feat(control-pipeline): 24 demo test cases for applicability engine
YAML-based test package with 4 categories (6 each): - Standard sector cases (Telko, SaaS, Energie, Automotive, Health, Law) - Scope-beats-sector (Bank+Battery, KI-Recruiting, White-Label, Payments) - False friends (Stripe!=PSD2, Hotline!=TKG, Repo-signals!=regulation) - Escalation (IoT-SIM, FinTech unclear, Treuhand, KI-Diagnose) Enforces 5 acceptance rules: no false certainty, scope>sector, repo signals insufficient, standard first, 40%+ negative tests. Scoring framework: must_include + must_not_include + reasoning + escalation. Co-Authored-By: Claude Opus 4.6 (1M context) <noreply@anthropic.com>
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control-pipeline/tests/demo_cases.yaml
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control-pipeline/tests/demo_cases.yaml
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# ============================================================================
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# BreakPilot Compliance — Demo Test Cases
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# ============================================================================
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#
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# 24 Use Cases in 4 Kategorien:
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# A. Standard (6) — Branchen-Default korrekt?
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# B. Scope schlaegt Branche (6) — Sonderfaelle additiv?
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# C. Falsche Freunde / Negativ (6) — Keine Falschzuweisung?
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# D. Eskalation (6) — Unsicherheit erkannt?
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#
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# Jeder Case erzwingt 5 Outputs:
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# 1. applicable_industries
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# 2. scope_triggers
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# 3. excluded_by_default
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# 4. reasoning_summary
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# 5. confidence + escalation
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#
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# Akzeptanzregeln:
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# R1: Keine harte Falschsicherheit bei unklarem Sachverhalt
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# R2: Scope schlaegt Branchen-Default (additiv)
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# R3: Repo-Signale allein reichen nicht fuer harte Regulierung
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# R4: Standardfall zuerst, Sonderfall additiv
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# R5: Mindestens 40% Negativtests
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#
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# Scoring pro Case:
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# must_include_match: 0..1
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# must_not_include_match: 0..1
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# reasoning_correct: 0..1
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# escalation_correct: 0..1
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# total_score: 0..4
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# ============================================================================
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# ============================================================================
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# A. STANDARD-BRANCHENFAELLE (6)
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# ============================================================================
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- id: DEMO-APP-005
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title: "Telekommunikationsanbieter"
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category: standard
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goal: "TKG/Telko-Pflichten im Standardfall"
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company_profile:
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sector: "Telekommunikation"
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size: "medium"
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country: "DE"
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facts:
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- "Erbringt Kommunikationsdienste"
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- "Bietet Mobilfunkvertraege"
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scope_answers:
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provides_telecom_service: true
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is_kritis_operator: true
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expected:
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applicable_industries: ["Telekommunikation"]
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scope_triggers: ["provides_telecom_service", "is_kritis_operator"]
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applicable_controls_should_include:
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- "TKG"
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- "TTDSG"
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- "NIS2"
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- "DSGVO"
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applicable_controls_should_not_include:
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- "PSD2"
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- "Batterieverordnung"
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- "MDR"
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excluded_by_default: ["PSD2", "Batterieverordnung", "MDR"]
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reasoning_summary: "Telko-Anbieter ist KRITIS-Betreiber, TKG und TTDSG direkt anwendbar."
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confidence: 0.95
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escalation_expected: false
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- id: DEMO-APP-009
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title: "Reines SaaS-Unternehmen"
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category: standard
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goal: "Batterie-/Produktregulierung darf nicht anspringen"
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company_profile:
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sector: "Technologie/IT"
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size: "small"
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country: "DE"
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facts:
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- "Nur Browser-Anwendung"
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- "Keine Hardware"
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scope_answers:
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distributes_physical_products: false
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contains_battery: false
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uses_ai: false
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expected:
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applicable_industries: ["Technologie/IT"]
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scope_triggers: []
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applicable_controls_should_include:
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- "DSGVO"
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- "OWASP"
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applicable_controls_should_not_include:
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- "Batterieverordnung"
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- "Maschinenverordnung"
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- "MDR"
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- "TKG"
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- "PSD2"
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excluded_by_default: ["Batterieverordnung", "Maschinenverordnung", "MDR", "TKG", "PSD2"]
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reasoning_summary: "Reines SaaS ohne Hardware, ohne KI, ohne Finanzfunktion."
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confidence: 0.95
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escalation_expected: false
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- id: DEMO-STD-003
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title: "Mittelstaendischer Energieversorger (Stadtwerk)"
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category: standard
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goal: "KRITIS + NIS2 korrekt zugewiesen"
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company_profile:
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sector: "Energie"
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size: "medium"
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country: "DE"
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facts:
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- "Stadtwerk mit 200 Mitarbeitern"
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- "Strom- und Gasversorgung"
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- "Leitwarte mit Kameraueberwachung"
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scope_answers:
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is_kritis_operator: true
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employee_monitoring: true
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expected:
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applicable_industries: ["Energie"]
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scope_triggers: ["is_kritis_operator", "employee_monitoring"]
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applicable_controls_should_include:
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- "NIS2"
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- "KRITIS"
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- "BSI Grundschutz"
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- "DSGVO"
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- "BDSG"
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applicable_controls_should_not_include:
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- "PSD2"
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- "AI Act"
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- "MDR"
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excluded_by_default: ["PSD2", "AI Act", "MDR", "TKG"]
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reasoning_summary: "Stadtwerk ist KRITIS-Betreiber im Energiesektor, NIS2 ab medium."
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confidence: 0.95
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escalation_expected: false
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- id: DEMO-STD-004
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title: "Automobilzulieferer mit Prototypen"
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category: standard
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goal: "TISAX-Readiness korrekt vorbereitet"
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company_profile:
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sector: "Automobil"
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size: "large"
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country: "DE"
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facts:
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- "500 Mitarbeiter"
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- "Prototypenfertigung fuer OEMs"
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- "Internationale Lieferkette"
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scope_answers:
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handles_prototypes: true
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supply_chain_automotive: true
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third_country_transfer: true
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expected:
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applicable_industries: ["Automobil"]
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scope_triggers: ["handles_prototypes", "supply_chain_automotive", "third_country_transfer"]
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applicable_controls_should_include:
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- "ISO 27001"
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- "Prototypenschutz"
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- "NIS2"
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- "DSGVO"
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- "CE"
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applicable_controls_should_not_include:
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- "PSD2"
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- "TKG"
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- "MDR"
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excluded_by_default: ["PSD2", "TKG", "MDR"]
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reasoning_summary: "Automobilzulieferer braucht TISAX-Readiness (ISO 27001 Basis), Prototypenschutz."
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confidence: 0.90
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escalation_expected: false
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- id: DEMO-STD-005
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title: "Gesundheits-App mit KI (DiGA)"
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category: standard
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goal: "KI + Gesundheitsdaten + MDR korrekt"
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company_profile:
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sector: "Gesundheitswesen"
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size: "small"
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country: "DE"
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facts:
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- "KI-basierte Gesundheits-App"
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- "Verarbeitet Gesundheitsdaten"
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- "Automatisierte Empfehlungen"
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scope_answers:
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uses_ai: true
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processes_health_data: true
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automated_decisions: true
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expected:
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applicable_industries: ["Gesundheitswesen"]
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scope_triggers: ["uses_ai", "processes_health_data", "automated_decisions"]
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applicable_controls_should_include:
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- "DSGVO Art. 9"
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- "DSGVO Art. 22"
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- "DSGVO Art. 35"
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- "AI Act"
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- "MDR"
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- "BSI TR-03161"
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applicable_controls_should_not_include:
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- "PSD2"
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- "TKG"
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- "Batterieverordnung"
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excluded_by_default: ["PSD2", "TKG", "Batterieverordnung"]
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reasoning_summary: "Gesundheits-App mit KI trifft DSGVO Art. 9/22/35, AI Act Hochrisiko, MDR."
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confidence: 0.90
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escalation_expected: false
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- id: DEMO-STD-006
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title: "Rechtsanwaltskanzlei mit KI und US-Cloud"
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category: standard
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goal: "Berufsrecht + KI + Drittland korrekt"
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company_profile:
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sector: "Recht/Kanzlei"
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size: "small"
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country: "DE"
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facts:
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- "30 Anwaelte"
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- "KI fuer Dokumentenanalyse"
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- "US-Cloud-Dienste"
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scope_answers:
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uses_ai: true
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third_country_transfer: true
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handles_legal_privilege: true
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expected:
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applicable_industries: ["Recht/Kanzlei"]
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scope_triggers: ["uses_ai", "third_country_transfer", "handles_legal_privilege"]
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applicable_controls_should_include:
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- "DSGVO"
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- "DSGVO Art. 46 (SCC)"
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- "AI Act"
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- "BRAO"
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applicable_controls_should_not_include:
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- "NIS2"
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- "PSD2"
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- "TKG"
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excluded_by_default: ["NIS2", "PSD2", "TKG", "MDR"]
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reasoning_summary: "Kanzlei mit KI und US-Cloud braucht DSGVO+SCC, AI Act, Berufsrecht."
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confidence: 0.90
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escalation_expected: false
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# ============================================================================
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# B. SCOPE SCHLAEGT BRANCHE (6)
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# ============================================================================
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- id: DEMO-APP-003
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title: "Bank vertreibt TAN-Generator mit Batterie"
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category: scope_beats_sector
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goal: "Batterie-Controls trotz Bankensektor additiv"
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company_profile:
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sector: "Finanzdienstleistungen"
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size: "large"
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country: "DE"
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facts:
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- "Bank gibt TAN-Generatoren an Kunden aus"
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- "Geraet enthaelt Batterie"
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- "Physisches Produkt wird in Verkehr gebracht"
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scope_answers:
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distributes_physical_products: true
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contains_battery: true
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financial_institution: true
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expected:
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applicable_industries: ["Finanzdienstleistungen"]
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scope_triggers: ["distributes_physical_products", "contains_battery"]
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applicable_controls_should_include:
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- "bankenspezifische Controls"
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- "batteriebezogene Controls"
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applicable_controls_should_not_include:
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- "TKG"
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excluded_by_default: ["TKG", "Maschinenverordnung"]
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reasoning_summary: "Bank bringt physisches Produkt mit Batterie in Verkehr — Batterieverordnung additiv."
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confidence: 0.85
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escalation_expected: false
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- id: DEMO-APP-008
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title: "Chemieunternehmen mit akkubetriebenen Messgeraeten"
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category: scope_beats_sector
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goal: "Batteriepflichten im naheliegenden Fall"
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company_profile:
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sector: "Chemie"
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size: "medium"
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country: "DE"
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facts:
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- "Vertreibt Messgeraete mit Akku"
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scope_answers:
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distributes_physical_products: true
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contains_battery: true
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expected:
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applicable_industries: ["Chemie"]
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scope_triggers: ["distributes_physical_products", "contains_battery"]
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applicable_controls_should_include:
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- "Batterieverordnung"
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- "CE"
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applicable_controls_should_not_include:
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- "PSD2"
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- "TKG"
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excluded_by_default: ["PSD2", "TKG"]
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reasoning_summary: "Chemieunternehmen bringt akkubetriebene Geraete in Verkehr."
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confidence: 0.90
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escalation_expected: false
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- id: DEMO-APP-011
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title: "KI im Recruiting"
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category: scope_beats_sector
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goal: "KI/HR/AGG Controls unabhaengig von Branche"
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company_profile:
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sector: "Beliebig"
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size: "medium"
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country: "DE"
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facts:
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- "KI priorisiert Bewerbungen"
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- "Automatisierte Absagen werden vorbereitet"
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scope_answers:
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uses_ai: true
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automated_decisions: true
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expected:
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applicable_industries: ["all"]
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scope_triggers: ["uses_ai", "automated_decisions"]
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applicable_controls_should_include:
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- "DSGVO Art. 22"
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- "AGG"
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- "AI Act"
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excluded_by_default: []
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reasoning_summary: "KI im Recruiting loest DSGVO Art. 22, AGG-Diskriminierungsschutz und AI Act aus."
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confidence: 0.70
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escalation_expected: true
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escalation_reason: "KI-basierte HR-Entscheidungen sind AI Act Hochrisiko — vertiefte Pruefung"
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- id: DEMO-APP-013
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title: "Schulmessenger mit KI-Uebersetzung"
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category: scope_beats_sector
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goal: "KI + Kinderdaten + Drittland erkennen"
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company_profile:
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sector: "Bildung"
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size: "medium"
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country: "DE"
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facts:
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- "Zwei-Wege-Kommunikation Schule-Eltern"
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- "Nachrichten werden automatisch uebersetzt"
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- "Personenbezogene Daten von Eltern und Kindern"
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scope_answers:
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processes_minors_data: true
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uses_ai: true
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third_country_transfer: true # Uebersetzungs-API
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expected:
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applicable_industries: ["Bildung"]
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scope_triggers: ["processes_minors_data", "uses_ai", "third_country_transfer"]
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applicable_controls_should_include:
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- "DSGVO Art. 8"
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- "AI Act"
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- "DSGVO Art. 46 (SCC)"
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applicable_controls_should_not_include:
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- "TKG"
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- "PSD2"
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excluded_by_default: ["TKG", "PSD2"]
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reasoning_summary: "Schulkommunikation mit KI-Uebersetzung und Kinderdaten loest DSGVO Art. 8 + AI Act + SCC aus."
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confidence: 0.70
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escalation_expected: true
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escalation_reason: "KI-Drittland-/Modellgovernance-Review fuer Uebersetzungs-API"
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- id: DEMO-APP-016
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title: "White-Label-Hardwarevertrieb"
|
||||||
|
category: scope_beats_sector
|
||||||
|
goal: "Inverkehrbringen unter eigener Marke = Produktpflichten"
|
||||||
|
company_profile:
|
||||||
|
sector: "E-Commerce/Handel"
|
||||||
|
size: "small"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Vertreibt Geraete unter eigener Marke"
|
||||||
|
- "Produktion durch Dritten"
|
||||||
|
- "Geraet enthaelt Akku"
|
||||||
|
scope_answers:
|
||||||
|
places_product_on_market_under_own_brand: true
|
||||||
|
contains_battery: true
|
||||||
|
distributes_physical_products: true
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["E-Commerce/Handel"]
|
||||||
|
scope_triggers: ["places_product_on_market_under_own_brand", "contains_battery"]
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "Batterieverordnung"
|
||||||
|
- "CE"
|
||||||
|
- "Produkthaftung"
|
||||||
|
excluded_by_default: ["PSD2", "TKG"]
|
||||||
|
reasoning_summary: "White-Label = Inverkehrbringer unter eigener Marke, traegt Produktpflichten."
|
||||||
|
confidence: 0.90
|
||||||
|
escalation_expected: false
|
||||||
|
|
||||||
|
- id: DEMO-APP-002
|
||||||
|
title: "Industrieplattform mit eigener Zahlungsabwicklung"
|
||||||
|
category: scope_beats_sector
|
||||||
|
goal: "Echte Finanzregulierung bei Geschaeftsmodell-Wechsel"
|
||||||
|
company_profile:
|
||||||
|
sector: "Produktion/Industrie"
|
||||||
|
size: "medium"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Betreibt B2B-Marktplatz"
|
||||||
|
- "Haelt Kundengelder kurzzeitig zwischen"
|
||||||
|
- "Leitet Zahlungen an Haendler weiter"
|
||||||
|
scope_answers:
|
||||||
|
operates_payment_service: true
|
||||||
|
holds_client_funds: true
|
||||||
|
marketplace_model: true
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["Produktion/Industrie"]
|
||||||
|
scope_triggers: ["operates_payment_service", "holds_client_funds"]
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "PSD2"
|
||||||
|
- "AML/KYC"
|
||||||
|
excluded_by_default: []
|
||||||
|
reasoning_summary: "Industrieplattform mit eigenem Payment = regulatorische Zahlungsdienstpflicht."
|
||||||
|
confidence: 0.60
|
||||||
|
escalation_expected: true
|
||||||
|
escalation_reason: "Regulatorische Einordnung erfordert vertiefte Pruefung (Erlaubnispflicht)"
|
||||||
|
|
||||||
|
# ============================================================================
|
||||||
|
# C. FALSCHE FREUNDE / NEGATIVTESTS (6)
|
||||||
|
# ============================================================================
|
||||||
|
|
||||||
|
- id: DEMO-APP-001
|
||||||
|
title: "Industrieunternehmen mit Webshop und Stripe Checkout"
|
||||||
|
category: false_friends
|
||||||
|
goal: "Stripe darf nicht PSD2 ausloesen"
|
||||||
|
company_profile:
|
||||||
|
sector: "Produktion/Industrie"
|
||||||
|
size: "medium"
|
||||||
|
country: "DE"
|
||||||
|
business_model: "B2B-Hersteller mit ergaenzendem Webshop"
|
||||||
|
facts:
|
||||||
|
- "Verkauft Ersatzteile ueber Webshop"
|
||||||
|
- "Nutzt Stripe Checkout als externen Zahlungsdienstleister"
|
||||||
|
- "Speichert keine vollstaendigen Kartendaten selbst"
|
||||||
|
- "Keine Zahlungsabwicklung im eigenen Namen"
|
||||||
|
scope_answers:
|
||||||
|
operates_payment_service: false
|
||||||
|
stores_card_data: false
|
||||||
|
sells_physical_products: true
|
||||||
|
repo_signals:
|
||||||
|
- "stripe checkout"
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["Produktion/Industrie"]
|
||||||
|
scope_triggers: []
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "DSGVO Datenschutzhinweise"
|
||||||
|
- "DSGVO Empfaenger-/Dienstleistertransparenz"
|
||||||
|
- "VVT"
|
||||||
|
applicable_controls_should_not_include:
|
||||||
|
- "PSD2"
|
||||||
|
- "AML"
|
||||||
|
- "Batterieverordnung"
|
||||||
|
- "TKG"
|
||||||
|
excluded_by_default: ["PSD2", "AML", "Batterieverordnung", "TKG"]
|
||||||
|
reasoning_summary: "Stripe ist externer Zahlungsdienstleister; Haendler wird nicht reguliertes Zahlungsinstitut."
|
||||||
|
confidence: 0.92
|
||||||
|
escalation_expected: false
|
||||||
|
|
||||||
|
- id: DEMO-APP-004
|
||||||
|
title: "Direktbank ohne physische Produkte"
|
||||||
|
category: false_friends
|
||||||
|
goal: "Keine Batteriepflichten nur wegen Bank"
|
||||||
|
company_profile:
|
||||||
|
sector: "Finanzdienstleistungen"
|
||||||
|
size: "large"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Nur Mobile App und Webbanking"
|
||||||
|
- "Keine Token, keine TAN-Geraete, keine Hardware"
|
||||||
|
scope_answers:
|
||||||
|
distributes_physical_products: false
|
||||||
|
contains_battery: false
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["Finanzdienstleistungen"]
|
||||||
|
scope_triggers: []
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "PSD2"
|
||||||
|
- "DSGVO"
|
||||||
|
- "BaFin"
|
||||||
|
applicable_controls_should_not_include:
|
||||||
|
- "Batterieverordnung"
|
||||||
|
- "Maschinenverordnung"
|
||||||
|
- "CE"
|
||||||
|
excluded_by_default: ["Batterieverordnung", "Maschinenverordnung", "CE"]
|
||||||
|
reasoning_summary: "Reine Digitalbank ohne physische Produkte — keine Produktregulierung."
|
||||||
|
confidence: 0.95
|
||||||
|
escalation_expected: false
|
||||||
|
|
||||||
|
- id: DEMO-APP-006
|
||||||
|
title: "Maschinenbauer mit Kundenhotline"
|
||||||
|
category: false_friends
|
||||||
|
goal: "Hotline darf nicht TKG triggern"
|
||||||
|
company_profile:
|
||||||
|
sector: "Produktion/Industrie"
|
||||||
|
size: "medium"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Hat Support-Hotline fuer Kunden"
|
||||||
|
- "Erbringt keinen oeffentlichen Telekommunikationsdienst"
|
||||||
|
scope_answers:
|
||||||
|
provides_telecom_service: false
|
||||||
|
operates_customer_hotline: true
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["Produktion/Industrie"]
|
||||||
|
scope_triggers: []
|
||||||
|
applicable_controls_should_not_include:
|
||||||
|
- "TKG"
|
||||||
|
- "TTDSG Telko-Kernpflichten"
|
||||||
|
excluded_by_default: ["TKG"]
|
||||||
|
reasoning_summary: "Kundenhotline ist kein oeffentlicher Telekommunikationsdienst."
|
||||||
|
confidence: 0.92
|
||||||
|
escalation_expected: false
|
||||||
|
|
||||||
|
- id: DEMO-APP-012
|
||||||
|
title: "Schule mit Einweg-Elternkommunikation"
|
||||||
|
category: false_friends
|
||||||
|
goal: "Einweg-Nachrichten sind kein Telko-Dienst"
|
||||||
|
company_profile:
|
||||||
|
sector: "Bildung"
|
||||||
|
size: "medium"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Eltern erhalten Einweg-Nachrichten"
|
||||||
|
- "Keine offene Chat-Funktion"
|
||||||
|
scope_answers:
|
||||||
|
provides_telecom_service: false
|
||||||
|
processes_minors_data: true
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["Bildung"]
|
||||||
|
scope_triggers: ["processes_minors_data"]
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "DSGVO"
|
||||||
|
- "DSGVO Art. 8"
|
||||||
|
applicable_controls_should_not_include:
|
||||||
|
- "TKG"
|
||||||
|
excluded_by_default: ["TKG", "PSD2"]
|
||||||
|
reasoning_summary: "Einweg-Elterninfo ist kein oeffentlicher Kommunikationsdienst."
|
||||||
|
confidence: 0.90
|
||||||
|
escalation_expected: false
|
||||||
|
|
||||||
|
- id: DEMO-APP-014
|
||||||
|
title: "Repo enthaelt Stripe SDK — nur SaaS-Billing"
|
||||||
|
category: false_friends
|
||||||
|
goal: "Repo-Signale duerfen Scope nicht uebersteuern"
|
||||||
|
company_profile:
|
||||||
|
sector: "Technologie/IT"
|
||||||
|
size: "small"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Repo enthaelt stripe dependency"
|
||||||
|
- "Nur Billing fuer eigenes SaaS-Abo"
|
||||||
|
- "Keine Zahlungsabwicklung fuer Dritte"
|
||||||
|
repo_signals:
|
||||||
|
- "stripe"
|
||||||
|
scope_answers:
|
||||||
|
operates_payment_service: false
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["Technologie/IT"]
|
||||||
|
scope_triggers: []
|
||||||
|
applicable_controls_should_not_include:
|
||||||
|
- "PSD2"
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "DSGVO"
|
||||||
|
- "Vendor-/Security-Controls"
|
||||||
|
excluded_by_default: ["PSD2"]
|
||||||
|
reasoning_summary: "Stripe SDK im Repo = SaaS-Billing, nicht eigene Zahlungsabwicklung."
|
||||||
|
confidence: 0.90
|
||||||
|
escalation_expected: false
|
||||||
|
|
||||||
|
- id: DEMO-APP-017
|
||||||
|
title: "Interne Nutzung batteriebetriebener Geraete"
|
||||||
|
category: false_friends
|
||||||
|
goal: "Keine Batterie-Inverkehrbringungspflichten"
|
||||||
|
company_profile:
|
||||||
|
sector: "Beliebig"
|
||||||
|
size: "medium"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Mitarbeiter nutzen Laptops und Scanner"
|
||||||
|
- "Kein Vertrieb eigener Batterieprodukte"
|
||||||
|
scope_answers:
|
||||||
|
distributes_physical_products: false
|
||||||
|
places_battery_products_on_market: false
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["all"]
|
||||||
|
scope_triggers: []
|
||||||
|
applicable_controls_should_not_include:
|
||||||
|
- "Batterieverordnung (Inverkehrbringen)"
|
||||||
|
excluded_by_default: ["Batterieverordnung"]
|
||||||
|
reasoning_summary: "Interne Nutzung von Geraeten mit Batterien loest keine Inverkehrbringungspflichten aus."
|
||||||
|
confidence: 0.95
|
||||||
|
escalation_expected: false
|
||||||
|
|
||||||
|
# ============================================================================
|
||||||
|
# D. ESKALATIONSFAELLE (6)
|
||||||
|
# ============================================================================
|
||||||
|
|
||||||
|
- id: DEMO-APP-007
|
||||||
|
title: "IoT-Hersteller mit vernetztem Geraet (SIM + Funkmodul)"
|
||||||
|
category: escalation
|
||||||
|
goal: "Abgrenzung Hardware vs. Kommunikationsdienst"
|
||||||
|
company_profile:
|
||||||
|
sector: "Produktion/Industrie"
|
||||||
|
size: "medium"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Verkauft Geraet mit Funkmodul"
|
||||||
|
- "Geraet kommuniziert ueber Mobilfunk"
|
||||||
|
- "SIM-Konnektivitaet wird mitgeliefert"
|
||||||
|
scope_answers:
|
||||||
|
sells_connected_device: true
|
||||||
|
provides_embedded_connectivity: true
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["Produktion/Industrie"]
|
||||||
|
scope_triggers: ["sells_connected_device", "provides_embedded_connectivity"]
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "CE"
|
||||||
|
- "Cyber Resilience Act"
|
||||||
|
- "Funkgeraeterichtlinie (RED)"
|
||||||
|
escalation_expected: true
|
||||||
|
escalation_reason: "Abgrenzung Hardwareprodukt vs. Kommunikationsdienst vertieft pruefen"
|
||||||
|
confidence: 0.55
|
||||||
|
|
||||||
|
- id: DEMO-APP-010
|
||||||
|
title: "Plattform mit Verkaeufer-Onboarding und Transaktionsmonitoring"
|
||||||
|
category: escalation
|
||||||
|
goal: "AML/KYC Relevanz differenziert"
|
||||||
|
company_profile:
|
||||||
|
sector: "Technologie/IT"
|
||||||
|
size: "medium"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Onboardet externe Verkaeufer"
|
||||||
|
- "Prueft Identitaet gewerblicher Anbieter"
|
||||||
|
- "Ueberwacht verdaechtige Zahlungsstroeme"
|
||||||
|
scope_answers:
|
||||||
|
marketplace_model: true
|
||||||
|
performs_kyc: true
|
||||||
|
monitors_transactions: true
|
||||||
|
expected:
|
||||||
|
applicable_industries: ["Technologie/IT"]
|
||||||
|
scope_triggers: ["marketplace_model", "performs_kyc", "monitors_transactions"]
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "AML/KYC Review-Controls"
|
||||||
|
escalation_expected: true
|
||||||
|
escalation_reason: "Klaerung ob GwG-/aufsichtsrechtliche Pflichten oder nur Fraud-/Plattformkontrollen"
|
||||||
|
confidence: 0.50
|
||||||
|
|
||||||
|
- id: DEMO-APP-015
|
||||||
|
title: "Repo zeigt Wallet-/Custody-Funktionen"
|
||||||
|
category: escalation
|
||||||
|
goal: "Technische Signale deuten auf Regulierung"
|
||||||
|
company_profile:
|
||||||
|
sector: "Technologie/IT"
|
||||||
|
size: "small"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Produktbeschreibung unvollstaendig"
|
||||||
|
repo_signals:
|
||||||
|
- "wallet_service"
|
||||||
|
- "custody"
|
||||||
|
- "kyc_provider"
|
||||||
|
- "transaction_monitoring"
|
||||||
|
scope_answers: {}
|
||||||
|
expected:
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "Finanz-/AML-nahe Review-Controls"
|
||||||
|
escalation_expected: true
|
||||||
|
escalation_reason: "Technische Signale deuten auf regulierungsnahe Funktion hin"
|
||||||
|
confidence: 0.35
|
||||||
|
|
||||||
|
- id: DEMO-APP-018
|
||||||
|
title: "Unklare FinTech-Beschreibung"
|
||||||
|
category: escalation
|
||||||
|
goal: "Unsicherheit explizit erkennen"
|
||||||
|
company_profile:
|
||||||
|
sector: "Technologie/IT"
|
||||||
|
size: "small"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "App verwaltet Geldfluesse zwischen Nutzern"
|
||||||
|
- "Details zur Vertragsrolle unklar"
|
||||||
|
scope_answers: {}
|
||||||
|
expected:
|
||||||
|
escalation_expected: true
|
||||||
|
escalation_reason: "Geschaeftsmodell fuer finale regulatorische Einordnung zu unbestimmt"
|
||||||
|
confidence: 0.30
|
||||||
|
pass_criteria:
|
||||||
|
- "Keine harte Falschaussage"
|
||||||
|
- "Gezielte Nachfragen oder LLM-Review"
|
||||||
|
|
||||||
|
- id: DEMO-ESC-005
|
||||||
|
title: "Unternehmen bietet Treuhandkonto fuer Immobilienkauf"
|
||||||
|
category: escalation
|
||||||
|
goal: "Finanzregulierung bei Treuhandmodell"
|
||||||
|
company_profile:
|
||||||
|
sector: "Immobilien"
|
||||||
|
size: "medium"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "Bietet Treuhandkonto fuer Immobilientransaktionen"
|
||||||
|
- "Haelt Kundengelder temporaer"
|
||||||
|
- "Nicht als Finanzinstitut lizenziert"
|
||||||
|
scope_answers:
|
||||||
|
holds_client_funds: true
|
||||||
|
expected:
|
||||||
|
escalation_expected: true
|
||||||
|
escalation_reason: "Treuhandmodell kann Erlaubnispflicht nach ZAG ausloesen — juristische Pruefung noetig"
|
||||||
|
confidence: 0.40
|
||||||
|
|
||||||
|
- id: DEMO-ESC-006
|
||||||
|
title: "Startup nutzt KI fuer medizinische Diagnoseunterstuetzung"
|
||||||
|
category: escalation
|
||||||
|
goal: "MDR + AI Act Hochrisiko Abgrenzung"
|
||||||
|
company_profile:
|
||||||
|
sector: "Gesundheitswesen"
|
||||||
|
size: "micro"
|
||||||
|
country: "DE"
|
||||||
|
facts:
|
||||||
|
- "KI gibt Diagnosevorschlaege"
|
||||||
|
- "Aerzte treffen finale Entscheidung"
|
||||||
|
- "Unklar ob Medizinprodukt"
|
||||||
|
scope_answers:
|
||||||
|
uses_ai: true
|
||||||
|
processes_health_data: true
|
||||||
|
provides_diagnostic_support: true
|
||||||
|
expected:
|
||||||
|
applicable_controls_should_include:
|
||||||
|
- "AI Act Hochrisiko"
|
||||||
|
- "DSGVO Art. 9"
|
||||||
|
escalation_expected: true
|
||||||
|
escalation_reason: "Abgrenzung KI-Diagnoseunterstuetzung vs. Medizinprodukt (MDR) vertieft pruefen"
|
||||||
|
confidence: 0.45
|
||||||
@@ -1,469 +1,173 @@
|
|||||||
"""
|
"""
|
||||||
Applicability Use Case Tests — Real-world scenarios for control assignment.
|
Applicability Use Case Tests — Demo test package for control assignment.
|
||||||
|
|
||||||
These test cases verify that our Applicability Engine correctly assigns
|
Loads 24 use cases from demo_cases.yaml and validates structure,
|
||||||
and does NOT assign controls based on company profile + scope answers.
|
consistency, and (when DB available) actual control assignment.
|
||||||
|
|
||||||
Each test case represents a real business scenario discussed during
|
Categories:
|
||||||
product development. They serve as:
|
A. Standard (6) — Branchen-Default korrekt?
|
||||||
1. Regression tests for the Applicability Engine
|
B. Scope schlaegt Branche (6) — Sonderfaelle additiv?
|
||||||
2. Demo cases for the SDK
|
C. Falsche Freunde / Negativ (6) — Keine Falschzuweisung?
|
||||||
3. Documentation of regulatory nuances
|
D. Eskalation (6) — Unsicherheit erkannt?
|
||||||
|
|
||||||
Run: pytest tests/test_applicability_use_cases.py -v
|
Run: pytest tests/test_applicability_use_cases.py -v
|
||||||
"""
|
"""
|
||||||
|
|
||||||
|
import os
|
||||||
import pytest
|
import pytest
|
||||||
|
import yaml
|
||||||
|
|
||||||
|
# Load demo cases from YAML
|
||||||
|
CASES_PATH = os.path.join(os.path.dirname(__file__), "demo_cases.yaml")
|
||||||
|
with open(CASES_PATH) as f:
|
||||||
|
DEMO_CASES = yaml.safe_load(f)
|
||||||
|
|
||||||
|
CASE_IDS = [c["id"] for c in DEMO_CASES]
|
||||||
|
|
||||||
|
|
||||||
# ---------------------------------------------------------------------------
|
# ---------------------------------------------------------------------------
|
||||||
# Test Case Data: Company Profiles + Expected Results
|
# Structure Tests (always run)
|
||||||
# ---------------------------------------------------------------------------
|
# ---------------------------------------------------------------------------
|
||||||
|
|
||||||
USE_CASES = [
|
class TestDemoCaseStructure:
|
||||||
# ===================================================================
|
"""Verify demo cases are well-formed."""
|
||||||
# CASE 1: Bank mit TAN-Generator (Batterie im Produkt)
|
|
||||||
# ===================================================================
|
|
||||||
{
|
|
||||||
"id": "bank_tan_generator",
|
|
||||||
"name": "Bank gibt TAN-Generator mit Batterie an Kunden raus",
|
|
||||||
"company": {
|
|
||||||
"industry": "Finanzdienstleistungen",
|
|
||||||
"size": "large",
|
|
||||||
"scope_answers": {
|
|
||||||
"payment_services": True, # Bank ist Zahlungsdienstleister
|
|
||||||
"processes_health_data": False,
|
|
||||||
"uses_ai": False,
|
|
||||||
"third_country_transfer": True,
|
|
||||||
"manufactures_batteries": False, # Bank STELLT NICHT HER
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"PSD2", # Bank IST Zahlungsdienstleister
|
|
||||||
"DSGVO", # Immer
|
|
||||||
"AML", # Bank hat AML-Pflichten
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"Batterieverordnung", # Bank stellt TAN-Generator nicht her
|
|
||||||
"Maschinenverordnung", # Kein Maschinenbau
|
|
||||||
"MDR", # Keine Medizinprodukte
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Die Bank beschafft den TAN-Generator von einem Hersteller. "
|
|
||||||
"Der Hersteller unterliegt der Batterieverordnung, nicht die Bank. "
|
|
||||||
"Die Bank ist aber selbst PSD2-reguliert als Zahlungsdienstleister."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
|
|
||||||
# ===================================================================
|
def test_case_count(self):
|
||||||
# CASE 2: Industrieunternehmen eroeffnet Webshop mit Stripe
|
assert len(DEMO_CASES) == 24, f"Expected 24 cases, got {len(DEMO_CASES)}"
|
||||||
# ===================================================================
|
|
||||||
{
|
|
||||||
"id": "industrie_webshop_stripe",
|
|
||||||
"name": "Maschinenbau-Firma eroeffnet Webshop mit Stripe-Zahlung",
|
|
||||||
"company": {
|
|
||||||
"industry": "Maschinenbau",
|
|
||||||
"size": "medium",
|
|
||||||
"scope_answers": {
|
|
||||||
"payment_services": False, # Stripe ist der Zahlungsdienstleister!
|
|
||||||
"uses_ai": False,
|
|
||||||
"third_country_transfer": True, # Stripe ist US-Unternehmen
|
|
||||||
"processes_health_data": False,
|
|
||||||
"has_webshop": True,
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"DSGVO", # Immer
|
|
||||||
"DSGVO_AV_Vertrag", # Stripe als Auftragsverarbeiter
|
|
||||||
"DSGVO_Datenschutzinfo", # Stripe in Datenschutzerklaerung nennen
|
|
||||||
"Maschinenverordnung", # Kerngeschaeft
|
|
||||||
"CE", # Maschinenbau braucht CE
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"PSD2", # Stripe ist der Zahlungsdienstleister, NICHT die Firma
|
|
||||||
"AML", # Keine eigene Zahlungsabwicklung
|
|
||||||
"BaFin", # Kein Finanzinstitut
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Stripe ist Zahlungsdienstleister in eigenem Auftrag. Der Webshop-Betreiber "
|
|
||||||
"wird nicht zum regulierten Zahlungsinstitut. Er muss nur Stripe als "
|
|
||||||
"Auftragsverarbeiter in der Datenschutzinformation korrekt benennen (DSGVO Art. 13/14). "
|
|
||||||
"Rechtsanwaltlich begleitete Stripe-Anbindung hat das bestaetigt."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
|
|
||||||
# ===================================================================
|
def test_category_distribution(self):
|
||||||
# CASE 3: Kleines SaaS-Startup (5 Personen)
|
cats = [c.get("category", "unknown") for c in DEMO_CASES]
|
||||||
# ===================================================================
|
assert cats.count("standard") == 6
|
||||||
{
|
assert cats.count("scope_beats_sector") == 6
|
||||||
"id": "saas_startup_klein",
|
assert cats.count("false_friends") == 6
|
||||||
"name": "5-Personen SaaS-Startup (Cloud-Software, keine KI)",
|
assert cats.count("escalation") == 6
|
||||||
"company": {
|
|
||||||
"industry": "Technologie/IT",
|
|
||||||
"size": "micro",
|
|
||||||
"scope_answers": {
|
|
||||||
"uses_ai": False,
|
|
||||||
"third_country_transfer": False, # EU-only Hosting
|
|
||||||
"processes_health_data": False,
|
|
||||||
"automated_decisions": False,
|
|
||||||
"payment_services": False,
|
|
||||||
"is_kritis_operator": False,
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"DSGVO", # Immer
|
|
||||||
"OWASP", # Software-Sicherheit
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"NIS2", # Zu klein (NIS2 ab medium/50 MA)
|
|
||||||
"AI_Act", # Keine KI
|
|
||||||
"Batterieverordnung", # Kein Hardware-Produkt
|
|
||||||
"TKG", # Kein Telko-Anbieter
|
|
||||||
"MDR", # Keine Medizinprodukte
|
|
||||||
"PSD2", # Kein Zahlungsdienstleister
|
|
||||||
"KRITIS", # Zu klein, kein kritischer Sektor
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Ein Kleinstunternehmen ohne KI, ohne KRITIS-Zugehoerigkeit, ohne "
|
|
||||||
"Drittlandtransfer braucht nur DSGVO-Basics und Software-Sicherheit. "
|
|
||||||
"NIS2 greift erst ab 50 Mitarbeitern / 10 Mio Umsatz."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
|
|
||||||
# ===================================================================
|
@pytest.mark.parametrize("case", DEMO_CASES, ids=CASE_IDS)
|
||||||
# CASE 4: Mittelstaendischer Energieversorger
|
def test_required_fields(self, case):
|
||||||
# ===================================================================
|
assert case.get("id"), "Missing id"
|
||||||
{
|
assert case.get("title"), "Missing title"
|
||||||
"id": "energieversorger_mittelstand",
|
assert case.get("category"), "Missing category"
|
||||||
"name": "Stadtwerk mit 200 Mitarbeitern (Strom + Gas)",
|
assert case.get("goal"), "Missing goal"
|
||||||
"company": {
|
assert case.get("company_profile"), "Missing company_profile"
|
||||||
"industry": "Energie",
|
assert case.get("facts"), "Missing facts"
|
||||||
"size": "medium",
|
assert case.get("expected"), "Missing expected"
|
||||||
"scope_answers": {
|
|
||||||
"is_kritis_operator": True,
|
|
||||||
"uses_ai": False,
|
|
||||||
"third_country_transfer": False,
|
|
||||||
"processes_health_data": False,
|
|
||||||
"employee_monitoring": True, # Leitwarte mit Kameras
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"DSGVO",
|
|
||||||
"NIS2", # Energie = KRITIS-Sektor + medium
|
|
||||||
"KRITIS", # Energieversorger
|
|
||||||
"BDSG", # Mitarbeiterueberwachung
|
|
||||||
"BSI_Grundschutz", # KRITIS-Betreiber
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"PSD2",
|
|
||||||
"AI_Act",
|
|
||||||
"MDR",
|
|
||||||
"TKG",
|
|
||||||
"Batterieverordnung",
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Stadtwerk ist KRITIS-Betreiber im Energiesektor. NIS2 greift ab medium "
|
|
||||||
"(50 MA). BSI-Grundschutz ist de-facto Pflicht fuer KRITIS. "
|
|
||||||
"Mitarbeiterueberwachung (Leitwarte) erfordert BDSG-Compliance."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
|
|
||||||
# ===================================================================
|
@pytest.mark.parametrize("case", DEMO_CASES, ids=CASE_IDS)
|
||||||
# CASE 5: Gesundheits-App Startup mit KI
|
def test_expected_has_escalation(self, case):
|
||||||
# ===================================================================
|
expected = case["expected"]
|
||||||
{
|
assert "escalation_expected" in expected, f"{case['id']}: Missing escalation_expected"
|
||||||
"id": "health_app_ki",
|
|
||||||
"name": "Startup entwickelt KI-basierte Gesundheits-App (DiGA)",
|
|
||||||
"company": {
|
|
||||||
"industry": "Gesundheitswesen",
|
|
||||||
"size": "small",
|
|
||||||
"scope_answers": {
|
|
||||||
"uses_ai": True,
|
|
||||||
"processes_health_data": True,
|
|
||||||
"automated_decisions": True,
|
|
||||||
"third_country_transfer": False,
|
|
||||||
"is_kritis_operator": False,
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"DSGVO",
|
|
||||||
"DSGVO_Art9", # Gesundheitsdaten = besondere Kategorie
|
|
||||||
"DSGVO_Art22", # Automatisierte Entscheidungen
|
|
||||||
"DSGVO_Art35", # DSFA fuer Gesundheitsdaten + KI
|
|
||||||
"AI_Act", # KI-Einsatz
|
|
||||||
"MDR", # Gesundheits-App kann Medizinprodukt sein
|
|
||||||
"BSI_TR_03161", # Technische Richtlinie fuer mobile Gesundheits-Apps
|
|
||||||
"DiGAV", # Digitale Gesundheitsanwendung
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"PSD2",
|
|
||||||
"TKG",
|
|
||||||
"Batterieverordnung",
|
|
||||||
"Maschinenverordnung",
|
|
||||||
"NIS2", # Zu klein
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Gesundheits-App mit KI trifft die schaerfsten Anforderungen: "
|
|
||||||
"DSGVO Art. 9 (Gesundheitsdaten), Art. 22 (automatisierte Entscheidungen), "
|
|
||||||
"Art. 35 (DSFA Pflicht), AI Act (Hochrisiko-KI im Gesundheitsbereich), "
|
|
||||||
"MDR (evtl. Medizinprodukt), BSI TR-03161 (Sicherheit mobiler Gesundheits-Apps)."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
|
|
||||||
# ===================================================================
|
@pytest.mark.parametrize("case", DEMO_CASES, ids=CASE_IDS)
|
||||||
# CASE 6: Automobilzulieferer (TISAX-relevant)
|
def test_escalation_has_reason(self, case):
|
||||||
# ===================================================================
|
expected = case["expected"]
|
||||||
{
|
if expected.get("escalation_expected"):
|
||||||
"id": "automotive_zulieferer",
|
assert expected.get("escalation_reason"), \
|
||||||
"name": "Automobilzulieferer mit 500 MA, Prototypen-Fertigung",
|
f"{case['id']}: escalation_expected=true but no escalation_reason"
|
||||||
"company": {
|
|
||||||
"industry": "Automobil",
|
|
||||||
"size": "large",
|
|
||||||
"scope_answers": {
|
|
||||||
"uses_ai": False,
|
|
||||||
"third_country_transfer": True, # Lieferkette international
|
|
||||||
"is_kritis_operator": False,
|
|
||||||
"handles_prototypes": True,
|
|
||||||
"supply_chain_automotive": True,
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"DSGVO",
|
|
||||||
"NIS2", # Large + Automotive (Lieferkette)
|
|
||||||
"ISO27001", # TISAX basiert auf ISO 27001
|
|
||||||
"Prototypenschutz", # OEM-Anforderung
|
|
||||||
"CE", # Produkte in EU
|
|
||||||
"Maschinenverordnung", # Produktion
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"PSD2",
|
|
||||||
"TKG",
|
|
||||||
"MDR",
|
|
||||||
"AI_Act",
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Automobilzulieferer braucht TISAX-Readiness (basiert auf ISO 27001), "
|
|
||||||
"Prototypenschutz (OEM-Vorgabe), und NIS2 (Lieferkette, large). "
|
|
||||||
"TISAX selbst koennen wir nicht direkt zuweisen (VDA ISA proprietaer), "
|
|
||||||
"aber die zugrunde liegenden ISO/NIST Controls decken es ab."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
|
|
||||||
# ===================================================================
|
@pytest.mark.parametrize("case", DEMO_CASES, ids=CASE_IDS)
|
||||||
# CASE 7: Rechtsanwaltskanzlei
|
def test_no_overlap_include_exclude(self, case):
|
||||||
# ===================================================================
|
expected = case["expected"]
|
||||||
{
|
include = set(expected.get("applicable_controls_should_include", []))
|
||||||
"id": "rechtsanwaltskanzlei",
|
exclude = set(expected.get("applicable_controls_should_not_include", []))
|
||||||
"name": "Wirtschaftskanzlei mit 30 Anwaelten",
|
overlap = include & exclude
|
||||||
"company": {
|
assert not overlap, f"{case['id']}: Overlap in include/exclude: {overlap}"
|
||||||
"industry": "Recht/Kanzlei",
|
|
||||||
"size": "small",
|
|
||||||
"scope_answers": {
|
|
||||||
"uses_ai": True, # KI fuer Dokumentenanalyse
|
|
||||||
"third_country_transfer": True, # US-Cloud-Dienste
|
|
||||||
"processes_health_data": False,
|
|
||||||
"automated_decisions": False,
|
|
||||||
"handles_legal_privilege": True,
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"DSGVO",
|
|
||||||
"DSGVO_Art46", # Drittlandtransfer (SCC)
|
|
||||||
"AI_Act", # KI-Einsatz
|
|
||||||
"BRAO", # Berufsordnung Rechtsanwaelte
|
|
||||||
"Mandantengeheimnis", # Berufsgeheimnis
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"NIS2", # Zu klein, kein KRITIS-Sektor
|
|
||||||
"PSD2",
|
|
||||||
"TKG",
|
|
||||||
"MDR",
|
|
||||||
"Batterieverordnung",
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Kanzlei mit KI-Tools und US-Cloud braucht DSGVO + SCC (Drittland), "
|
|
||||||
"AI Act (KI-Einsatz), und berufsrechtliche Anforderungen (BRAO, "
|
|
||||||
"Mandantengeheimnis). NIS2 greift nicht (kein KRITIS-Sektor, zu klein)."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
|
|
||||||
# ===================================================================
|
@pytest.mark.parametrize("case", DEMO_CASES, ids=CASE_IDS)
|
||||||
# CASE 8: E-Commerce Haendler mit eigenem Zahlungssystem
|
def test_confidence_range(self, case):
|
||||||
# ===================================================================
|
conf = case["expected"].get("confidence")
|
||||||
{
|
if conf is not None:
|
||||||
"id": "ecommerce_eigene_zahlung",
|
assert 0.0 <= conf <= 1.0, f"{case['id']}: confidence {conf} out of range"
|
||||||
"name": "Online-Haendler mit eigenem Payment-Processing (keine Stripe-Delegation)",
|
|
||||||
"company": {
|
|
||||||
"industry": "E-Commerce/Handel",
|
|
||||||
"size": "medium",
|
|
||||||
"scope_answers": {
|
|
||||||
"payment_services": True, # EIGENE Zahlungsabwicklung
|
|
||||||
"uses_ai": True, # KI-Empfehlungen
|
|
||||||
"third_country_transfer": True,
|
|
||||||
"processes_minors_data": True, # Spielzeug-Shop
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"DSGVO",
|
|
||||||
"DSGVO_Art8", # Kinderdaten
|
|
||||||
"PSD2", # EIGENER Payment-Service
|
|
||||||
"AI_Act", # KI-Empfehlungssystem
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"TKG",
|
|
||||||
"MDR",
|
|
||||||
"Maschinenverordnung",
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Unterschied zu Case 2: Dieser Haendler betreibt EIGENES Payment-Processing, "
|
|
||||||
"ist also PSD2-reguliert. Dazu: Kinderdaten (Spielzeug-Shop) erfordern "
|
|
||||||
"DSGVO Art. 8 (Einwilligung Erziehungsberechtigter). KI-Empfehlungen "
|
|
||||||
"fallen unter AI Act."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
|
|
||||||
# ===================================================================
|
def test_negative_test_ratio(self):
|
||||||
# CASE 9: Bildungseinrichtung (Schule)
|
"""At least 40% of cases should test non-assignment (R5)."""
|
||||||
# ===================================================================
|
cases_with_not_include = sum(
|
||||||
{
|
1 for c in DEMO_CASES
|
||||||
"id": "schule",
|
if c["expected"].get("applicable_controls_should_not_include")
|
||||||
"name": "Oeffentliche Schule mit 80 Lehrkraeften",
|
)
|
||||||
"company": {
|
ratio = cases_with_not_include / len(DEMO_CASES)
|
||||||
"industry": "Bildung",
|
assert ratio >= 0.4, f"Only {ratio:.0%} cases have must_not_include (need >= 40%)"
|
||||||
"size": "medium",
|
|
||||||
"scope_answers": {
|
|
||||||
"processes_minors_data": True,
|
|
||||||
"uses_ai": True, # KI-Lernplattform
|
|
||||||
"video_surveillance": True, # Schulgelaende
|
|
||||||
"employee_monitoring": False,
|
|
||||||
"is_public_sector": True,
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"DSGVO",
|
|
||||||
"DSGVO_Art8", # Kinderdaten
|
|
||||||
"DSGVO_Art35", # DSFA (Kinderdaten + KI + Video)
|
|
||||||
"AI_Act", # KI-Lernplattform
|
|
||||||
"Schulrecht", # Landesschulgesetz
|
|
||||||
"BDSG", # Oeffentliche Stelle
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"PSD2",
|
|
||||||
"NIS2", # Bildung kein KRITIS-Sektor
|
|
||||||
"TKG",
|
|
||||||
"AML",
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Schule verarbeitet Kinderdaten (DSGVO Art. 8), nutzt KI (AI Act), "
|
|
||||||
"hat Videoueberwachung (DSFA Pflicht). Als oeffentliche Stelle gilt BDSG. "
|
|
||||||
"NIS2 erfasst Bildung nicht als KRITIS-Sektor."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
|
|
||||||
# ===================================================================
|
def test_unique_ids(self):
|
||||||
# CASE 10: Telko-Unternehmen
|
assert len(CASE_IDS) == len(set(CASE_IDS)), "Duplicate case IDs found"
|
||||||
# ===================================================================
|
|
||||||
{
|
|
||||||
"id": "telko_provider",
|
|
||||||
"name": "Regionaler Internetanbieter mit 150 MA",
|
|
||||||
"company": {
|
|
||||||
"industry": "Telekommunikation",
|
|
||||||
"size": "medium",
|
|
||||||
"scope_answers": {
|
|
||||||
"is_kritis_operator": True,
|
|
||||||
"uses_ai": False,
|
|
||||||
"third_country_transfer": False,
|
|
||||||
"processes_health_data": False,
|
|
||||||
},
|
|
||||||
},
|
|
||||||
"must_match": [
|
|
||||||
"DSGVO",
|
|
||||||
"TKG", # Telko-spezifisch
|
|
||||||
"TTDSG", # Telekommunikation-Telemedien-Datenschutz
|
|
||||||
"NIS2", # KRITIS + medium
|
|
||||||
"KRITIS",
|
|
||||||
"BSI_Grundschutz",
|
|
||||||
],
|
|
||||||
"must_not_match": [
|
|
||||||
"PSD2",
|
|
||||||
"AI_Act",
|
|
||||||
"MDR",
|
|
||||||
"Batterieverordnung",
|
|
||||||
"Maschinenverordnung",
|
|
||||||
],
|
|
||||||
"rationale": (
|
|
||||||
"Telko-Anbieter ist KRITIS-Betreiber, TKG und TTDSG sind direkt anwendbar. "
|
|
||||||
"NIS2 greift (KRITIS + medium). BSI-Grundschutz de-facto Pflicht."
|
|
||||||
),
|
|
||||||
},
|
|
||||||
]
|
|
||||||
|
|
||||||
|
|
||||||
# ---------------------------------------------------------------------------
|
# ---------------------------------------------------------------------------
|
||||||
# Test Functions
|
# Acceptance Rule Tests (always run)
|
||||||
# ---------------------------------------------------------------------------
|
# ---------------------------------------------------------------------------
|
||||||
|
|
||||||
class TestApplicabilityUseCases:
|
class TestAcceptanceRules:
|
||||||
"""Verify that the Applicability Engine assigns controls correctly."""
|
"""Verify acceptance rules are encoded in the test data."""
|
||||||
|
|
||||||
@pytest.mark.parametrize("case", USE_CASES, ids=[c["id"] for c in USE_CASES])
|
def test_r1_no_false_certainty(self):
|
||||||
def test_use_case_documented(self, case):
|
"""R1: Escalation cases must not have high confidence."""
|
||||||
"""Each use case has required fields."""
|
for case in DEMO_CASES:
|
||||||
assert case["id"]
|
if case["expected"].get("escalation_expected"):
|
||||||
assert case["name"]
|
conf = case["expected"].get("confidence", 1.0)
|
||||||
assert case["company"]["industry"]
|
assert conf < 0.80, \
|
||||||
assert case["company"]["size"]
|
f"{case['id']}: escalation_expected but confidence={conf} (should be < 0.80)"
|
||||||
assert case["must_match"]
|
|
||||||
assert case["must_not_match"]
|
|
||||||
assert case["rationale"]
|
|
||||||
|
|
||||||
@pytest.mark.parametrize("case", USE_CASES, ids=[c["id"] for c in USE_CASES])
|
def test_r2_scope_beats_sector(self):
|
||||||
def test_must_match_not_overlap_must_not(self, case):
|
"""R2: scope_beats_sector cases must have scope_triggers."""
|
||||||
"""must_match and must_not_match should not overlap."""
|
for case in DEMO_CASES:
|
||||||
overlap = set(case["must_match"]) & set(case["must_not_match"])
|
if case.get("category") == "scope_beats_sector":
|
||||||
assert not overlap, f"Overlap in {case['id']}: {overlap}"
|
triggers = case["expected"].get("scope_triggers", [])
|
||||||
|
assert triggers, f"{case['id']}: scope_beats_sector but no scope_triggers"
|
||||||
|
|
||||||
@pytest.mark.parametrize("case", USE_CASES, ids=[c["id"] for c in USE_CASES])
|
def test_r3_repo_signals_not_sufficient(self):
|
||||||
def test_scope_answers_are_booleans(self, case):
|
"""R3: Cases with repo_signals should not auto-assign heavy regulation."""
|
||||||
"""Scope answers should be boolean values."""
|
for case in DEMO_CASES:
|
||||||
for key, val in case["company"]["scope_answers"].items():
|
if case.get("repo_signals") and not case["expected"].get("escalation_expected"):
|
||||||
assert isinstance(val, bool), f"{case['id']}: scope {key} is {type(val)}, expected bool"
|
# If repo signals exist but no escalation, PSD2 etc. must NOT be included
|
||||||
|
include = case["expected"].get("applicable_controls_should_include", [])
|
||||||
|
for ctrl in include:
|
||||||
|
assert "PSD2" not in ctrl, \
|
||||||
|
f"{case['id']}: repo_signals + PSD2 included without escalation (R3)"
|
||||||
|
|
||||||
|
def test_r4_standard_first(self):
|
||||||
|
"""R4: Standard cases should have applicable_industries set."""
|
||||||
|
for case in DEMO_CASES:
|
||||||
|
if case.get("category") == "standard":
|
||||||
|
industries = case["expected"].get("applicable_industries")
|
||||||
|
assert industries, f"{case['id']}: standard case without applicable_industries"
|
||||||
|
|
||||||
|
|
||||||
# ---------------------------------------------------------------------------
|
# ---------------------------------------------------------------------------
|
||||||
# Integration test placeholder — runs against real DB + Applicability Engine
|
# Integration Tests (require DB + Applicability Engine)
|
||||||
# ---------------------------------------------------------------------------
|
# ---------------------------------------------------------------------------
|
||||||
|
|
||||||
@pytest.mark.skip(reason="Requires running DB + Applicability Engine")
|
@pytest.mark.skip(reason="Requires running DB + Applicability Engine — enable for SDK demo")
|
||||||
class TestApplicabilityIntegration:
|
class TestApplicabilityIntegration:
|
||||||
"""Run use cases against the real Applicability Engine.
|
"""Run use cases against the real Applicability Engine.
|
||||||
|
|
||||||
Enable by removing @skip and setting DATABASE_URL.
|
Enable by removing @skip and ensuring DATABASE_URL is set.
|
||||||
These tests query the actual canonical_controls table
|
|
||||||
and verify that the correct controls are returned.
|
Scoring per case:
|
||||||
|
must_include_match: 0..1
|
||||||
|
must_not_include_match: 0..1
|
||||||
|
reasoning_correct: 0..1
|
||||||
|
escalation_correct: 0..1
|
||||||
|
total_score: 0..4
|
||||||
"""
|
"""
|
||||||
|
|
||||||
@pytest.mark.parametrize("case", USE_CASES, ids=[c["id"] for c in USE_CASES])
|
@pytest.mark.parametrize("case", DEMO_CASES, ids=CASE_IDS)
|
||||||
def test_applicability_engine(self, case):
|
def test_applicability(self, case):
|
||||||
"""Verify control assignment for each use case."""
|
# TODO: Implement against real ApplicabilityEngine
|
||||||
# TODO: Import ApplicabilityEngine, query DB, check results
|
|
||||||
# from services.applicability_engine import get_applicable_controls
|
# from services.applicability_engine import get_applicable_controls
|
||||||
# from db.session import SessionLocal
|
# from db.session import SessionLocal
|
||||||
#
|
#
|
||||||
# db = SessionLocal()
|
# db = SessionLocal()
|
||||||
# result = get_applicable_controls(
|
# result = get_applicable_controls(
|
||||||
# db=db,
|
# db=db,
|
||||||
# industry=case["company"]["industry"],
|
# industry=case["company_profile"]["sector"],
|
||||||
# company_size=case["company"]["size"],
|
# company_size=case["company_profile"].get("size", "medium"),
|
||||||
# scope_signals=case["company"]["scope_answers"],
|
# scope_signals=case.get("scope_answers", {}),
|
||||||
# )
|
# )
|
||||||
# control_sources = {c.source_citation.get("source", "") for c in result["controls"]}
|
|
||||||
#
|
#
|
||||||
# for required in case["must_match"]:
|
# # Score: must_include_match
|
||||||
# assert any(required.lower() in s.lower() for s in control_sources), \
|
# for required in case["expected"].get("applicable_controls_should_include", []):
|
||||||
# f"{case['id']}: Expected {required} in results"
|
# assert any(required.lower() in str(c).lower() for c in result["controls"])
|
||||||
#
|
#
|
||||||
# for forbidden in case["must_not_match"]:
|
# # Score: must_not_include_match
|
||||||
# assert not any(forbidden.lower() in s.lower() for s in control_sources), \
|
# for forbidden in case["expected"].get("applicable_controls_should_not_include", []):
|
||||||
# f"{case['id']}: {forbidden} should NOT be in results"
|
# assert not any(forbidden.lower() in str(c).lower() for c in result["controls"])
|
||||||
pass
|
pass
|
||||||
|
|||||||
Reference in New Issue
Block a user