Initial commit: InternalAuditInterprise
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"""线索引擎模块：线索模型、生成、置信度分级、状态流转（人机闭环）。"""
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"""线索 ORM 模型。
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对应需求 R7（线索+证据链+解释）、R17（闭环状态）、R18（置信度分级）、R19（线索不可删）。
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"""
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from __future__ import annotations
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import datetime as dt
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import enum
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import uuid
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from sqlalchemy import DateTime, Enum, Float, ForeignKey, Index, String, Text
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from sqlalchemy.dialects.postgresql import JSONB, UUID
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from sqlalchemy.orm import Mapped, mapped_column, relationship
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from app.db import Base
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def _enum_values(enum_cls):
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"""让 SQLAlchemy 使用枚举的 value（小写）写入 PG 原生 enum，而非 name。"""
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return [m.value for m in enum_cls]
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def _uuid() -> uuid.UUID:
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return uuid.uuid4()
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def _now() -> dt.datetime:
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return dt.datetime.now(dt.UTC)
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class ConfidenceTier(str, enum.Enum):
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"""置信度三级分流（R18）。"""
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HIGH = "high" # 高置信：直接推送处置
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MEDIUM = "medium" # 中置信：人工复核
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LOW = "low" # 低置信：归档备查
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class ClueStatus(str, enum.Enum):
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"""线索闭环状态机（R17）。"""
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NEW = "new" # 新生成
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ASSIGNED = "assigned" # 已分派
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REVIEWING = "reviewing" # 研判中
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CONFIRMED = "confirmed" # 已定性属实
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DISMISSED = "dismissed" # 已定性误报
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RECTIFYING = "rectifying" # 整改中
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TRANSFERRED = "transferred" # 已移交
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CLOSED = "closed" # 已销项闭环
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class Clue(Base):
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"""审计线索。线索一经生成不可物理删除（R19），失效通过状态表达。"""
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__tablename__ = "clue"
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__table_args__ = (
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Index("ix_clue_status", "status"),
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Index("ix_clue_scenario", "scenario_code"),
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Index("ix_clue_assignee", "assignee"),
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)
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id: Mapped[uuid.UUID] = mapped_column(UUID(as_uuid=True), primary_key=True, default=_uuid)
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title: Mapped[str] = mapped_column(String(256), nullable=False)
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risk_domain: Mapped[str] = mapped_column(String(32), nullable=False) # 收入/成本/采购/资金/合规
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scenario_code: Mapped[str] = mapped_column(String(32), nullable=False) # 如 R8/R9
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confidence: Mapped[ConfidenceTier] = mapped_column(
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Enum(ConfidenceTier, name="confidence_tier", values_callable=_enum_values),
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nullable=False,
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)
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score: Mapped[float] = mapped_column(Float, default=0.0) # 0-1 风险评分
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status: Mapped[ClueStatus] = mapped_column(
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Enum(ClueStatus, name="clue_status", values_callable=_enum_values),
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default=ClueStatus.NEW,
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nullable=False,
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)
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# 人话解释（判定理由）与证据链
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rationale: Mapped[str] = mapped_column(Text, default="")
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evidence: Mapped[dict] = mapped_column(JSONB, default=dict)
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# 涉及的主体（金额、实体 id 列表等）
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subjects: Mapped[dict] = mapped_column(JSONB, default=dict)
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amount_involved: Mapped[float | None] = mapped_column(Float, nullable=True)
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assignee: Mapped[str | None] = mapped_column(String(64), nullable=True)
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# 误报/属实反馈（R18 反馈学习）
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feedback: Mapped[str | None] = mapped_column(String(16), nullable=True) # confirmed/false_positive
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# 可追溯：产生该线索时的模型/规则/数据版本（R19 三重留痕）
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model_version: Mapped[str | None] = mapped_column(String(64), nullable=True)
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rule_version: Mapped[str | None] = mapped_column(String(64), nullable=True)
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data_version_id: Mapped[uuid.UUID | None] = mapped_column(UUID(as_uuid=True), nullable=True)
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created_at: Mapped[dt.datetime] = mapped_column(DateTime(timezone=True), default=_now)
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updated_at: Mapped[dt.datetime] = mapped_column(
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DateTime(timezone=True), default=_now, onupdate=_now
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)
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history: Mapped[list[ClueStatusHistory]] = relationship(
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back_populates="clue", cascade="all, delete-orphan"
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)
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class ClueStatusHistory(Base):
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"""线索状态流转留痕（R17/R19）。"""
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__tablename__ = "clue_status_history"
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__table_args__ = (Index("ix_csh_clue", "clue_id"),)
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id: Mapped[uuid.UUID] = mapped_column(UUID(as_uuid=True), primary_key=True, default=_uuid)
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clue_id: Mapped[uuid.UUID] = mapped_column(
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UUID(as_uuid=True), ForeignKey("clue.id"), nullable=False
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)
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from_status: Mapped[str | None] = mapped_column(String(16), nullable=True)
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to_status: Mapped[str] = mapped_column(String(16), nullable=False)
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actor: Mapped[str] = mapped_column(String(64), nullable=False)
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note: Mapped[str | None] = mapped_column(Text, nullable=True)
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created_at: Mapped[dt.datetime] = mapped_column(DateTime(timezone=True), default=_now)
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clue: Mapped[Clue] = relationship(back_populates="history")
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class WorkingPaper(Base):
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"""审计底稿（R17）：研判完成自动生成，可追溯。"""
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__tablename__ = "working_paper"
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__table_args__ = (Index("ix_wp_clue", "clue_id"),)
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id: Mapped[uuid.UUID] = mapped_column(UUID(as_uuid=True), primary_key=True, default=_uuid)
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clue_id: Mapped[uuid.UUID] = mapped_column(
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UUID(as_uuid=True), ForeignKey("clue.id"), nullable=False
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)
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content: Mapped[str] = mapped_column(Text, default="")
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conclusion: Mapped[str | None] = mapped_column(String(32), nullable=True)
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author: Mapped[str] = mapped_column(String(64), nullable=False)
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snapshot: Mapped[dict] = mapped_column(JSONB, default=dict) # 证据/版本快照
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created_at: Mapped[dt.datetime] = mapped_column(DateTime(timezone=True), default=_now)
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"""线索服务：生成、置信度分级、状态流转、底稿生成、反馈。
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对应 R7 / R17 / R18 / R19。所有状态变更写入历史并记自审计日志（线索不可删）。
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"""
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from __future__ import annotations
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import uuid
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from sqlalchemy.orm import Session
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from app.audit import service as audit
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from app.clues.models import (
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Clue,
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ClueStatus,
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ClueStatusHistory,
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ConfidenceTier,
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WorkingPaper,
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)
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# 允许的状态流转（R17 闭环）
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_ALLOWED_TRANSITIONS: dict[ClueStatus, set[ClueStatus]] = {
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ClueStatus.NEW: {ClueStatus.ASSIGNED, ClueStatus.REVIEWING},
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ClueStatus.ASSIGNED: {ClueStatus.REVIEWING},
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ClueStatus.REVIEWING: {ClueStatus.CONFIRMED, ClueStatus.DISMISSED},
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ClueStatus.CONFIRMED: {ClueStatus.RECTIFYING, ClueStatus.TRANSFERRED},
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ClueStatus.DISMISSED: {ClueStatus.CLOSED},
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ClueStatus.RECTIFYING: {ClueStatus.CLOSED},
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ClueStatus.TRANSFERRED: {ClueStatus.CLOSED},
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ClueStatus.CLOSED: set(),
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}
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class IllegalTransitionError(ValueError):
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"""非法的线索状态流转。"""
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def score_to_tier(score: float) -> ConfidenceTier:
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"""风险评分映射到置信度三级（R18）。"""
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if score >= 0.8:
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return ConfidenceTier.HIGH
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if score >= 0.5:
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return ConfidenceTier.MEDIUM
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return ConfidenceTier.LOW
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def create_clue(
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session: Session,
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*,
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title: str,
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risk_domain: str,
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scenario_code: str,
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score: float,
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rationale: str,
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evidence: dict,
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subjects: dict | None = None,
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amount_involved: float | None = None,
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model_version: str | None = None,
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rule_version: str | None = None,
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data_version_id: uuid.UUID | None = None,
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actor: str = "system",
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) -> Clue:
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"""生成一条线索，自动按评分分级，并记录创建留痕。"""
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clue = Clue(
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title=title,
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risk_domain=risk_domain,
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scenario_code=scenario_code,
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confidence=score_to_tier(score),
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score=score,
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status=ClueStatus.NEW,
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rationale=rationale,
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evidence=evidence,
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subjects=subjects or {},
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amount_involved=amount_involved,
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model_version=model_version,
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rule_version=rule_version,
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data_version_id=data_version_id,
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)
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session.add(clue)
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session.flush()
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_add_history(session, clue, None, ClueStatus.NEW, actor, "线索生成")
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audit.record(
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session, actor, "create_clue",
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target_type="clue", target_id=str(clue.id),
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detail={"scenario": scenario_code, "score": score, "confidence": clue.confidence.value},
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)
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return clue
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def _add_history(
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session: Session,
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clue: Clue,
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from_status: ClueStatus | None,
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to_status: ClueStatus,
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actor: str,
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note: str | None,
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) -> None:
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session.add(
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ClueStatusHistory(
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clue_id=clue.id,
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from_status=from_status.value if from_status else None,
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to_status=to_status.value,
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actor=actor,
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note=note,
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)
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)
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session.flush()
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def transition(
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session: Session, clue: Clue, to_status: ClueStatus, actor: str, note: str | None = None
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) -> Clue:
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"""执行状态流转，校验合法性并留痕。"""
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if to_status not in _ALLOWED_TRANSITIONS.get(clue.status, set()):
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raise IllegalTransitionError(
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f"线索状态不能从 {clue.status.value} 流转到 {to_status.value}"
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)
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from_status = clue.status
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clue.status = to_status
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session.flush()
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_add_history(session, clue, from_status, to_status, actor, note)
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audit.record(
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session, actor, "transition_clue",
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target_type="clue", target_id=str(clue.id),
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detail={"from": from_status.value, "to": to_status.value, "note": note},
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)
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return clue
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def assign(session: Session, clue: Clue, assignee: str, actor: str) -> Clue:
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clue.assignee = assignee
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session.flush()
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if clue.status == ClueStatus.NEW:
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transition(session, clue, ClueStatus.ASSIGNED, actor, f"分派给 {assignee}")
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audit.record(session, actor, "assign_clue", target_type="clue", target_id=str(clue.id), detail={"assignee": assignee})
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return clue
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def adjudicate(
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session: Session, clue: Clue, confirmed: bool, actor: str, note: str | None = None
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) -> WorkingPaper:
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"""研判定性：确认属实或误报，自动生成审计底稿并记录反馈（R17/R18）。"""
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if clue.status not in (ClueStatus.ASSIGNED, ClueStatus.REVIEWING, ClueStatus.NEW):
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# 允许从 NEW/ASSIGNED 直接进入研判
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pass
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if clue.status != ClueStatus.REVIEWING:
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# 先进入研判中
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target = ClueStatus.REVIEWING
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if target in _ALLOWED_TRANSITIONS.get(clue.status, set()):
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transition(session, clue, ClueStatus.REVIEWING, actor, "进入研判")
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to = ClueStatus.CONFIRMED if confirmed else ClueStatus.DISMISSED
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transition(session, clue, to, actor, note)
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clue.feedback = "confirmed" if confirmed else "false_positive"
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session.flush()
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paper = WorkingPaper(
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clue_id=clue.id,
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content=note or "",
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conclusion=to.value,
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author=actor,
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snapshot={
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"evidence": clue.evidence,
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"rationale": clue.rationale,
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"score": clue.score,
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"model_version": clue.model_version,
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"rule_version": clue.rule_version,
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"data_version_id": str(clue.data_version_id) if clue.data_version_id else None,
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},
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)
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session.add(paper)
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session.flush()
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audit.record(
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session, actor, "create_working_paper",
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target_type="working_paper", target_id=str(paper.id),
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detail={"clue_id": str(clue.id), "conclusion": to.value},
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)
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return paper
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def list_clues(
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session: Session,
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*,
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status: ClueStatus | None = None,
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scenario_code: str | None = None,
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confidence: ConfidenceTier | None = None,
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) -> list[Clue]:
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q = session.query(Clue)
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if status:
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q = q.filter(Clue.status == status)
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if scenario_code:
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q = q.filter(Clue.scenario_code == scenario_code)
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if confidence:
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q = q.filter(Clue.confidence == confidence)
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return q.order_by(Clue.score.desc()).all()
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