feat(controls): B2 — grounded surface checks for absence-based CRA controls

Second slice of B (hybrid coverage): the controls violated by an *absence*
(no rate limiting, no security logging, no update-signature check) have no
syntactic pattern for semgrep, so we retrieve the code surface each governs and
let the grounded judge decide whether the control holds.

- controls/surface.rs: deterministic, bounded surface retrieval (keyword +
  window, capped per control) for cra-ai-6,11,24,27,28,29,30.
- grounded_surface_findings(): retrieve surfaces -> GroundedControlChecker ->
  net-new findings, each already tagged with its control and grounded to a real
  snippet (ground() drops anything not quoting verbatim code).
- orchestrator Stage 5d, gated on breakpilot.grounded_control_checks
  (BREAKPILOT_GROUNDED_CHECKS, default off) — absence detection is the least
  deterministic path, kept off until tuned against live scans.
- LUT: the 7 controls' notes now point to the gated grounded mechanism (kept
  needs_tooling; coverage stays honest until live-validated).

Local validation (real Qwen, temp 0), correct positive+negative discrimination:
  cra-ai-11 unprotected login  -> violates, CWE-307, grounded; protected -> false
  cra-ai-24 unlogged admin del -> violates, CWE-778, grounded; logged   -> false

Co-Authored-By: Claude Fable 5 <noreply@anthropic.com>

compliance-agent/src/config.rs

@@ -103,5 +103,8 @@ fn load_breakpilot_config() -> BreakpilotConfig {
         semantic_mapping: env_var_opt("BREAKPILOT_SEMANTIC_MAPPING")
             .map(|v| v == "1" || v.eq_ignore_ascii_case("true"))
             .unwrap_or(d.semantic_mapping),
+        grounded_control_checks: env_var_opt("BREAKPILOT_GROUNDED_CHECKS")
+            .map(|v| v == "1" || v.eq_ignore_ascii_case("true"))
+            .unwrap_or(d.grounded_control_checks),
     }
 }

compliance-agent/src/controls/mod.rs

@@ -11,12 +11,13 @@ mod judge;
 mod oscal_provider;
 mod scan_triage;
 mod semantic;
+mod surface;
 mod triage;
 
 pub use checker::GroundedControlChecker;
 pub use index::ControlIndex;
 pub use judge::{ControlJudge, LlmControlJudge, PROMPT_VERSION};
 pub use oscal_provider::OscalControlsProvider;
-pub use scan_triage::{semantic_stamp_findings, triage_repo_findings};
+pub use scan_triage::{grounded_surface_findings, semantic_stamp_findings, triage_repo_findings};
 pub use semantic::SemanticControlChecker;
 pub use triage::{ControlTriage, TriageOutcome};

compliance-agent/src/controls/scan_triage.rs

@@ -16,9 +16,10 @@ use compliance_core::models::onboarding::ComplianceFramework;
 use compliance_core::AgentConfig;
 use control_map::ControlMap;
 
+use super::surface;
 use super::{
-    ControlIndex, ControlTriage, LlmControlJudge, OscalControlsProvider, SemanticControlChecker,
-    TriageOutcome,
+    ControlIndex, ControlTriage, GroundedControlChecker, LlmControlJudge, OscalControlsProvider,
+    SemanticControlChecker, TriageOutcome,
 };
 use crate::llm::LlmClient;
 
@@ -105,6 +106,50 @@ async fn build_specs(provider: &OscalControlsProvider) -> HashMap<String, Contro
     specs
 }
 
+/// Absence-based control pass (the grounded half of the hybrid coverage): for each
+/// control with a [`surface`] definition, deterministically retrieve the code
+/// surfaces it governs (login routes, logging setup, update/download code) and have
+/// the grounded judge decide whether the control holds there. Returns net-new
+/// findings, each already tagged with its control and grounded to a real snippet.
+///
+/// Gated: the orchestrator runs this only when `breakpilot.grounded_control_checks`
+/// is set. Absence detection is the least deterministic path (the judge decides
+/// presence/absence, not a syntactic pattern), so it stays off until tuned live.
+pub async fn grounded_surface_findings(
+    config: &AgentConfig,
+    llm: Arc<LlmClient>,
+    repo_path: &Path,
+    repo_id: &str,
+) -> Vec<Finding> {
+    let Some(base_url) = config.breakpilot.base_url.clone() else {
+        return Vec::new();
+    };
+    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 Vec::new();
+    }
+    let checker = GroundedControlChecker::new(LlmControlJudge::new(llm));
+
+    let mut out = Vec::new();
+    for surf in surface::SURFACES {
+        let Some(spec) = specs.get(surf.control_id) else {
+            continue; // catalog doesn't carry this control
+        };
+        let regions = surface::retrieve(repo_path, surf.terms);
+        if regions.is_empty() {
+            continue;
+        }
+        out.extend(checker.check(spec, &regions, repo_id).await);
+    }
+    out
+}
+
 /// 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()?;

compliance-agent/src/controls/surface.rs

@@ -0,0 +1,246 @@
+//! Surface retrieval for absence-based controls.
+//!
+//! Some CRA controls are violated by an *absence* — no rate limiting on login, no
+//! security logging, no signature check on an update — so there's no offending
+//! pattern for semgrep to match. Instead we deterministically locate the code
+//! *surface* the control governs (a login route, a logging setup, update/download
+//! code) by identifier/route terms, then hand each surface region to the grounded
+//! judge, which decides whether the control is satisfied there. The resulting
+//! finding grounds to the surface snippet, so nothing fabricated survives.
+//!
+//! Retrieval is intentionally cheap and bounded: keyword match + a fixed window,
+//! capped per control to keep the downstream LLM cost predictable.
+
+use std::path::Path;
+
+use compliance_core::control_check::CandidateRegion;
+
+/// An absence-based control and the case-insensitive terms that mark the code
+/// surface it governs.
+pub struct Surface {
+    pub control_id: &'static str,
+    pub terms: &'static [&'static str],
+}
+
+/// The absence-based CRA controls we retrieve surfaces for — the grounded half of
+/// the hybrid coverage (the pattern-expressible half is custom semgrep rules).
+pub const SURFACES: &[Surface] = &[
+    Surface {
+        control_id: "cra-ai-6", // Integritaetspruefung
+        terms: &[
+            "checksum",
+            "sha256",
+            "signature",
+            "hmac",
+            "integrity",
+            "verify",
+        ],
+    },
+    Surface {
+        control_id: "cra-ai-11", // Brute-Force-Schutz
+        terms: &[
+            "login",
+            "signin",
+            "authenticate",
+            "/auth",
+            "password",
+            "ratelimit",
+        ],
+    },
+    Surface {
+        control_id: "cra-ai-24", // Security-Logging
+        terms: &["login", "authorize", "permission", "role", "admin", "audit"],
+    },
+    Surface {
+        control_id: "cra-ai-27", // Log-Integritaet und -Aufbewahrung
+        terms: &["logging", "logger", "getlogger", "audit_log"],
+    },
+    Surface {
+        control_id: "cra-ai-28", // Sichere Update-Mechanismen
+        terms: &["update", "upgrade", "download", "firmware"],
+    },
+    Surface {
+        control_id: "cra-ai-29", // Update-Authentizitaet
+        terms: &["update", "signature", "verify", "pubkey", "certificate"],
+    },
+    Surface {
+        control_id: "cra-ai-30", // Update-Integritaet
+        terms: &["update", "checksum", "digest", "integrity", "verify"],
+    },
+];
+
+/// Source file extensions worth reading (skip binaries/assets/lockfiles).
+const CODE_EXTS: &[&str] = &[
+    "py", "js", "ts", "tsx", "jsx", "go", "java", "rb", "php", "rs", "cs", "kt",
+];
+/// Directories never worth walking.
+const SKIP_DIRS: &[&str] = &[
+    ".git",
+    "node_modules",
+    "target",
+    "vendor",
+    ".venv",
+    "__pycache__",
+    "dist",
+    "build",
+];
+/// Lines of context on each side of a hit.
+const WINDOW: usize = 6;
+/// Cap on regions per control, to bound downstream LLM calls.
+const MAX_REGIONS_PER_CONTROL: usize = 8;
+/// Skip files larger than this (generated/minified).
+const MAX_FILE_BYTES: u64 = 512 * 1024;
+
+/// Deterministically retrieve up to [`MAX_REGIONS_PER_CONTROL`] code regions in
+/// `repo_path` whose lines mention any of `terms`. Hits close together within a
+/// file are merged into one region; results are capped to bound LLM cost.
+pub fn retrieve(repo_path: &Path, terms: &[&str]) -> Vec<CandidateRegion> {
+    let lowered: Vec<String> = terms.iter().map(|t| t.to_lowercase()).collect();
+    let mut regions = Vec::new();
+    for entry in walk(repo_path) {
+        if regions.len() >= MAX_REGIONS_PER_CONTROL {
+            break;
+        }
+        let path = entry.path();
+        if !has_code_ext(path) {
+            continue;
+        }
+        let Ok(meta) = entry.metadata() else { continue };
+        if !meta.is_file() || meta.len() > MAX_FILE_BYTES {
+            continue;
+        }
+        let Ok(content) = std::fs::read_to_string(path) else {
+            continue;
+        };
+        let rel = path
+            .strip_prefix(repo_path)
+            .unwrap_or(path)
+            .to_string_lossy()
+            .to_string();
+        let lines: Vec<&str> = content.lines().collect();
+        let hits: Vec<usize> = lines
+            .iter()
+            .enumerate()
+            .filter(|(_, line)| {
+                let ll = line.to_lowercase();
+                lowered.iter().any(|t| ll.contains(t.as_str()))
+            })
+            .map(|(i, _)| i)
+            .collect();
+        for center in merge_centers(&hits) {
+            if regions.len() >= MAX_REGIONS_PER_CONTROL {
+                break;
+            }
+            let start = center.saturating_sub(WINDOW);
+            let end = (center + WINDOW + 1).min(lines.len());
+            regions.push(CandidateRegion {
+                file: rel.clone(),
+                start_line: (start as u32) + 1,
+                content: lines[start..end].join("\n"),
+            });
+        }
+    }
+    regions
+}
+
+/// Collapse ascending hit indices that fall within one window into a single
+/// representative center, so overlapping regions aren't judged repeatedly.
+fn merge_centers(hits: &[usize]) -> Vec<usize> {
+    let mut out: Vec<usize> = Vec::new();
+    for &h in hits {
+        match out.last() {
+            Some(&last) if h.saturating_sub(last) <= WINDOW => {}
+            _ => out.push(h),
+        }
+    }
+    out
+}
+
+fn has_code_ext(path: &Path) -> bool {
+    path.extension()
+        .and_then(|e| e.to_str())
+        .is_some_and(|e| CODE_EXTS.contains(&e))
+}
+
+fn walk(root: &Path) -> Vec<walkdir::DirEntry> {
+    walkdir::WalkDir::new(root)
+        .into_iter()
+        .filter_entry(|e| {
+            let name = e.file_name().to_string_lossy();
+            !SKIP_DIRS.contains(&name.as_ref())
+        })
+        .filter_map(|e| e.ok())
+        .collect()
+}
+
+#[cfg(test)]
+#[allow(clippy::unwrap_used)]
+mod tests {
+    use super::*;
+
+    fn write(dir: &Path, rel: &str, body: &str) {
+        let p = dir.join(rel);
+        if let Some(parent) = p.parent() {
+            std::fs::create_dir_all(parent).unwrap();
+        }
+        std::fs::write(p, body).unwrap();
+    }
+
+    fn terms_for(control_id: &str) -> &'static [&'static str] {
+        SURFACES
+            .iter()
+            .find(|s| s.control_id == control_id)
+            .unwrap()
+            .terms
+    }
+
+    #[test]
+    fn surfaces_cover_the_absence_based_controls() {
+        assert_eq!(SURFACES.len(), 7);
+        for id in [
+            "cra-ai-6",
+            "cra-ai-11",
+            "cra-ai-24",
+            "cra-ai-27",
+            "cra-ai-28",
+            "cra-ai-29",
+            "cra-ai-30",
+        ] {
+            assert!(SURFACES.iter().any(|s| s.control_id == id), "{id} missing");
+        }
+    }
+
+    #[test]
+    fn retrieves_matching_region_with_context() {
+        let dir = std::env::temp_dir().join(format!("surface-{}", uuid::Uuid::new_v4()));
+        std::fs::create_dir_all(&dir).unwrap();
+        write(
+            &dir,
+            "app/auth.py",
+            "import x\n\n\n\n\n\n\ndef login(u, p):\n    return check(u, p)\n",
+        );
+        let regions = retrieve(&dir, terms_for("cra-ai-11"));
+        assert_eq!(regions.len(), 1);
+        assert!(regions[0].content.contains("def login"));
+        assert_eq!(regions[0].file, "app/auth.py");
+        let _ = std::fs::remove_dir_all(&dir);
+    }
+
+    #[test]
+    fn skips_non_code_and_vendored() {
+        let dir = std::env::temp_dir().join(format!("surface-{}", uuid::Uuid::new_v4()));
+        std::fs::create_dir_all(&dir).unwrap();
+        write(&dir, "README.md", "login and password and audit\n"); // not code ext
+        write(&dir, "node_modules/pkg/index.js", "function login() {}\n"); // vendored
+        assert!(retrieve(&dir, terms_for("cra-ai-11")).is_empty());
+        let _ = std::fs::remove_dir_all(&dir);
+    }
+
+    #[test]
+    fn merges_adjacent_hits_into_one_region() {
+        // Two hits one line apart collapse to a single center/region.
+        assert_eq!(merge_centers(&[10, 11, 30]), vec![10, 30]);
+        assert_eq!(merge_centers(&[]), Vec::<usize>::new());
+        assert_eq!(merge_centers(&[5]), vec![5]);
+    }
+}

compliance-agent/src/pipeline/orchestrator.rs

@@ -252,6 +252,31 @@ impl PipelineOrchestrator {
             }
         }
 
+        // Stage 5d: grounded surface checks — the absence-based controls (no
+        // rate limiting, no security logging, no update-signature check) have no
+        // syntactic pattern to match, so we retrieve the code surface each governs
+        // and let the grounded judge decide whether it holds, producing net-new
+        // findings already tagged + grounded. Gated (default off): absence
+        // detection is the least deterministic path, kept off until tuned live.
+        if self.config.breakpilot.grounded_control_checks {
+            self.update_phase(scan_run_id, "grounded_control_checks")
+                .await;
+            let grounded = crate::controls::grounded_surface_findings(
+                &self.config,
+                self.llm.clone(),
+                &repo_path,
+                &repo_id,
+            )
+            .await;
+            if !grounded.is_empty() {
+                tracing::info!(
+                    "[{repo_id}] Grounded surface checks raised {} control findings",
+                    grounded.len()
+                );
+                all_findings.extend(grounded);
+            }
+        }
+
         // Dedup against existing findings and insert new ones
         let mut new_count = 0u32;
         let mut new_findings: Vec<Finding> = Vec::new();

compliance-core/src/config.rs

@@ -80,6 +80,11 @@ pub struct BreakpilotConfig {
     /// scale path and stays gated until verified live against a deployed
     /// master-controls catalog.
     pub semantic_mapping: bool,
+    /// Enable the **grounded surface** pass for absence-based controls (retrieve
+    /// the code surface a control governs, judge whether it holds). Off by
+    /// default: absence detection is the least deterministic path and stays gated
+    /// until tuned against live scans.
+    pub grounded_control_checks: bool,
 }
 
 impl Default for BreakpilotConfig {
@@ -89,6 +94,7 @@ impl Default for BreakpilotConfig {
             token: None,
             snapshot_dir: "/data/compliance-scanner/oscal".to_string(),
             semantic_mapping: false,
+            grounded_control_checks: false,
         }
     }
 }

control-map/data/cra_control_map.json

@@ -53,7 +53,7 @@
       "control": "cra-ai-6",
       "title": "Integritaetspruefung",
       "scans": [],
-      "note": "code-checkable but no off-the-shelf tool digs it out — author a detector (custom semgrep rule / check)",
+      "note": "absence-based — no syntactic pattern; covered by the grounded surface check (retrieve surface + LLM judge), gated (BREAKPILOT_GROUNDED_CHECKS) pending live tuning",
       "status": "needs_tooling"
     },
     {
@@ -139,7 +139,7 @@
       "control": "cra-ai-11",
       "title": "Brute-Force-Schutz",
       "scans": [],
-      "note": "code-checkable but no off-the-shelf tool digs it out — author a detector (custom semgrep rule / check)",
+      "note": "absence-based — no syntactic pattern; covered by the grounded surface check (retrieve surface + LLM judge), gated (BREAKPILOT_GROUNDED_CHECKS) pending live tuning",
       "status": "needs_tooling"
     },
     {
@@ -308,7 +308,7 @@
       "control": "cra-ai-24",
       "title": "Security-Logging",
       "scans": [],
-      "note": "code-checkable but no off-the-shelf tool digs it out — author a detector (custom semgrep rule / check)",
+      "note": "absence-based — no syntactic pattern; covered by the grounded surface check (retrieve surface + LLM judge), gated (BREAKPILOT_GROUNDED_CHECKS) pending live tuning",
       "status": "needs_tooling"
     },
     {
@@ -329,28 +329,28 @@
       "control": "cra-ai-27",
       "title": "Log-Integritaet und -Aufbewahrung",
       "scans": [],
-      "note": "code-checkable but no off-the-shelf tool digs it out — author a detector (custom semgrep rule / check)",
+      "note": "absence-based — no syntactic pattern; covered by the grounded surface check (retrieve surface + LLM judge), gated (BREAKPILOT_GROUNDED_CHECKS) pending live tuning",
       "status": "needs_tooling"
     },
     {
       "control": "cra-ai-28",
       "title": "Sichere Update-Mechanismen",
       "scans": [],
-      "note": "code-checkable but no off-the-shelf tool digs it out — author a detector (custom semgrep rule / check)",
+      "note": "absence-based — no syntactic pattern; covered by the grounded surface check (retrieve surface + LLM judge), gated (BREAKPILOT_GROUNDED_CHECKS) pending live tuning",
       "status": "needs_tooling"
     },
     {
       "control": "cra-ai-29",
       "title": "Update-Authentizitaet",
       "scans": [],
-      "note": "code-checkable but no off-the-shelf tool digs it out — author a detector (custom semgrep rule / check)",
+      "note": "absence-based — no syntactic pattern; covered by the grounded surface check (retrieve surface + LLM judge), gated (BREAKPILOT_GROUNDED_CHECKS) pending live tuning",
       "status": "needs_tooling"
     },
     {
       "control": "cra-ai-30",
       "title": "Update-Integritaet",
       "scans": [],
-      "note": "code-checkable but no off-the-shelf tool digs it out — author a detector (custom semgrep rule / check)",
+      "note": "absence-based — no syntactic pattern; covered by the grounded surface check (retrieve surface + LLM judge), gated (BREAKPILOT_GROUNDED_CHECKS) pending live tuning",
       "status": "needs_tooling"
     },
     {