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feat(approval): add safe risk disposition workflow

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This commit is contained in:
caoxiaozhu
2026-07-16 15:34:58 +08:00
parent ee88a36baf
commit 4940ebc419
64 changed files with 6602 additions and 631 deletions
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248
server/tests/test_reimbursement_endpoints.py
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@@ -9,7 +9,7 @@ from decimal import Decimal
import pytest
from auth_helpers import install_legacy_header_auth_override
from fastapi.testclient import TestClient
from sqlalchemy import create_engine, select
from sqlalchemy import create_engine, func, select
from sqlalchemy.orm import Session, sessionmaker
from sqlalchemy.pool import StaticPool
@@ -17,6 +17,7 @@ from app.api.deps import get_db
from app.db.base import Base
from app.main import create_app
from app.models.ai_learning import AIDecision, AIDecisionFeedback, WorkflowOutcome
from app.models.approval_action import ApprovalActionLedger
from app.models.budget import BudgetAllocation, BudgetReservation, BudgetTransaction
from app.models.employee import Employee
from app.models.expense_case import BusinessEvent, ExpenseCaseLink
@@ -213,12 +214,15 @@ def test_claim_submit_returns_structured_pre_review_conflict() -> None:
assert claim is not None
assert claim.status == "draft"
assert claim.submitted_at is None
assert db.scalar(
select(BusinessEvent).where(
BusinessEvent.aggregate_id == claim.id,
BusinessEvent.event_type == "claim_submitted",
assert (
db.scalar(
select(BusinessEvent).where(
BusinessEvent.aggregate_id == claim.id,
BusinessEvent.event_type == "claim_submitted",
)
)
) is None
is None
)
def test_claim_submit_returns_changed_conflict_when_dynamic_review_changes(
@@ -402,7 +406,9 @@ def test_claim_read_attaches_finance_approver_name_for_finance_stage() -> None:
db.commit()
headers = {"x-auth-username": "qianqi@example.com"}
response = client.get("/api/v1/reimbursements/claims/claim-finance-stage-reader", headers=headers)
response = client.get(
"/api/v1/reimbursements/claims/claim-finance-stage-reader", headers=headers
)
assert response.status_code == 200
payload = response.json()
assert payload["finance_owner_name"] == "Wang Finance Group"
@@ -518,7 +524,9 @@ def test_claim_item_attachment_upload_preview_and_delete(monkeypatch, tmp_path)
meta_payload = meta_response.json()
assert meta_payload["media_type"] == "image/png"
assert meta_payload["preview_kind"] == "image"
assert meta_payload["preview_url"].endswith(f"/reimbursements/claims/{claim_id}/items/{item_id}/attachment/preview")
assert meta_payload["preview_url"].endswith(
f"/reimbursements/claims/{claim_id}/items/{item_id}/attachment/preview"
)
assert meta_payload["analysis"]["headline"]
assert meta_payload["document_info"]["fields"][0]["label"] == "金额"
@@ -550,7 +558,9 @@ def test_claim_item_attachment_upload_preview_and_delete(monkeypatch, tmp_path)
assert deleted_meta_response.status_code == 404
def test_claim_item_attachment_upload_flags_purpose_and_amount_mismatch(monkeypatch, tmp_path) -> None:
def test_claim_item_attachment_upload_flags_purpose_and_amount_mismatch(
monkeypatch, tmp_path
) -> None:
def fake_recognize(
self,
files: list[tuple[str, bytes, str | None]],
@@ -596,7 +606,9 @@ def test_claim_item_attachment_upload_flags_purpose_and_amount_mismatch(monkeypa
assert upload_response.json()["attachment"]["requirement_check"]["matches"] is False
def test_claim_item_attachment_upload_flags_non_invoice_image_as_high_risk(monkeypatch, tmp_path) -> None:
def test_claim_item_attachment_upload_flags_non_invoice_image_as_high_risk(
monkeypatch, tmp_path
) -> None:
def fake_recognize(
self,
files: list[tuple[str, bytes, str | None]],
@@ -679,14 +691,32 @@ def test_approve_claim_endpoint_routes_direct_manager_claim_to_finance_review()
db.add_all([manager, employee, claim])
db.commit()
action_headers = {
"X-Auth-Username": "manager-approve-api@example.com",
"X-Auth-Name": "manager-approve-api@example.com",
"X-Auth-Role-Codes": "manager",
}
stale_response = client.post(
"/api/v1/reimbursements/claims/claim-approve-1/approve",
json={
"opinion": "情况属实，同意报销。",
"request_id": "approve-api-stale-1",
"expected_status": "draft",
"expected_approval_stage": "直属领导审批",
},
headers=action_headers,
)
assert stale_response.status_code == 409
response = client.post(
"/api/v1/reimbursements/claims/claim-approve-1/approve",
json={"opinion": "情况属实，同意报销。"},
headers={
"X-Auth-Username": "manager-approve-api@example.com",
"X-Auth-Name": "manager-approve-api@example.com",
"X-Auth-Role-Codes": "manager",
json={
"opinion": "情况属实，同意报销。",
"request_id": "approve-api-claim-1",
"expected_status": "submitted",
"expected_approval_stage": "直属领导审批",
},
headers=action_headers,
)
assert response.status_code == 200
@@ -701,13 +731,136 @@ def test_approve_claim_endpoint_routes_direct_manager_claim_to_finance_review()
for item in payload["risk_flags_json"]
)
approval_events = [
item
for item in payload["risk_flags_json"]
if item["source"] == "manual_approval"
item for item in payload["risk_flags_json"] if item["source"] == "manual_approval"
]
assert approval_events[0]["operator"] == "李经理"
assert "manager-approve-api@example.com" not in approval_events[0]["message"]
replay_response = client.post(
"/api/v1/reimbursements/claims/claim-approve-1/approve",
json={
"opinion": "情况属实，同意报销。",
"request_id": "approve-api-claim-1",
"expected_status": "submitted",
"expected_approval_stage": "直属领导审批",
},
headers=action_headers,
)
assert replay_response.status_code == 200
assert replay_response.json()["approval_stage"] == "财务审批"
changed_payload_response = client.post(
"/api/v1/reimbursements/claims/claim-approve-1/approve",
json={
"opinion": "改为有条件通过",
"request_id": "approve-api-claim-1",
"expected_status": "submitted",
"expected_approval_stage": "直属领导审批",
},
headers=action_headers,
)
assert changed_payload_response.status_code == 409
with session_factory() as db:
ledgers = list(db.scalars(select(ApprovalActionLedger)).all())
assert len(ledgers) == 1
assert ledgers[0].completed_at is not None
def test_approve_claim_endpoint_blocks_open_high_risk_with_machine_readable_detail() -> None:
client, session_factory = build_client()
with session_factory() as db:
manager = Employee(
id="manager-risk-block-api",
employee_no="M-RISK-BLOCK-API",
name="风险经理",
email="manager-risk-block-api@example.com",
)
employee = Employee(
id="employee-risk-block-api",
employee_no="E-RISK-BLOCK-API",
name="风险员工",
email="employee-risk-block-api@example.com",
manager=manager,
)
claim = ExpenseClaim(
id="claim-risk-block-api",
claim_no="EXP-RISK-BLOCK-API",
employee=employee,
employee_name=employee.name,
department_name="风控部",
expense_type="travel",
reason="客户拜访",
location="上海",
amount=Decimal("1200.00"),
currency="CNY",
invoice_count=1,
occurred_at=datetime(2026, 7, 16, tzinfo=UTC),
submitted_at=datetime(2026, 7, 16, tzinfo=UTC),
status="submitted",
approval_stage="直属领导审批",
risk_flags_json=[],
)
observation = RiskObservation(
id="risk-block-api-observation",
tenant_id="default",
observation_key="risk:claim-risk-block-api:duplicate",
subject_type="expense_claim",
subject_key="claim:claim-risk-block-api",
subject_label=claim.claim_no,
claim_id=claim.id,
claim_no=claim.claim_no,
risk_type="duplicate_invoice",
risk_signal="duplicate_invoice",
title="重复票据风险",
description="同一票据可能重复报销。",
risk_score=92,
risk_level="high",
confidence_score=0.95,
control_stage="reimbursement",
control_mode="risk_observation",
automation_mode="semi_auto_review",
source="financial_risk_graph",
algorithm_version="financial_risk_graph.v1",
status="pending_review",
feedback_status="unreviewed",
)
db.add_all([manager, employee, claim, observation])
db.commit()
manager_email = manager.email
response = client.post(
"/api/v1/reimbursements/claims/claim-risk-block-api/approve",
headers={
"X-Auth-Username": manager_email,
"X-Auth-Name": "Risk Manager",
"X-Auth-Role-Codes": "manager",
},
json={
"opinion": "同意",
"request_id": "approve-risk-block-api-001",
"expected_status": "submitted",
"expected_approval_stage": "直属领导审批",
},
)
assert response.status_code == 409
detail = response.json()["detail"]
assert detail["code"] == "APPROVAL_BLOCKED_BY_OPEN_HIGH_RISK"
assert detail["observations"] == [
{
"id": "risk-block-api-observation",
"title": "重复票据风险",
"risk_level": "high",
"adjudication": "unreviewed",
"lifecycle_status": "open",
}
]
with session_factory() as db:
persisted = db.get(ExpenseClaim, "claim-risk-block-api")
assert persisted is not None
assert persisted.approval_stage == "直属领导审批"
assert db.scalar(select(func.count()).select_from(ApprovalActionLedger)) == 0
def test_approve_application_endpoint_routes_direct_manager_review_to_budget_review() -> None:
client, session_factory = build_client()
@@ -766,10 +919,11 @@ def test_approve_application_endpoint_routes_direct_manager_review_to_budget_rev
status="submitted",
approval_stage="直属领导审批",
risk_flags_json=[
{
"source": "submission_review",
"severity": "high",
"label": "申请风险复核",
{
"source": "submission_review",
"severity": "high",
"actionability": "route_review",
"label": "申请风险复核",
"message": "申请金额和行程安排需要预算管理者二次确认。",
}
],
@@ -779,7 +933,12 @@ def test_approve_application_endpoint_routes_direct_manager_review_to_budget_rev
response = client.post(
"/api/v1/reimbursements/claims/claim-application-approve-1/approve",
json={"opinion": "业务必要，同意申请。"},
json={
"opinion": "业务必要，同意申请。",
"request_id": "approve-api-application-1",
"expected_status": "submitted",
"expected_approval_stage": "直属领导审批",
},
headers={
"X-Auth-Username": "manager-application-approve-api@example.com",
"X-Auth-Name": "manager-application-approve-api@example.com",
@@ -853,7 +1012,9 @@ def test_claim_item_pdf_attachment_preview_returns_generated_image(monkeypatch,
assert upload_response.status_code == 200
meta_payload = upload_response.json()["attachment"]
assert meta_payload["preview_kind"] == "image"
assert meta_payload["preview_url"].endswith(f"/reimbursements/claims/{claim_id}/items/{item_id}/attachment/preview")
assert meta_payload["preview_url"].endswith(
f"/reimbursements/claims/{claim_id}/items/{item_id}/attachment/preview"
)
meta_path = next(tmp_path.rglob("invoice.pdf.meta.json"))
stored_meta = json.loads(meta_path.read_text(encoding="utf-8"))
assert stored_meta["preview_rendered_with"] == DocumentPreviewAssets.PDF_RENDERER_ID
@@ -1015,7 +1176,9 @@ def test_claim_delete_allows_applicant_to_delete_own_draft(monkeypatch, tmp_path
assert db.get(ExpenseClaim, claim_id) is None
def test_claim_delete_allows_legacy_superadmin_without_is_admin_header(monkeypatch, tmp_path) -> None:
def test_claim_delete_allows_legacy_superadmin_without_is_admin_header(
monkeypatch, tmp_path
) -> None:
monkeypatch.setattr(ExpenseClaimAttachmentStorage, "root", lambda self: tmp_path)
client, session_factory = build_client()
@@ -1157,8 +1320,7 @@ def test_application_preview_action_submits_without_orchestrator_run(monkeypatch
assert outcome.outcome_type == "application_submitted"
assert outcome.business_event_id == event.id
assert any(
isinstance(flag, dict)
and flag.get("event_type") == "expense_application_submission"
isinstance(flag, dict) and flag.get("event_type") == "expense_application_submission"
for flag in list(claim.risk_flags_json or [])
)
@@ -1212,7 +1374,9 @@ def test_application_direct_submit_rolls_back_budget_when_case_event_fails(
assert list(db.scalars(select(WorkflowOutcome)).all()) == []
def test_application_preview_action_saves_draft_with_detail_reference(monkeypatch, tmp_path) -> None:
def test_application_preview_action_saves_draft_with_detail_reference(
monkeypatch, tmp_path
) -> None:
monkeypatch.setattr(ExpenseClaimAttachmentStorage, "root", lambda self: tmp_path)
client, session_factory = build_client()
@@ -1288,19 +1452,16 @@ def test_application_preview_action_saves_draft_with_detail_reference(monkeypatc
assert claim.approval_stage == "待提交"
assert claim.submitted_at is None
assert claim.employee_name == "张三"
assert db.scalar(
select(BudgetReservation).where(BudgetReservation.source_id == claim.id)
) is None
event = db.scalar(
select(BusinessEvent).where(BusinessEvent.aggregate_id == claim.id)
assert (
db.scalar(select(BudgetReservation).where(BudgetReservation.source_id == claim.id))
is None
)
event = db.scalar(select(BusinessEvent).where(BusinessEvent.aggregate_id == claim.id))
assert event is not None
assert event.event_type == "claim_draft_created"
assert event.payload_json["previous_status"] == ""
assert event.payload_json["next_status"] == "draft"
link = db.scalar(
select(ExpenseCaseLink).where(ExpenseCaseLink.resource_id == claim.id)
)
link = db.scalar(select(ExpenseCaseLink).where(ExpenseCaseLink.resource_id == claim.id))
assert link is not None
assert link.relation_type == "application"
@@ -1372,9 +1533,10 @@ def test_application_preview_action_rejects_forged_identity_when_editing_other_c
assert persisted.reason == "其他员工原申请"
assert persisted.status == "returned"
assert persisted.approval_stage == "退回补充"
assert db.scalar(
select(BusinessEvent).where(BusinessEvent.aggregate_id == persisted.id)
) is None
assert (
db.scalar(select(BusinessEvent).where(BusinessEvent.aggregate_id == persisted.id))
is None
)
def test_application_preview_action_reuses_created_draft_for_identical_retry() -> None:
@@ -1420,17 +1582,13 @@ def test_application_preview_action_reuses_created_draft_for_identical_retry() -
with session_factory() as db:
application_claims = list(
db.scalars(
select(ExpenseClaim).where(
ExpenseClaim.expense_type == "travel_application"
)
select(ExpenseClaim).where(ExpenseClaim.expense_type == "travel_application")
).all()
)
assert len(application_claims) == 1
events = list(
db.scalars(
select(BusinessEvent).where(
BusinessEvent.aggregate_id == application_claims[0].id
)
select(BusinessEvent).where(BusinessEvent.aggregate_id == application_claims[0].id)
).all()
)
assert len(events) == 1