Compare commits
1 Commits
| Author | SHA1 | Date | |
|---|---|---|---|
| ae73904ad5 |
@@ -9,8 +9,8 @@ import (
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// authorityInfo is the normative classification of a search result, used internally
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// for re-ranking only (Phase 1 changes ordering, not the response contract).
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type authorityInfo struct {
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weight int // 100 binding, 80 technical_standard, 70 guidance, 0 foreign, 50 unknown
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sourceClass string // binding_law | technical_standard | supervisory_guidance | foreign_law | unknown
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weight int // 100 binding_law, 70 guidance, 0 foreign_law, 50 unknown
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sourceClass string // binding_law | supervisory_guidance | foreign_law | unknown
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jurisdiction string // DE | EU | CH
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}
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@@ -18,13 +18,7 @@ var (
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guidanceMarkers = []string{
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"DSK", "EDPB", "BfDI", "BFDI", "BayLfD", "Baylfb", "ENISA", "BSI", "EUCC",
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"Standards Mapping", "Kpnr", "Orientierungshilfe", "Handreichung", "Beschluss",
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"Leitlinie", "Guidance", "Empfehlung", "OECD", "CISA", "Blue Guide",
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}
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// Technical standards / control frameworks (best-practice controls). Checked BEFORE
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// guidanceMarkers so a "BSI Grundschutz" chunk classifies as a standard, not BSI guidance.
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standardMarkers = []string{
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"NIST", "OWASP", "Grundschutz", "ISO 27001", "ISO/IEC 27001",
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"CSA CCM", "Cloud Controls Matrix", "CIS Benchmark", "CIS Control",
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"Leitlinie", "Guidance", "Empfehlung", "NIST", "OECD", "CISA", "Blue Guide",
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}
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foreignMarkers = []string{"RevDSG", "fedlex", "(CH)"}
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deMarkers = []string{"BDSG", "DSK", "BfDI", "BFDI", "BayLfD", "Baylfb", "BSI"}
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@@ -54,8 +48,6 @@ func classifyAuthority(r LegalSearchResult) authorityInfo {
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switch {
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case containsAny(hay, foreignMarkers):
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return authorityInfo{weight: 0, sourceClass: "foreign_law", jurisdiction: "CH"}
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case r.Category == "standard" || containsAny(hay, standardMarkers):
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return authorityInfo{weight: 80, sourceClass: "technical_standard", jurisdiction: jur}
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case r.Category == "guidance" || containsAny(hay, guidanceMarkers):
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return authorityInfo{weight: 70, sourceClass: "supervisory_guidance", jurisdiction: jur}
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case r.Category == "regulation" || r.Category == "eu_recht" || normPattern.MatchString(r.ArticleLabel):
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@@ -69,8 +61,6 @@ func sourceClassFromWeight(w int) string {
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switch {
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case w >= 100:
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return "binding_law"
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case w >= 80:
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return "technical_standard"
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case w >= 70:
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return "supervisory_guidance"
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case w <= 0:
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@@ -7,17 +7,17 @@ import (
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// Re-ranking coefficients (validated in the offline golden harness; Phase A — conservative).
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const (
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authorityCoef = 0.40 // * weight/100
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jurisdictionGain = 0.05 // binding/guidance from DE or EU
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foreignPenalty = 0.60 // foreign law on a DE/EU question (demoted, not removed)
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unknownPenalty = 0.08
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domainMatchGain = 0.15
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offDomainPenalty = 0.10 // off-domain binding (demoted, not removed)
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scopePenalty = 0.25 // BDSG Teil 3 (law enforcement) on a general DP question
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topicGain = 0.18 // amplifier only
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supersededPenalty = 0.50 // superseded Alt-Quelle (pre-eu-v1): demoted, nicht versteckt
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intentLiftGain = 0.10 // epsilon a qualifying interpretative source is lifted ABOVE the best binding
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intentLiftMargin = 0.05 // ...only if that source is semantically competitive with binding
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authorityCoef = 0.40 // * weight/100
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jurisdictionGain = 0.05 // binding/guidance from DE or EU
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foreignPenalty = 0.60 // foreign law on a DE/EU question (demoted, not removed)
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unknownPenalty = 0.08
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domainMatchGain = 0.15
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offDomainPenalty = 0.10 // off-domain binding (demoted, not removed)
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scopePenalty = 0.25 // BDSG Teil 3 (law enforcement) on a general DP question
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topicGain = 0.18 // amplifier only
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supersededPenalty = 0.50 // superseded Alt-Quelle (pre-eu-v1): demoted, nicht versteckt
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guidanceIntentGain = 0.25 // controlled guidance override on explicit interpretation intent
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guidanceIntentMargin = 0.05 // ...only if the guideline is semantically competitive with binding
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)
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// guidanceIntentSignals mark a query that EXPLICITLY asks for an interpretation /
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@@ -29,19 +29,10 @@ var guidanceIntentSignals = []string{
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"auslegung", "empfiehlt", "empfehlung", "sagt", "laut",
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}
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// controlIntentSignals mark a query that asks HOW to implement / which controls or
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// measures fit — rather than WHAT the binding obligation is. Only then may a
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// (semantically competitive) technical_standard outrank the binding norm.
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var controlIntentSignals = []string{
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"control", "controls", "maßnahme", "massnahme", "schutzmaßnahme",
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"best practice", "best-practice", "umsetzen", "implementier", "absicher",
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"härt", "haert", "hardening", "nist", "owasp", "grundschutz",
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"ccm", "iso 27001", "isms",
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}
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func queryMatchesAny(query string, signals []string) bool {
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// queryWantsGuidance reports whether the query explicitly asks for guidance/interpretation.
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func queryWantsGuidance(query string) bool {
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q := strings.ToLower(query)
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for _, sig := range signals {
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for _, sig := range guidanceIntentSignals {
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if strings.Contains(q, sig) {
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return true
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}
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@@ -49,22 +40,16 @@ func queryMatchesAny(query string, signals []string) bool {
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return false
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}
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// queryWantsGuidance reports whether the query explicitly asks for guidance/interpretation.
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func queryWantsGuidance(query string) bool { return queryMatchesAny(query, guidanceIntentSignals) }
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// queryWantsControls reports whether the query asks for implementation controls/measures.
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func queryWantsControls(query string) bool { return queryMatchesAny(query, controlIntentSignals) }
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// bestBindingSemantic returns the highest RAW semantic score among binding-law
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// results (0 if none / no intent). Used as the guard threshold so an off-topic
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// interpretative source cannot ride the intent boost.
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func bestBindingSemantic(results []LegalSearchResult, wantsIntent bool) float64 {
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if !wantsIntent {
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// results (0 if none / intent not requested). Used as the guard threshold so an
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// off-topic guideline cannot ride the interpretation-intent boost.
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func bestBindingSemantic(results []LegalSearchResult, wantsGuidance bool) float64 {
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if !wantsGuidance {
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return 0
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}
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best := 0.0
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for _, r := range results {
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if classifyAuthority(r).sourceClass == "binding_law" && r.Score > best {
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if r.SourceClass == "binding_law" && r.Score > best {
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best = r.Score
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}
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}
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@@ -119,53 +104,23 @@ func rerankByAuthority(query string, results []LegalSearchResult) []LegalSearchR
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qDomain := queryDomain(query)
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qForeign := queryIsForeign(query)
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wantsGuidance := queryWantsGuidance(query)
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wantsControls := queryWantsControls(query)
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bestBindingSem := bestBindingSemantic(results, wantsGuidance)
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out := make([]LegalSearchResult, len(results))
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copy(out, results)
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for i := range out {
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out[i].Score = authorityScore(query, out[i], qDomain, qForeign)
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}
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// Explicit interpretation intent → a competitive guideline may outrank binding (lift
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// above the best binding FINAL). Explicit implementation intent → boost the CONTROL-POOL
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// (operational/procedural requirement, control standard, implementation guidance) over
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// the abstract obligation, soft-ordered by role. Norm questions (neither) stay untouched.
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if wantsGuidance {
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liftAboveBinding(out, results, bestBindingSem, "supervisory_guidance")
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}
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if wantsControls {
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applyControlRoles(out)
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// Interpretations-Intent (eng begrenzt): NUR wenn die Query explizit nach
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// Guidance/Auslegung fragt UND die Leitlinie semantisch konkurrenzfaehig ist
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// (>= bester binding-Treffer - margin), darf supervisory_guidance die bindende
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// Norm ueberholen. Sonst bleibt binding > guidance (Normfrage unveraendert).
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if wantsGuidance && out[i].SourceClass == "supervisory_guidance" &&
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results[i].Score >= bestBindingSem-guidanceIntentMargin {
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out[i].Score += guidanceIntentGain
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}
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}
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sort.SliceStable(out, func(a, b int) bool {
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return out[a].Score > out[b].Score
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})
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return out
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}
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// liftAboveBinding lifts a semantically-competitive interpretative source (the given
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// sourceClass — supervisory_guidance or technical_standard) just ABOVE the best binding
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// hit, ordered by semantic, so an EXPLICIT guidance/implementation question can return
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// that source Top-1. A pure norm question (no intent → not called) keeps binding on top.
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// Sources below the semantic margin are left untouched, so an off-topic source can never
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// ride the override — and the lift is from the binding FINAL score, so authority/topic/
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// domain bonuses cannot edge it out.
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func liftAboveBinding(out, raw []LegalSearchResult, bestBindingSem float64, sourceClass string) {
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bestBindingFinal := 0.0
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for i := range out {
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if classifyAuthority(out[i]).sourceClass == "binding_law" && out[i].Score > bestBindingFinal {
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bestBindingFinal = out[i].Score
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}
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}
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for i := range out {
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// Classify (not raw payload) so the untagged legacy corpus — e.g. NIST ingested
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// before source_class tagging — is still recognized as its interpretative class.
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if classifyAuthority(out[i]).sourceClass != sourceClass || raw[i].Score < bestBindingSem-intentLiftMargin {
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continue
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}
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lifted := bestBindingFinal + intentLiftGain + (raw[i].Score - bestBindingSem)
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if lifted > out[i].Score {
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out[i].Score = lifted
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}
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}
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}
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@@ -14,10 +14,6 @@ func TestClassifyAuthority(t *testing.T) {
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{"tagged guidance DE", LegalSearchResult{AuthorityWeight: 70, SourceClass: "supervisory_guidance", Jurisdiction: "DE"}, 70, "supervisory_guidance", "DE"},
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{"tagged foreign CH", LegalSearchResult{AuthorityWeight: 0, SourceClass: "foreign_law", Jurisdiction: "CH"}, 0, "foreign_law", "CH"},
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{"untagged ENISA guidance", LegalSearchResult{RegulationShort: "ENISA", ArticleLabel: "ENISA CRA Standards Mapping"}, 70, "supervisory_guidance", "EU"},
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{"untagged NIST standard", LegalSearchResult{RegulationShort: "NIST SP 800-82r3", ArticleLabel: "AU-8"}, 80, "technical_standard", "EU"},
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{"BSI Grundschutz standard beats BSI guidance", LegalSearchResult{RegulationShort: "BSI Grundschutz", ArticleLabel: "BSI Grundschutz Baustein"}, 80, "technical_standard", "DE"},
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{"weight-only 85 TRGS standard", LegalSearchResult{AuthorityWeight: 85, RegulationShort: "TRGS 529"}, 85, "technical_standard", "EU"},
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{"tagged technical_standard", LegalSearchResult{AuthorityWeight: 80, SourceClass: "technical_standard", Jurisdiction: "EU"}, 80, "technical_standard", "EU"},
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{"untagged CRA binding", LegalSearchResult{RegulationShort: "CRA", ArticleLabel: "Art. 13 CRA", Category: "regulation"}, 100, "binding_law", "EU"},
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{"untagged BDSG binding DE", LegalSearchResult{RegulationShort: "BDSG", ArticleLabel: "§ 38 BDSG"}, 100, "binding_law", "DE"},
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{"untagged RevDSG foreign", LegalSearchResult{RegulationShort: "RevDSG", ArticleLabel: "RevDSG (CH)"}, 0, "foreign_law", "CH"},
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@@ -1,94 +0,0 @@
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package ucca
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import "strings"
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// source_role is the FUNCTIONAL role of a chunk — WHAT must be done (obligation),
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// HOW to implement it (operational/procedural requirement, control standard,
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// implementation guidance), or how to READ the norm (interpretation/definition).
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// It is ORTHOGONAL to source_class (legal authority): source_class decides RANK,
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// source_role decides CONTROL-POOL membership for implementation questions.
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// Derived deterministically from markers, so the untagged corpus needs no re-tag.
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const (
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roleObligation = "obligation" // the abstract duty (the WHAT)
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roleOperationalReq = "operational_requirement" // concrete binding requirement (CRA Annex I)
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roleProceduralReq = "procedural_requirement" // a process: notification/registration/DPIA/incident report
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roleControlStandard = "control_standard" // best-practice control catalog (NIST/OWASP/ISO/CIS)
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roleImplGuidance = "implementation_guidance" // advisory how-to (ENISA good practices, BSI)
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roleInterpretation = "interpretation" // interprets the norm's MEANING (EDPB guideline)
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roleDefinition = "definition" // definitions / scope / recitals
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)
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var (
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proceduralMarkers = []string{
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"Meldung", "Meldepflicht", "Notification", "Notifizierung", "Registrierung",
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"Registration", "Konformitätserklärung", "Declaration of Conformity", "Incident",
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"Berichterstattung", "Reporting", "Folgenabschätzung", "DSFA", "DPIA", "Anzeigepflicht",
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}
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annexMarkers = []string{"Anhang", "Annex", "Appendix", "Anlage"}
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operationalMarkers = []string{"Anforderung", "Requirement", "essential", "wesentliche"}
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implMarkers = []string{
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"Good Practice", "Best Practice", "Standards Mapping", "Umsetzung", "Implementation",
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"Handreichung", "Maßnahmenkatalog", "ICS", "SCADA", "Technical Guideline", "TIG",
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}
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definitionMarkers = []string{"Begriffsbestimmung", "Definition"}
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)
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// classifyRole derives the functional source_role from chunk metadata + the authority
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// class. technical_standard is always a control_standard; guidance splits into
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// implementation_guidance (how-to) vs interpretation (meaning); binding splits into
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// procedural / operational requirement / definition / plain obligation.
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func classifyRole(r LegalSearchResult) string {
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cls := classifyAuthority(r).sourceClass
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hay := strings.ToLower(r.ArticleLabel + " " + r.RegulationShort + " " + r.RegulationName + " " + r.Article)
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switch {
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case r.IsRecital:
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return roleDefinition
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case cls == "technical_standard":
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return roleControlStandard
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case cls == "supervisory_guidance":
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if containsAnyLower(hay, implMarkers) {
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return roleImplGuidance
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}
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return roleInterpretation
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case cls == "binding_law":
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switch {
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case containsAnyLower(hay, definitionMarkers):
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return roleDefinition
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case containsAnyLower(hay, proceduralMarkers):
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return roleProceduralReq
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case containsAnyLower(hay, annexMarkers) || containsAnyLower(hay, operationalMarkers):
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return roleOperationalReq
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default:
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return roleObligation
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}
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default:
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return roleObligation
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}
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}
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// controlRoleBonus is the soft intra-pool preference (User 2026-06-24):
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// operational_requirement > procedural_requirement > control_standard > implementation_guidance.
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var controlRoleBonus = map[string]float64{
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roleOperationalReq: 0.100,
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roleProceduralReq: 0.075,
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roleControlStandard: 0.050,
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roleImplGuidance: 0.000,
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}
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// controlPoolGain lifts EVERY control-pool role over the non-control roles (obligation/
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// interpretation/definition) on an implementation question, so the binding abstract
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// obligation does not dominate by authority alone. The obligation is not removed — it
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// stays visible as "Rechtsgrundlage" context below the recommended measures.
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const controlPoolGain = 0.15
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// applyControlRoles boosts the control-pool (the four implementation roles) for an
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// EXPLICIT implementation question, soft-ordered op_req > procedural > standard > guidance.
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// Replaces the earlier "lift technical_standard above binding" — controls are not only
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// technical_standard, and the binding operational_requirement (e.g. CRA Annex I) should win.
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func applyControlRoles(out []LegalSearchResult) {
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for i := range out {
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if bonus, ok := controlRoleBonus[classifyRole(out[i])]; ok {
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out[i].Score += controlPoolGain + bonus
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}
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}
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}
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@@ -1,50 +0,0 @@
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package ucca
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import "testing"
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func TestClassifyRole(t *testing.T) {
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tests := []struct {
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name string
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r LegalSearchResult
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want string
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}{
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{"NIST -> control_standard", LegalSearchResult{RegulationShort: "NIST SP 800-82r3", ArticleLabel: "AU-8"}, roleControlStandard},
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{"OWASP -> control_standard", LegalSearchResult{RegulationShort: "OWASP ASVS"}, roleControlStandard},
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{"CRA Anhang -> operational_requirement", LegalSearchResult{RegulationShort: "CRA", ArticleLabel: "CRA Anhang I", Category: "regulation"}, roleOperationalReq},
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{"CRA Meldepflicht -> procedural_requirement", LegalSearchResult{RegulationShort: "CRA", ArticleLabel: "Art. 14 CRA Meldepflicht", Category: "regulation"}, roleProceduralReq},
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{"ENISA Good Practices -> implementation_guidance", LegalSearchResult{RegulationShort: "ENISA Supply Chain Good Practices"}, roleImplGuidance},
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{"EDPB Leitlinie -> interpretation", LegalSearchResult{RegulationShort: "EDPB DPO", ArticleLabel: "WP243 Leitlinien Datenschutzbeauftragte"}, roleInterpretation},
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{"DORA article -> obligation", LegalSearchResult{RegulationShort: "DORA", ArticleLabel: "Art. 5 DORA", Category: "regulation"}, roleObligation},
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{"DSGVO Begriffsbestimmungen -> definition", LegalSearchResult{RegulationShort: "DSGVO", ArticleLabel: "Art. 4 DSGVO Begriffsbestimmungen", Category: "regulation"}, roleDefinition},
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{"recital -> definition", LegalSearchResult{RegulationShort: "CRA", IsRecital: true}, roleDefinition},
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}
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for _, tt := range tests {
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t.Run(tt.name, func(t *testing.T) {
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if got := classifyRole(tt.r); got != tt.want {
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t.Errorf("classifyRole() = %q, want %q", got, tt.want)
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}
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})
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}
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}
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func TestApplyControlRoles_PoolPreference(t *testing.T) {
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// op_req > procedural > control_standard > impl_guidance; non-control roles get no boost.
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roles := []struct {
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r LegalSearchResult
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wantGain float64
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}{
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{LegalSearchResult{ArticleLabel: "CRA Anhang I", Category: "regulation"}, controlPoolGain + 0.100},
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{LegalSearchResult{ArticleLabel: "Art. 14 CRA Meldepflicht", Category: "regulation"}, controlPoolGain + 0.075},
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{LegalSearchResult{RegulationShort: "NIST SP 800-53"}, controlPoolGain + 0.050},
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{LegalSearchResult{RegulationShort: "ENISA Good Practices"}, controlPoolGain + 0.000},
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{LegalSearchResult{ArticleLabel: "Art. 5 DORA", Category: "regulation"}, 0.0}, // obligation: no boost
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}
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for _, rc := range roles {
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out := []LegalSearchResult{rc.r}
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out[0].Score = 1.0
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applyControlRoles(out)
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if got := out[0].Score - 1.0; got < rc.wantGain-1e-9 || got > rc.wantGain+1e-9 {
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t.Errorf("role %q: gain %.3f, want %.3f", classifyRole(rc.r), got, rc.wantGain)
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}
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}
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}
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@@ -70,66 +70,3 @@ func TestRerank_OffTopicGuidance_BlockedByGuard(t *testing.T) {
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t.Errorf("off-topic guidance must not win even with intent, got %s", out[0].SourceClass)
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}
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}
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func TestQueryWantsControls(t *testing.T) {
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wants := []string{
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"Welche Controls passen zu Security Updates?",
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"Welche Maßnahmen sollten wir umsetzen?",
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"Wie härten wir den Server ab?",
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"Gibt es NIST-Controls dafür?",
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"OWASP Best Practice für Logging?",
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"BSI Grundschutz Bausteine",
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}
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plain := []string{
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"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)
|
||||
}
|
||||
}
|
||||
|
||||
Reference in New Issue
Block a user