469 lines
17 KiB
Python
469 lines
17 KiB
Python
from __future__ import annotations
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import json
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import unittest
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from datetime import UTC, datetime, timedelta
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from sqlalchemy import create_engine
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from sqlalchemy.orm import Session
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from govoplan_core.core.dsar import DsarProvider, DsarSubjectRef
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from govoplan_core.db.base import Base
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from govoplan_core.privacy.dsar_workflow import (
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create_data_subject_request,
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search_data_subject_request,
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)
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from govoplan_risk_compliance.backend.db.models import (
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RiskAssuranceEdge,
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RiskAssuranceNode,
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RiskSanctionsEntry,
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RiskSanctionsListSnapshot,
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RiskScreeningCandidate,
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RiskScreeningDisposition,
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RiskScreeningException,
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RiskScreeningRun,
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RiskScreeningSubjectSnapshot,
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)
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from govoplan_risk_compliance.backend.dsar_provider import (
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RISK_COMPLIANCE_DSAR_CAPABILITY,
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RiskComplianceDsarProvider,
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)
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from govoplan_risk_compliance.backend.manifest import manifest
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NOW = datetime(2026, 8, 22, 10, 0, tzinfo=UTC)
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class _Registry:
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def __init__(self, provider: RiskComplianceDsarProvider) -> None:
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self.provider = provider
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def capability_names(self):
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return (RISK_COMPLIANCE_DSAR_CAPABILITY,)
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def capability_owner(self, name):
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if name != RISK_COMPLIANCE_DSAR_CAPABILITY:
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raise KeyError(name)
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return "risk_compliance"
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def tenant_entitlement_resolver(self):
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class _Resolver:
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@staticmethod
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def resolve(session, tenant_id):
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del session, tenant_id
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return type("State", (), {"effective_modules": ("risk_compliance",)})()
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return _Resolver()
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def require_tenant_capability(self, name, session, **kwargs):
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del session, kwargs
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if name != RISK_COMPLIANCE_DSAR_CAPABILITY:
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raise KeyError(name)
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return self.provider
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def manifests(self):
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return (type("Manifest", (), {"id": "risk_compliance"})(),)
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class RiskComplianceDsarProviderTests(unittest.TestCase):
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def setUp(self) -> None:
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self.engine = create_engine("sqlite+pysqlite:///:memory:")
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Base.metadata.create_all(self.engine)
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self.session = Session(self.engine)
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self.provider = RiskComplianceDsarProvider()
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self.assertIsInstance(self.provider, DsarProvider)
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self._seed()
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self.session.commit()
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def tearDown(self) -> None:
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self.session.close()
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self.engine.dispose()
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def _seed(self) -> None:
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list_snapshot = RiskSanctionsListSnapshot(
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id="list-1",
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tenant_id="tenant-1",
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visibility="tenant",
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connector_snapshot_ref="connector:snapshot:secret-do-not-export",
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provider_id="un",
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publisher="United Nations",
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jurisdiction="global",
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list_type="sanctions",
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source_id="consolidated",
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source_version="2026-08-22",
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publication_at=NOW,
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effective_at=NOW,
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acquired_at=NOW,
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sha256="list-sha-do-not-export",
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connector_run_id="connector-run-do-not-export",
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raw_evidence_ref="evidence-ref-do-not-export",
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source_parser_version="parser-v1",
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normalization_version="normalizer-v1",
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signature_evidence={"secret": "signature-do-not-export"},
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provenance={"secret": "provenance-do-not-export"},
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entry_count=1,
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status="active",
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imported_by="account-1",
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imported_at=NOW,
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created_at=NOW,
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updated_at=NOW,
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)
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subject_snapshot = RiskScreeningSubjectSnapshot(
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id="subject-snapshot-1",
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tenant_id="tenant-1",
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subject_ref="party:person-1",
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subject_type="person",
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primary_name="Ada Example",
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normalized_name="ada example normalized-do-not-export",
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aliases=["Ada E."],
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identifiers=[
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{
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"type": "resident-number",
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"value": "resident-123",
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"unexpected": "identifier-extra-do-not-export",
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}
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],
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dates=["1990-01-01"],
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addresses=[
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{
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"street": "Example Street 1",
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"city": "Exampletown",
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"country": "DE",
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"unexpected": "address-extra-do-not-export",
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}
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],
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fingerprint="subject-fingerprint-do-not-export",
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submitted_by="account-1",
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created_at=NOW,
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updated_at=NOW,
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)
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run = RiskScreeningRun(
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id="screening-1",
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tenant_id="tenant-1",
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subject_snapshot_id="subject-snapshot-1",
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list_snapshot_id="list-1",
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idempotency_key="screening-idempotency-do-not-export",
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request_hash="screening-request-hash-do-not-export",
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matcher_version="matcher-v1",
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normalization_version="normalizer-v1",
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policy_version="policy-v1",
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policy_snapshot={"secret": "policy-snapshot-do-not-export"},
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status="complete",
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outcome="review",
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candidate_count=1,
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started_at=NOW,
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completed_at=NOW,
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created_by="account-1",
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created_at=NOW,
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updated_at=NOW,
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)
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sanctions_entry = RiskSanctionsEntry(
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id="entry-1",
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snapshot_id="list-1",
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source_entry_id="third-party-entry-do-not-export",
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subject_type="person",
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primary_name="Third Party Name Do Not Export",
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normalized_name="third party",
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original_script_name=None,
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reference_number="third-party-reference-do-not-export",
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listed_on=None,
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programmes=[],
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measures=[],
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raw_evidence_locator="third-party-evidence-do-not-export",
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details={"secret": "third-party-details-do-not-export"},
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created_at=NOW,
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updated_at=NOW,
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)
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candidate = RiskScreeningCandidate(
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id="candidate-1",
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tenant_id="tenant-1",
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run_id="screening-1",
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entry_id="entry-1",
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score=91,
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match_kind="fuzzy",
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evidence=[{"secret": "candidate-evidence-do-not-export"}],
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review_status="confirmed",
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current_disposition_id="disposition-1",
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created_at=NOW,
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updated_at=NOW,
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)
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disposition = RiskScreeningDisposition(
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id="disposition-1",
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tenant_id="tenant-1",
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candidate_id="candidate-1",
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decision="false_positive",
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reason="review-reason-do-not-export",
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evidence_refs=["review-evidence-do-not-export"],
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scope="subject_entry",
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expires_at=NOW + timedelta(days=30),
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review_at=NOW + timedelta(days=15),
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actor_account_id="account-1",
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actor_membership_id="membership-1",
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actor_authority={"secret": "authority-do-not-export"},
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separation_status="independent",
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override_reason="override-reason-do-not-export",
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created_at=NOW,
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)
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exception = RiskScreeningException(
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id="exception-1",
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tenant_id="tenant-1",
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subject_fingerprint="exception-fingerprint-do-not-export",
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source_entry_ref="exception-source-entry-do-not-export",
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scope="subject_entry",
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status="active",
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reason="exception-reason-do-not-export",
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evidence_refs=["exception-evidence-do-not-export"],
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starts_at=NOW,
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expires_at=NOW + timedelta(days=30),
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review_at=NOW + timedelta(days=15),
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originating_disposition_id="disposition-1",
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created_by="account-1",
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created_at=NOW,
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updated_at=NOW,
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)
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node = RiskAssuranceNode(
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id="node-1",
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tenant_id="tenant-1",
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stable_id="control-1",
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kind="control",
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revision=1,
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label="Sensitive control label do not export",
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description="Sensitive control description do not export",
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state="active",
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owner_ref="owner-secret-do-not-export",
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scope_ref="scope-secret-do-not-export",
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governed_object_ref="object-secret-do-not-export",
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valid_from=NOW,
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recorded_at=NOW,
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provenance={"secret": "node-provenance-do-not-export"},
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legal_basis_refs=["legal-secret-do-not-export"],
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policy_refs=["policy-secret-do-not-export"],
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evidence_refs=["node-evidence-do-not-export"],
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classification="restricted",
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created_by="account-1",
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created_at=NOW,
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updated_at=NOW,
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)
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edge = RiskAssuranceEdge(
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id="edge-1",
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tenant_id="tenant-1",
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stable_id="relation-1",
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revision=1,
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source_node_ref="control-1",
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target_node_ref="risk-1",
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relation="mitigates",
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state="active",
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owner_ref="edge-owner-secret-do-not-export",
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scope_ref="edge-scope-secret-do-not-export",
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valid_from=NOW,
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recorded_at=NOW,
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provenance={"secret": "edge-provenance-do-not-export"},
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legal_basis_refs=["edge-legal-secret-do-not-export"],
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policy_refs=["edge-policy-secret-do-not-export"],
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evidence_refs=["edge-evidence-do-not-export"],
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created_by="account-1",
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created_at=NOW,
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updated_at=NOW,
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)
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other_tenant_node = RiskAssuranceNode(
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id="node-other",
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tenant_id="tenant-2",
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stable_id="other-control",
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kind="control",
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revision=1,
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label="Other tenant",
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state="active",
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owner_ref="owner",
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valid_from=NOW,
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recorded_at=NOW,
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provenance={},
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legal_basis_refs=[],
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policy_refs=[],
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evidence_refs=[],
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classification="internal",
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created_by="account-1",
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)
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self.session.add_all(
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(
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list_snapshot,
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subject_snapshot,
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run,
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sanctions_entry,
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candidate,
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disposition,
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exception,
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node,
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edge,
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other_tenant_node,
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)
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)
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@staticmethod
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def _subject() -> DsarSubjectRef:
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return DsarSubjectRef(
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account_id="account-1",
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membership_id="membership-1",
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external_references={
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"risk_compliance.subject": "party:person-1",
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},
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)
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def test_search_exports_subject_data_and_minimized_attribution(self) -> None:
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records = self.provider.search_subject(
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self.session, tenant_id="tenant-1", subject=self._subject()
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)
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self.assertEqual(
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{
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"screening_subject_submission",
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"screening_actor_attribution",
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"snapshot_import_actor_attribution",
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"disposition_actor_attribution",
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"exception_actor_attribution",
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"assurance_node_actor_attribution",
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"assurance_edge_actor_attribution",
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},
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{record.resource_type for record in records},
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)
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exported = json.dumps([record.to_dict() for record in records])
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self.assertIn("Ada Example", exported)
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self.assertIn("resident-123", exported)
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for excluded in (
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"normalized-do-not-export",
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"identifier-extra-do-not-export",
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"address-extra-do-not-export",
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"subject-fingerprint-do-not-export",
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"screening-idempotency-do-not-export",
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"screening-request-hash-do-not-export",
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"policy-snapshot-do-not-export",
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"Third Party Name Do Not Export",
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"third-party-reference-do-not-export",
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"candidate-evidence-do-not-export",
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"review-reason-do-not-export",
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"review-evidence-do-not-export",
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"authority-do-not-export",
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"override-reason-do-not-export",
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"exception-fingerprint-do-not-export",
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"exception-source-entry-do-not-export",
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"exception-reason-do-not-export",
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"Sensitive control label do not export",
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"node-provenance-do-not-export",
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"edge-owner-secret-do-not-export",
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"edge-evidence-do-not-export",
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"list-sha-do-not-export",
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"signature-do-not-export",
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):
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self.assertNotIn(excluded, exported)
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def test_subject_data_requires_exact_module_reference(self) -> None:
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account_only = self.provider.search_subject(
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self.session,
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tenant_id="tenant-1",
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subject=DsarSubjectRef(account_id="account-1"),
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)
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reference_only = self.provider.search_subject(
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self.session,
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tenant_id="tenant-1",
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subject=DsarSubjectRef(
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external_references={
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"risk_compliance.subject": "party:person-1",
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}
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),
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)
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self.assertNotIn(
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"screening_subject_submission",
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{record.resource_type for record in account_only},
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)
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self.assertEqual(
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{"screening_subject_submission"},
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{record.resource_type for record in reference_only},
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)
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def test_conflicts_narrowing_and_tenant_boundaries(self) -> None:
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conflict = self.provider.search_subject(
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self.session,
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tenant_id="tenant-1",
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subject=DsarSubjectRef(
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account_id="account-1",
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external_references={
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"risk_compliance.account": "account-other",
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},
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),
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)
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narrowed = self.provider.search_subject(
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self.session,
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tenant_id="tenant-1",
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subject=DsarSubjectRef(
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account_id="account-1",
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external_references={
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"risk_compliance.subject": "party:person-1",
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"risk_compliance.screening": "screening-1",
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},
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),
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)
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full = self.provider.search_subject(
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self.session, tenant_id="tenant-1", subject=self._subject()
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)
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self.assertEqual((), conflict)
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self.assertEqual(
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{
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"screening_subject_submission",
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"screening_actor_attribution",
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"disposition_actor_attribution",
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},
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{record.resource_type for record in narrowed},
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)
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self.assertNotIn("node-other", {record.resource_id for record in full})
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def test_erasure_retains_legal_and_accountability_evidence(self) -> None:
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records = self.provider.search_subject(
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self.session, tenant_id="tenant-1", subject=self._subject()
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)
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actions = self.provider.plan_erasure(
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self.session,
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tenant_id="tenant-1",
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subject=self._subject(),
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records=records,
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)
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self.assertTrue(actions)
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self.assertTrue(
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all(action.kind == "retain" and not action.executable for action in actions)
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)
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results = self.provider.execute_erasure(
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self.session,
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tenant_id="tenant-1",
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subject=self._subject(),
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actions=actions,
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request_id="dsar-risk-1",
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)
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self.assertTrue(all(result.status == "blocked" for result in results))
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def test_manifest_and_core_workflow_discover_provider(self) -> None:
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self.assertIn(RISK_COMPLIANCE_DSAR_CAPABILITY, manifest.capability_factories)
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self.assertIn(
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"risk_compliance.data-subject-requests",
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{topic.id for topic in manifest.documentation},
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)
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row = create_data_subject_request(
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self.session,
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tenant_id="tenant-1",
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reference="DSAR-RISK-1",
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request_kind="access",
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subject=self._subject(),
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purpose="Risk screening access request",
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legal_basis=None,
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due_at=None,
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requested_by_account_id="operator-1",
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)
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search_data_subject_request(
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self.session,
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registry=_Registry(self.provider),
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row=row,
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expected_revision=row.resource_revision,
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)
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self.assertEqual("searched", row.status)
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self.assertEqual(7, row.search_result["record_count"])
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if __name__ == "__main__":
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unittest.main()
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