import { describe, expect, it, vi } from 'vitest'; import { RegulatoryMappingService } from '../../server/regulatory/regulatory-mapping-service'; import { RegulatoryFindingRetrievalService } from '../../server/regulatory/regulatory-finding-retrieval'; import type { RegulatoryMappingDecision, RegulatoryMappingRun } from '../../src/domain/regulatory-mapping'; import type { RegulatoryChunk, RegulatoryRetrievalRequest } from '../../src/domain/regulatory-rag'; import type { UnifiedResultProjection } from '../../src/domain/unified-result'; import type { AssessorRepository } from '../../src/persistence/assessor-repository'; const stamp = '2026-09-15T10:00:00.000Z'; // Result-table / occurrence data that must never reach the model or the query. const resultTableAsset = 'DC01.customer.local'; function finding(overrides: Partial = {}): UnifiedResultProjection { return { resultProjectionId: 'scanner-finding:occurrence-1', sourceKind: 'scanner-finding', sourceResultId: 'occurrence-1', projectId: 'project-1', assessmentId: 'assessment-1', collectionRunId: 'run-1', scanRunId: 'run-1', sourceTool: 'purple-knight', sourceRuleId: 'A-SmbSigning', title: 'SMB signing is not required on domain controllers', description: 'The SMB server permits unsigned sessions, allowing relay attacks.', affectedAsset: resultTableAsset, severityOriginal: 'high', severityNormalized: 'high', outcomeOriginal: 'fail', outcomeNormalized: 'fail', technicalExecutionState: 'completed', resultType: 'compliance_check', isIoe: false, isDeviation: true, lifecycleState: 'new', mappingConfidence: 1, reviewStatus: 'unreviewed', importedAt: stamp, createdAt: stamp, categories: [], ...overrides }; } function chunk(sourceStandard: 'ISO/IEC 27001' | 'ISO/IEC 27002'): RegulatoryChunk { const reference = sourceStandard === 'ISO/IEC 27001'; return { schemaVersion: 2, corpusId: 'iso-test', corpusVersion: 'v2', documentId: reference ? '27001-5.1' : '27002-5.1-purpose', framework: 'ISO/IEC 27002', frameworkVersion: '2022', controlId: '5.1', annexAControlId: 'A.5.1', controlTheme: 'organizational', sourceStandard, sourceEdition: '2022', nationalEdition: 'DIN 2024', sectionKind: reference ? 'control' : 'purpose', sourcePageStart: 1, sourcePageEnd: 1, retrievalRole: reference ? 'reference' : 'semantic', parserVersion: 'test', sourceSha256: reference ? '1'.repeat(64) : '2'.repeat(64), chunkId: reference ? 'reference-5.1' : 'semantic-5.1', chunkIndex: 0, language: 'de', title: 'Synthetic control', text: reference ? 'Synthetic normative statement.' : 'Synthetic semantic evidence.', textSha256: 'a'.repeat(64) }; } /** In-memory repository keyed like the global (rule-keyed) schema. */ function mockRepository(findings: UnifiedResultProjection[]) { const byProjection = new Map(findings.map(item => [item.resultProjectionId, item])); const runs = new Map(); const decisions: RegulatoryMappingDecision[] = []; return { getUnifiedResultById: vi.fn(async (id: string) => byProjection.get(id) ?? null), getRegulatoryMappingRun: vi.fn(async (id: string) => runs.get(id) ?? null), saveRegulatoryMappingRun: vi.fn(async (run: RegulatoryMappingRun) => { runs.set(run.id, run); return run; }), listRegulatoryMappingRuns: vi.fn(async () => [...runs.values()]), createRegulatoryMappingDecision: vi.fn(async (decision: RegulatoryMappingDecision, expected?: string) => { const run = runs.get(decision.mappingId); if (!run || run.ruleKey !== decision.ruleKey || run.status !== 'succeeded') throw new Error('missing mapping'); if (!run.candidates.some(c => c.controlId === decision.controlId)) throw new Error('ungrounded control'); const latest = decisions.filter(d => d.ruleKey === decision.ruleKey && d.controlId === decision.controlId) .sort((a, b) => b.createdAt.localeCompare(a.createdAt) || b.id.localeCompare(a.id))[0]; if ((expected ?? undefined) !== (latest?.id ?? undefined)) throw new Error('conflict'); const stored = { ...decision, ...(latest ? { previousDecisionId: latest.id } : {}) }; decisions.push(stored); return stored; }), listRegulatoryMappingDecisions: vi.fn(async (ruleKey: string) => decisions.filter(d => d.ruleKey === ruleKey) .sort((a, b) => b.createdAt.localeCompare(a.createdAt) || b.id.localeCompare(a.id))) } as unknown as AssessorRepository; } function service(repository: AssessorRepository, complete: (system: string, input: string) => Promise) { return new RegulatoryMappingService(repository, { findingRetrieval: new RegulatoryFindingRetrievalService({ retrieve: vi.fn(async (_r: RegulatoryRetrievalRequest) => [{ score: 0.9, chunk: chunk('ISO/IEC 27002') }]) }), index: { ensureCollection: vi.fn(), replaceDocuments: vi.fn(), searchDense: vi.fn(), list: vi.fn(async () => [chunk('ISO/IEC 27001')]) }, client: { model: 'work-model', complete: complete as never }, corpusId: 'iso-test', corpusVersion: 'v2', embeddingModel: 'bge-m3', now: () => new Date(stamp) }); } describe('regulatory mapping service', () => { it('shares one global mapping and decision across projects and sends no result-table data', async () => { const findingB = finding({ resultProjectionId: 'scanner-finding:occurrence-2', sourceResultId: 'occurrence-2', projectId: 'project-2', affectedAsset: 'DC02.other.local' }); const repository = mockRepository([finding(), findingB]); const complete = vi.fn(async (_system: string, _input: string) => ({ value: { schemaVersion: 1, outcome: 'mapped', mappings: [{ controlId: '5.1', relationship: 'primary', confidence: 'high', rationale: 'Synthetic rationale.', evidenceChunkIds: ['semantic-5.1', 'reference-5.1'] }] }, usage: { totalTokens: 12 } })); const svc = service(repository, complete); await svc.start('project-1', { resultProjectionId: 'scanner-finding:occurrence-1' }); await svc.close(); // The same rule mapped once in project-1 is visible to project-2 (global sharing). const shared = await svc.get('project-2', 'scanner-finding:occurrence-2'); expect(shared).toMatchObject({ state: 'succeeded', run: { ruleKey: 'purple-knight:A-SmbSigning', sourceTool: 'purple-knight', embeddingModel: 'bge-m3', tokenUsage: { totalTokens: 12 } } }); expect(shared.run?.result?.mappings[0].controlId).toBe('5.1'); expect(complete).toHaveBeenCalledOnce(); // The copyrighted ISO clause text is stripped from the response but still reaches the model. expect(shared.run?.candidates.every(c => c.evidence.every(item => item.text === undefined))).toBe(true); expect(complete.mock.calls[0][0]).toContain('governs the same security subject'); expect(complete.mock.calls[0][1]).toContain('Synthetic semantic evidence.'); expect(complete.mock.calls[0][1]).toContain('SMB signing is not required'); expect(complete.mock.calls[0][1]).not.toContain(resultTableAsset); expect(complete.mock.calls[0][1]).not.toContain('DC02.other.local'); expect(complete.mock.calls[0][1]).not.toContain('A.5.1'); // A decision made in project-1 is visible to project-2 (global decisions). await svc.decide('project-1', { resultProjectionId: 'scanner-finding:occurrence-1', controlId: '5.1', decision: 'accepted' }); const afterDecision = await svc.get('project-2', 'scanner-finding:occurrence-2'); expect(afterDecision.decisions.map(d => ({ controlId: d.controlId, decision: d.decision }))).toEqual([{ controlId: '5.1', decision: 'accepted' }]); }); it('drops one ungrounded evidence id but keeps the otherwise-valid mapping', async () => { const { svc } = await runWith({ schemaVersion: 1, outcome: 'mapped', mappings: [{ controlId: '5.1', relationship: 'primary', confidence: 'high', rationale: 'Synthetic rationale.', evidenceChunkIds: ['semantic-5.1', 'not-a-supplied-chunk'] }] }); const completed = await svc.get('project-1', 'scanner-finding:occurrence-1'); expect(completed.run?.status).toBe('succeeded'); expect(completed.run?.result?.mappings[0].evidenceChunkIds).toEqual(['semantic-5.1']); expect(completed.run?.errorCode).toBeUndefined(); }); it('fails safely with a structural detail when the model maps to an unknown control', async () => { const { svc } = await runWith({ schemaVersion: 1, outcome: 'mapped', mappings: [{ controlId: 'A.5.1', relationship: 'primary', confidence: 'high', rationale: 'Synthetic rationale.', evidenceChunkIds: ['semantic-5.1'] }] }); const completed = await svc.get('project-1', 'scanner-finding:occurrence-1'); expect(completed.run?.status).toBe('failed'); expect(completed.run?.errorCode).toBe('regulatory_mapping_invalid_output'); expect(completed.run?.errorDetail).toContain('unknown candidate control'); expect(completed.run?.errorDetail).not.toContain(resultTableAsset); }); }); async function runWith(value: unknown): Promise<{ svc: RegulatoryMappingService }> { const repository = mockRepository([finding()]); const svc = service(repository, vi.fn(async () => ({ value }))); await svc.start('project-1', { resultProjectionId: 'scanner-finding:occurrence-1' }); await svc.close(); return { svc }; }