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Author SHA1 Message Date
Benjamin Admin 659b37cc21 feat(ai-sdk): source_role control-pool — controls are not only technical_standard
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Live gate test showed control-intent (#36/#37) was inert for the EU cyber corpus:
"Welche Controls passen zu Security Updates?" recalls ENISA good-practices
(relevant measures, but source_class=supervisory_guidance) + binding regs, never
NIST — so lifting technical_standard above binding did nothing.

Per the finalized control-corpus model (User 2026-06-24): add source_role
(functional role) ORTHOGONAL to source_class (legal authority). source_class still
decides rank; source_role decides CONTROL-POOL membership. classifyRole derives 7
roles from markers (no re-tagging): obligation / operational_requirement /
procedural_requirement / control_standard / implementation_guidance /
interpretation / definition.

Control-intent now boosts the control-pool (operational/procedural requirement,
control standard, implementation guidance) over the abstract obligation, soft-
ordered op_req > procedural > standard > guidance (controlPoolGain + role bonus) —
replacing "lift technical_standard above binding". So CRA Annex I
(operational_requirement) wins over NIST (control_standard) for "which measures",
and ENISA (implementation_guidance) enters the pool while staying guidance.

Recall of not-retrieved standards (NIST) for generic control queries = next step
(searchControls). Tested: classifyRole table, role-preference, op_req-Top-1.

Co-Authored-By: Claude Opus 4.7 <noreply@anthropic.com>
2026-06-24 13:07:22 +02:00
Benjamin_Boenisch df7966656a feat(ai-sdk): classify NIST/OWASP/Grundschutz as technical_standard (#37)
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2026-06-24 10:15:17 +00:00
Benjamin_Boenisch 05d75e8039 feat(ai-sdk): control-intent — technical_standard may win implementation questions (#36)
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2026-06-24 09:58:35 +00:00
Benjamin_Boenisch e24a551ee4 fix(ai-sdk): make interpretation-intent override reliably win (#35)
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2026-06-24 09:31:58 +00:00
6 changed files with 296 additions and 30 deletions
+13 -3
View File
@@ -9,8 +9,8 @@ import (
// authorityInfo is the normative classification of a search result, used internally
// for re-ranking only (Phase 1 changes ordering, not the response contract).
type authorityInfo struct {
weight int // 100 binding_law, 70 guidance, 0 foreign_law, 50 unknown
sourceClass string // binding_law | supervisory_guidance | foreign_law | unknown
weight int // 100 binding, 80 technical_standard, 70 guidance, 0 foreign, 50 unknown
sourceClass string // binding_law | technical_standard | supervisory_guidance | foreign_law | unknown
jurisdiction string // DE | EU | CH
}
@@ -18,7 +18,13 @@ var (
guidanceMarkers = []string{
"DSK", "EDPB", "BfDI", "BFDI", "BayLfD", "Baylfb", "ENISA", "BSI", "EUCC",
"Standards Mapping", "Kpnr", "Orientierungshilfe", "Handreichung", "Beschluss",
"Leitlinie", "Guidance", "Empfehlung", "NIST", "OECD", "CISA", "Blue Guide",
"Leitlinie", "Guidance", "Empfehlung", "OECD", "CISA", "Blue Guide",
}
// Technical standards / control frameworks (best-practice controls). Checked BEFORE
// guidanceMarkers so a "BSI Grundschutz" chunk classifies as a standard, not BSI guidance.
standardMarkers = []string{
"NIST", "OWASP", "Grundschutz", "ISO 27001", "ISO/IEC 27001",
"CSA CCM", "Cloud Controls Matrix", "CIS Benchmark", "CIS Control",
}
foreignMarkers = []string{"RevDSG", "fedlex", "(CH)"}
deMarkers = []string{"BDSG", "DSK", "BfDI", "BFDI", "BayLfD", "Baylfb", "BSI"}
@@ -48,6 +54,8 @@ func classifyAuthority(r LegalSearchResult) authorityInfo {
switch {
case containsAny(hay, foreignMarkers):
return authorityInfo{weight: 0, sourceClass: "foreign_law", jurisdiction: "CH"}
case r.Category == "standard" || containsAny(hay, standardMarkers):
return authorityInfo{weight: 80, sourceClass: "technical_standard", jurisdiction: jur}
case r.Category == "guidance" || containsAny(hay, guidanceMarkers):
return authorityInfo{weight: 70, sourceClass: "supervisory_guidance", jurisdiction: jur}
case r.Category == "regulation" || r.Category == "eu_recht" || normPattern.MatchString(r.ArticleLabel):
@@ -61,6 +69,8 @@ func sourceClassFromWeight(w int) string {
switch {
case w >= 100:
return "binding_law"
case w >= 80:
return "technical_standard"
case w >= 70:
return "supervisory_guidance"
case w <= 0:
@@ -7,17 +7,17 @@ import (
// Re-ranking coefficients (validated in the offline golden harness; Phase A — conservative).
const (
authorityCoef = 0.40 // * weight/100
jurisdictionGain = 0.05 // binding/guidance from DE or EU
foreignPenalty = 0.60 // foreign law on a DE/EU question (demoted, not removed)
unknownPenalty = 0.08
domainMatchGain = 0.15
offDomainPenalty = 0.10 // off-domain binding (demoted, not removed)
scopePenalty = 0.25 // BDSG Teil 3 (law enforcement) on a general DP question
topicGain = 0.18 // amplifier only
supersededPenalty = 0.50 // superseded Alt-Quelle (pre-eu-v1): demoted, nicht versteckt
guidanceIntentGain = 0.25 // controlled guidance override on explicit interpretation intent
guidanceIntentMargin = 0.05 // ...only if the guideline is semantically competitive with binding
authorityCoef = 0.40 // * weight/100
jurisdictionGain = 0.05 // binding/guidance from DE or EU
foreignPenalty = 0.60 // foreign law on a DE/EU question (demoted, not removed)
unknownPenalty = 0.08
domainMatchGain = 0.15
offDomainPenalty = 0.10 // off-domain binding (demoted, not removed)
scopePenalty = 0.25 // BDSG Teil 3 (law enforcement) on a general DP question
topicGain = 0.18 // amplifier only
supersededPenalty = 0.50 // superseded Alt-Quelle (pre-eu-v1): demoted, nicht versteckt
intentLiftGain = 0.10 // epsilon a qualifying interpretative source is lifted ABOVE the best binding
intentLiftMargin = 0.05 // ...only if that source is semantically competitive with binding
)
// guidanceIntentSignals mark a query that EXPLICITLY asks for an interpretation /
@@ -29,10 +29,19 @@ var guidanceIntentSignals = []string{
"auslegung", "empfiehlt", "empfehlung", "sagt", "laut",
}
// queryWantsGuidance reports whether the query explicitly asks for guidance/interpretation.
func queryWantsGuidance(query string) bool {
// controlIntentSignals mark a query that asks HOW to implement / which controls or
// measures fit — rather than WHAT the binding obligation is. Only then may a
// (semantically competitive) technical_standard outrank the binding norm.
var controlIntentSignals = []string{
"control", "controls", "maßnahme", "massnahme", "schutzmaßnahme",
"best practice", "best-practice", "umsetzen", "implementier", "absicher",
"härt", "haert", "hardening", "nist", "owasp", "grundschutz",
"ccm", "iso 27001", "isms",
}
func queryMatchesAny(query string, signals []string) bool {
q := strings.ToLower(query)
for _, sig := range guidanceIntentSignals {
for _, sig := range signals {
if strings.Contains(q, sig) {
return true
}
@@ -40,16 +49,22 @@ func queryWantsGuidance(query string) bool {
return false
}
// queryWantsGuidance reports whether the query explicitly asks for guidance/interpretation.
func queryWantsGuidance(query string) bool { return queryMatchesAny(query, guidanceIntentSignals) }
// queryWantsControls reports whether the query asks for implementation controls/measures.
func queryWantsControls(query string) bool { return queryMatchesAny(query, controlIntentSignals) }
// bestBindingSemantic returns the highest RAW semantic score among binding-law
// results (0 if none / intent not requested). Used as the guard threshold so an
// off-topic guideline cannot ride the interpretation-intent boost.
func bestBindingSemantic(results []LegalSearchResult, wantsGuidance bool) float64 {
if !wantsGuidance {
// results (0 if none / no intent). Used as the guard threshold so an off-topic
// interpretative source cannot ride the intent boost.
func bestBindingSemantic(results []LegalSearchResult, wantsIntent bool) float64 {
if !wantsIntent {
return 0
}
best := 0.0
for _, r := range results {
if r.SourceClass == "binding_law" && r.Score > best {
if classifyAuthority(r).sourceClass == "binding_law" && r.Score > best {
best = r.Score
}
}
@@ -104,23 +119,53 @@ func rerankByAuthority(query string, results []LegalSearchResult) []LegalSearchR
qDomain := queryDomain(query)
qForeign := queryIsForeign(query)
wantsGuidance := queryWantsGuidance(query)
wantsControls := queryWantsControls(query)
bestBindingSem := bestBindingSemantic(results, wantsGuidance)
out := make([]LegalSearchResult, len(results))
copy(out, results)
for i := range out {
out[i].Score = authorityScore(query, out[i], qDomain, qForeign)
// Interpretations-Intent (eng begrenzt): NUR wenn die Query explizit nach
// Guidance/Auslegung fragt UND die Leitlinie semantisch konkurrenzfaehig ist
// (>= bester binding-Treffer - margin), darf supervisory_guidance die bindende
// Norm ueberholen. Sonst bleibt binding > guidance (Normfrage unveraendert).
if wantsGuidance && out[i].SourceClass == "supervisory_guidance" &&
results[i].Score >= bestBindingSem-guidanceIntentMargin {
out[i].Score += guidanceIntentGain
}
}
// Explicit interpretation intent → a competitive guideline may outrank binding (lift
// above the best binding FINAL). Explicit implementation intent → boost the CONTROL-POOL
// (operational/procedural requirement, control standard, implementation guidance) over
// the abstract obligation, soft-ordered by role. Norm questions (neither) stay untouched.
if wantsGuidance {
liftAboveBinding(out, results, bestBindingSem, "supervisory_guidance")
}
if wantsControls {
applyControlRoles(out)
}
sort.SliceStable(out, func(a, b int) bool {
return out[a].Score > out[b].Score
})
return out
}
// liftAboveBinding lifts a semantically-competitive interpretative source (the given
// sourceClass — supervisory_guidance or technical_standard) just ABOVE the best binding
// hit, ordered by semantic, so an EXPLICIT guidance/implementation question can return
// that source Top-1. A pure norm question (no intent → not called) keeps binding on top.
// Sources below the semantic margin are left untouched, so an off-topic source can never
// ride the override — and the lift is from the binding FINAL score, so authority/topic/
// domain bonuses cannot edge it out.
func liftAboveBinding(out, raw []LegalSearchResult, bestBindingSem float64, sourceClass string) {
bestBindingFinal := 0.0
for i := range out {
if classifyAuthority(out[i]).sourceClass == "binding_law" && out[i].Score > bestBindingFinal {
bestBindingFinal = out[i].Score
}
}
for i := range out {
// Classify (not raw payload) so the untagged legacy corpus — e.g. NIST ingested
// before source_class tagging — is still recognized as its interpretative class.
if classifyAuthority(out[i]).sourceClass != sourceClass || raw[i].Score < bestBindingSem-intentLiftMargin {
continue
}
lifted := bestBindingFinal + intentLiftGain + (raw[i].Score - bestBindingSem)
if lifted > out[i].Score {
out[i].Score = lifted
}
}
}
@@ -14,6 +14,10 @@ func TestClassifyAuthority(t *testing.T) {
{"tagged guidance DE", LegalSearchResult{AuthorityWeight: 70, SourceClass: "supervisory_guidance", Jurisdiction: "DE"}, 70, "supervisory_guidance", "DE"},
{"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"},
{"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"},
{"untagged CRA binding", LegalSearchResult{RegulationShort: "CRA", ArticleLabel: "Art. 13 CRA", Category: "regulation"}, 100, "binding_law", "EU"},
{"untagged BDSG binding DE", LegalSearchResult{RegulationShort: "BDSG", ArticleLabel: "§ 38 BDSG"}, 100, "binding_law", "DE"},
{"untagged RevDSG foreign", LegalSearchResult{RegulationShort: "RevDSG", ArticleLabel: "RevDSG (CH)"}, 0, "foreign_law", "CH"},
@@ -0,0 +1,94 @@
package ucca
import "strings"
// source_role is the FUNCTIONAL role of a chunk — WHAT must be done (obligation),
// HOW to implement it (operational/procedural requirement, control standard,
// implementation guidance), or how to READ the norm (interpretation/definition).
// It is ORTHOGONAL to source_class (legal authority): source_class decides RANK,
// source_role decides CONTROL-POOL membership for implementation questions.
// Derived deterministically from markers, so the untagged corpus needs no re-tag.
const (
roleObligation = "obligation" // the abstract duty (the WHAT)
roleOperationalReq = "operational_requirement" // concrete binding requirement (CRA Annex I)
roleProceduralReq = "procedural_requirement" // a process: notification/registration/DPIA/incident report
roleControlStandard = "control_standard" // best-practice control catalog (NIST/OWASP/ISO/CIS)
roleImplGuidance = "implementation_guidance" // advisory how-to (ENISA good practices, BSI)
roleInterpretation = "interpretation" // interprets the norm's MEANING (EDPB guideline)
roleDefinition = "definition" // definitions / scope / recitals
)
var (
proceduralMarkers = []string{
"Meldung", "Meldepflicht", "Notification", "Notifizierung", "Registrierung",
"Registration", "Konformitätserklärung", "Declaration of Conformity", "Incident",
"Berichterstattung", "Reporting", "Folgenabschätzung", "DSFA", "DPIA", "Anzeigepflicht",
}
annexMarkers = []string{"Anhang", "Annex", "Appendix", "Anlage"}
operationalMarkers = []string{"Anforderung", "Requirement", "essential", "wesentliche"}
implMarkers = []string{
"Good Practice", "Best Practice", "Standards Mapping", "Umsetzung", "Implementation",
"Handreichung", "Maßnahmenkatalog", "ICS", "SCADA", "Technical Guideline", "TIG",
}
definitionMarkers = []string{"Begriffsbestimmung", "Definition"}
)
// classifyRole derives the functional source_role from chunk metadata + the authority
// class. technical_standard is always a control_standard; guidance splits into
// implementation_guidance (how-to) vs interpretation (meaning); binding splits into
// procedural / operational requirement / definition / plain obligation.
func classifyRole(r LegalSearchResult) string {
cls := classifyAuthority(r).sourceClass
hay := strings.ToLower(r.ArticleLabel + " " + r.RegulationShort + " " + r.RegulationName + " " + r.Article)
switch {
case r.IsRecital:
return roleDefinition
case cls == "technical_standard":
return roleControlStandard
case cls == "supervisory_guidance":
if containsAnyLower(hay, implMarkers) {
return roleImplGuidance
}
return roleInterpretation
case cls == "binding_law":
switch {
case containsAnyLower(hay, definitionMarkers):
return roleDefinition
case containsAnyLower(hay, proceduralMarkers):
return roleProceduralReq
case containsAnyLower(hay, annexMarkers) || containsAnyLower(hay, operationalMarkers):
return roleOperationalReq
default:
return roleObligation
}
default:
return roleObligation
}
}
// controlRoleBonus is the soft intra-pool preference (User 2026-06-24):
// operational_requirement > procedural_requirement > control_standard > implementation_guidance.
var controlRoleBonus = map[string]float64{
roleOperationalReq: 0.100,
roleProceduralReq: 0.075,
roleControlStandard: 0.050,
roleImplGuidance: 0.000,
}
// controlPoolGain lifts EVERY control-pool role over the non-control roles (obligation/
// interpretation/definition) on an implementation question, so the binding abstract
// obligation does not dominate by authority alone. The obligation is not removed — it
// stays visible as "Rechtsgrundlage" context below the recommended measures.
const controlPoolGain = 0.15
// applyControlRoles boosts the control-pool (the four implementation roles) for an
// EXPLICIT implementation question, soft-ordered op_req > procedural > standard > guidance.
// Replaces the earlier "lift technical_standard above binding" — controls are not only
// technical_standard, and the binding operational_requirement (e.g. CRA Annex I) should win.
func applyControlRoles(out []LegalSearchResult) {
for i := range out {
if bonus, ok := controlRoleBonus[classifyRole(out[i])]; ok {
out[i].Score += controlPoolGain + bonus
}
}
}
@@ -0,0 +1,50 @@
package ucca
import "testing"
func TestClassifyRole(t *testing.T) {
tests := []struct {
name string
r LegalSearchResult
want string
}{
{"NIST -> control_standard", LegalSearchResult{RegulationShort: "NIST SP 800-82r3", ArticleLabel: "AU-8"}, roleControlStandard},
{"OWASP -> control_standard", LegalSearchResult{RegulationShort: "OWASP ASVS"}, roleControlStandard},
{"CRA Anhang -> operational_requirement", LegalSearchResult{RegulationShort: "CRA", ArticleLabel: "CRA Anhang I", Category: "regulation"}, roleOperationalReq},
{"CRA Meldepflicht -> procedural_requirement", LegalSearchResult{RegulationShort: "CRA", ArticleLabel: "Art. 14 CRA Meldepflicht", Category: "regulation"}, roleProceduralReq},
{"ENISA Good Practices -> implementation_guidance", LegalSearchResult{RegulationShort: "ENISA Supply Chain Good Practices"}, roleImplGuidance},
{"EDPB Leitlinie -> interpretation", LegalSearchResult{RegulationShort: "EDPB DPO", ArticleLabel: "WP243 Leitlinien Datenschutzbeauftragte"}, roleInterpretation},
{"DORA article -> obligation", LegalSearchResult{RegulationShort: "DORA", ArticleLabel: "Art. 5 DORA", Category: "regulation"}, roleObligation},
{"DSGVO Begriffsbestimmungen -> definition", LegalSearchResult{RegulationShort: "DSGVO", ArticleLabel: "Art. 4 DSGVO Begriffsbestimmungen", Category: "regulation"}, roleDefinition},
{"recital -> definition", LegalSearchResult{RegulationShort: "CRA", IsRecital: true}, roleDefinition},
}
for _, tt := range tests {
t.Run(tt.name, func(t *testing.T) {
if got := classifyRole(tt.r); got != tt.want {
t.Errorf("classifyRole() = %q, want %q", got, tt.want)
}
})
}
}
func TestApplyControlRoles_PoolPreference(t *testing.T) {
// op_req > procedural > control_standard > impl_guidance; non-control roles get no boost.
roles := []struct {
r LegalSearchResult
wantGain float64
}{
{LegalSearchResult{ArticleLabel: "CRA Anhang I", Category: "regulation"}, controlPoolGain + 0.100},
{LegalSearchResult{ArticleLabel: "Art. 14 CRA Meldepflicht", Category: "regulation"}, controlPoolGain + 0.075},
{LegalSearchResult{RegulationShort: "NIST SP 800-53"}, controlPoolGain + 0.050},
{LegalSearchResult{RegulationShort: "ENISA Good Practices"}, controlPoolGain + 0.000},
{LegalSearchResult{ArticleLabel: "Art. 5 DORA", Category: "regulation"}, 0.0}, // obligation: no boost
}
for _, rc := range roles {
out := []LegalSearchResult{rc.r}
out[0].Score = 1.0
applyControlRoles(out)
if got := out[0].Score - 1.0; got < rc.wantGain-1e-9 || got > rc.wantGain+1e-9 {
t.Errorf("role %q: gain %.3f, want %.3f", classifyRole(rc.r), got, rc.wantGain)
}
}
}
@@ -70,3 +70,66 @@ func TestRerank_OffTopicGuidance_BlockedByGuard(t *testing.T) {
t.Errorf("off-topic guidance must not win even with intent, got %s", out[0].SourceClass)
}
}
func TestQueryWantsControls(t *testing.T) {
wants := []string{
"Welche Controls passen zu Security Updates?",
"Welche Maßnahmen sollten wir umsetzen?",
"Wie härten wir den Server ab?",
"Gibt es NIST-Controls dafür?",
"OWASP Best Practice für Logging?",
"BSI Grundschutz Bausteine",
}
plain := []string{
"Welche Anforderungen bestehen an Security Updates?",
"Ab wann braucht man einen Datenschutzbeauftragten?",
}
for _, q := range wants {
if !queryWantsControls(q) {
t.Errorf("should detect control/implementation intent: %q", q)
}
}
for _, q := range plain {
if queryWantsControls(q) {
t.Errorf("should NOT detect control intent (norm question): %q", q)
}
}
}
func TestRerank_ControlQuestion_OperationalReqTop(t *testing.T) {
// User priority for implementation questions: operational_requirement (binding concrete,
// CRA Anhang I) > control_standard (NIST). Both are in the control-pool; op_req wins.
results := []LegalSearchResult{
{RegulationShort: "NIST SP 800-82r3", ArticleLabel: "AU-8", SourceClass: "technical_standard", AuthorityWeight: 80, Jurisdiction: "EU", Score: 0.60},
{RegulationShort: "CRA", ArticleLabel: "CRA Anhang I", Category: "regulation", Score: 0.58},
}
out := rerankByAuthority("Welche Controls und Massnahmen passen zu Security Updates?", results)
if out[0].RegulationShort != "CRA" {
t.Errorf("operational_requirement (CRA Anhang I) should be Top-1 over control_standard, got %q", out[0].RegulationShort)
}
}
func TestRerank_NormQuestion_BindingOverStandard(t *testing.T) {
// "Anforderungen" → no control intent → binding obligation stays Top-1 over the standard.
results := []LegalSearchResult{
intentRes("NIST SP 800-82", "technical_standard", 0.62, 80),
intentRes("CRA", "binding_law", 0.58, 100),
}
out := rerankByAuthority("Welche Anforderungen bestehen an Security Updates?", results)
if out[0].SourceClass != "binding_law" {
t.Errorf("norm question: binding must stay Top-1 over standard, got %s", out[0].SourceClass)
}
}
func TestRerank_ControlQuestion_PoolBeatsBareObligation(t *testing.T) {
// A control-pool source (NIST control_standard) outranks an abstract obligation with no
// domain/topic advantage, because the implementation intent boosts the control-pool.
results := []LegalSearchResult{
{RegulationShort: "NIST SP 800-82r3", ArticleLabel: "AU-8", SourceClass: "technical_standard", AuthorityWeight: 80, Jurisdiction: "EU", Score: 0.55},
{RegulationShort: "XYZ", ArticleLabel: "Art. 5 XYZ", Category: "regulation", Score: 0.58},
}
out := rerankByAuthority("Welche Controls und Massnahmen passen zu Security Updates?", results)
if out[0].RegulationShort != "NIST SP 800-82r3" {
t.Errorf("control_standard should beat a bare abstract obligation on a control question, got %q", out[0].RegulationShort)
}
}