supersededPenalty`
+
+## Adressierte Fehlerklassen
+
+- **„Aussage ohne Fundstelle"** → `CitationUnit` / `article_label`.
+- **„Pflichtquelle hinter Verweis versteckt"** → Forward-Kanten-Expansion (Art. 13 → Anhang I).
+- **„veralteter Rechtsstand gewinnt"** → `supersededPenalty`, aber auffindbar.

docs-src/architecture/09-framework-layer.md

@@ -0,0 +1,51 @@
+# 09 — `framework_*`-Layer (Control-Mapping-Brücke)
+
+**Zweck:** Einen **konkreten Control adressierbar** machen (z.B. `V14.2.4`), damit das System vom „welches Dokument passt?" zum „welcher konkrete Control erfüllt CRA Annex I?" übergeht. Das ist die Brücke zur nächsten Stufe — **Control → Evidence** — und der eigentliche Burggraben.
+
+> **Ehrlicher Status:** Dieser Layer lebt **heute in der Qdrant-Payload**, nicht im Retrieval-Code. Die `ucca`-Engine liest/routet `framework_*` (noch) nicht — sie ist die **Datengrundlage**, auf der Prio 4 aufsetzt. `framework_control` reist aktuell im Feld `article` mit und ist daher bereits in den Antworten sichtbar.
+
+## Schema (pro Chunk)
+
+| Feld | Beispiel (OWASP) | Bedeutung |
+|------|------------------|-----------|
+| `framework` | `OWASP ASVS` | Rahmenwerk |
+| `framework_version` | `5.0` | Version (mit `superseded`-Mechanik historisierbar, [08](08-explainability.md)) |
+| `framework_section` | `V6` | Kapitel/Sektion |
+| `framework_control` | `V6.2.4` | konkrete Requirement-ID — der adressierbare Control |
+| `framework_section_name` | `Password Security` | menschenlesbarer Kontext |
+| `asvs_level` | `L1`/`L2`/`L3` | (OWASP-spezifisch) Stufe |
+
+Analog für NIST geplant: `framework="NIST SP 800-53"`, `framework_family="SI"`, `framework_control="SI-2"`, `framework_revision="5"`.
+
+## OWASP ASVS 5.0 — die erste Referenz (Parser-4-Muster)
+
+- **Quelle:** `OWASP/ASVS` GitHub, `5.0/docs_en/...flat.json` (345 Requirements). Lizenz **CC-BY-SA-4.0** (zulässig; nur CC-BY-NC ist geblockt), Attribution `OWASP`.
+- **Ingestion = per-Requirement Direct-Upsert** (nicht der RAG-Chunker, der `framework_control` zerschneiden würde): 1 Qdrant-Punkt pro Requirement, `id = uuid5("owasp_asvs_5.0_"+req_id)` (idempotent), `source_class=technical_standard` / `authority_weight=80`, bge-m3-Vektor.
+- **Stand:** 345 Punkte auf macmini-qdrant **und** qdrant-dev, live verifiziert (`„OWASP … Authentifizierung"` → Top-OWASP mit `V`-Codes).
+- **Lehre:** Künftige Standards (NIST-Re-Tag, BSI Grundschutz) **immer** mit `source_class=technical_standard` + `framework_*` direkt setzen — das NIST-Altskript ließ `source_class` leer, daher der guidance-Mistag ([03](03-source-class.md)).
+
+## Brücke zu Prio 4 — Control → Evidence
+
+```
+Regulation
+   ↓  (legal obligation layer)
+Obligation
+   ↓  (source_role: operational_requirement)
+Operational Requirement      ── CRA Annex I
+   ↓  (Control-Mapping über framework_control)
+Control                      ── OWASP V6.x · NIST SI-2 · BSI OPS.1.1
+   ↓
+Evidence                     ── der Nachweis, den ein Auditor sehen will
+```
+
+Der nächste Schritt verdrahtet `framework_control` in eine **Control-Mapping-Tabelle** (welcher konkrete Control erfüllt welche Obligation) und darunter die **Evidence-Schicht**. NIST + BSI ziehen im selben `framework_*`-Muster nach.
+
+## Code / Daten
+
+- Daten: Qdrant `bp_compliance_ce` (Payload-Felder oben), Ingestion-Skripte (`ingest_owasp.py` u.a.)
+- Retrieval-Verdrahtung: **offen** (Prio 4)
+
+## Adressierte Fehlerklassen
+
+- **„nur Dokument-Treffer, kein adressierbarer Control"** → `framework_control` pro Chunk.
+- **„Control-Katalog ohne Stand"** → `framework_version` + Supersede.

docs-src/architecture/index.md

@@ -0,0 +1,57 @@
+# RAG-Retrieval-Engine — Architektur
+
+Diese Sektion dokumentiert die **deterministische, regelbasierte Retrieval-Engine** des Compliance-SDK (`ai-compliance-sdk/internal/ucca/`). Sie beantwortet für jede Nutzerfrage: *Welche Norm/Quelle ist relevant — und warum?*
+
+> **Warum diese Doku existiert:** Die Engine trifft viele bewusste `+0.05 / +0.10`-Entscheidungen. Jede Konstante kodiert eine **gemessene** Entscheidung (Golden-Harness, Fehlerklasse) — nicht eine willkürliche Stellschraube. Ohne das *Warum* sind sie in sechs Monaten nicht mehr nachvollziehbar; diese Doku ist die Referenz für Wartung, Onboarding und Audit-/Investoren-Nachweis.
+
+## Leitprinzip
+
+> **Nicht raten, nicht erzwingen, sondern relevante Quellenarten sichtbar machen.**
+
+Der LLM entscheidet **nicht**, was Recht ist — nur, wie eine bereits versionierte, zitierte Norm auf einen Sachverhalt gemappt wird. Wo möglich ist die Engine deterministisch (Marker, Gewichte, Schwellen), nicht modellbasiert. Nichts wird *gelöscht* — Re-Ranking ist reine Reihenfolge, alles bleibt auffindbar.
+
+## Zwei orthogonale Achsen
+
+Der Kern des Modells: zwei unabhängige Achsen, die in der Literatur meist vermischt werden.
+
+| Achse | Frage | Wirkung | Doku |
+|------|-------|---------|------|
+| **`source_class`** (Rechtsnatur) | Wie bindend ist die Quelle? | bestimmt den **Rang** | [03](03-source-class.md) |
+| **`source_role`** (Funktion) | Was tut die Quelle im Dokument? | bestimmt die **Control-Pool-Zugehörigkeit** | [04](04-source-role.md) |
+
+Beispiel: NIST ist `technical_standard` (source_class) **und** `control_standard` (source_role). ENISA-Good-Practices sind `supervisory_guidance` **und** `implementation_guidance` — sie bleiben guidance, dürfen aber bei Umsetzungsfragen in den Control-Pool.
+
+## Pipeline (Überblick)
+
+```
+Query
+  │  bge-m3 Embedding
+  ▼
+Retrieval-Pool   ── hybrid (RRF) + binding-Augmentation + control-Augmentation + (graph)   → 01
+  ▼
+Authority-Rerank ── source_class → Rang (bindendes Recht der passenden Jurisdiktion oben)   → 02, 03
+  ▼
+Control-Intent   ── source_role → Control-Pool + Diversity (Quellenarten sichtbar machen)   → 04, 05
+  ▼
+Assessment       ── PrimaryNorm · ConnectedNorms · WinnerMargin · CrossRegime               → 06
+  ▼
+Confidence/Explainability ── HumanReviewFlag · Zitate · Graph-Kanten · Supersede            → 07, 08
+```
+
+`framework_*` ([09](09-framework-layer.md)) ist die **Daten-Brücke** zur nächsten Stufe (Control → Evidence) — heute in der Qdrant-Payload, noch nicht im Retrieval-Code verdrahtet.
+
+## Dokumente
+
+| # | Dokument | Inhalt |
+|---|----------|--------|
+| 01 | [Retrieval-Pipeline](01-retrieval.md) | Pool-Aufbau: hybrid + binding + control + graph |
+| 02 | [Authority-Re-Ranking](02-authority.md) | source_class → Rang, Bonus/Penalty-System |
+| 03 | [source_class](03-source-class.md) | Rechtsnatur, Gewichte, Marker, Standard-Name-Override |
+| 04 | [source_role](04-source-role.md) | 7 Rollen, Control-Pool, Klassifikation |
+| 05 | [Control-Intent + Diversity](05-control-intent.md) | Intent-Erkennung, Rollen-Bonus, Diversity-Regel |
+| 06 | [Assessment](06-assessment.md) | Auditierbare Begründungsschicht |
+| 07 | [Confidence](07-confidence.md) | WinnerMargin, HumanReviewFlag |
+| 08 | [Explainability + Supersede](08-explainability.md) | Zitate, Graph-Kanten, Supersede |
+| 09 | [framework_*-Layer](09-framework-layer.md) | Control-Mapping-Brücke (CRA Annex → OWASP V6.x) |
+
+> **Fehlerklassen-These:** Modell und Korpus sind austauschbar; die *Fehlerklassen + Hebel* sind das IP. Jede Konstante unten adressiert eine benannte Fehlerklasse (z.B. „Guidance verdrängt Gesetz", „Standard als guidance mistagged"). Die Kalibrierung ist sublinear: wenige Klassen, viele Module.

docs-src/development/obligation_aggregation_validation.md

@@ -0,0 +1,89 @@
+# Obligation Aggregation — Validated Shadow Results (2026-06-24)
+
+Status: **bewiesen im Shadow auf macmini**, NICHT deployt, NICHT live geschaltet.
+Code auf Branch `feat/obligation-aggregation`; das LLM-Tiering der recipients/transfer-
+Controls liegt als DB-Marker nur auf macmini.
+
+Dieser Stand validiert die Ausführung des [Legal Obligation Layer v1](legal_obligation_layer_v1.md)
+über vier ineinandergreifende Schichten.
+
+## Die vier Schichten
+
+1. **Obligation Aggregation** — `compliance/services/obligation_aggregation.py`.
+   Aggregiert Kriterium-/Control-Bewertungen zu Findings auf OBLIGATION-Ebene
+   (Regulation → Obligation → Control → Criterion). Redundanz kollabiert per OR pro
+   `legal_basis`-Anforderung; fail-safe Status (MET/PARTIAL/FAILED/NA/UNDETERMINED/OPEN).
+2. **Applicability** — `compliance/services/obligation_applicability.py`.
+   Prädikate (`has_third_country_transfer`, `uses_legitimate_interest`, `direct_marketing`,
+   `legitimate_interest_or_public_task`) entscheiden bedingte Obligations → True/False/None
+   (unbekannt → anwendbar, nie stille NA).
+3. **Recall-limited Segregation** — `compliance/services/obligation_taxonomy.py` +
+   `specialist_agents/dse/_obligation_shadow.py`.
+   `decision_method_required=LLM` trennt FAILED ehrlich in `failed_by_current_checker`
+   (echte Lücke) vs `recall_limited` (Prüfer kann mit aktueller Methode nicht verifizieren).
+4. **Targeted LLM Fix** — recipients/transfer-Controls mit `tiered_criteria`
+   (decision_method=LLM) → Layer 3 nutzt den **Haiku-Sufficiency-Judge** statt Keyword/Embedding.
+
+## Shadow-Zahlen (7 Firmen, Live-Engine, Keyword/Embedding)
+
+| | Wert |
+|---|---|
+| legacy control-findings | 136 |
+| obligation findings | 29 |
+| **Kollaps** | **4,7×** |
+| davon echte Lücken | 23 |
+| davon recall_limited | 6 (nur 2/7 Firmen, nur Drittland/Garantien) |
+| MET (FP-Korrektur) | 46 |
+| N/A (Applicability) | 2 |
+
+`recall_limited` ist klein + konzentriert: ausschließlich `third_country_transfer_disclosed` /
+`safeguards_disclosed` / `safeguards_accessible`, je 2/7 Firmen. `recipients_disclosed`
+manifestierte nie als recall_limited (Keyword/Embedding trägt dort).
+
+## Targeted LLM Fix — Validierung (teamviewer + safetykon)
+
+Recall-Defekt-Diagnose (teamviewer): die Drittland-/Garantien-Offenlegung steht dicht in
+einem Absatz („…außerhalb EU/EWR … Standardvertragsklauseln/Schutzmaßnahmen"), aber
+**0/22 Controls** trafen — Keyword (Vokabular-Mismatch) und Embedding (cos 0.49–0.57, teils
+falscher Chunk) versagen. Kein Schwellen-Fix → CONTENT/LLM-Klasse.
+
+Nach LLM-Tiering (Haiku-Judge):
+
+| | vorher (kw+emb) | nachher (LLM) |
+|---|---|---|
+| teamviewer findings | 5 | **0** |
+| teamviewer recall_limited | 3 | **0** |
+| safetykon findings | 7 | **4** |
+| safetykon recall_limited | 3 | **0** |
+
+- **teamviewer → 0 Findings:** DSE auf diesen Pflichten real konform; die 5 alten Findings
+  waren Falsch-Positive des Keyword/Embedding-Prüfers.
+- **safetykon → 4 (keine Über-Korrektur):** Drittland/Garantien → MET, aber
+  `art20_right_exists_core` + `art20_machine_readable_format` bleiben **FAILED** (echte
+  Portability-Lücke), `legitimate_interest_disclosed` → **NA** (Applicability).
+
+## Eingesetztes Modell
+
+Der Tiered-/Sufficiency-Pfad ist **fest auf Claude Haiku 4.5 verdrahtet**
+(`checkers/router.py:build_spec` setzt für CONTENT/LLM `extra.judge="haiku"` →
+`llm_checker._haiku` → `_call_anthropic`; validierter Judge P0.89/R0.91, Entscheidung
+2026-06-22). **Nicht** die OVH-Kaskade (35b/120b), **nicht** Opus. Konsequenz: der Fix
+reproduziert sich überall identisch, braucht aber einen gültigen Anthropic-Key für den
+Haiku-Judge — auch auf dev.
+
+## Nächster operativer Block (gegated, NICHT ausgeführt)
+
+```
+Deploy-Fenster frei (andere Session fertig)
+  ↓
+dev-DB-Tiering replizieren (die 22 recipients/transfer-Controls)
+  ↓
+Haiku-Judge auf dev bestätigen (gültiger Anthropic-Key — NICHT der OVH-Pfad)
+  ↓
+Shadow aktiv lassen (Telemetrie), Produktverhalten unverändert
+  ↓
+erst dann Umschalten planen
+```
+
+Folge-Cleanup: sobald LLM-Tiering Standard ist, wird die `recall_limited`-Segregation für
+diese 4 Obligations obsolet (dann ist FAILED = echte Lücke, nicht Reichweitenproblem).

docs-src/development/obligation_discovery_pipeline_v1.md

@@ -0,0 +1,77 @@
+# Obligation Discovery Pipeline v1
+
+Ein **generisches Verfahren zur Ableitung einer regulatorischen Ontologie** (Legal Obligation
+Registry) aus großen Compliance-Korpora. Validiert über drei Domänen (SBOM, Vulnerability
+Handling, Authentication). Erzeugt die zitierfähige Mitte aus
+[obligation_registry_v1.md](obligation_registry_v1.md).
+
+## Architekturregel (nicht verhandelbar)
+
+```
+RUNTIME bleibt deterministisch          (Document → Embedding → LLM-Judge → Finding)
+DISCOVERY darf LLM-gestützt sein        (Controls → … → LLM-Synthese → Obligation Registry)
+```
+Discovery läuft **einmalig/offline** mit dem stärksten Modell; die Runtime-Prüf-Engine wird
+davon nicht berührt. Zwei getrennte Probleme, eine gemeinsame Sprache (die Obligation).
+
+## Stufen (`scripts/obligation_discovery/`)
+
+| Stufe | Skript | Aufgabe | Key |
+|---|---|---|---|
+| 1 | `precluster.py` | Controls (scope) → Embedding (gecacht) → **Mikro-Cluster** | – |
+| 2 | `meta_cluster.py` | Mikro → **Review Units** (Skalierungs-Fix für große Domänen) | – |
+| 3 | `synthesize_obligations.py` | Review Units → Opus → **Obligation Candidates** | ENV |
+| 4 | `validate_registry.py` | Belastbarkeits-Checks | – |
+| 5 | `merge_review_diff.py` | vorgeschlagene Beziehungskanten dedupliziert mergen | – |
+
+Reine, unit-getestete Helfer in `_core.py`. Ausführung im `bp-compliance-backend`-Container
+(`PYTHONPATH=/app`); der Key kommt aus `ANTHROPIC_API_KEY` (nie hartcodiert).
+
+## Zwei-Stufen-Clustering = der Skalierungs-Fix
+
+Ein flacher Single-Threshold-Pre-Cluster + EIN LLM-Synthese-Call skaliert NICHT auf große
+Domänen. Lösung: eine Hierarchiestufe. **Review Unit ≠ Meta-Cluster** — die Review Unit ist
+das, was der LLM sieht (entkoppelt vom Clustering, später merge/split-bar).
+
+## Belegte Meilensteine
+
+| Domäne | Controls | → Cluster/Review Units | → Obligations | vs Ground Truth |
+|---|---|---|---|---|
+| **SBOM** | 258 | 86 Mikro | 12 (→ 11 final) | manuell ~10 — **reproduziert + verfeinert** |
+| **Vulnerability** | 531 | 200 Mikro | 8 | manuell ~7 — **reproduziert** |
+| **Authentication** | 4408 | 2134 Mikro → **170 Review Units** | 54 → Kuration **29** | Skalierung — **generalisiert** |
+
+## Harte Tier-Regel generalisiert
+
+`LEGAL_MINIMUM` nur mit Primärrechts-Anker (`legal_basis`), sonst `BEST_PRACTICE` /
+`IMPLEMENTATION_GUIDANCE` / `EVIDENCE`. Authentication zeigt den Wert: nur **6** harte
+Pflichten (CRA fordert „angemessene Authentisierung"), MFA/Passwort/Session/Krypto sind
+`guidance_basis`. So kann der Advisor sagen: *„Gesetzlich gefordert ist Schutz vor unbefugtem
+Zugriff; MFA ist anerkannte Umsetzung, aber keine CRA-Wortlautpflicht."*
+
+## Kuration (große Domänen)
+
+Die Synthese darf über-splitten; ein **key-freier, regelbasierter Kurations-Pass** verdichtet:
+Krypto-Mikro-Mechanismen → `guidance_basis`; Prüf-/Nachweis-Themen → `evidence`-Facette;
+Mechanismus-Familien bleiben; domänenfremdes (eID/PSD2) → `out_of_scope`; LEGAL_MINIMUM
+unangetastet.
+
+## Lessons
+
+- Große Opus-Calls brauchen **Streaming** (`messages.stream`); der SDK blockt non-streaming
+  bei `max_tokens` > ~8k mit „Streaming is required for operations that may take longer than 10 minutes".
+- Provenance pro Obligation (`source_meta_cluster`, `discovery_confidence`, `llm_model`,
+  `synthesis_version`) — für spätere Evolution (CRA-Update, Modellwechsel).
+- `>8 Obligations / Review Unit` → automatische Review-Warnung (Over-Split-Indikator).
+- Embedding-Cache (pickle) → THR2-Sweeps ohne Re-Embed.
+
+## End-to-End-Beispiel
+
+```bash
+# im bp-compliance-backend-Container, PYTHONPATH=/app, cwd = scripts/obligation_discovery
+python3 precluster.py  --scope auth
+python3 meta_cluster.py --scope auth --meta-thr 0.62          # → /tmp/auth_review_units.json (inspizieren!)
+ANTHROPIC_API_KEY=… python3 synthesize_obligations.py \
+    --units /tmp/auth_review_units.json --regulation CRA --theme "Authentisierung" --out /tmp/auth_registry.json
+python3 validate_registry.py /tmp/auth_registry.json
+```

docs-src/development/obligation_registry_v1.md

@@ -0,0 +1,130 @@
+# Obligation Registry v1 — Schema, Zitierfähigkeit, Zwei-Graphen-Architektur
+
+Status: **Spec festgeschrieben (2026-06-24)**. Baut auf
+[legal_obligation_layer_v1.md](legal_obligation_layer_v1.md) +
+[obligation_aggregation_validation.md](obligation_aggregation_validation.md).
+Die Obligation Discovery Pipeline v1 ist gegen Ground Truth validiert
+(SBOM 12 vs 10, Vuln 8 vs 7, out_of_scope + conditional Applicability korrekt).
+
+## Leitsatz
+
+**Die Legal Obligation ist das fachliche Wissensobjekt der Plattform** — nicht der Master
+Control. Controls sind Prüfstrategien / Erkennungsmuster / Evidenzsammler FÜR eine Obligation.
+Ohne Zitierfähigkeit ist die Registry fachlich nicht belastbar: die erste Kundenfrage ist
+immer „**Wo steht das?**".
+
+## Zwei Assets, zwei Graphen, EIN Join (nicht verschmelzen, verbinden)
+
+- **Asset 1 — Compliance Knowledge** (bereits gebaut): 313k atomare Controls, 33k Master
+  Controls, ~14k use-case-gemappt, Dedup, Obligation Layer, Applicability, Tiering, G/C/E.
+- **Asset 2 — Zitierfähige Wissensbasis** (entsteht in anderer Session): Dokument → Chunk →
+  Paragraph → Span → Zitat.
+
+Die beiden werden **NICHT verschmolzen** (das wäre wie eine normalisierte DB nach CSV zu
+exportieren und neu zu importieren). Sie werden über die **Obligation gekoppelt**:
+
+```
+GRAPH 1 — Legal Knowledge Graph (Chat/Advisor)      GRAPH 2 — Compliance Execution Graph (Engine)
+Regulation → Annex/Artikel → Paragraph → Span        Obligation → Control → Criterion → Evidence → Finding
+                         \                              /
+                          \____ LEGAL OBLIGATION ______/   ← gemeinsame Sprache (der Join)
+```
+Chat: „diese Aussage stammt aus Absatz X." · Engine: „diese Obligation ist nicht erfüllt." →
+beide meinen DIESELBE `obligation_id`.
+
+## Registry-Schema v1
+
+```yaml
+id:                  # snake_case, regulierungs-agnostisch (z.B. sbom_complete)
+name:                # kurz
+description:         # 1 Satz
+tier:                # LEGAL_MINIMUM | BEST_PRACTICE | IMPLEMENTATION_GUIDANCE | EVIDENCE
+family:              # Organisationshilfe (z.B. sbom, vulnerability_handling)
+applicability:       # universal | conditional:<pred> | domain:<x>
+facets:              # welche Evidenz-Facetten die Pflicht belegt
+  governance: bool
+  capability: bool
+  evidence: bool
+legal_basis:         # PRIMÄRRECHT — Pflicht zwingend (mind. 1 Anker für LEGAL_MINIMUM)
+  - source: CRA
+    regulation_code: eu_2024_2847
+    article: ""      # falls zutreffend
+    annex: "Annex I, Part II"
+    section: ""
+    paragraph: ""
+    span_id: ""      # harter Anker in die zitierfähige Wissensbasis (Asset 2)
+    document_version: ""
+    citation: ""     # menschenlesbar
+guidance_basis:      # SEKUNDÄR — Umsetzung/Best Practice, NICHT Pflicht
+  - source: NIST SSDF
+    anchor: ""
+    role: best_practice          # implementation_guidance | best_practice
+member_controls:     # control_uuids (Prüflogik aus Asset 1)
+citation_anchor_ids: # span/paragraph-Anker (Asset 2) — auf der OBLIGATION, NICHT auf Controls
+relationships:       # siehe Beziehungsgraph
+decision_method:     # CONTENT/LLM | CONTENT/EMBEDDING | FIELD/REGEX | BEHAVIOR/PLAYWRIGHT ...
+out_of_scope: []     # ausgeschlossene Cluster + Begründung
+```
+
+## Zitierfähigkeit hängt an der OBLIGATION (nicht an Controls)
+
+258 SBOM-Controls → 11 Obligations: nur die **Obligation** speichert
+`CRA / Annex I / Paragraph X / chunk_id / span_id / document_version`. Die 258 Controls zeigen
+nur auf die `obligation_id`. Folge: **Regulierungsänderung (CRA v1→v2) = `citation_anchor`
+tauschen, Controls bleiben identisch.** Massive Pflegeersparnis + Versionsstabilität.
+
+## `legal_basis` vs `guidance_basis` + `source_role`
+
+Damit beim Verschmelzen von CRA + NIST + OWASP zu einer Obligation NICHT verloren geht, was
+Pflicht / Best Practice / Evidenz / Umsetzung ist, klassifiziert die Discovery-Pipeline jeden
+Member/Cluster mit einer **`source_role`**:
+
+```
+LEGAL_BASIS        → Primärrecht (begründet die Pflicht)
+GUIDANCE           → NIST/OWASP/ENISA/BSI/ISO (Umsetzung/Best Practice)
+EVIDENCE           → Nachweis/Bericht/Audit
+IMPLEMENTATION     → technische Umsetzungsanweisung
+OUT_OF_SCOPE       → gehört nicht zur Obligation (andere Regulierung/Domäne)
+```
+
+## HARTE Tier-Regel
+
+Eine Obligation wird **`LEGAL_MINIMUM` nur mit mindestens einem Primärrechts-Anker**
+(`legal_basis` nicht leer). Ohne Primärrechts-Anker:
+`BEST_PRACTICE | IMPLEMENTATION_GUIDANCE | EVIDENCE` — **aber niemals Pflicht.**
+
+## Beziehungsgraph (Ontologie)
+
+**Strukturell** (bereits in der Pipeline): `same_obligation`, `sub_obligation`,
+`applicability_variant`, `evidence_for`, `governance_for`, `out_of_scope`.
+
+**Semantisch (NEU, P2-Ergänzung):** `requires`, `implements`, `supports`,
+`produces_evidence_for`, `depends_on`, `derived_from`. Beispiele:
+```
+sbom_established  --supports-->  vulnerability_handling  --supports-->  incident_reporting
+authentication    --requires-->  credential_management
+```
+→ für den Compliance Advisor extrem wertvoll (er kann Pflicht-Ketten erklären).
+
+## Citation-Anchor-Pipeline (Document → Obligation, NICHT Document → Control)
+
+Der neue Ingest erzeugt zusätzlich zu Chunk/Embedding: `paragraph_uuid`, `span_uuid`,
+`document_version`, `legal_citation`, `referenced_articles`, `referenced_regulations`.
+**Erst danach** läuft Obligation Discovery, sodass jede neu entdeckte Obligation sofort ihre
+Primärquelle bekommt:
+```
+Neue Dokumente → Chunking → Span IDs → LLM („welche Obligation(en)?") → Confidence
+→ Review → obligation.citation_anchor_ids[]
+```
+Die alten Controls werden wiederverwendet; die Pipeline erzeugt zusätzlich Obligation→Evidence
+und Obligation→Citation-Anchors. **Kein Re-Ingest zum Neubau von Controls.**
+
+## Sequenz (geändert — Registry vor weiteren Cuts)
+
+```
+SBOM ✓  →  Vuln ✓  →  Registry v1 (DIESE Spec)  →  Ontologie/Beziehungsgraph ergänzen
+        →  Authentication  →  Remote Access  →  Logging  →  Updates
+```
+Begründung: Schema jetzt billig änderbar; bei 300–1000 Obligations wird jede Schemaänderung
+teuer. Fortschritt wird daran gemessen, ob jede neue Obligation die Registry besser macht —
+nicht an neuen Controls.

mkdocs.yml

@@ -56,6 +56,17 @@ markdown_extensions:
 
 nav:
   - Start: index.md
+  - Architektur RAG:
+    - Übersicht: architecture/index.md
+    - 01 Retrieval-Pipeline: architecture/01-retrieval.md
+    - 02 Authority-Re-Ranking: architecture/02-authority.md
+    - 03 source_class: architecture/03-source-class.md
+    - 04 source_role: architecture/04-source-role.md
+    - 05 Control-Intent + Diversity: architecture/05-control-intent.md
+    - 06 Assessment: architecture/06-assessment.md
+    - 07 Confidence: architecture/07-confidence.md
+    - 08 Explainability + Supersede: architecture/08-explainability.md
+    - 09 framework_*-Layer: architecture/09-framework-layer.md
   - Services:
     - AI Compliance SDK:
       - Uebersicht: services/ai-compliance-sdk/index.md

obligations/controls_for_obligation_mapping.json

@@ -0,0 +1,67 @@
+{
+ "schema_version": "controls_for_obligation_mapping_v1",
+ "purpose": "Accepted CRA->OWASP controls (Compliance Execution Graph) for the Obligation Registry to propose the SEMANTIC control->obligation_id, replacing the coarse citation_unit interim join. Fill proposed_obligation_id per control, then we adopt it into control_mapping.obligation_id.",
+ "source": "ai-compliance-sdk control_mappings, mapping_status=accepted, reviewed_by=benjamin 2026-06-25",
+ "filled_by": "obligation-registry-session 2026-06-25 (alle 7/7: 4 auth/crypto + 3 logging via cra_logging.json)",
+ "join_principle": "SEMANTISCH via obligation_id, NICHT via citation_unit/legal_basis-Anker. Die CRA-Anker sind im Registry teils approximativ (siehe anchor_quality_note) — daher ist obligation_id der stabile Primaerschluessel, nicht der Anker.",
+ "anchor_quality_note": "Registry-legal_basis-Anker sind teils CRA-Part-I-fehlzugeordnet (Opus-Synthese): user_authentication_required steht auf (2)(d) statt (2)(c); Crypto-Obligations auf (2)(e) statt (2)(d). CRA Annex I Part I: (2)(c)=Zugriffsschutz, (2)(d)=Vertraulichkeit, (2)(e)=Integritaet. Korrektur kommt mit dem zitierfaehigen Re-Ingest (span-genau). Deshalb: NICHT auf Anker joinen. ABER: der Logging-Cut (V16.*) ist korrekt auf (2)(k) verankert (echte Logging-Subsektion, kein Fehl-Anker).",
+ "count": 7,
+ "controls": [
+  {
+   "framework": "OWASP ASVS", "control": "V6.3.1",
+   "source_norm": "CRA Annex I Part I (2)(c) — Schutz vor unbefugtem Zugriff",
+   "citation_unit": "Annex I (2)(c)", "family": "auth", "mapping_type": "supports",
+   "proposed_obligation_id": "user_authentication_required",
+   "mapping_method": "semantic",
+   "mapping_note": "Zugriffsschutz/Authentisierung-vor-Zugriff = Nutzer-Auth (NICHT firmware, trotz strukturellem (2)(c)-Join)"
+  },
+  {
+   "framework": "OWASP ASVS", "control": "V6.1.1",
+   "source_norm": "CRA Annex I Part I (2)(c) — Schutz vor unbefugtem Zugriff",
+   "citation_unit": "Annex I (2)(c)", "family": "auth", "mapping_type": "supports",
+   "proposed_obligation_id": "user_authentication_required",
+   "mapping_method": "semantic",
+   "mapping_note": "wie V6.3.1"
+  },
+  {
+   "framework": "OWASP ASVS", "control": "V11.2.1",
+   "source_norm": "CRA Annex I Part I (2)(d) — Vertraulichkeit / Verschluesselung",
+   "citation_unit": "Annex I (2)(d)", "family": "crypto", "mapping_type": "supports",
+   "proposed_obligation_id": "credential_confidentiality_protection",
+   "mapping_method": "semantic",
+   "mapping_note": "Vertraulichkeit von Auth-Daten. ALT: encrypted_auth_channel, falls V11.2.1 transit-/kanal-spezifisch ist — bitte aus eurem Control-Text bestaetigen."
+  },
+  {
+   "framework": "OWASP ASVS", "control": "V11.7.1",
+   "source_norm": "CRA Annex I Part I (2)(d) — Vertraulichkeit / Verschluesselung",
+   "citation_unit": "Annex I (2)(d)", "family": "crypto", "mapping_type": "supports",
+   "proposed_obligation_id": "auth_key_management",
+   "mapping_method": "semantic",
+   "mapping_note": "Key Management = Schluessel erzeugen/speichern/HSM"
+  },
+  {
+   "framework": "OWASP ASVS", "control": "V16.3.3",
+   "source_norm": "CRA Annex I Part I (2)(k) — Sicherheitsrelevante Ereignisse / Logging",
+   "citation_unit": "Annex I (2)(k)", "family": "logging", "mapping_type": "supports",
+   "proposed_obligation_id": "event_logging_security_events",
+   "mapping_method": "semantic",
+   "mapping_note": "Umbrella-LM 'Produkt protokolliert sicherheitsrelevante Ereignisse' (CRA (2)(k)). ALT bei access-decision-spezifischem Control-Text: access_control_event_logging — bitte aus eurem ASVS-V16.3-Text bestaetigen."
+  },
+  {
+   "framework": "OWASP ASVS", "control": "V16.3.4",
+   "source_norm": "CRA Annex I Part I (2)(k) — Sicherheitsrelevante Ereignisse / Logging",
+   "citation_unit": "Annex I (2)(k)", "family": "logging", "mapping_type": "supports",
+   "proposed_obligation_id": "event_logging_security_events",
+   "mapping_method": "semantic",
+   "mapping_note": "Umbrella-LM (CRA (2)(k)). ALT bei admin-/privileg-spezifischem Control-Text: audit_trail_admin_actions — bitte aus eurem ASVS-V16.3-Text bestaetigen."
+  },
+  {
+   "framework": "OWASP ASVS", "control": "V16.1.1",
+   "source_norm": "CRA Annex I Part I (2)(k) — Sicherheitsrelevante Ereignisse / Logging",
+   "citation_unit": "Annex I (2)(k)", "family": "logging", "mapping_type": "supports",
+   "proposed_obligation_id": "event_logging_security_events",
+   "mapping_method": "semantic",
+   "mapping_note": "V16.1 = allgemeine Logging-Anforderung -> Umbrella-LM event_logging_security_events. Hohe Konfidenz."
+  }
+ ]
+}

obligations/cra_procedures.json

@@ -0,0 +1,227 @@
+{
+ "schema_version": "obligation_procedures_v1",
+ "regulation": "CRA",
+ "layer": "Regulation -> Legal Obligation -> Procedure -> Control -> Evidence",
+ "note": "Procedure ist KEINE neue Compliance-Pflicht. LEGAL_MINIMUM liegt an der Obligation; die Procedure beschreibt, WIE sie umgesetzt wird; Evidence belegt die Umsetzung. source_role=procedural_requirement (Konvergenz mit der Legal-Knowledge-Engine der anderen Session).",
+ "citation_status": "pending_span_anchor",
+ "scope": "worked examples: SBOM + Vulnerability Handling",
+ "procedures": [
+  {
+   "procedure_id": "sbom_generation_process",
+   "name": "SBOM-Erstellungsprozess",
+   "description": "Erzeugen einer vollstaendigen, maschinenlesbaren Software Bill of Materials fuer ein Produkt mit digitalen Elementen.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["sbom_creation", "sbom_dependency_coverage", "sbom_format_standard", "sbom_tooling_automation"],
+   "steps": [
+    "Komponenten und (direkte + transitive) Abhaengigkeiten inventarisieren",
+    "SBOM automatisiert in der Build-/Toolchain generieren",
+    "Komponenten, Versionen, Lizenzen und Lieferanten erfassen",
+    "in anerkanntem maschinenlesbarem Format (CycloneDX/SPDX) ausgeben",
+    "Format- und Schemavalidierung durchfuehren"
+   ],
+   "controls": [
+    "SBOM-Datei vorhanden",
+    "Format ist maschinenlesbar und standardkonform (CycloneDX/SPDX)",
+    "direkte und transitive Abhaengigkeiten enthalten"
+   ],
+   "evidence": ["sbom.cyclonedx.json", "Format-Validierungs-Log", "Build-/Toolchain-Konfiguration"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+  {
+   "procedure_id": "sbom_update_process",
+   "name": "SBOM-Aktualisierungsprozess",
+   "description": "Halten der SBOM aktuell ueber den Produktlebenszyklus bei Komponenten-, Versions- und Patch-Aenderungen.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["sbom_maintenance_update"],
+   "steps": [
+    "Komponentenaenderung erkennen (Dependency-/Patch-/Versionsaenderung)",
+    "SBOM neu generieren",
+    "Lieferanten-SBOMs aktualisieren",
+    "neue SBOM-Version speichern",
+    "SBOM in Release-Artefakte uebernehmen"
+   ],
+   "controls": [
+    "CI prueft SBOM vorhanden",
+    "SBOM-Version passt zum Release",
+    "Supplier-Komponenten enthalten"
+   ],
+   "evidence": ["sbom.json", "CI-Log", "Release-Artefakt", "Supplier-SBOM"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+  {
+   "procedure_id": "sbom_supplier_integration_process",
+   "name": "Lieferanten-SBOM-Integration",
+   "description": "Beschaffen und Einarbeiten von Lieferanten-/Drittkomponenten-SBOMs in die Produkt-SBOM.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["sbom_supply_chain_contracts", "sbom_dependency_coverage"],
+   "steps": [
+    "SBOM-Anforderung in Lieferantenvertraege aufnehmen",
+    "Lieferanten-SBOMs einsammeln",
+    "in die Produkt-SBOM mergen",
+    "Drittkomponenten und deren Abhaengigkeiten nachverfolgen"
+   ],
+   "controls": [
+    "vertragliche SBOM-Klausel vorhanden",
+    "Lieferanten-SBOMs eingegangen",
+    "Drittkomponenten in der SBOM gelistet"
+   ],
+   "evidence": ["Lieferantenvertrag-Klausel", "eingegangene Supplier-SBOMs", "gemergte SBOM"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+  {
+   "procedure_id": "sbom_provision_process",
+   "name": "SBOM-Bereitstellungsprozess",
+   "description": "Zugaenglichmachen der SBOM fuer berechtigte Parteien (Nutzer, Behoerde) unter Wahrung der Vertraulichkeit.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["sbom_access_provision", "sbom_authority_provision", "sbom_confidentiality"],
+   "steps": [
+    "Zugangskanal definieren (Portal/API/dokumentierter Pfad)",
+    "Nutzer ueber den Zugangsweg informieren",
+    "auf begruendetes Verlangen der Marktueberwachungsbehoerde vertraulich bereitstellen",
+    "Zugriffskontrolle und Vertraulichkeitsmassnahmen anwenden"
+   ],
+   "controls": [
+    "Zugangspfad dokumentiert",
+    "Zugriffskontrolle/Vertraulichkeit umgesetzt",
+    "Behoerden-Bereitstellungsprozess definiert"
+   ],
+   "evidence": ["Zugangskanal-Dokumentation", "Behoerden-Anfrage-Log", "Zugriffskontroll-Konfiguration"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+  {
+   "procedure_id": "sbom_conformity_documentation_process",
+   "name": "SBOM in technischer Dokumentation/Konformitaet",
+   "description": "Aufnehmen der SBOM in die technische Dokumentation und Verifizieren der Vollstaendigkeit fuer die Konformitaetsbewertung.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["sbom_technical_documentation", "sbom_completeness_verification"],
+   "steps": [
+    "SBOM in die technische Dokumentation aufnehmen",
+    "Vollstaendigkeit gegen die real eingesetzte Softwarekomposition pruefen",
+    "der Konformitaetsbewertung beilegen (ggf. EUCC)"
+   ],
+   "controls": [
+    "SBOM Teil der technischen Dokumentation",
+    "Vollstaendigkeit verifiziert",
+    "Konformitaetsnachweis vorhanden"
+   ],
+   "evidence": ["technische Dokumentation", "Vollstaendigkeits-Pruefbericht", "Konformitaetsnachweis"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+
+  {
+   "procedure_id": "vuln_handling_process_setup",
+   "name": "Schwachstellenbehandlungsprozess einrichten",
+   "description": "Dokumentierten Prozess und Meldekanal (CVD) fuer die Schwachstellenbehandlung etablieren.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["vuln_handling_process"],
+   "steps": [
+    "dokumentierten Schwachstellenbehandlungsprozess definieren",
+    "Coordinated-Vulnerability-Disclosure-Richtlinie und Meldekanal veroeffentlichen",
+    "eingehende Meldungen triagieren"
+   ],
+   "controls": [
+    "Behandlungsprozess dokumentiert",
+    "Meldekanal/Kontaktstelle auffindbar (z.B. security.txt)",
+    "Triage-Verfahren vorhanden"
+   ],
+   "evidence": ["Prozessdokument", "security.txt / Kontaktstelle", "Triage-Log"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+  {
+   "procedure_id": "vuln_identification_process",
+   "name": "Schwachstellen-Identifikation",
+   "description": "Bekannte Schwachstellen in eingesetzten Komponenten erkennen und inventarisieren.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["vuln_identification_inventory"],
+   "steps": [
+    "Advisories/CVE-Feeds beobachten",
+    "gegen die SBOM-Komponenten abgleichen",
+    "Schwachstellen-Inventar pflegen"
+   ],
+   "controls": [
+    "Advisory-/CVE-Monitoring aktiv",
+    "SBOM-zu-CVE-Abgleich durchgefuehrt",
+    "Schwachstellen-Inventar gepflegt"
+   ],
+   "evidence": ["CVE-Abgleich-Report", "Schwachstellen-Register"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+  {
+   "procedure_id": "vuln_assessment_process",
+   "name": "Schwachstellen-Bewertung/Priorisierung",
+   "description": "Identifizierte Schwachstellen nach Schweregrad, Ausnutzbarkeit und Exposition bewerten und priorisieren.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["vuln_assessment_prioritization"],
+   "steps": [
+    "Schweregrad bewerten (z.B. CVSS)",
+    "Ausnutzbarkeit/Exposition einschaetzen",
+    "risikobasiert priorisieren"
+   ],
+   "controls": [
+    "Schweregrad standardisiert bewertet",
+    "risikobasierte Priorisierung vorhanden"
+   ],
+   "evidence": ["Bewertungsdatensatz (CVSS)", "Prioritaetenliste"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+  {
+   "procedure_id": "vuln_remediation_process",
+   "name": "Schwachstellen-Behebung",
+   "description": "Bekannte Schwachstellen fristgerecht durch Patches/Gegenmassnahmen beheben und Sicherheitsupdates bereitstellen.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["vuln_remediation_patching"],
+   "steps": [
+    "Fix/Gegenmassnahme entwickeln",
+    "testen",
+    "Sicherheitsupdate kostenfrei und zeitnah bereitstellen",
+    "bis zum Abschluss nachverfolgen"
+   ],
+   "controls": [
+    "zeitnahe Behebung",
+    "Sicherheitsupdate bereitgestellt",
+    "Follow-up bis Closure"
+   ],
+   "evidence": ["Patch/Release", "Behebungs-Zeitleiste", "Follow-up-Log"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+  {
+   "procedure_id": "vuln_disclosure_process",
+   "name": "Offenlegung + Nutzerinformation",
+   "description": "Koordinierte Offenlegung behobener Schwachstellen und Information der Nutzer ueber Schutzmassnahmen.",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["coordinated_vulnerability_disclosure", "vuln_info_dissemination_users"],
+   "steps": [
+    "Offenlegungszeitpunkt koordinieren",
+    "Security Advisory / CVE-Eintrag veroeffentlichen",
+    "Nutzer ueber behobene Schwachstelle und Schutzmassnahmen informieren"
+   ],
+   "controls": [
+    "Advisory veroeffentlicht",
+    "Nutzer informiert"
+   ],
+   "evidence": ["Security Advisory", "CVE-Eintrag", "Nutzer-Benachrichtigung"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  },
+  {
+   "procedure_id": "vuln_authority_reporting_process",
+   "name": "Behoerdenmeldung aktiv ausgenutzter Schwachstellen",
+   "description": "Aktiv ausgenutzte Schwachstellen fristgerecht an CSIRT/ENISA melden (CRA Art. 14-Kaskade).",
+   "source_role": "procedural_requirement",
+   "fulfills_obligations": ["exploited_vuln_reporting_authorities"],
+   "applicability_note": "bedingt: nur bei aktiv ausgenutzter Schwachstelle",
+   "steps": [
+    "aktive Ausnutzung erkennen",
+    "Fruehwarnung an CSIRT/ENISA (24h)",
+    "vollstaendige Meldung (72h)",
+    "Abschlussbericht (14 Tage)"
+   ],
+   "controls": [
+    "24h-Fruehwarnung erfolgt",
+    "72h-Meldung erfolgt",
+    "14d-Abschlussbericht erfolgt"
+   ],
+   "evidence": ["CSIRT/ENISA-Meldungsbelege", "Zeitstempel der Kaskade"],
+   "citation_spans": [], "citation_status": "pending_span_anchor"
+  }
+ ]
+}

obligations/obligation_join_keys.json

@@ -0,0 +1,587 @@
+{
+ "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": 66,
+ "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"
+  }
+ ]
+}

scripts/obligation_discovery/_core.py

@@ -0,0 +1,114 @@
+"""Reine Helfer der Obligation Discovery Pipeline (keine schweren Imports → unit-testbar).
+
+Die Pipeline leitet aus großen Compliance-Korpora eine regulatorische Ontologie ab:
+  Controls → Mikro-Cluster → Meta-Cluster/Review-Units → LLM-Synthese → Obligation Registry.
+Architekturregel: RUNTIME bleibt deterministisch; DISCOVERY (dieses Tooling) darf LLM-gestützt
+sein und läuft EINMALIG/offline. Siehe docs-src/development/obligation_discovery_pipeline_v1.md.
+"""
+from __future__ import annotations
+
+import ast
+import json
+import math
+from typing import Optional
+
+SEMANTIC_EDGE_TYPES = ("depends_on", "supports", "produces_evidence_for",
+                       "implements", "derived_from")
+
+
+def parse_req(req) -> list:
+    """requirements-Spalte (JSON ODER Python-Repr ODER String) robust zu Liste."""
+    if isinstance(req, list):
+        return req
+    if isinstance(req, str):
+        for fn in (json.loads, ast.literal_eval):
+            try:
+                v = fn(req)
+                return v if isinstance(v, list) else [str(v)]
+            except Exception:
+                pass
+        return [req]
+    return []
+
+
+def cosine(a, b) -> float:
+    if not a or not b:
+        return 0.0
+    dot = sum(x * y for x, y in zip(a, b))
+    na = math.sqrt(sum(x * x for x in a))
+    nb = math.sqrt(sum(y * y for y in b))
+    return dot / (na * nb) if na and nb else 0.0
+
+
+def greedy_cluster(vecs: list, thr: float) -> list[dict]:
+    """Single-Pass-Greedy-Clustering: jeder Vektor joint den ersten Cluster, dessen Seed
+    cosine ≥ thr ist, sonst neuer Cluster. Deterministisch (stabile Reihenfolge)."""
+    clusters: list[dict] = []
+    for i, v in enumerate(vecs):
+        if not v:
+            clusters.append({"seed": None, "members": [i]})
+            continue
+        best, best_sim = None, thr
+        for c in clusters:
+            if c["seed"] is None:
+                continue
+            s = cosine(v, c["seed"])
+            if s >= best_sim:
+                best_sim, best = s, c
+        if best:
+            best["members"].append(i)
+        else:
+            clusters.append({"seed": v, "members": [i]})
+    return clusters
+
+
+def centroid(idxs: list[int], vecs: list) -> Optional[list]:
+    vs = [vecs[i] for i in idxs if vecs[i]]
+    if not vs:
+        return None
+    n = len(vs)
+    return [sum(col) / n for col in zip(*vs)]
+
+
+def validate_registry(reg: dict) -> dict:
+    """Belastbarkeits-Checks (User-Regeln): LEGAL_MINIMUM braucht legal_basis,
+    member_controls vollständig, out_of_scope separat, >8-Obligations/Review-Unit-Warnung."""
+    obls = reg.get("obligations", [])
+    lm = [o for o in obls if o.get("tier") == "LEGAL_MINIMUM"]
+    lm_without_basis = [o["id"] for o in lm if not o.get("legal_basis")]
+    empty_members = [o["id"] for o in obls if not o.get("member_controls")]
+    per_unit: dict[str, int] = {}
+    for o in obls:
+        ru = (o.get("provenance") or {}).get("source_meta_cluster")
+        if ru:
+            per_unit[ru] = per_unit.get(ru, 0) + 1
+    over8 = {ru: n for ru, n in per_unit.items() if n > 8}
+    rels = reg.get("relationships", [])
+    return {
+        "obligations": len(obls),
+        "legal_minimum": len(lm),
+        "lm_without_legal_basis": lm_without_basis,
+        "empty_member_controls": empty_members,
+        "over8_per_review_unit": over8,
+        "out_of_scope": sum(1 for r in rels if r.get("type") == "out_of_scope"),
+        "semantic_edges": sum(1 for r in rels if r.get("type") in SEMANTIC_EDGE_TYPES),
+        "passed": not lm_without_basis and not empty_members and not over8,
+    }
+
+
+def merge_edges(relationships: list[dict], proposed: list[dict]) -> tuple[list[dict], int]:
+    """Proposed semantische Kanten dedupliziert in relationships mergen. Gibt (merged, added)."""
+    existing = {(r.get("type"), r.get("from"), r.get("to"))
+                for r in relationships if r.get("from")}
+    added = 0
+    out = list(relationships)
+    for e in proposed:
+        if e.get("type") not in SEMANTIC_EDGE_TYPES:
+            continue
+        key = (e["type"], e.get("from"), e.get("to"))
+        if key in existing or not e.get("from") or not e.get("to"):
+            continue
+        out.append(e)
+        existing.add(key)
+        added += 1
+    return out, added

scripts/obligation_discovery/advisor_proof.py

@@ -0,0 +1,90 @@
+"""P3 — Compliance-Advisor-Proof: obligation-basierte Antwort als vollstaendige
+BEGRUENDUNGSKETTE aus der Registry (NICHT RAG-Text, KEIN LLM):
+  Rechtsgrundlage -> Obligation -> Procedure -> Controls -> Evidence -> Antwort.
+Deterministisch + zitierfaehig. Der Unterschied zu RAG: RAG beantwortet — BreakPilot
+begruendet UND operationalisiert.
+
+  python3 scripts/obligation_discovery/advisor_proof.py --registry obligations/cra.json \
+      --procedures obligations/cra_procedures.json --topic sbom --has-digital-elements
+"""
+from __future__ import annotations
+
+import argparse
+import json
+
+
+def applies(obl: dict, has_digital: bool) -> tuple[bool, str]:
+    a = obl.get("applicability", "universal")
+    if a == "universal":
+        return True, ""
+    if a.startswith("domain:products_with_digital_elements"):
+        return has_digital, "nur fuer Produkte mit digitalen Elementen (CRA Art. 3)"
+    if a.startswith("domain:"):
+        return True, a.split(":", 1)[1]
+    if a.startswith("conditional:"):
+        return True, f"bedingt: {a.split(':',1)[1]}"
+    return True, ""
+
+
+def main() -> None:
+    ap = argparse.ArgumentParser()
+    ap.add_argument("--registry", required=True)
+    ap.add_argument("--procedures", required=True)
+    ap.add_argument("--topic", default="sbom")
+    ap.add_argument("--has-digital-elements", action="store_true")
+    ap.add_argument("--question", default="Muss ich als Maschinenbauer eine SBOM bereitstellen?")
+    a = ap.parse_args()
+    reg = json.load(open(a.registry, encoding="utf-8"))
+    procs = json.load(open(a.procedures, encoding="utf-8"))["procedures"]
+
+    obls = [o for o in reg["obligations"]
+            if a.topic in o.get("family", "") or a.topic in o["id"]]
+    ids = {o["id"] for o in obls}
+    by_obl: dict[str, list] = {}
+    for p in procs:
+        for oid in p.get("fulfills_obligations", []):
+            by_obl.setdefault(oid, []).append(p)
+
+    pflicht = [o for o in obls if o["tier"] == "LEGAL_MINIMUM" and applies(o, a.has_digital_elements)[0]]
+    best = [o for o in obls if o["tier"] != "LEGAL_MINIMUM"]
+
+    print(f"FRAGE: {a.question}")
+    print(f"\nANTWORT: {'JA' if pflicht and a.has_digital_elements else 'NUR WENN CRA-anwendbar'} — "
+          f"sofern das Produkt unter den CRA faellt (product with digital elements, Art. 3).")
+    print("\n══ BEGRUENDUNGSKETTE (Recht → Obligation → Procedure → Controls → Evidence) ══")
+
+    req_evidence: list[str] = []
+    for o in pflicht:
+        lb = "; ".join(f"{b.get('source','')} {b.get('anchor','')}".strip() for b in o.get("legal_basis", []))
+        print(f"\n● PFLICHT: {o['id']} — {o.get('description','')[:80]}")
+        print(f"    Rechtsgrundlage: {lb or '—'}")
+        ps = by_obl.get(o["id"], [])
+        for p in ps:
+            print(f"    Procedure (wie umgesetzt): {p['procedure_id']} — Schritte: {len(p.get('steps',[]))}")
+            print(f"        Controls (Pruefung): {' · '.join(p.get('controls', []))[:96]}")
+            print(f"        Nachweis: {' · '.join(p.get('evidence', []))}")
+            req_evidence += p.get("evidence", [])
+        if not ps:
+            print("    Procedure: (noch keine modelliert)")
+
+    print("\n── REQUIRED EVIDENCE (aggregiert, womit wird es nachgewiesen) ──")
+    print("   " + " · ".join(dict.fromkeys(req_evidence)) if req_evidence else "   —")
+
+    print("\n── BEST PRACTICE (anerkannte Umsetzung, KEINE CRA-Wortlautpflicht) ──")
+    for o in best:
+        gb = "; ".join(b.get("source", "") for b in o.get("guidance_basis", []))
+        print(f"   • {o['id']} — {o.get('description','')[:64]}  | Guidance: {gb or '—'}")
+
+    print("\n── BEZIEHUNG (warum es zaehlt) ──")
+    for r in reg.get("relationships", []):
+        if r.get("from") in ids and r.get("to") not in ids:
+            print(f"   • {r['from']} --{r['type']}--> {r['to']}: {r.get('note','')[:64]}")
+
+    pend = sum(1 for o in pflicht if o.get("citation_status") == "pending_span_anchor")
+    print(f"\n── CITATION ──\n   {pend}/{len(pflicht)} Pflichten: pending_span_anchor "
+          f"(Textstellen-Anker folgen mit dem zitierfaehigen Re-Ingest)")
+    print("\n(RAG beantwortet — BreakPilot begruendet UND operationalisiert.)")
+
+
+if __name__ == "__main__":
+    main()

scripts/obligation_discovery/export_join_keys.py

@@ -0,0 +1,52 @@
+"""Exportiert den OBLIGATION_ID-Join-Key-Vertrag aus den Registry-Artefakten.
+Die obligation_id ist der stabile Brueckenschluessel zwischen Legal Knowledge Graph
+(citation_spans haengen an obligation_id) und Compliance Execution Graph
+(control_mapping.source_norm -> obligation_id). citation_units = die legal_basis-Anker,
+ueber die beide Seiten heute (vor obligation_id-Adoption) bruecken koennen.
+
+DISZIPLIN: obligation_id wird RE-GELINKT, NIE neu vergeben (Pendant zu span_id/control_uuid).
+
+  python3 scripts/obligation_discovery/export_join_keys.py obligations/cra.json obligations/cra_authentication.json
+"""
+from __future__ import annotations
+
+import argparse
+import json
+
+
+def main() -> None:
+    ap = argparse.ArgumentParser()
+    ap.add_argument("registries", nargs="+")
+    ap.add_argument("--out", default="obligations/obligation_join_keys.json")
+    a = ap.parse_args()
+    keys = []
+    for path in a.registries:
+        reg = json.load(open(path, encoding="utf-8"))
+        for o in reg.get("obligations", []):
+            citation_units = [b.get("anchor", "") for b in o.get("legal_basis", []) if b.get("anchor")]
+            keys.append({
+                "obligation_id": o["id"],
+                "regulation": reg.get("regulation", ""),
+                "family": o.get("family", ""),
+                "tier": o.get("tier", ""),
+                "citation_units": citation_units,
+                "source_role": o.get("source_role", ""),
+            })
+    out = {
+        "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": len(keys),
+        "obligation_ids": keys,
+    }
+    json.dump(out, open(a.out, "w", encoding="utf-8"), ensure_ascii=False, indent=1)
+    from collections import Counter
+    print(f"exportiert: {a.out}  ({len(keys)} obligation_ids)")
+    print("Regulierungen:", dict(Counter(k["regulation"] for k in keys)))
+    print("Familien:", dict(Counter(k["family"] for k in keys)))
+
+
+if __name__ == "__main__":
+    main()

scripts/obligation_discovery/merge_review_diff.py

@@ -0,0 +1,36 @@
+"""Stufe 5 — Review-Diff mergen: vorgeschlagene Beziehungskanten (review_status=proposed)
+dedupliziert in die Registry mergen (kein LLM/Key). Kleine Beziehungs-Sprache:
+depends_on/supports/produces_evidence_for/implements/derived_from.
+
+  python3 scripts/obligation_discovery/merge_review_diff.py obligations/cra.json /tmp/cra_edges_review.json
+"""
+from __future__ import annotations
+
+import argparse
+import json
+
+from _core import SEMANTIC_EDGE_TYPES, merge_edges
+
+
+def main() -> None:
+    ap = argparse.ArgumentParser()
+    ap.add_argument("registry")
+    ap.add_argument("review_diff")
+    ap.add_argument("--write", action="store_true", help="in die Registry schreiben (sonst dry-run)")
+    a = ap.parse_args()
+    reg = json.load(open(a.registry, encoding="utf-8"))
+    diff = json.load(open(a.review_diff, encoding="utf-8"))
+    proposed = diff.get("proposed_edges", diff if isinstance(diff, list) else [])
+    merged, added = merge_edges(reg.get("relationships", []), proposed)
+    print(f"proposed: {len(proposed)} | added (dedupliziert): {added}")
+    if a.write:
+        reg["relationships"] = merged
+        reg["relationship_types"] = list(SEMANTIC_EDGE_TYPES)
+        json.dump(reg, open(a.registry, "w", encoding="utf-8"), ensure_ascii=False, indent=1)
+        print(f"written: {a.registry}")
+    else:
+        print("dry-run (use --write to apply)")
+
+
+if __name__ == "__main__":
+    main()

scripts/obligation_discovery/meta_cluster.py

@@ -0,0 +1,55 @@
+"""Stufe 2 — Meta-Cluster (der Skalierungs-Fix für große Domänen): Mikro-Cluster →
+REVIEW UNITS. Review Unit = das, was der LLM-Synthese-Pass sieht (entkoppelt vom Clustering,
+später merge/split-bar). Nutzt den Embedding-Cache aus precluster (kein Re-Embed).
+
+  python3 scripts/obligation_discovery/meta_cluster.py --scope auth --meta-thr 0.62
+"""
+from __future__ import annotations
+
+import argparse
+import json
+import os
+import pickle
+
+from _core import centroid, greedy_cluster
+
+
+def run(scope: str, meta_thr: float, outdir: str) -> None:
+    micro = json.load(open(os.path.join(outdir, f"{scope}_micro_clusters.json"), encoding="utf-8"))
+    vecs = pickle.load(open(os.path.join(outdir, f"{scope}_vecs.pkl"), "rb"))
+    centroids = [centroid(m["member_indices"], vecs) for m in micro]
+    meta = greedy_cluster(centroids, meta_thr)
+    print(f"scope={scope} pass-2 (meta-thr={meta_thr}): {len(micro)} micro → {len(meta)} review-units")
+
+    out = []
+    for mi, m in enumerate(meta):
+        ctrl_ids, titles = [], []
+        for micro_idx in m["members"]:
+            mc = micro[micro_idx]
+            ctrl_ids += mc["control_ids"]
+            titles.append(mc["titles"][0] if mc["titles"] else "")
+        out.append({"review_unit_id": f"M{mi}", "n_micro": len(m["members"]),
+                    "n_controls": len(ctrl_ids), "control_ids": ctrl_ids,
+                    "sample_titles": titles[:8]})
+    out.sort(key=lambda x: -x["n_controls"])
+    path = os.path.join(outdir, f"{scope}_review_units.json")
+    json.dump(out, open(path, "w", encoding="utf-8"), ensure_ascii=False, indent=1)
+
+    print("=== top review units (inspect for cross-domain mixing BEFORE synthesis) ===")
+    for m in out[:12]:
+        print(f"  {m['review_unit_id']:5} ctrl={m['n_controls']:4} micro={m['n_micro']:3} "
+              f"| {' || '.join(t[:30] for t in m['sample_titles'][:3])}")
+    print(f"written: {path}  ({len(out)} review units)")
+
+
+def main() -> None:
+    ap = argparse.ArgumentParser()
+    ap.add_argument("--scope", default="auth")
+    ap.add_argument("--meta-thr", type=float, default=0.62)
+    ap.add_argument("--outdir", default="/tmp")
+    a = ap.parse_args()
+    run(a.scope, a.meta_thr, a.outdir)
+
+
+if __name__ == "__main__":
+    main()

scripts/obligation_discovery/precluster.py

@@ -0,0 +1,76 @@
+"""Stufe 1 — Pre-Cluster: Controls (scope) → BGE-M3-Embedding (gecacht) → Mikro-Cluster.
+Deterministisch. Im bp-compliance-backend-Container ausführen (PYTHONPATH=/app).
+
+  python3 scripts/obligation_discovery/precluster.py --scope sbom
+  python3 scripts/obligation_discovery/precluster.py --patterns '%sbom%,%software bill%' --micro-thr 0.78
+"""
+from __future__ import annotations
+
+import argparse
+import asyncio
+import json
+import os
+import pickle
+
+from _core import greedy_cluster, parse_req
+
+SCOPES = {
+    "sbom": ["%SBOM%", "%software bill%", "%stückliste%", "%komponentenliste%"],
+    "vuln": ["%schwachstellenbehandl%", "%schwachstellenmanagement%", "%vulnerability handling%",
+             "%coordinated vulnerab%", "%vulnerability disclosure%", "%cvd-konzept%"],
+    "auth": ["%authentisierung%", "%authentifizierung%", "%authentication%"],
+    "logging": ["%logging%", "%protokollierung%", "%audit-log%", "%audit-trail%",
+                "%ereignisprotokoll%", "%sicherheitsprotokoll%", "%audit-protokoll%",
+                "%log-management%", "%sicherheitsereignis%protokoll%", "%audit-trail%"],
+}
+
+
+async def run(scope: str, patterns: list[str], micro_thr: float, outdir: str) -> None:
+    import asyncpg
+    from compliance.services.mc_embedding_matcher import _embed_texts
+
+    dsn = os.getenv("DATABASE_URL") or os.getenv("COMPLIANCE_DATABASE_URL")
+    conn = await asyncpg.connect(dsn)
+    where = " or ".join(f"title ilike ${i+1}" for i in range(len(patterns)))
+    rows = await conn.fetch(
+        f"select control_id, title, requirements from compliance.canonical_controls "
+        f"where {where} order by control_id", *patterns)
+    await conn.close()
+    items = [{"control_id": r["control_id"], "title": r["title"] or "",
+              "embed_text": (r["title"] or "") + ". " + " ".join(parse_req(r["requirements"])[:2])}
+             for r in rows]
+    print(f"scope={scope}: {len(items)} controls")
+
+    cache = os.path.join(outdir, f"{scope}_vecs.pkl")
+    if os.path.exists(cache):
+        vecs = pickle.load(open(cache, "rb"))
+        print(f"embeddings from cache ({len(vecs)})")
+    else:
+        vecs = await _embed_texts([it["embed_text"] for it in items])
+        pickle.dump(vecs, open(cache, "wb"))
+        print(f"embeddings fresh+cached ({len(vecs)})")
+
+    micro = greedy_cluster(vecs, micro_thr)
+    print(f"pass-1 (micro-thr={micro_thr}): {len(items)} → {len(micro)} micro-clusters")
+    out = [{"micro_id": i, "size": len(c["members"]), "member_indices": c["members"],
+            "control_ids": [items[j]["control_id"] for j in c["members"]],
+            "titles": [items[j]["title"] for j in c["members"][:6]]}
+           for i, c in enumerate(micro)]
+    path = os.path.join(outdir, f"{scope}_micro_clusters.json")
+    json.dump(out, open(path, "w", encoding="utf-8"), ensure_ascii=False, indent=1)
+    print(f"written: {path}")
+
+
+def main() -> None:
+    ap = argparse.ArgumentParser()
+    ap.add_argument("--scope", default="sbom")
+    ap.add_argument("--patterns", default="", help="comma-separated SQL ILIKE patterns (overrides --scope)")
+    ap.add_argument("--micro-thr", type=float, default=0.78)
+    ap.add_argument("--outdir", default="/tmp")
+    a = ap.parse_args()
+    patterns = [p for p in a.patterns.split(",") if p] or SCOPES[a.scope]
+    asyncio.run(run(a.scope, patterns, a.micro_thr, a.outdir))
+
+
+if __name__ == "__main__":
+    main()

scripts/obligation_discovery/synthesize_obligations.py

@@ -0,0 +1,113 @@
+"""Stufe 3 — LLM-Synthese: REVIEW UNITS → Obligation Registry (Schema obligation_registry_v1).
+Geschärfter Prompt: kleinste Menge regulatorisch UNTERSCHIEDLICHER Obligations. Harte Tier-
+Regel in Code erzwungen. Provenance pro Obligation. ANTHROPIC_API_KEY aus ENV (nie hartcodiert).
+Große Calls → STREAMING (SDK blockt non-streaming >10min).
+
+  ANTHROPIC_API_KEY=… python3 scripts/obligation_discovery/synthesize_obligations.py \
+      --units /tmp/auth_review_units.json --regulation CRA --theme "Authentisierung" --out /tmp/auth_registry.json
+"""
+from __future__ import annotations
+
+import argparse
+import json
+import os
+import re
+from collections import Counter
+
+from _core import SEMANTIC_EDGE_TYPES
+
+SYS = """Du bist Knowledge Engineer und baust eine LEGAL OBLIGATION REGISTRY fuer __REGULATION__
+(Thema: __THEME__). Input: REVIEW UNITS (algorithmisch vor-gebuendelte Control-Gruppen), jede
+kann MEHRERE unterschiedliche Pflichten enthalten.
+
+AUFGABE: Zerlege die Review Units in die KLEINSTE MENGE regulatorisch UNTERSCHIEDLICHER Legal
+Obligations. Regeln:
+- Nichts zusammenfuehren nur wegen aehnlicher Woerter.
+- Unterschiedliche Rechtsgrundlage => unterschiedliche Obligation.
+- Unterschiedliche Applicability => unterschiedliche Obligation.
+- Unterschiedliche Evidence-Facette (governance/capability/evidence) => GLEICHE Obligation, andere Facette.
+- Unterschiedliche Umsetzung (NIST/OWASP/ISO/BSI) => guidance_basis, KEINE neue Obligation.
+- Gleiche Pflicht ueber mehrere Review Units => EINE Obligation (mehrere member_review_units).
+
+Gib AUSSCHLIESSLICH JSON aus:
+{"obligations":[{"id":"snake_case","name":"","description":"","tier":"LEGAL_MINIMUM|BEST_PRACTICE|IMPLEMENTATION_GUIDANCE|EVIDENCE","applicability":"universal|conditional:<pred>|domain:<x>","evidence_facets":{"governance":true,"capability":true,"evidence":false},"source_role":"LEGAL_BASIS|GUIDANCE|EVIDENCE|IMPLEMENTATION","legal_basis":[{"source":"__REGULATION__","anchor":"","citation":""}],"guidance_basis":[{"source":"NIST|OWASP|ISO|BSI","anchor":"","role":"best_practice"}],"subdomain":"","member_review_units":["M0"],"source_meta_cluster":"M0","discovery_confidence":0.9}],
+ "relationships":[{"type":"depends_on|supports|produces_evidence_for|implements|derived_from","from":"id","to":"id","note":""},{"type":"out_of_scope","review_units":["M0"],"note":""}]}
+
+HARTE REGELN:
+- tier=LEGAL_MINIMUM NUR mit legal_basis (Primaerrecht). Sonst tier=BEST_PRACTICE, legal_basis=[].
+- legal_basis NUR Primaerrecht der Regulierung; NIST/OWASP/ISO/BSI => guidance_basis.
+- relationships SPARSAM, gerichtet, nur klar belegbar.
+- out_of_scope: Review Units, die NICHT zum Thema gehoeren (andere Regulierung/Domaene)."""
+
+
+def build_user(units: list[dict]) -> str:
+    lines = []
+    for u in units:
+        t = " | ".join(str(x)[:46] for x in u.get("sample_titles", [])[:6])
+        lines.append(f"{u['review_unit_id']} (controls={u['n_controls']}): {t}")
+    return "Review Units:\n" + "\n".join(lines)
+
+
+def synthesize(units, regulation, theme, model):
+    import anthropic
+    key = os.environ["ANTHROPIC_API_KEY"]
+    sys = SYS.replace("__REGULATION__", regulation).replace("__THEME__", theme)
+    client = anthropic.Anthropic(api_key=key)
+    with client.messages.stream(model=model, max_tokens=24000, system=sys,
+                                messages=[{"role": "user", "content": build_user(units)}]) as st:
+        msg = st.get_final_message()
+    txt = msg.content[0].text
+    m = re.search(r"\{.*\}", txt, re.DOTALL)
+    return json.loads(m.group(0) if m else txt)
+
+
+def post_process(data, units, regulation, model):
+    cmap = {u["review_unit_id"]: u["control_ids"] for u in units}
+    size = {u["review_unit_id"]: u["n_controls"] for u in units}
+    obls = []
+    for o in data.get("obligations", []):
+        rus = [r for r in (o.get("member_review_units") or []) if r in cmap]
+        members = sorted({c for ru in rus for c in cmap[ru]})
+        lb = o.get("legal_basis") or []
+        tier, review = o.get("tier", "BEST_PRACTICE"), "draft"
+        if tier == "LEGAL_MINIMUM" and not lb:
+            tier, review = "BEST_PRACTICE", "needs_legal_basis"
+        smc = o.get("source_meta_cluster") or (rus[0] if rus else "")
+        obls.append({
+            "id": o["id"], "name": o.get("name", ""), "description": o.get("description", ""),
+            "tier": tier, "subdomain": o.get("subdomain", ""),
+            "applicability": o.get("applicability", "universal"),
+            "evidence_facets": o.get("evidence_facets", {}), "source_role": o.get("source_role", ""),
+            "legal_basis": lb, "guidance_basis": o.get("guidance_basis") or [],
+            "member_review_units": rus, "member_controls": members, "member_count": len(members),
+            "relationships": [], "citation_anchor_ids": [], "citation_status": "pending_span_anchor",
+            "review_status": review,
+            "provenance": {"discovery_confidence": o.get("discovery_confidence"),
+                           "source_meta_cluster": smc, "cluster_size": size.get(smc),
+                           "llm_model": model, "synthesis_version": "v1"}})
+    rels = [r for r in data.get("relationships", [])
+            if r.get("type") in SEMANTIC_EDGE_TYPES or r.get("type") == "out_of_scope"]
+    return {"schema_version": "obligation_registry_v1", "regulation": regulation,
+            "generated_by": f"obligation_discovery/{model}", "synthesis_version": "v1",
+            "citation_status": "pending_span_anchor", "obligations": obls, "relationships": rels}
+
+
+def main() -> None:
+    ap = argparse.ArgumentParser()
+    ap.add_argument("--units", required=True)
+    ap.add_argument("--regulation", default="CRA")
+    ap.add_argument("--theme", default="")
+    ap.add_argument("--model", default="claude-opus-4-8")
+    ap.add_argument("--out", required=True)
+    a = ap.parse_args()
+    units = json.load(open(a.units, encoding="utf-8"))
+    data = synthesize(units, a.regulation, a.theme, a.model)
+    reg = post_process(data, units, a.regulation, a.model)
+    json.dump(reg, open(a.out, "w", encoding="utf-8"), ensure_ascii=False, indent=1)
+    o = reg["obligations"]
+    print(f"obligations: {len(o)} | tier: {dict(Counter(x['tier'] for x in o))}")
+    print(f"written: {a.out}")
+
+
+if __name__ == "__main__":
+    main()

scripts/obligation_discovery/validate_registry.py

@@ -0,0 +1,35 @@
+"""Stufe 4 — Validierung: belastbare Registry-Checks (kein LLM/Key).
+Prüft die User-Regeln: LEGAL_MINIMUM braucht legal_basis · member_controls vollständig ·
+out_of_scope separat · >8-Obligations/Review-Unit-Warnung. Exit-Code 1 bei hartem Fehler.
+
+  python3 scripts/obligation_discovery/validate_registry.py obligations/cra_authentication.json
+"""
+from __future__ import annotations
+
+import argparse
+import json
+import sys
+
+from _core import validate_registry
+
+
+def main() -> None:
+    ap = argparse.ArgumentParser()
+    ap.add_argument("registry")
+    a = ap.parse_args()
+    reg = json.load(open(a.registry, encoding="utf-8"))
+    v = validate_registry(reg)
+    print(f"=== validate {a.registry} ===")
+    print(f"  obligations:               {v['obligations']}")
+    print(f"  LEGAL_MINIMUM:             {v['legal_minimum']}")
+    print(f"  LM ohne legal_basis:       {v['lm_without_legal_basis'] or 'keine'}")
+    print(f"  member_controls leer:      {v['empty_member_controls'] or 'keine'}")
+    print(f"  >8 Obligations/Review-Unit: {v['over8_per_review_unit'] or 'keine'}")
+    print(f"  out_of_scope:              {v['out_of_scope']}")
+    print(f"  semantische Kanten:        {v['semantic_edges']}")
+    print(f"  PASSED: {v['passed']}")
+    sys.exit(0 if v["passed"] else 1)
+
+
+if __name__ == "__main__":
+    main()