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

@@ -7,17 +7,17 @@ import (
 
 // Re-ranking coefficients (validated in the offline golden harness; Phase A — conservative).
 const (
-	authorityCoef        = 0.40 // * weight/100
+	authorityCoef     = 0.40 // * weight/100
-	jurisdictionGain     = 0.05 // binding/guidance from DE or EU
+	jurisdictionGain  = 0.05 // binding/guidance from DE or EU
-	foreignPenalty       = 0.60 // foreign law on a DE/EU question (demoted, not removed)
+	foreignPenalty    = 0.60 // foreign law on a DE/EU question (demoted, not removed)
-	unknownPenalty       = 0.08
+	unknownPenalty    = 0.08
-	domainMatchGain      = 0.15
+	domainMatchGain   = 0.15
-	offDomainPenalty     = 0.10 // off-domain binding (demoted, not removed)
+	offDomainPenalty  = 0.10 // off-domain binding (demoted, not removed)
-	scopePenalty         = 0.25 // BDSG Teil 3 (law enforcement) on a general DP question
+	scopePenalty      = 0.25 // BDSG Teil 3 (law enforcement) on a general DP question
-	topicGain            = 0.18 // amplifier only
+	topicGain         = 0.18 // amplifier only
-	supersededPenalty    = 0.50 // superseded Alt-Quelle (pre-eu-v1): demoted, nicht versteckt
+	supersededPenalty = 0.50 // superseded Alt-Quelle (pre-eu-v1): demoted, nicht versteckt
-	guidanceIntentGain   = 0.10 // epsilon a qualifying guideline is lifted ABOVE the best binding hit
+	intentLiftGain    = 0.10 // epsilon a qualifying interpretative source is lifted ABOVE the best binding
-	guidanceIntentMargin = 0.05 // ...only if the guideline is semantically competitive with 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.
+// controlIntentSignals mark a query that asks HOW to implement / which controls or
-func queryWantsGuidance(query string) bool {
+// 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
 		}
@@ -40,11 +49,17 @@ 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
+// results (0 if none / no intent). Used as the guard threshold so an off-topic
-// off-topic guideline cannot ride the interpretation-intent boost.
+// interpretative source cannot ride the intent boost.
-func bestBindingSemantic(results []LegalSearchResult, wantsGuidance bool) float64 {
+func bestBindingSemantic(results []LegalSearchResult, wantsIntent bool) float64 {
-	if !wantsGuidance {
+	if !wantsIntent {
 		return 0
 	}
 	best := 0.0
@@ -104,15 +119,22 @@ func rerankByAuthority(query string, results []LegalSearchResult) []LegalSearchR
 	qDomain := queryDomain(query)
 	qForeign := queryIsForeign(query)
 	wantsGuidance := queryWantsGuidance(query)
-	bestBindingSem := bestBindingSemantic(results, wantsGuidance)
+	wantsControls := queryWantsControls(query)
+	bestBindingSem := bestBindingSemantic(results, wantsGuidance || wantsControls)
 
 	out := make([]LegalSearchResult, len(results))
 	copy(out, results)
 	for i := range out {
 		out[i].Score = authorityScore(query, out[i], qDomain, qForeign)
 	}
+	// Explicit interpretation intent → a competitive guideline may outrank binding;
+	// explicit implementation intent → a competitive technical_standard may. Both lift
+	// ABOVE the best binding FINAL, so a pure norm question (neither intent) is untouched.
 	if wantsGuidance {
-		applyGuidanceIntent(out, results, bestBindingSem)
+		liftAboveBinding(out, results, bestBindingSem, "supervisory_guidance")
+	}
+	if wantsControls {
+		liftAboveBinding(out, results, bestBindingSem, "technical_standard")
 	}
 	sort.SliceStable(out, func(a, b int) bool {
 		return out[a].Score > out[b].Score
@@ -120,13 +142,14 @@ func rerankByAuthority(query string, results []LegalSearchResult) []LegalSearchR
 	return out
 }
 
-// applyGuidanceIntent lifts semantically-competitive guidance just ABOVE the best
+// liftAboveBinding lifts a semantically-competitive interpretative source (the given
-// binding hit (ordered by semantic), so an EXPLICIT interpretation question can
+// sourceClass — supervisory_guidance or technical_standard) just ABOVE the best binding
-// return guidance Top-1. Obligation questions (no intent → not called) keep
+// hit, ordered by semantic, so an EXPLICIT guidance/implementation question can return
-// binding on top. Guidance below the semantic margin is left untouched, so an
+// that source Top-1. A pure norm question (no intent → not called) keeps binding on top.
-// off-topic guideline can never ride the override — and the lift is computed from
+// Sources below the semantic margin are left untouched, so an off-topic source can never
-// the binding FINAL score, so authority/topic/domain bonuses cannot edge it out.
+// ride the override — and the lift is from the binding FINAL score, so authority/topic/
-func applyGuidanceIntent(out, raw []LegalSearchResult, bestBindingSem float64) {
+// domain bonuses cannot edge it out.
+func liftAboveBinding(out, raw []LegalSearchResult, bestBindingSem float64, sourceClass string) {
 	bestBindingFinal := 0.0
 	for i := range out {
 		if out[i].SourceClass == "binding_law" && out[i].Score > bestBindingFinal {
@@ -134,10 +157,10 @@ func applyGuidanceIntent(out, raw []LegalSearchResult, bestBindingSem float64) {
 		}
 	}
 	for i := range out {
-		if out[i].SourceClass != "supervisory_guidance" || raw[i].Score < bestBindingSem-guidanceIntentMargin {
+		if out[i].SourceClass != sourceClass || raw[i].Score < bestBindingSem-intentLiftMargin {
 			continue
 		}
-		lifted := bestBindingFinal + guidanceIntentGain + (raw[i].Score - bestBindingSem)
+		lifted := bestBindingFinal + intentLiftGain + (raw[i].Score - bestBindingSem)
 		if lifted > out[i].Score {
 			out[i].Score = lifted
 		}

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

@@ -70,3 +70,65 @@ 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_StandardMayWin(t *testing.T) {
+	// Explicit implementation intent + standard semantically competitive → standard wins.
+	results := []LegalSearchResult{
+		intentRes("NIST SP 800-82", "technical_standard", 0.62, 80),
+		intentRes("CRA", "binding_law", 0.58, 100),
+	}
+	out := rerankByAuthority("Welche Controls passen zu Security Updates?", results)
+	if out[0].SourceClass != "technical_standard" {
+		t.Errorf("control question: technical_standard should win Top-1, got %s", out[0].SourceClass)
+	}
+}
+
+func TestRerank_NormQuestion_BindingOverStandard(t *testing.T) {
+	// "Anforderungen" → no control intent → binding 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_OffTopicStandard_BlockedByGuard(t *testing.T) {
+	// Control intent present, but the standard is semantically far below binding →
+	// the margin guard keeps binding Top-1 (no off-topic standard override).
+	results := []LegalSearchResult{
+		intentRes("NIST SP 800-82", "technical_standard", 0.40, 80),
+		intentRes("CRA", "binding_law", 0.58, 100),
+	}
+	out := rerankByAuthority("Welche Controls passen zu Security Updates?", results)
+	if out[0].SourceClass != "binding_law" {
+		t.Errorf("off-topic standard must not win even with control intent, got %s", out[0].SourceClass)
+	}
+}