feat: control-driven SAST — LUT + grounded LLM triage over tool findings (#213)
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This commit was merged in pull request #213.
This commit is contained in:
2026-07-21 09:01:51 +00:00
parent 5285fb67ae
commit c6baf72c6d
17 changed files with 1453 additions and 6 deletions
+1
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@@ -8,6 +8,7 @@ workspace = true
[dependencies]
compliance-core = { workspace = true, features = ["mongodb", "telemetry", "axum"] }
control-map = { workspace = true }
compliance-graph = { path = "../compliance-graph" }
compliance-dast = { path = "../compliance-dast" }
# Shared dynamic-execution logic (soft-PLC provisioning + ICS probing), also
+114
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@@ -0,0 +1,114 @@
//! The grounded control checker: judge each candidate region for a control, then
//! keep only the verdicts that survive the grounding gate.
//!
//! Generic over [`ControlJudge`] so tests drive it with a deterministic stub —
//! the whole recognize → ground path is then exercised without an LLM. With the
//! real judge, determinism comes from temperature 0 plus the gate.
use compliance_core::control_check::{ground, CandidateRegion, ControlCheckSpec};
use compliance_core::models::Finding;
use super::judge::ControlJudge;
/// Runs a [`ControlJudge`] over candidate regions and grounds the results.
pub struct GroundedControlChecker<J> {
judge: J,
}
impl<J: ControlJudge> GroundedControlChecker<J> {
pub fn new(judge: J) -> Self {
Self { judge }
}
/// Judge every candidate region for `spec` and return the grounded findings.
/// A verdict that doesn't quote real code in its region is dropped by
/// [`ground`], so nothing fabricated reaches the caller.
pub async fn check(
&self,
spec: &ControlCheckSpec,
regions: &[CandidateRegion],
repo_id: &str,
) -> Vec<Finding> {
let mut findings = Vec::new();
for region in regions {
let verdict = self.judge.judge(spec, region).await;
if let Some(finding) = ground(spec, region, &verdict, repo_id) {
findings.push(finding);
}
}
findings
}
}
#[cfg(test)]
mod tests {
use super::*;
use compliance_core::control_check::LlmVerdict;
use compliance_core::models::finding::Severity;
/// Deterministic stub: returns a fixed verdict for every region, so the
/// recognize → ground composition is tested without an LLM.
struct StubJudge {
verdict: LlmVerdict,
}
impl ControlJudge for StubJudge {
async fn judge(&self, _spec: &ControlCheckSpec, _region: &CandidateRegion) -> LlmVerdict {
self.verdict.clone()
}
}
fn spec() -> ControlCheckSpec {
ControlCheckSpec {
control_id: "cra-ai-8".into(),
title: "No default passwords".into(),
requirement: "No default credentials".into(),
default_cwe: Some("CWE-798".into()),
severity: Severity::High,
}
}
fn region(content: &str) -> CandidateRegion {
CandidateRegion {
file: "src/auth.py".into(),
start_line: 1,
content: content.into(),
}
}
#[tokio::test]
async fn keeps_grounded_and_drops_ungrounded() {
let checker = GroundedControlChecker::new(StubJudge {
verdict: LlmVerdict {
violates: true,
snippet: "PASSWORD = \"admin\"".into(),
cwe: None,
confidence: 0.9,
},
});
let regions = vec![
region("x = 1\nPASSWORD = \"admin\"\n"), // quotes real code → grounded
region("totally unrelated code\n"), // snippet absent → dropped
];
let findings = checker.check(&spec(), &regions, "repo").await;
assert_eq!(findings.len(), 1);
assert_eq!(findings[0].control_refs, vec!["cra-ai-8".to_string()]);
assert_eq!(findings[0].line_number, Some(2));
}
#[tokio::test]
async fn non_violation_yields_nothing() {
let checker = GroundedControlChecker::new(StubJudge {
verdict: LlmVerdict {
violates: false,
snippet: String::new(),
cwe: None,
confidence: 0.0,
},
});
let findings = checker
.check(&spec(), &[region("PASSWORD = \"admin\"\n")], "repo")
.await;
assert!(findings.is_empty());
}
}
+167
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@@ -0,0 +1,167 @@
//! The "recognize" stage: judge whether a code region violates a control.
//!
//! Behind the [`ControlJudge`] trait so the grounded checker can be driven by a
//! deterministic stub in tests. The real [`LlmControlJudge`] runs the model at
//! temperature 0 with a closed prompt — it must quote the offending code VERBATIM,
//! and everything it returns is then re-checked by the grounding gate
//! ([`compliance_core::control_check::ground`]). The judge is allowed to be
//! smart; it is never trusted.
use std::sync::Arc;
use serde::Deserialize;
use compliance_core::control_check::{CandidateRegion, ControlCheckSpec, LlmVerdict};
use crate::llm::LlmClient;
/// Prompt/logic version — part of the verdict cache key, bump on any change here.
pub const PROMPT_VERSION: &str = "control-judge-v1";
const SYSTEM_PROMPT: &str = "You are a precise security & compliance code auditor. \
You are given ONE compliance control (a requirement) and ONE code region. Decide \
ONLY whether the code region VIOLATES the control. Rules: (1) Judge only the code \
shown — never assume code that is not present. (2) If and only if it violates, copy \
the EXACT offending code VERBATIM into `snippet`, character-for-character from the \
region — do not paraphrase, reformat, or reconstruct it. (3) If it does not clearly \
violate, set violates=false and leave snippet empty. (4) Prefer false over guessing. \
Respond with STRICT JSON only, no prose: \
{\"violates\": bool, \"snippet\": \"<verbatim code or empty>\", \"cwe\": \"CWE-NNN or null\", \"confidence\": 0.0-1.0}";
/// Judges one (control, region). Async-in-trait so a stub can drive tests.
#[allow(async_fn_in_trait)]
pub trait ControlJudge: Send + Sync {
async fn judge(&self, spec: &ControlCheckSpec, region: &CandidateRegion) -> LlmVerdict;
}
/// The real judge: the LLM at temperature 0 with the closed, verbatim-snippet prompt.
pub struct LlmControlJudge {
llm: Arc<LlmClient>,
}
impl LlmControlJudge {
pub fn new(llm: Arc<LlmClient>) -> Self {
Self { llm }
}
}
impl ControlJudge for LlmControlJudge {
async fn judge(&self, spec: &ControlCheckSpec, region: &CandidateRegion) -> LlmVerdict {
let user = build_user_prompt(spec, region);
match self.llm.chat(SYSTEM_PROMPT, &user, Some(0.0)).await {
Ok(response) => parse_verdict(&response),
Err(e) => {
// Fail closed: a transient model error yields no finding, never a
// fabricated one.
tracing::warn!(control = %spec.control_id, error = %e, "control judge call failed");
no_violation()
}
}
}
}
fn build_user_prompt(spec: &ControlCheckSpec, region: &CandidateRegion) -> String {
format!(
"CONTROL {id}{title}\nRequirement: {req}\n\nCODE ({file}, first line = {line}):\n```\n{code}\n```\n\nReturn the JSON verdict.",
id = spec.control_id,
title = spec.title,
req = spec.requirement,
file = region.file,
line = region.start_line,
code = region.content,
)
}
#[derive(Debug, Default, Deserialize)]
struct RawVerdict {
#[serde(default)]
violates: bool,
#[serde(default)]
snippet: String,
#[serde(default)]
cwe: Option<String>,
#[serde(default)]
confidence: f64,
}
/// Parse the model's JSON verdict, tolerant of ```json fencing. Any parse failure
/// degrades to a non-violation (never a fabricated finding).
fn parse_verdict(response: &str) -> LlmVerdict {
let cleaned = response
.trim()
.trim_start_matches("```json")
.trim_start_matches("```")
.trim_end_matches("```")
.trim();
match serde_json::from_str::<RawVerdict>(cleaned) {
Ok(raw) => LlmVerdict {
violates: raw.violates,
snippet: raw.snippet,
cwe: raw.cwe.filter(|c| !c.trim().is_empty()),
confidence: raw.confidence,
},
Err(e) => {
tracing::debug!(error = %e, "failed to parse control verdict; treating as non-violation");
no_violation()
}
}
}
fn no_violation() -> LlmVerdict {
LlmVerdict {
violates: false,
snippet: String::new(),
cwe: None,
confidence: 0.0,
}
}
#[cfg(test)]
mod tests {
use super::*;
use compliance_core::models::finding::Severity;
fn spec() -> ControlCheckSpec {
ControlCheckSpec {
control_id: "cra-ai-8".into(),
title: "No default passwords".into(),
requirement: "Products must not ship default credentials".into(),
default_cwe: Some("CWE-798".into()),
severity: Severity::High,
}
}
#[test]
fn parses_plain_and_fenced_json() {
let plain = r#"{"violates": true, "snippet": "PASSWORD = \"x\"", "cwe": "CWE-798", "confidence": 0.9}"#;
let v = parse_verdict(plain);
assert!(v.violates);
assert_eq!(v.snippet, "PASSWORD = \"x\"");
assert_eq!(v.cwe.as_deref(), Some("CWE-798"));
let fenced = "```json\n{\"violates\": false, \"snippet\": \"\", \"cwe\": null, \"confidence\": 0.1}\n```";
assert!(!parse_verdict(fenced).violates);
}
#[test]
fn garbage_and_empty_cwe_are_safe() {
assert!(!parse_verdict("not json at all").violates); // fail closed
let no_cwe =
parse_verdict(r#"{"violates": true, "snippet": "x", "cwe": " ", "confidence": 0.5}"#);
assert!(no_cwe.cwe.is_none()); // blank CWE normalised away
}
#[test]
fn user_prompt_carries_control_and_code() {
let region = CandidateRegion {
file: "src/auth.py".into(),
start_line: 10,
content: "PASSWORD = \"admin\"".into(),
};
let p = build_user_prompt(&spec(), &region);
assert!(p.contains("cra-ai-8"));
assert!(p.contains("Products must not ship default credentials"));
assert!(p.contains("PASSWORD = \"admin\""));
assert!(p.contains("src/auth.py"));
}
}
+8
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@@ -5,6 +5,14 @@
//! [`OscalControlsProvider`], which pulls breakpilot-compliance's OSCAL catalog
//! and snapshots it locally.
mod checker;
mod judge;
mod oscal_provider;
mod scan_triage;
mod triage;
pub use checker::GroundedControlChecker;
pub use judge::{ControlJudge, LlmControlJudge, PROMPT_VERSION};
pub use oscal_provider::OscalControlsProvider;
pub use scan_triage::triage_repo_findings;
pub use triage::{ControlTriage, TriageOutcome};
@@ -0,0 +1,139 @@
//! Scan-pipeline integration for control triage.
//!
//! After the deterministic tools have produced findings, this stamps each finding
//! with the compliance control(s) it's evidence for and marks control-level false
//! positives — using the ingested OSCAL catalog for control text, the
//! `control-map` LUT for the finding→control link, and the grounded LLM judge to
//! confirm. Skipped entirely unless breakpilot is configured.
use std::collections::HashMap;
use std::path::Path;
use std::sync::Arc;
use compliance_core::control_check::{CandidateRegion, ControlCheckSpec};
use compliance_core::models::finding::{Finding, FindingStatus, Severity};
use compliance_core::models::onboarding::ComplianceFramework;
use compliance_core::AgentConfig;
use control_map::ControlMap;
use super::{ControlTriage, LlmControlJudge, OscalControlsProvider, TriageOutcome};
use crate::llm::LlmClient;
/// Lines of context to read on each side of a finding's line.
const REGION_WINDOW: usize = 6;
/// Triage every finding in `findings` against the CRA control map: stamp
/// `control_refs` on confirmed findings and flag control false positives. Returns
/// the number of findings tagged with at least one control.
pub async fn triage_repo_findings(
config: &AgentConfig,
llm: Arc<LlmClient>,
repo_path: &Path,
findings: &mut [Finding],
) -> usize {
let Some(base_url) = config.breakpilot.base_url.clone() else {
return 0; // control triage is opt-in via BREAKPILOT_BASE_URL
};
let provider = OscalControlsProvider::new(
reqwest::Client::new(),
base_url,
config.breakpilot.token.clone(),
&config.breakpilot.snapshot_dir,
);
let specs = build_specs(&provider).await;
if specs.is_empty() {
return 0;
}
let map = match ControlMap::cra() {
Ok(m) => m,
Err(e) => {
tracing::warn!(error = %e, "control map failed to load; skipping control triage");
return 0;
}
};
let triage = ControlTriage::new(LlmControlJudge::new(llm), map, specs);
let mut tagged = 0;
for finding in findings.iter_mut() {
let (Some(file), Some(line)) = (finding.file_path.clone(), finding.line_number) else {
continue;
};
let Some(region) = fetch_region(repo_path, &file, line) else {
continue;
};
match triage.triage(finding, &region).await {
TriageOutcome::Confirmed(controls) => {
finding.control_refs = controls;
tagged += 1;
}
TriageOutcome::FalsePositive => {
finding.status = FindingStatus::FalsePositive;
finding.triage_action = Some("control_false_positive".to_string());
}
TriageOutcome::Unmapped => {}
}
}
tagged
}
/// Build the control requirement specs (by id) from the ingested OSCAL catalog.
async fn build_specs(provider: &OscalControlsProvider) -> HashMap<String, ControlCheckSpec> {
let mut specs = HashMap::new();
match provider.load(ComplianceFramework::Cra).await {
Ok(doc) => {
for control in doc.to_controls() {
specs.insert(
control.id.clone(),
ControlCheckSpec {
control_id: control.id,
title: control.title,
requirement: control.text,
default_cwe: None,
severity: Severity::Medium,
},
);
}
}
Err(e) => tracing::warn!(error = %e, "could not load control catalog for triage"),
}
specs
}
/// Read a window of lines around `line` (1-based) from `repo_path/file`.
fn fetch_region(repo_path: &Path, file: &str, line: u32) -> Option<CandidateRegion> {
let content = std::fs::read_to_string(repo_path.join(file)).ok()?;
let lines: Vec<&str> = content.lines().collect();
if lines.is_empty() {
return None;
}
let center = (line.saturating_sub(1) as usize).min(lines.len() - 1);
let start = center.saturating_sub(REGION_WINDOW);
let end = (center + REGION_WINDOW + 1).min(lines.len());
Some(CandidateRegion {
file: file.to_string(),
start_line: (start as u32) + 1,
content: lines[start..end].join("\n"),
})
}
#[cfg(test)]
mod tests {
use super::*;
#[test]
fn fetch_region_windows_around_the_line() {
let dir = std::env::temp_dir().join(format!("triage-region-{}", uuid::Uuid::new_v4()));
std::fs::create_dir_all(&dir).unwrap();
let file = "a.py";
std::fs::write(dir.join(file), "l1\nl2\nl3\nSECRET=1\nl5\nl6\n").unwrap();
let r = fetch_region(&dir, file, 4).unwrap();
assert!(r.content.contains("SECRET=1"));
assert_eq!(r.start_line, 1); // window clamps to file start
let _ = std::fs::remove_dir_all(&dir);
}
#[test]
fn fetch_region_missing_file_is_none() {
assert!(fetch_region(Path::new("/nonexistent"), "nope.py", 1).is_none());
}
}
+184
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@@ -0,0 +1,184 @@
//! Triage step: confirm/refute a deterministic tool finding against the controls
//! it maps to (via the `control-map` LUT), grounding the judgment.
//!
//! This is where the LLM finally enters — as a **false-positive filter over tool
//! output**, never as the detector (the ZeroFalse / IRIS pattern). A tool
//! (semgrep, gitleaks, syft/osv) detects deterministically; `controls_for(tool,
//! cwe)` attaches the finding to the control(s) it's evidence for; the grounded
//! judge then confirms or refutes each, and only judgments anchored to real code
//! survive.
use std::collections::HashMap;
use compliance_core::control_check::{ground, CandidateRegion, ControlCheckSpec};
use compliance_core::models::Finding;
use control_map::ControlMap;
use super::judge::ControlJudge;
/// What triage decided for one tool finding.
#[derive(Debug, Clone, PartialEq, Eq)]
pub enum TriageOutcome {
/// The finding maps to no control in the LUT — keep it, untagged.
Unmapped,
/// Maps to controls and the grounded judge confirmed at least one — keep the
/// finding and tag it with these control ids.
Confirmed(Vec<String>),
/// Maps to controls but the judge grounded none — treat as a false positive.
FalsePositive,
}
/// Triages tool findings against the control map, confirming with a grounded judge.
pub struct ControlTriage<J> {
judge: J,
map: ControlMap,
/// Control requirement specs (by control id), built from the ingested catalog.
specs: HashMap<String, ControlCheckSpec>,
}
impl<J: ControlJudge> ControlTriage<J> {
pub fn new(judge: J, map: ControlMap, specs: HashMap<String, ControlCheckSpec>) -> Self {
Self { judge, map, specs }
}
/// Triage one tool finding. `region` is the code around the finding, used as
/// the grounding evidence for the judge.
pub async fn triage(&self, finding: &Finding, region: &CandidateRegion) -> TriageOutcome {
let Some(cwe) = finding.cwe.as_deref() else {
return TriageOutcome::Unmapped;
};
let mapped = self.map.controls_for(&finding.scanner, cwe);
if mapped.is_empty() {
return TriageOutcome::Unmapped;
}
let mut confirmed = Vec::new();
for entry in mapped {
let Some(spec) = self.specs.get(&entry.control) else {
continue;
};
let verdict = self.judge.judge(spec, region).await;
// The verdict only counts if it grounds to real code in the region.
if ground(spec, region, &verdict, &finding.repo_id).is_some() {
confirmed.push(entry.control.clone());
}
}
if confirmed.is_empty() {
TriageOutcome::FalsePositive
} else {
TriageOutcome::Confirmed(confirmed)
}
}
}
#[cfg(test)]
mod tests {
use super::*;
use compliance_core::control_check::LlmVerdict;
use compliance_core::models::finding::Severity;
use compliance_core::models::scan::ScanType;
struct StubJudge {
verdict: LlmVerdict,
}
impl ControlJudge for StubJudge {
async fn judge(&self, _s: &ControlCheckSpec, _r: &CandidateRegion) -> LlmVerdict {
self.verdict.clone()
}
}
fn specs() -> HashMap<String, ControlCheckSpec> {
let mut m = HashMap::new();
m.insert(
"cra-ai-8".to_string(),
ControlCheckSpec {
control_id: "cra-ai-8".into(),
title: "No default passwords".into(),
requirement: "No default credentials".into(),
default_cwe: Some("CWE-798".into()),
severity: Severity::High,
},
);
m
}
fn semgrep_finding(cwe: &str) -> Finding {
let mut f = Finding::new(
"repo".into(),
"fp1".into(),
"semgrep".into(),
ScanType::Sast,
"hardcoded credential".into(),
"desc".into(),
Severity::High,
);
f.cwe = Some(cwe.into());
f
}
fn region() -> CandidateRegion {
CandidateRegion {
file: "src/auth.py".into(),
start_line: 1,
content: "PASSWORD = \"admin123\"\n".into(),
}
}
#[tokio::test]
async fn confirmed_finding_is_tagged_with_control() {
let triage = ControlTriage::new(
StubJudge {
verdict: LlmVerdict {
violates: true,
snippet: "PASSWORD = \"admin123\"".into(),
cwe: None,
confidence: 0.9,
},
},
ControlMap::cra().unwrap(),
specs(),
);
let out = triage.triage(&semgrep_finding("CWE-798"), &region()).await;
assert_eq!(out, TriageOutcome::Confirmed(vec!["cra-ai-8".to_string()]));
}
#[tokio::test]
async fn refuted_mapped_finding_is_false_positive() {
// Maps to cra-ai-8, but the judge doesn't confirm (no violation) → FP.
let triage = ControlTriage::new(
StubJudge {
verdict: LlmVerdict {
violates: false,
snippet: String::new(),
cwe: None,
confidence: 0.1,
},
},
ControlMap::cra().unwrap(),
specs(),
);
let out = triage.triage(&semgrep_finding("CWE-798"), &region()).await;
assert_eq!(out, TriageOutcome::FalsePositive);
}
#[tokio::test]
async fn unmapped_cwe_is_left_untagged() {
let triage = ControlTriage::new(
StubJudge {
verdict: LlmVerdict {
violates: true,
snippet: "PASSWORD = \"admin123\"".into(),
cwe: None,
confidence: 0.9,
},
},
ControlMap::cra().unwrap(),
specs(),
);
let out = triage
.triage(&semgrep_finding("CWE-99999"), &region())
.await;
assert_eq!(out, TriageOutcome::Unmapped);
}
}
@@ -215,6 +215,21 @@ impl PipelineOrchestrator {
.await;
tracing::info!("[{repo_id}] Triaged: {triaged} findings passed confidence threshold");
// Stage 5b: control triage — stamp findings with the compliance control(s)
// they're evidence for and flag control false positives (grounded LLM over
// deterministic tool output). No-op unless breakpilot is configured.
self.update_phase(scan_run_id, "control_triage").await;
let tagged = crate::controls::triage_repo_findings(
&self.config,
self.llm.clone(),
&repo_path,
&mut all_findings,
)
.await;
if tagged > 0 {
tracing::info!("[{repo_id}] Control triage tagged {tagged} findings with control refs");
}
// Dedup against existing findings and insert new ones
let mut new_count = 0u32;
let mut new_findings: Vec<Finding> = Vec::new();
+25 -4
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@@ -82,10 +82,7 @@ impl Scanner for SemgrepScanner {
finding.file_path = Some(r.path);
finding.line_number = Some(r.start.line);
finding.code_snippet = Some(r.extra.lines);
finding.cwe = r
.extra
.metadata
.and_then(|m| m.get("cwe").and_then(|v| v.as_str()).map(|s| s.to_string()));
finding.cwe = r.extra.metadata.as_ref().and_then(extract_cwe);
finding
})
.collect();
@@ -124,10 +121,34 @@ struct SemgrepExtra {
metadata: Option<serde_json::Value>,
}
/// semgrep emits `metadata.cwe` as a list of strings like
/// `"CWE-798: Use of Hard-coded Credentials"` (occasionally a bare string). Take
/// the first entry and normalise it to just the `CWE-NNN` id.
fn extract_cwe(metadata: &serde_json::Value) -> Option<String> {
let raw = metadata.get("cwe")?;
let text = match raw {
serde_json::Value::Array(items) => items.first()?.as_str()?,
serde_json::Value::String(s) => s.as_str(),
_ => return None,
};
let id = text.split(':').next().unwrap_or(text).trim();
(!id.is_empty()).then(|| id.to_string())
}
#[cfg(test)]
mod tests {
use super::*;
#[test]
fn extract_cwe_handles_list_and_normalises() {
let md = serde_json::json!({"cwe": ["CWE-798: Use of Hard-coded Credentials"]});
assert_eq!(extract_cwe(&md).as_deref(), Some("CWE-798"));
let bare = serde_json::json!({"cwe": "CWE-89"});
assert_eq!(extract_cwe(&bare).as_deref(), Some("CWE-89"));
let none = serde_json::json!({"severity": "ERROR"});
assert_eq!(extract_cwe(&none), None);
}
#[test]
fn deserialize_semgrep_output() {
let json = r#"{