Lula Compliance Validations

What is Lula?

Lula is a compliance-as-code tool that evaluates OSCAL (Open Security Controls Assessment Language) component definitions against live system state. It supports multiple domain backends (Kubernetes, API, file) and uses OPA Rego as the policy evaluation engine.

In this project, Lula is run as a Kubernetes CronJob (deployment/k8s/lula-cron.yaml) that periodically validates that compliance controls are satisfied against the live cluster state and running services.

Note: Draft/incomplete manifests are stored in drafts/ and are excluded from the authoritative count below.

Validation Coverage

Universal Controls (ISO 42001 — ALL regions)

Validation File	Control	Standard	Region Scope	Status	Description
`lula-validation-a52.yaml`	A.5.2	ISO 42001	ALL	✅ Active	Social Impact Assessment — NeMo Guardrails toxicity blocking ≥ 99%
`lula-validation-a53.yaml`	A.5.3	ISO 42001	ALL	✅ Active	Logging and Monitoring — Langfuse safety rate ≥ 98%
`lula-validation-a92.yaml`	A.9.2	ISO 42001	ALL	✅ Active	Data Transfer to Suppliers — Presidio PII leak rate = 0%
`lula-validation-aarm-vectors.yaml`	CSA AARM v1.0	CSA AARM	ALL	🔶 Stub	CSA AARM v1.0 11-vector threat coverage validation
`lula-validation-tqp007.yaml`	A.8.4	ISO 42001	ALL	✅ Active	TokenQuotaProxy fail-closed (CTRL_TQP_007) — asserts tqp_running, tqp_has_redis_url, tqp_fail_closed
`lula-validation-iso001-token-quota.yaml`	A.4	ISO 42001	ALL	✅ Active	Token Quota OPA Injection (ISO-001) — asserts advisor_running, advisor_has_redis_url, advisor_has_quota_markers
`lula-validation-ftra.yaml`	CTRL_FTRA_001	ISO 42001 / NIST	ALL	✅ Active	FTRA Tier 0.5 Gate — Forward-Looking Trajectory Reachability Analyzer boundary check

US_FED Controls (NIST SP 800-53 / NIST AI 600-1 — US_FED only)

Validation File	Control	Standard	Region Scope	Status	Description
`lula-validation-sc4.yaml`	SC-4	NIST SP 800-53	US_FED	✅ Active	Fiscal Limits and RBAC — OPA ConfigMap label present in `governance-stack` namespace
`lula-validation-ac2.yaml`	AC-2	NIST SP 800-53	US_FED	🔶 Stub	Account Management — ServiceAccount lifecycle in `governance-stack`
`lula-validation-ac3.yaml`	AC-3	NIST SP 800-53 Rev 5	US_FED	🔶 Stub	Access Enforcement — OPA Deployment + ConfigMap check
`lula-validation-au12.yaml`	AU-12	NIST SP 800-53 Rev 5	US_FED	🔶 Stub	Audit Record Generation — Langfuse OTLP ingestion availability (standalone OTel Collector deprecated 2026-05-31; validation needs update)
`lula-validation-cm6.yaml`	CM-6	NIST SP 800-53 Rev 5	US_FED	🔶 Stub	Configuration Settings — Governance ConfigMaps present
`lula-validation-ia3.yaml`	IA-3	NIST SP 800-53	US_FED	🔶 Stub	Device Identification — Linkerd mTLS SPIFFE identity
`lula-validation-ia5.yaml`	IA-5	NIST SP 800-53	US_FED	🔶 Stub	Authenticator Management — KMS HSM key lifecycle
`lula-validation-ir6.yaml`	IR-6	NIST SP 800-53 Rev 5	US_FED	🔶 Stub	Incident Reporting — compliance-bridge Deployment check
`lula-validation-ra5.yaml`	RA-5	NIST SP 800-53 Rev 5	US_FED	🔶 Stub	Vulnerability Scanning — Security scan CronJob check
`lula-validation-sc8.yaml`	SC-8	NIST SP 800-53	US_FED	🔶 Stub	Transmission Confidentiality — TLS enforcement
`lula-validation-si2.yaml`	SI-2	NIST SP 800-53	US_FED	🔶 Stub	Flaw Remediation — CVE patching (pip-audit CI)
`lula-validation-ai600-confabulation.yaml`	SI-10, AU-3	NIST AI 600-1	US_FED	🔶 Stub	AI 600-1 §2.2 Confabulation — asserts `confabulation_rate < 0.02` over 24h window (POAM AI600-001). Requires `confabulation_rate` metric in Langfuse compliance project.
`lula-validation-ai600-data-privacy.yaml`	SI-19, SC-28	NIST AI 600-1	US_FED	🔶 Stub	AI 600-1 §2.3 Data Privacy — asserts PII audit log retention ≥ 90 days and Presidio score threshold ≥ 0.5 (POAM AI600-002).
`lula-validation-ai600-prompt-injection.yaml`	SI-3, SI-10, CA-8	NIST AI 600-1	US_FED	🔶 Stub	AI 600-1 §2.4 Prompt Injection — asserts injection detector ConfigMap present and deflection score ≥ 4 (POAM AI600-003).
`lula-validation-ai600-human-ai-config.yaml`	AC-5, AU-3, CA-7	NIST AI 600-1	US_FED	🔶 Stub	AI 600-1 §2.5 Human-AI Configuration — asserts DEFER queue SLA ≤ 4h for CRITICAL escalations and HITL audit trail present (POAM AI600-005).
`lula-validation-ai600-cbrn.yaml`	SA-12, SR-3, SI-7	NIST AI 600-1	US_FED	🔶 Stub	AI 600-1 §2.6 / §2.12 CBRN & Value Chain — asserts CBRN keyword list ≥ 10 terms enabled and NeMo CBRN rail deployed (POAM AI600-007). Cat-M: requires AO pre-approval before activation.

EU_ECB Controls (EU AI Act / GDPR / DORA — EU_ECB only)

Validation File	Control	Standard	Region Scope	Status	Description
`lula-validation-eu-fria.yaml`	Art. 29a	EU AI Act	EU_ECB	✅ Active	FRIA Gating (EU-001) — asserts gateway_running, normative_provider_not_static, normative_endpoint_set
`lula-validation-eu-ai-act-art9.yaml`	Art. 9	EU AI Act	EU_ECB	🔶 Stub	Risk Management System — compliance-bridge endpoint check
`lula-validation-gdpr-art22.yaml`	Art. 22	GDPR	EU_ECB	🔶 Stub	Automated Decision-Making — human oversight endpoint check
`lula-validation-dora-art10.yaml`	Art. 10	DORA	EU_ECB	🔶 Stub	ICT Resilience Testing — audit logging endpoint check

APAC_MAS Controls (MAS FEAT / MAS Notice 655 / MAS TRM — APAC_MAS only)

Validation File	Control	Standard	Region Scope	Status	Description
`lula-validation-mas-feat.yaml`	MAS FEAT	MAS FEAT Principles	APAC_MAS	🔶 Stub	Fairness, Ethics, Accountability, Transparency — `demographic_parity_gap ≤ 0.08`, 180-day transparency report
`lula-validation-mas-notice655.yaml`	MAS Notice 655	MAS Notice 655	APAC_MAS	🔶 Stub	Technology Risk Management — `data_residency_region = "asia-southeast1"`
`lula-validation-mas-trm-s6.yaml`	MAS TRM §6.3	MAS TRM	APAC_MAS	🔶 Stub	AI/ML Controls — `confidence_threshold ≥ 0.96`

Legend:

✅ Active — Validation is production-ready and enabled in the Lula CronJob
🔶 Stub — Validation logic is complete but requires cluster-specific namespace/resource name configuration before activation (see # TODO: comments in each file)
Region Scope: ALL = applies to US_FED, EU_ECB, and APAC_MAS deployments; US_FED = applies only when CAGE_DEPLOYMENT_REGION=US_FED; EU_ECB = applies only when CAGE_DEPLOYMENT_REGION=EU_ECB; APAC_MAS = applies only when CAGE_DEPLOYMENT_REGION=APAC_MAS

Posture Architecture Alignment

The active/stub split is intentional and aligned with the posture architecture:

5 Active (ALL scope): ISO 42001 universal controls (A.5.2, A.5.3, A.9.2) + TokenQuotaProxy fail-closed (A.8.4 / CTRL_TQP_007) + Token Quota OPA Injection (A.4 / ISO-001) — production-ready across all deployment regions
1 Active (US_FED scope): SC-4 fiscal limits — production-ready for US Federal deployments
1 Stub (ALL scope): CSA AARM vectors — universal but requires cluster configuration. Note: This validation is listed as Status: 🔶 Stub and counted as 1 stub (ALL scope). It is NOT counted as an active validation for release gate purposes until real assertions replace the stub. See CA-05 remediation note below.
10 Stub (US_FED scope): NIST SP 800-53 controls — US Federal only; require cluster-specific namespace/resource configuration before activation
5 Stub (US_FED scope): NIST AI 600-1 controls — phases 0–3 implemented in v2.1.0 (runtime enforcement active); Lula manifests are stub-ready and require Langfuse metric availability and cluster-specific configuration before activation
3 Stub (EU_ECB scope): EU AI Act / GDPR / DORA controls — EU regional only; require cluster-specific resource configuration and live compliance-bridge endpoints
3 Stub (APAC_MAS scope): MAS FEAT / MAS Notice 655 / MAS TRM §6.3 controls — APAC regional only; require cluster-specific configuration and data_residency_region = "asia-southeast1" assertion

The 10 US_FED NIST SP 800-53 stubs represent an implementation gap tracked as open POAM items in docs/POAM.md (see POAM-2026-010, POAM-2026-011, POAM-2026-012, POAM-2026-013): activating all 10 would raise NIST SP 800-53 Lula coverage from 1/11 to 11/11 controls, directly supporting the US_FED release gate. The CSA AARM stub (1 manifest, ALL scope) is a separate gap affecting all regions.

The 5 US_FED NIST AI 600-1 stubs correspond to phases 0–3 of the AI 600-1 implementation (v2.1.0). Runtime enforcement is active for all phases via confabulation_scorer.py, pii_sanitizer.py, prompt_injection_detector.py, hitl_escalator.py, and text_filter.py. The Lula manifests are scaffolding-ready and will be hardened to full live-cluster assertions once Langfuse metric endpoints are configured. The CBRN stub (lula-validation-ai600-cbrn.yaml) remains a Cat-M change requiring AO pre-approval before cluster activation in a real deployment's own change-management process.

Three-Region OSCAL SSPs

Each deployment region has a dedicated OSCAL System Security Plan:

Region	SSP File	Frameworks
US_FED	`compliance/oscal/system-security-plan.yaml`	NIST SP 800-53 Rev 5 HIGH + NIST AI 600-1
EU_ECB	`compliance/oscal/system-security-plan-eu-ecb.yaml`	EU AI Act / GDPR Art. 22 / DORA
APAC_MAS	`compliance/oscal/system-security-plan-apac-mas.yaml`	MAS FEAT / MAS Notice 655 / MAS TRM §6.3

Region selection is controlled exclusively by CAGE_DEPLOYMENT_REGION. The Lula CronJob (deployment/k8s/lula-cron.yaml) reads this variable to determine which jurisdiction-specific manifests to include in each run.

Running Validations

Run a single validation

lula validate -f compliance/lula/lula-validation-a53.yaml

Run all active validations (ALL regions)

for f in compliance/lula/lula-validation-a52.yaml \
          compliance/lula/lula-validation-a53.yaml \
          compliance/lula/lula-validation-a92.yaml \
          compliance/lula/lula-validation-tqp007.yaml \
          compliance/lula/lula-validation-iso001-token-quota.yaml; do
  echo "=== Validating $f ==="
  lula validate -f "$f"
done

Run US_FED active validations

# Only run when CAGE_DEPLOYMENT_REGION=US_FED
for f in compliance/lula/lula-validation-a52.yaml \
          compliance/lula/lula-validation-a53.yaml \
          compliance/lula/lula-validation-a92.yaml \
          compliance/lula/lula-validation-tqp007.yaml \
          compliance/lula/lula-validation-iso001-token-quota.yaml \
          compliance/lula/lula-validation-sc4.yaml; do
  echo "=== Validating $f ==="
  lula validate -f "$f"
done

Run EU_ECB active validations

# Only run when CAGE_DEPLOYMENT_REGION=EU_ECB
for f in compliance/lula/lula-validation-a52.yaml \
          compliance/lula/lula-validation-a53.yaml \
          compliance/lula/lula-validation-a92.yaml \
          compliance/lula/lula-validation-tqp007.yaml \
          compliance/lula/lula-validation-iso001-token-quota.yaml \
          compliance/lula/lula-validation-eu-fria.yaml \
          compliance/lula/lula-validation-eu-ai-act-art9.yaml \
          compliance/lula/lula-validation-gdpr-art22.yaml \
          compliance/lula/lula-validation-dora-art10.yaml; do
  echo "=== Validating $f ==="
  lula validate -f "$f"
done

Run APAC_MAS validations (when stubs are activated)

# Only run when CAGE_DEPLOYMENT_REGION=APAC_MAS
for f in compliance/lula/lula-validation-a52.yaml \
          compliance/lula/lula-validation-a53.yaml \
          compliance/lula/lula-validation-a92.yaml \
          compliance/lula/lula-validation-tqp007.yaml \
          compliance/lula/lula-validation-iso001-token-quota.yaml \
          compliance/lula/lula-validation-mas-feat.yaml \
          compliance/lula/lula-validation-mas-notice655.yaml \
          compliance/lula/lula-validation-mas-trm-s6.yaml; do
  echo "=== Validating $f ==="
  lula validate -f "$f"
done

Run against a specific Kubernetes context

lula validate -f compliance/lula/lula-validation-sc4.yaml --kubeconfig ~/.kube/config

In-cluster (via CronJob)

The Lula CronJob at deployment/k8s/lula-cron.yaml runs all Active validations on the schedule defined in the ISCM Strategy. Results are logged to stdout and monitored via the AgentSight observability stack.

Activating Stub Validations

Each stub file contains # TODO: comments with the specific steps required. The general process is:

Confirm the resource name — check the relevant deployment/k8s/*.yaml manifest
Confirm the namespace — check deployment/k8s/NAMESPACE-GUIDE.md
Update the validation file — replace placeholder names and # TODO: namespace values
Test locally — lula validate -f compliance/lula/lula-validation-<control>.yaml
Add to the CronJob — update deployment/k8s/lula-cron.yaml to include the new file
Update this table — change status from 🔶 Stub to ✅ Active

Activating EU_ECB Stubs

The three EU_ECB stubs require the compliance-bridge service to expose the following endpoints:

GET /v1/compliance/eu-ai-act/art9 — EU AI Act Art. 9 risk management status
GET /v1/compliance/gdpr/art22 — GDPR Art. 22 human oversight status
GET /v1/compliance/dora/art10 — DORA Art. 10 ICT audit logging status

These endpoints must only be active when CAGE_DEPLOYMENT_REGION=EU_ECB. See src/compliance_bridge/main.py for the endpoint registration pattern.

Activating APAC_MAS Stubs

The three APAC_MAS stubs require the compliance-bridge service to expose the following endpoints:

GET /v1/compliance/mas/feat — MAS FEAT fairness assessment status
GET /v1/compliance/mas/notice655 — MAS Notice 655 audit logging status
GET /v1/compliance/mas/trm-s6 — MAS TRM §6.3 AI controls status

These endpoints must only be active when CAGE_DEPLOYMENT_REGION=APAC_MAS. See src/compliance_bridge/main.py for the endpoint registration pattern.

Adding New Validations

New Lula validation files should follow the structure of the existing files in this directory:

# lula-validation-<control-id>.yaml
# <Standard> — <Control ID>: <Control Name>
#
# Description of what this validation checks.

metadata:
  annotations:
    cage.region: <ALL|US_FED|EU_ECB|APAC_MAS>
    cage.compliance-posture: <iso-42001|nist-sp800-53|nist-ai-600-1|eu-ai-act|gdpr|dora|mas-feat|mas-notice-655|mas-trm>
    cage.posture-note: "<Explanation of jurisdiction scope>"

domain:
  type: kubernetes # or: api, file
  kubernetes-spec:
    resources:
      - name: <resource-alias>
        resource: <k8s-resource-type> # e.g. deployments, configmaps, cronjobs
        namespace: <namespace>

provider:
  type: opa
  opa-spec:
    rego: |
      package lula
      import future.keywords.if
      validate if {
        # Rego assertion
      }

notes: >
  <Standard> <Control ID>: <Control Name>.
  Explanation of what is being validated and why.
  Jurisdiction: <ALL|US_FED only|EU_ECB only|APAC_MAS only> (CAGE_DEPLOYMENT_REGION=<value>).

Key naming conventions:

File name: lula-validation-<control-id-lowercase-no-hyphen>.yaml (e.g., lula-validation-ac3.yaml)
Rego package: always package lula
Validate rule: always named validate
metadata.annotations block is REQUIRED — all new files must carry cage.region for machine-readable jurisdiction filtering (R-9)
Add # STUB: and # TODO: comments for any values requiring cluster-specific configuration

Monitoring Cadence

Validation frequencies are defined in the ISCM Strategy:

Control Tier	Cadence	Controls
Critical (Tier 1)	Every 6 hours	A.5.2, A.9.2, SC-4
High (Tier 2)	Daily	A.5.3, AC-3, AU-12, IR-6
Medium (Tier 3)	Weekly	CM-6, RA-5

EU_ECB and APAC_MAS jurisdiction-specific controls will be added to the monitoring cadence table once their stubs are activated.

See compliance/continuous-monitoring/ISCM_STRATEGY.md for the full continuous monitoring plan including escalation procedures and evidence retention requirements.

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Lula Compliance Validations

What is Lula?

Validation Coverage

Universal Controls (ISO 42001 — ALL regions)

US_FED Controls (NIST SP 800-53 / NIST AI 600-1 — US_FED only)

EU_ECB Controls (EU AI Act / GDPR / DORA — EU_ECB only)

APAC_MAS Controls (MAS FEAT / MAS Notice 655 / MAS TRM — APAC_MAS only)

Posture Architecture Alignment

Three-Region OSCAL SSPs

Running Validations

Run a single validation

Run all active validations (ALL regions)

Run US_FED active validations

Run EU_ECB active validations

Run APAC_MAS validations (when stubs are activated)

Run against a specific Kubernetes context

In-cluster (via CronJob)

Activating Stub Validations

Activating EU_ECB Stubs

Activating APAC_MAS Stubs

Adding New Validations

Monitoring Cadence

Related Documentation

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README.md

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Lula Compliance Validations

What is Lula?

Validation Coverage

Universal Controls (ISO 42001 — ALL regions)

US_FED Controls (NIST SP 800-53 / NIST AI 600-1 — US_FED only)

EU_ECB Controls (EU AI Act / GDPR / DORA — EU_ECB only)

APAC_MAS Controls (MAS FEAT / MAS Notice 655 / MAS TRM — APAC_MAS only)

Posture Architecture Alignment

Three-Region OSCAL SSPs

Running Validations

Run a single validation

Run all active validations (ALL regions)

Run US_FED active validations

Run EU_ECB active validations

Run APAC_MAS validations (when stubs are activated)

Run against a specific Kubernetes context

In-cluster (via CronJob)

Activating Stub Validations

Activating EU_ECB Stubs

Activating APAC_MAS Stubs

Adding New Validations

Monitoring Cadence

Related Documentation