lula-validation-au12.yaml

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# lula-validation-au12.yaml
# NIST SP 800-53 Rev 5 — AU-12: Audit Record Generation
#
# Validates two auditing modes supported by CAGE:
#
# 1. DECISION-TIME AUDIT (fire-and-forget, default):
#    Asserts that Langfuse web deployment is running and ready. All governance
#    decision spans are shipped asynchronously to Langfuse via its native OTLP
#    endpoint (langfuse-web:3000/api/public/otel/v1/traces). OTel spans tagged
#    with iso42001.control, iso42001.verdict, user, and timestamp fields provide
#    the evidence for AU-12 compliance.
#
# 2. EVIDENCE-OF-EXECUTION AUDIT (blocking, EVIDENCE_CHAIN_BLOCKING=true):
#    Asserts that the gateway deployment is configured with the EVIDENCE_CHAIN_BLOCKING
#    environment variable capability. When enabled, the provenance chain ensures
#    evidence commit before routing seal issuance, providing stronger non-repudiation.
#    The evidence chain includes hash-linked records for time-correlated audit trails
#    per AU-12(1) enhancement requirements.
#
# Both modes are compliant AU-12 implementations with different consistency/availability
# trade-offs:
#   - Decision-time: Higher availability, async evidence persistence
#   - Evidence-of-execution: Stronger non-repudiation, seal tied to evidence
#
# Domain: kubernetes → Langfuse Web Deployment + Gateway Deployment
# Provider: opa (inline Rego)
#
# References:
#   - deployment/k8s/langfuse-web.yaml — Langfuse deployment manifest
#   - deployment/k8s/generated/gateway-deployment.yaml — OTLP endpoint + EVIDENCE_CHAIN_BLOCKING config
#   - src/gateway/server/governance_middleware.py — span emission source
#   - src/gateway/governance/provenance_chain.py — evidence chain blocking implementation
#   - src/gateway/governance/routing_seal.py — seal generation tied to evidence

component-definition:
  uuid: cf25a83a-cdbb-5eb4-a4dd-8a3812a4a76e
  metadata:
    title: CAGE Validation — AU12 (Dual Auditing Modes)
    last-modified: '2026-08-15T16:50:00Z'
    version: 2.0.0
    oscal-version: 1.1.2
    remarks: |
      Auto-converted from standalone lula validation format.

      Region: US_FED. Posture: nist-sp800-53.

      Notes: NIST SP 800-53 Rev 5 AU-12: Audit Record Generation with AU-12(1)
      System-Wide/Time-Correlated Audit Trail enhancement support.

      CAGE provides two compliant auditing modes:

      1. DECISION-TIME AUDIT (default): Records governance decisions asynchronously
         via OTel spans to Langfuse. Prioritizes availability — routing seal issued
         immediately after governance decision without waiting for audit persistence.
         Decision-time != evidence-of-execution.

      2. EVIDENCE-OF-EXECUTION AUDIT (EVIDENCE_CHAIN_BLOCKING=true): Ensures evidence
         commit before seal issuance. The provenance chain (provenance_chain.py) must
         successfully persist the evidence record before the routing seal is computed.
         Provides stronger non-repudiation: seal cryptographically tied to evidence.
         Supports dual-schema verification (v1.0/v1.1) for forward compatibility.
         Hash-linked evidence chain satisfies AU-12(1) time-correlation requirements.

      Key distinction: Decision-time records WHAT was decided; evidence-of-execution
      proves THAT the decision was recorded BEFORE action (seal issuance).

      Validation checks:
        - Langfuse deployment ready (decision-time audit sink operational)
        - Gateway deployment has EVIDENCE_CHAIN_BLOCKING env var capability

      Evidence: OTel spans from governance_middleware.py, provenance_chain.py evidence
      records, and hash-linked audit trail. See: compliance/continuous-monitoring/ISCM_STRATEGY.md
  components:
  - uuid: ce18ebc3-50f2-550a-9fbc-503d5114c06f
    type: software
    title: CAGE Cybernetic Governance Engine
    description: |
      The Cybernetic AI Governance Engine (CAGE) — AI governance gateway with dual
      auditing modes for AU-12 compliance. Supports both decision-time (async) and
      evidence-of-execution (blocking) audit record generation.
    control-implementations:
    - uuid: 257ab77e-1020-5595-a07b-a8ae59511c0d
      source: https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final
      description: |
        Control implementation for AU-12 with AU-12(1) enhancement.
        Region: US_FED. Posture: nist-sp800-53.

        Two auditing modes documented:
        - Decision-time audit: async OTel spans to Langfuse (availability-optimized)
        - Evidence-of-execution audit: blocking provenance chain commit (non-repudiation-optimized)
      implemented-requirements:
      - uuid: 4405db85-a4ec-513f-bc34-161e9935bf04
        control-id: au-12
        description: |
          Automated lula validation for AU-12. Verifies:
          1. Langfuse audit sink is operational (decision-time mode)
          2. Gateway has EVIDENCE_CHAIN_BLOCKING capability (evidence-of-execution mode)
        links:
        - href: '#610ee241-76a3-5f1f-b41d-613019559b15'
          rel: lula
          text: Langfuse audit sink validation
        - href: '#7a2b3c4d-5e6f-4a8b-9c0d-1e2f3a4b5c6d'
          rel: lula
          text: Evidence chain blocking capability validation
      - uuid: 8b3c4d5e-6f7a-4b8c-9d0e-1f2a3b4c5d6e
        control-id: au-12.1
        description: |
          AU-12(1) System-Wide/Time-Correlated Audit Trail enhancement.
          The evidence chain in provenance_chain.py provides hash-linked audit records
          that enable time-correlated analysis across system components. Each evidence
          record includes: timestamp_utc, request_id, previous_hash (chain link),
          and schema_version for dual-schema verification (v1.0/v1.1).
        links:
        - href: '#7a2b3c4d-5e6f-4a8b-9c0d-1e2f3a4b5c6d'
          rel: lula
          text: Hash-linked evidence chain validation
  back-matter:
    resources:
    - uuid: 610ee241-76a3-5f1f-b41d-613019559b15
      title: Lula Validation — AU-12 Decision-Time Audit (Langfuse Sink)
      rlinks:
      - href: lula.dev
      description: |
        domain:
          type: kubernetes
          kubernetes-spec:
            resources:
            - name: langfuse-web-deployment
              resource: deployments
              namespace: governance-stack
        provider:
          type: opa
          opa-spec:
            rego: |
              package lula

              import future.keywords.if

              # AU-12: Audit Record Generation — Decision-Time Mode
              # Verifies the Langfuse web deployment is present and has at least 1
              # ready replica, confirming the async audit record sink is operational.
              # Required audit fields emitted per span: iso42001.control, iso42001.verdict,
              # user, timestamp — enforced by governance_middleware.py and LangGraph nodes.
              #
              # Decision-time audit provides availability-optimized audit record generation.
              # Routing seals are issued immediately; audit persistence is async.
              validate if {
                input["langfuse-web-deployment"].status.readyReplicas >= 1
              }

    - uuid: 7a2b3c4d-5e6f-4a8b-9c0d-1e2f3a4b5c6d
      title: Lula Validation — AU-12 Evidence-of-Execution Audit (Blocking Mode)
      rlinks:
      - href: lula.dev
      description: |
        domain:
          type: kubernetes
          kubernetes-spec:
            resources:
            - name: cage-gateway-deployment
              resource: deployments
              namespace: governance-stack
        provider:
          type: opa
          opa-spec:
            rego: |
              package lula

              import future.keywords.if
              import future.keywords.in

              # AU-12: Audit Record Generation — Evidence-of-Execution Mode
              # Verifies the gateway deployment supports EVIDENCE_CHAIN_BLOCKING capability.
              # When EVIDENCE_CHAIN_BLOCKING=true, the provenance chain ensures evidence
              # commit before routing seal issuance, providing stronger non-repudiation.
              #
              # This validation confirms the capability EXISTS in the deployment spec.
              # Actual enforcement depends on runtime EVIDENCE_CHAIN_BLOCKING value.
              #
              # Key guarantee: No routing seal can be issued without a committed evidence record.
              # The evidence chain provides hash-linked correlation for AU-12(1) time-correlation.
              #
              # Two auditing modes are BOTH compliant AU-12 implementations:
              #   - Decision-time (EVIDENCE_CHAIN_BLOCKING=false): availability over consistency
              #   - Evidence-of-execution (EVIDENCE_CHAIN_BLOCKING=true): consistency over availability

              # Check that EVIDENCE_CHAIN_BLOCKING env var is defined in container spec
              evidence_chain_blocking_defined if {
                some container in input["cage-gateway-deployment"].spec.template.spec.containers
                some env in container.env
                env.name == "EVIDENCE_CHAIN_BLOCKING"
              }

              # Validate: gateway deployment is ready AND has evidence chain blocking capability
              validate if {
                input["cage-gateway-deployment"].status.readyReplicas >= 1
                evidence_chain_blocking_defined
              }