from __future__ import annotations from collections.abc import Generator from datetime import UTC, datetime, timedelta from decimal import Decimal import pytest from auth_helpers import install_legacy_header_auth_override from fastapi import FastAPI from fastapi.testclient import TestClient from sqlalchemy import create_engine, func, select from sqlalchemy.orm import Session, sessionmaker from sqlalchemy.pool import StaticPool from app.api.deps import CurrentUserContext, get_db from app.api.v1.endpoints.risk_observations import router as risk_observations_router from app.core.agent_enums import AgentAssetDomain, AgentAssetStatus, AgentAssetType from app.db.base import Base from app.models.agent_asset import AgentAsset from app.models.agent_asset_release_telemetry import AgentAssetReleaseLabel from app.models.employee import Employee from app.models.financial_record import ExpenseClaim from app.models.risk_disposition import RiskDispositionEvent from app.models.risk_observation import RiskObservationFeedback from app.schemas.risk_disposition import RiskDispositionActionCreate from app.services.agent_asset_release_telemetry import ( AgentAssetReleaseTelemetryService, ReleaseObservationInput, ) from app.services.risk_dispositions import ( RiskDispositionConflictError, RiskDispositionIdempotencyConflictError, RiskDispositionPermissionError, RiskDispositionService, RiskDispositionVersionConflictError, RiskWaiverDecisionPermissionError, ) from app.services.risk_observation_access_policy import RiskObservationAccessPolicy from app.services.risk_observations import RiskObservationService def test_risk_disposition_separates_adjudication_and_lifecycle_with_audit_events( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") with _build_session() as db: observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:typed:duplicate") ) db.commit() service = RiskDispositionService(db) confirmed = service.execute_action( observation.id, _action("confirm", version=0, request_id="request-confirm-001"), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) assert confirmed.disposition.adjudication == "confirmed" assert confirmed.disposition.lifecycle_status == "open" assert confirmed.disposition.version == 1 assert confirmed.event.before_json["adjudication"] == "unreviewed" assert confirmed.event.after_json["adjudication"] == "confirmed" supplemented = service.execute_action( observation.id, RiskDispositionActionCreate( action="request_supplement", expected_version=1, request_id="request-supplement-001", assignee="员工甲", due_at=datetime.now(UTC) + timedelta(days=2), comment="请补齐行程单", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) assert supplemented.disposition.adjudication == "confirmed" assert supplemented.disposition.lifecycle_status == "supplement_requested" assert supplemented.disposition.assignee == "员工甲" assert supplemented.disposition.version == 2 resolved = service.execute_action( observation.id, RiskDispositionActionCreate( action="resolve", expected_version=2, request_id="request-resolve-001", resolution="补充材料已核验，风险关闭。", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) assert resolved.disposition.adjudication == "confirmed" assert resolved.disposition.lifecycle_status == "resolved" assert resolved.disposition.resolution == "补充材料已核验，风险关闭。" assert resolved.disposition.version == 3 assert db.scalar(select(func.count()).select_from(RiskDispositionEvent)) == 3 assert db.scalar(select(func.count()).select_from(RiskObservationFeedback)) == 1 with pytest.raises(RiskDispositionConflictError, match="已解决"): service.execute_action( observation.id, _action( "start_remediation", version=3, request_id="request-remediation-after-resolve", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) with pytest.raises(RiskDispositionConflictError, match="已解决"): service.execute_action( observation.id, _action( "false_positive", version=3, request_id="request-readjudicate-after-resolve", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) def test_typed_risk_disposition_appends_current_release_label_automatically( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") with _build_session() as db: db.add(_claim()) asset = AgentAsset( id="risk-disposition-release-asset", tenant_id="default", scope="tenant", asset_type=AgentAssetType.RULE.value, code="risk.disposition.release", name="处置学习发布规则", description="", domain=AgentAssetDomain.EXPENSE.value, scenario_json=["travel"], owner="finance", status=AgentAssetStatus.ACTIVE.value, current_version="v1", published_version="v1", working_version="v2", config_json={ "tenant_id": "default", "detail_mode": "json_risk", "stable_marker": "stable-risk-disposition-release", "release_guard": { "release_id": "risk-disposition-release-1", "stage": "shadow", "candidate_version": "v2", "previous_version": "v1", "previous_config": { "tenant_id": "default", "detail_mode": "json_risk", "enabled": True, "stable_marker": "stable-risk-disposition-release", }, "policy": { "shadow_min_samples": 1, "canary_min_samples": 1, "max_error_rate": 1.0, "min_precision": 0.9, "max_precision_drop": 1.0, "canary_traffic_percent": 10, }, }, }, ) db.add(asset) db.commit() telemetry = AgentAssetReleaseTelemetryService(db).record_observation( ReleaseObservationInput( tenant_id="default", asset_id=asset.id, release_id="risk-disposition-release-1", stage="shadow", version="v2", rule_code=asset.code, source_key="claim-risk-1", candidate_hit=True, baseline_hit=True, business_stage="reimbursement", ) ) observation = RiskObservationService(db).upsert_observation( { **_observation_payload("risk:typed:release-telemetry"), "risk_signal": asset.code, "algorithm_version": "v1", "policy_refs": [asset.code], "decision_trace": {"rule_code": asset.code}, } ) db.commit() mutation = RiskDispositionService(db).execute_action( observation.id, _action("confirm", version=0, request_id="request-release-label-001"), tenant_id="default", actor_id="finance-secret-account", actor_name="财务甲", ) label = db.scalar( select(AgentAssetReleaseLabel).where( AgentAssetReleaseLabel.observation_id == telemetry.id ) ) assert mutation.disposition.adjudication == "confirmed" assert label is not None assert label.label == "confirmed" assert label.verification_source == "typed_risk_disposition" assert "finance-secret-account" not in str(label.__dict__) corrected = RiskDispositionService(db).execute_action( observation.id, _action( "false_positive", version=1, request_id="request-release-label-correction-001", ), tenant_id="default", actor_id="finance-secret-account", actor_name="财务甲", ) db.expire_all() refreshed_asset = db.get(AgentAsset, asset.id) assert corrected.disposition.adjudication == "false_positive" assert refreshed_asset is not None assert refreshed_asset.published_version == "v1" assert refreshed_asset.config_json["stable_marker"] == ("stable-risk-disposition-release") assert refreshed_asset.config_json["release_guard"]["stage"] == "rolled_back" assert refreshed_asset.config_json["release_guard"]["rollback"]["automatic"] is True def test_risk_disposition_requires_confirmation_before_remediation_or_resolution( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") with _build_session() as db: observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:typed:transition-guard") ) db.commit() service = RiskDispositionService(db) with pytest.raises(RiskDispositionConflictError, match="必须先确认成立"): service.execute_action( observation.id, RiskDispositionActionCreate( action="resolve", expected_version=0, request_id="request-resolve-unreviewed", resolution="不能跳过裁决直接关闭。", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) supplemented = service.execute_action( observation.id, RiskDispositionActionCreate( action="request_supplement", expected_version=0, request_id="request-supplement-unreviewed", comment="先补充材料再裁决。", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) assert supplemented.disposition.adjudication == "unreviewed" assert supplemented.disposition.lifecycle_status == "supplement_requested" def test_risk_disposition_imports_legacy_confirmation_before_first_typed_action( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") with _build_session() as db: observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:typed:legacy-confirmed") ) observation.status = "confirmed" observation.feedback_status = "confirmed" db.commit() resolved = RiskDispositionService(db).execute_action( observation.id, RiskDispositionActionCreate( action="resolve", expected_version=0, request_id="request-resolve-legacy-confirmed", resolution="历史确认风险已完成整改。", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) assert resolved.event.before_json["adjudication"] == "confirmed" assert resolved.disposition.adjudication == "confirmed" assert resolved.disposition.lifecycle_status == "resolved" def test_risk_disposition_idempotency_and_optimistic_version_are_enforced( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") with _build_session() as db: observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:typed:idempotency") ) second_observation = RiskObservationService(db).upsert_observation( { **_observation_payload("risk:typed:idempotency:second"), "claim_id": None, "claim_no": "", "subject_key": "standalone:second", } ) db.commit() service = RiskDispositionService(db) payload = _action("confirm", version=0, request_id="request-idempotent-001") first = service.execute_action( observation.id, payload, tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) replay = service.execute_action( observation.id, payload, tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) assert replay.replayed is True assert replay.event.id == first.event.id assert db.scalar(select(func.count()).select_from(RiskDispositionEvent)) == 1 stored_event = db.get(RiskDispositionEvent, first.event.id) assert stored_event is not None assert stored_event.response_json is not None assert stored_event.response_json["replayed"] is False assert stored_event.response_json["disposition"]["version"] == 1 advanced = service.execute_action( observation.id, _action( "start_remediation", version=1, request_id="request-remediation-after-idempotent", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) late_replay = service.execute_action( observation.id, payload, tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) assert advanced.disposition.version == 2 assert late_replay.replayed is True assert late_replay.disposition.version == 1 assert late_replay.disposition.lifecycle_status == "open" assert [item.version for item in late_replay.disposition.events] == [1] assert db.scalar(select(func.count()).select_from(RiskDispositionEvent)) == 2 with pytest.raises(RiskDispositionIdempotencyConflictError): service.execute_action( observation.id, _action( "false_positive", version=0, request_id="request-idempotent-001", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) with pytest.raises(RiskDispositionIdempotencyConflictError): service.execute_action( second_observation.id, payload, tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) with pytest.raises(RiskDispositionIdempotencyConflictError): service.execute_action( observation.id, payload, tenant_id="default", actor_id="finance-2", actor_name="财务乙", ) with pytest.raises(RiskDispositionVersionConflictError) as error: service.execute_action( observation.id, _action("request_waiver", version=0, request_id="request-stale-001"), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) assert error.value.current_version == 2 def test_legacy_event_replay_rebuilds_only_target_version_history( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") with _build_session() as db: observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:typed:legacy-replay") ) db.commit() service = RiskDispositionService(db) payload = _action("confirm", version=0, request_id="request-legacy-replay-001") first = service.execute_action( observation.id, payload, tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) legacy_event = db.get(RiskDispositionEvent, first.event.id) assert legacy_event is not None legacy_event.response_json = None db.commit() service.execute_action( observation.id, _action( "start_remediation", version=1, request_id="request-legacy-replay-later", ), tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) replay = service.execute_action( observation.id, payload, tenant_id="default", actor_id="finance-1", actor_name="财务甲", ) assert replay.replayed is True assert replay.event.id == first.event.id assert replay.disposition.version == 1 assert replay.disposition.lifecycle_status == "open" assert [item.version for item in replay.disposition.events] == [1] def test_risk_observation_api_enforces_pool_claim_and_typed_action_permissions( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") client, session_factory = _build_client() with session_factory() as db: db.add(_employee()) db.add(_claim()) db.flush() observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:api:duplicate") ) standalone_observation = RiskObservationService(db).upsert_observation( { **_observation_payload("risk:api:standalone"), "claim_id": None, "claim_no": "", "subject_key": "default:standalone", } ) foreign_observation = RiskObservationService(db).upsert_observation( { **_observation_payload("risk:api:foreign"), "claim_id": None, "claim_no": "", "subject_key": "tenant-b:standalone", }, tenant_id="tenant-b", ) observation_id = observation.id standalone_observation_id = standalone_observation.id foreign_observation_id = foreign_observation.id db.commit() employee_headers = { "X-Auth-Username": "risk.employee@example.com", "X-Auth-Name": "Risk Employee", "X-Auth-Employee-No": "E-RISK", } finance_headers = { "X-Auth-Username": "finance@example.com", "X-Auth-Name": "Finance Reviewer", "X-Auth-Role-Codes": "finance", } assert client.get("/api/v1/risk-observations", headers=employee_headers).status_code == 403 assert ( client.get( f"/api/v1/risk-observations/{observation_id}", headers=employee_headers, ).status_code == 403 ) assert ( client.get( "/api/v1/risk-observations/claim/claim-risk-1", headers=employee_headers, ).status_code == 404 ) assert ( client.post( f"/api/v1/risk-observations/{observation_id}/feedback", headers=employee_headers, json={"feedback_type": "confirm"}, ).status_code == 403 ) first = client.post( f"/api/v1/risk-observations/{observation_id}/disposition/actions", headers=finance_headers, json={ "action": "confirm", "expected_version": 0, "request_id": "api-confirm-request-001", "comment": "人工复核确认", }, ) replay = client.post( f"/api/v1/risk-observations/{observation_id}/disposition/actions", headers=finance_headers, json={ "action": "confirm", "expected_version": 0, "request_id": "api-confirm-request-001", "comment": "人工复核确认", }, ) advanced = client.post( f"/api/v1/risk-observations/{observation_id}/disposition/actions", headers=finance_headers, json={ "action": "request_supplement", "expected_version": 1, "request_id": "api-supplement-request-001", "comment": "请补充完整行程材料", }, ) late_replay = client.post( f"/api/v1/risk-observations/{observation_id}/disposition/actions", headers=finance_headers, json={ "action": "confirm", "expected_version": 0, "request_id": "api-confirm-request-001", "comment": "人工复核确认", }, ) stale = client.post( f"/api/v1/risk-observations/{observation_id}/disposition/actions", headers=finance_headers, json={ "action": "request_waiver", "expected_version": 0, "request_id": "api-stale-request-001", "waiver_reason": "客户现场条件导致合规材料暂缺", "waiver_scope": "仅限本次客户拜访的行程材料", "waiver_expires_at": (datetime.now(UTC) + timedelta(days=3)).isoformat(), }, ) changed_replay = client.post( f"/api/v1/risk-observations/{observation_id}/disposition/actions", headers=finance_headers, json={ "action": "false_positive", "expected_version": 0, "request_id": "api-confirm-request-001", "comment": "经核验属于误报", }, ) unsafe_legacy = client.post( f"/api/v1/risk-observations/{observation_id}/feedback", headers=finance_headers, json={"feedback_type": "comment", "payload_json": {"arbitrary": True}}, ) foreign_action = client.post( f"/api/v1/risk-observations/{foreign_observation_id}/disposition/actions", headers=finance_headers, json={ "action": "confirm", "expected_version": 0, "request_id": "api-cross-tenant-001", }, ) standalone_action = client.post( f"/api/v1/risk-observations/{standalone_observation_id}/disposition/actions", headers=finance_headers, json={ "action": "confirm", "expected_version": 0, "request_id": "api-standalone-finance-001", }, ) assert first.status_code == 200 assert first.json()["disposition"]["adjudication"] == "confirmed" assert first.json()["disposition"]["lifecycle_status"] == "open" assert replay.status_code == 200 assert replay.json()["replayed"] is True assert replay.json()["event"]["id"] == first.json()["event"]["id"] assert advanced.status_code == 200 assert advanced.json()["disposition"]["version"] == 2 assert late_replay.status_code == 200 assert late_replay.json()["replayed"] is True assert late_replay.json()["disposition"]["version"] == 1 assert late_replay.json()["disposition"]["lifecycle_status"] == "open" assert [item["version"] for item in late_replay.json()["disposition"]["events"]] == [1] assert stale.status_code == 409 assert stale.json()["detail"]["code"] == "RISK_DISPOSITION_VERSION_CONFLICT" assert stale.json()["detail"]["message"] == "风险处置状态已更新，请刷新证据链后重试。" assert changed_replay.status_code == 409 assert unsafe_legacy.status_code == 410 assert foreign_action.status_code == 404 assert standalone_action.status_code == 403 detail = client.get( f"/api/v1/risk-observations/{observation_id}", headers=finance_headers, ) assert detail.status_code == 200 assert detail.json()["disposition"]["version"] == 2 assert len(detail.json()["disposition"]["events"]) == 2 def test_current_claim_approver_can_manage_disposition_without_pool_access() -> None: with _build_session() as db: manager = Employee( id="manager-risk", employee_no="M-RISK", name="风险主管", email="risk.manager@example.com", position="部门经理", grade="P8", ) employee = _employee() employee.manager_id = manager.id claim = _claim() claim.approval_stage = "直属领导审批" db.add_all([manager, employee, claim]) db.flush() observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:approver:duplicate") ) db.commit() current_user = CurrentUserContext( tenant_id="default", username="risk.manager@example.com", name="风险主管", role_codes=["approver"], is_admin=False, employee_no="M-RISK", ) policy = RiskObservationAccessPolicy(db) assert policy.can_read_tenant_pool(current_user) is False assert policy.can_read_claim_risks(claim.id, current_user) is True assert policy.can_manage_disposition(observation, current_user) is True unrelated_manager = CurrentUserContext( tenant_id="default", username="unrelated.manager@example.com", name="其他经理", role_codes=["manager"], is_admin=False, ) finance_outside_stage = CurrentUserContext( tenant_id="default", username="finance@example.com", name="财务甲", role_codes=["finance"], is_admin=False, ) assert policy.can_read_tenant_pool(unrelated_manager) is False assert policy.can_read_claim_risks(claim.id, unrelated_manager) is False assert policy.can_manage_disposition(observation, unrelated_manager) is False assert policy.can_manage_disposition(observation, finance_outside_stage) is False def test_disposition_rechecks_current_approver_after_claim_stage_changes() -> None: with _build_session() as db: manager = Employee( id="manager-risk-stage-change", employee_no="M-RISK-STAGE", name="原审批主管", email="risk.stage.manager@example.com", ) employee = _employee() employee.id = "emp-risk-stage-change" employee.employee_no = "E-RISK-STAGE" employee.email = "risk.stage.employee@example.com" employee.manager_id = manager.id claim = _claim() claim.id = "claim-risk-stage-change" claim.claim_no = "BX-RISK-STAGE" claim.employee_id = employee.id claim.approval_stage = "直属领导审批" db.add_all([manager, employee, claim]) db.flush() observation = RiskObservationService(db).upsert_observation( { **_observation_payload("risk:approver:stage-change"), "claim_id": claim.id, "claim_no": claim.claim_no, "subject_key": f"claim:{claim.id}", } ) db.commit() current_user = CurrentUserContext( tenant_id="default", username=manager.email, name=manager.name, role_codes=["manager"], is_admin=False, employee_no=manager.employee_no, ) claim.approval_stage = "财务审批" db.commit() with pytest.raises(RiskDispositionPermissionError, match="不再是"): RiskDispositionService(db).execute_action( observation.id, _action("confirm", version=0, request_id="request-stage-changed-001"), tenant_id="default", actor_id=manager.id, actor_name=manager.name, current_user=current_user, ) assert db.scalar(select(func.count()).select_from(RiskDispositionEvent)) == 0 def test_waiver_approval_enforces_separation_of_duties_and_replays_snapshot( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") with _build_session() as db: requester = Employee( id="waiver-requester", employee_no="W-REQUESTER", name="豁免申请人", email="waiver.requester@example.com", employment_status="在职", ) decider = Employee( id="waiver-decider", employee_no="W-DECIDER", name="豁免决定人", email="waiver.decider@example.com", employment_status="在职", ) admin_viewer = Employee( id="waiver-admin", employee_no="W-ADMIN", name="仅管理员", email="waiver.admin@example.com", employment_status="在职", ) inactive_decider = Employee( id="waiver-inactive", employee_no="W-INACTIVE", name="离职财务", email="waiver.inactive@example.com", employment_status="离职", ) db.add_all([_employee(), _claim(), requester, decider, admin_viewer, inactive_decider]) db.flush() observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:waiver:sod") ) observation_id = observation.id db.commit() service = RiskDispositionService(db) requester_user = _user(requester, roles=["finance"]) decider_user = _user(decider, roles=["finance"]) service.execute_action( observation_id, _action("confirm", version=0, request_id="waiver-confirm-request-001"), tenant_id="default", actor_id=requester.id, actor_name=requester.name, current_user=requester_user, ) requested = service.execute_action( observation_id, RiskDispositionActionCreate( action="request_waiver", expected_version=1, request_id="waiver-application-request-001", waiver_reason="客户现场临时封控，无法在审批前取得原件。", waiver_scope="仅限本次客户拜访的纸质行程确认材料。", waiver_expires_at=datetime.now(UTC) + timedelta(days=5), waiver_conditions=["三日内补交扫描件", "到期前由财务复核"], ), tenant_id="default", actor_id=requester.id, actor_name=requester.name, current_user=requester_user, ) assert requested.disposition.lifecycle_status == "waiver_requested" assert requested.disposition.waiver_requester_id == requester.id assert requested.disposition.waiver_reason == "客户现场临时封控，无法在审批前取得原件。" assert requested.disposition.waiver_conditions_json == [ "三日内补交扫描件", "到期前由财务复核", ] decision = RiskDispositionActionCreate( action="approve_waiver", expected_version=2, request_id="waiver-approve-request-001", comment="条件明确且有效期受控，同意本次例外。", ) with pytest.raises(RiskWaiverDecisionPermissionError, match="不能批准或拒绝自己的"): service.execute_action( observation_id, decision, tenant_id="default", actor_id=requester.id, actor_name=requester.name, current_user=requester_user, ) with pytest.raises(RiskWaiverDecisionPermissionError, match="明确角色"): service.execute_action( observation_id, decision, tenant_id="default", actor_id=admin_viewer.id, actor_name=admin_viewer.name, current_user=_user(admin_viewer, roles=[], is_admin=True), ) with pytest.raises(RiskWaiverDecisionPermissionError, match="不是在职员工"): service.execute_action( observation_id, decision, tenant_id="default", actor_id=inactive_decider.id, actor_name=inactive_decider.name, current_user=_user(inactive_decider, roles=["finance"]), ) with pytest.raises(RiskWaiverDecisionPermissionError, match="跨租户"): service.execute_action( observation_id, decision, tenant_id="default", actor_id=decider.id, actor_name=decider.name, current_user=_user(decider, roles=["finance"], tenant_id="tenant-b"), ) approved = service.execute_action( observation_id, decision, tenant_id="default", actor_id=decider.id, actor_name=decider.name, current_user=decider_user, ) replayed = service.execute_action( observation_id, decision, tenant_id="default", actor_id=decider.id, actor_name=decider.name, current_user=decider_user, ) assert approved.disposition.lifecycle_status == "waived" assert approved.disposition.waiver_decision == "approved" assert approved.disposition.waiver_decider_id == decider.id assert approved.disposition.waiver_decision_reason == decision.comment assert replayed.replayed is True assert replayed.event.id == approved.event.id assert replayed.disposition.waiver_requester_id == requester.id assert replayed.disposition.waiver_decider_id == decider.id assert db.scalar(select(func.count()).select_from(RiskDispositionEvent)) == 3 def test_waiver_rejection_is_explicit_and_decisions_require_requested_state( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") with _build_session() as db: requester = Employee( id="waiver-reject-requester", employee_no="W-REJECT-REQ", name="拒绝流程申请人", email="waiver.reject.requester@example.com", employment_status="在职", ) decider = Employee( id="waiver-reject-decider", employee_no="W-REJECT-DEC", name="拒绝流程决定人", email="waiver.reject.decider@example.com", employment_status="在职", ) db.add_all([_employee(), _claim(), requester, decider]) db.flush() observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:waiver:rejected") ) observation_id = observation.id db.commit() service = RiskDispositionService(db) requester_user = _user(requester, roles=["finance"]) decider_user = _user(decider, roles=["executive"]) with pytest.raises(RiskDispositionConflictError, match="只有待决定"): service.execute_action( observation_id, RiskDispositionActionCreate( action="reject_waiver", expected_version=0, request_id="waiver-reject-without-request", comment="当前没有可拒绝的申请。", ), tenant_id="default", actor_id=decider.id, actor_name=decider.name, current_user=decider_user, ) service.execute_action( observation_id, _action("confirm", version=0, request_id="waiver-reject-confirm"), tenant_id="default", actor_id=requester.id, actor_name=requester.name, current_user=requester_user, ) service.execute_action( observation_id, RiskDispositionActionCreate( action="request_waiver", expected_version=1, request_id="waiver-reject-application", waiver_reason="希望免除本次高风险拦截。", waiver_scope="本次重复票据风险。", waiver_expires_at=datetime.now(UTC) + timedelta(days=2), waiver_conditions=[], ), tenant_id="default", actor_id=requester.id, actor_name=requester.name, current_user=requester_user, ) rejected = service.execute_action( observation_id, RiskDispositionActionCreate( action="reject_waiver", expected_version=2, request_id="waiver-reject-decision", comment="缺少足够补偿控制，拒绝豁免。", ), tenant_id="default", actor_id=decider.id, actor_name=decider.name, current_user=decider_user, ) assert rejected.disposition.lifecycle_status == "waiver_rejected" assert rejected.disposition.waiver_decision == "rejected" assert rejected.disposition.waiver_decider_id == decider.id assert rejected.event.action == "reject_waiver" def test_waiver_self_decision_endpoint_returns_typed_forbidden_error( monkeypatch: pytest.MonkeyPatch, ) -> None: monkeypatch.setenv("FEW_SHOT_INJECTION_ENABLED", "false") client, session_factory = _build_client() requester = Employee( id="waiver-api-requester", employee_no="W-API-REQ", name="接口豁免申请人", email="waiver.api.requester@example.com", employment_status="在职", ) requester_user = _user(requester, roles=["finance"]) requester_headers = { "X-Auth-Username": requester.email, "X-Auth-Name": "Waiver Requester", "X-Auth-Employee-No": requester.employee_no, "X-Auth-Employee-Id": requester.id, "X-Auth-Role-Codes": "finance", } with session_factory() as db: db.add_all([_employee(), _claim(), requester]) db.flush() observation = RiskObservationService(db).upsert_observation( _observation_payload("risk:waiver:api-sod") ) observation_id = observation.id db.commit() service = RiskDispositionService(db) service.execute_action( observation_id, _action("confirm", version=0, request_id="waiver-api-confirm"), tenant_id="default", actor_id=requester.id, actor_name=requester.name, current_user=requester_user, ) service.execute_action( observation_id, RiskDispositionActionCreate( action="request_waiver", expected_version=1, request_id="waiver-api-application", waiver_reason="接口申请职责分离验证。", waiver_scope="仅限当前风险观察。", waiver_expires_at=datetime.now(UTC) + timedelta(days=2), ), tenant_id="default", actor_id=requester.id, actor_name=requester.name, current_user=requester_user, ) response = client.post( f"/api/v1/risk-observations/{observation_id}/disposition/actions", headers=requester_headers, json={ "action": "approve_waiver", "expected_version": 2, "request_id": "waiver-api-self-approve", "comment": "尝试自批。", }, ) assert response.status_code == 403 assert response.json()["detail"]["code"] == "RISK_WAIVER_DECISION_FORBIDDEN" assert "不能批准或拒绝自己的" in response.json()["detail"]["message"] @pytest.mark.parametrize( "action", ["false_positive", "request_supplement"], ) def test_evidence_sensitive_actions_require_server_side_comment(action: str) -> None: with pytest.raises(ValueError, match="必须填写 comment"): RiskDispositionActionCreate( action=action, expected_version=0, request_id=f"request-comment-{action}", ) def test_waiver_request_requires_reason_scope_and_expiry() -> None: with pytest.raises(ValueError, match="必须填写原因、范围和有效期"): RiskDispositionActionCreate( action="request_waiver", expected_version=0, request_id="request-waiver-fields-missing", ) def _action( action: str, *, version: int, request_id: str, ) -> RiskDispositionActionCreate: waiver_fields: dict[str, object] = {} if action == "request_waiver": waiver_fields = { "waiver_reason": "客户现场条件导致合规材料暂缺", "waiver_scope": "仅限本次客户拜访的行程材料", "waiver_expires_at": datetime.now(UTC) + timedelta(days=3), "waiver_conditions": ["补齐客户确认函", "到期前完成复核"], } return RiskDispositionActionCreate( action=action, expected_version=version, request_id=request_id, comment=("风险处置说明" if action in {"false_positive", "request_supplement"} else None), **waiver_fields, ) def _build_session() -> Session: engine = create_engine( "sqlite+pysqlite:///:memory:", connect_args={"check_same_thread": False}, poolclass=StaticPool, ) Base.metadata.create_all(bind=engine) factory = sessionmaker(bind=engine, autoflush=False, autocommit=False) return factory() def _build_client() -> tuple[TestClient, sessionmaker[Session]]: engine = create_engine( "sqlite+pysqlite:///:memory:", connect_args={"check_same_thread": False}, poolclass=StaticPool, ) Base.metadata.create_all(bind=engine) factory = sessionmaker(bind=engine, autoflush=False, autocommit=False) app = FastAPI() app.include_router(risk_observations_router, prefix="/api/v1") install_legacy_header_auth_override(app) def override_db() -> Generator[Session, None, None]: db = factory() try: yield db finally: db.close() app.dependency_overrides[get_db] = override_db return TestClient(app), factory def _employee() -> Employee: return Employee( id="emp-risk", employee_no="E-RISK", name="风险员工", email="risk.employee@example.com", position="高级专员", grade="P6", ) def _user( employee: Employee, *, roles: list[str], is_admin: bool = False, tenant_id: str = "default", ) -> CurrentUserContext: return CurrentUserContext( username=employee.email, name=employee.name, role_codes=roles, is_admin=is_admin, tenant_id=tenant_id, employee_no=employee.employee_no, employee_id=employee.id, ) def _claim() -> ExpenseClaim: now = datetime(2026, 7, 16, tzinfo=UTC) return ExpenseClaim( id="claim-risk-1", claim_no="BX-RISK-001", employee_id="emp-risk", employee_name="风险员工", department_id="dept-risk", department_name="风控部", expense_type="travel", reason="客户拜访", location="上海", amount=Decimal("1200"), currency="CNY", invoice_count=1, occurred_at=now, submitted_at=now, status="submitted", approval_stage="财务审批", risk_flags_json=[], ) def _observation_payload(observation_key: str) -> dict[str, object]: return { "observation_key": observation_key, "subject_type": "expense_claim", "subject_key": "claim:claim-risk-1", "subject_label": "BX-RISK-001", "claim_id": "claim-risk-1", "claim_no": "BX-RISK-001", "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": 86, "risk_level": "high", "confidence_score": 0.91, "control_stage": "reimbursement", "control_mode": "risk_observation", "automation_mode": "semi_auto_review", "source": "financial_risk_graph", "algorithm_version": "financial_risk_graph.v1", "contribution_scores": {}, "baseline": {}, "evidence": [], "graph_node_keys": [], "graph_edge_keys": [], "policy_refs": [], "similar_case_claim_ids": [], "ontology_json": {}, "decision_trace": {}, }