feat(agent): Impressum Rechtsform-Gates + USt-optional (Phase 3)
Die 8 Audit-Klassifizierungs-Felder (scan_context) treiben jetzt den business_scope der Agenten (vorher gespeichert, aber nicht genutzt). Rechtsform-Gates als opt-out (excludes_scope): Verein -> kein Handelsregister-Finding, e.K. -> kein Vertretungsberechtigte-Finding; unbekannte Rechtsform bleibt anwendbar. USt-IdNr optional -> fehlt = kein Finding. Rechts-Zuordnung vom Domain-Experten bestaetigt. - _classification.py: scan_context_to_scope (8 Felder -> scope-Tokens) - mcs.py: MC.excludes_scope + MC.optional; IMP-MC-004/006 Gate-Tokens; IMP-MC-005 optional; scope_matches respektiert excludes_scope - agent.py: optional -> kein Finding bei Abwesenheit - _agent_outputs.py: scope = scan_context vereinigt LLM-Profil-Fallback - Tests gruen: v3 25, Groundtruth 13, CI-Pfad 14 (+ SSE-Loop-Fix) Co-Authored-By: Claude Opus 4.7 <noreply@anthropic.com>
This commit is contained in:
Benjamin Admin
@@ -16,6 +16,9 @@ from __future__ import annotations
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import logging
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from compliance.services.specialist_agents import REGISTRY, AgentInput
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from compliance.services.specialist_agents.impressum._classification import (
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scan_context_to_scope,
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)
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from ._sse import emit
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@@ -59,7 +62,14 @@ async def run_agent_outputs(state: dict) -> None:
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origin_domain = (
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getattr(req, "origin_domain", None) or ""
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) or state.get("domain", "")
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scope = _derive_scope(profile_dict)
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# Phase 3: die 8 Wizard-Felder (scan_context) sind der primäre
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# Scope-Treiber; das LLM-Profil ergänzt nur (v.a. regulated_profession,
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# das die 8 Felder nicht ausdrücken können).
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scan_context = getattr(req, "scan_context", None)
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scope = sorted(
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set(scan_context_to_scope(scan_context))
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| set(_derive_scope(profile_dict))
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)
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outputs: dict[str, dict] = state.get("agent_outputs") or {}
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for topic, agent_id in _TOPIC_AGENTS.items():
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@@ -0,0 +1,62 @@
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"""Phase 3: Normalisierung der 8 Audit-Klassifizierungs-Felder
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(scan_context aus dem PreScanWizard) → business_scope-Tokens.
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EINZIGER Normalisierungspunkt: beide Quellen (SDK-Profil/Scope ODER der
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standalone Compliance-Check) füllen denselben business_scope, den
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scope_matches() in den Agenten konsumiert. Schließt die Drift, dass die
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8 Felder gespeichert, aber nicht an die Agenten gegeben wurden.
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Rechts-Zuordnung mit dem User (Domain-Experte) bestätigt 2026-06-10:
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- industry=healthcare → NICHT pauschal regulated_profession (Krankenhaus-
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GmbH ≠ Apotheke). regulated_profession kommt nur aus expliziter
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Erkennung (LLM-Profil is_regulated_profession), nicht aus der Branche.
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- Handelsregister: gmbh/ug/ag/kg/ohg/gmbh_co_kg/ek (e.K. ist registerpflichtig).
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- Vertretungsberechtigte: + verein/stiftung, aber OHNE ek (Inhaber genügt).
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- USt-IdNr: kein Rechtsform-Gate (Kleinunternehmer §19 haben keine).
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"""
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from __future__ import annotations
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# Rechtsformen OHNE Handelsregister-Eintrag → Handelsregister-MC n/a.
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# (HR-pflichtig sind gmbh/ug/ag/kg/ohg/gmbh_co_kg/ek — die schließen wir
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# NICHT aus. Opt-out, damit Entry-Points ohne legal_form anwendbar bleiben.)
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_NON_HANDELSREGISTER_FORMS = frozenset({"verein", "stiftung", "behoerde", "other"})
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# Rechtsformen OHNE gesondertes Vertretungsorgan (e.K. = Inhaber selbst).
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_NON_VERTRETUNG_FORMS = frozenset({"ek", "behoerde", "other"})
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def scan_context_to_scope(scan_context: dict | None) -> list[str]:
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"""8 Wizard-Felder → business_scope-Tokens (für scope_matches)."""
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sc = scan_context or {}
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industry = str(sc.get("industry") or "").lower()
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business_model = str(sc.get("business_model") or "").lower()
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direct_sales = str(sc.get("direct_sales") or "").lower()
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legal_form = str(sc.get("legal_form") or "").lower()
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scope: set[str] = set()
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# ── Branche / Geschäftsmodell ──
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if industry == "ecommerce" or direct_sales == "yes":
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scope.add("ecommerce")
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if business_model in ("b2c", "both"):
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scope.add("b2c")
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if industry == "insurance":
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scope.add("insurance")
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if industry == "banking":
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scope.add("financial_services")
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if industry == "automotive":
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scope.add("automotive")
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if industry == "media":
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scope.add("editorial") # §18 MStV (pragmatisch)
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if legal_form == "behoerde" or industry == "public":
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scope.add("public_authority")
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# industry=healthcare → bewusst KEIN regulated_profession.
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# ── Rechtsform-Gates (opt-out) ──
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# Nur explizit AUSSCHLIESSEN; ohne/unbekanntes legal_form bleibt die
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# Angabe anwendbar (z.B. Agent-Test ohne Wizard verschluckt nichts).
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if legal_form in _NON_HANDELSREGISTER_FORMS:
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scope.add("kein_handelsregister")
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if legal_form in _NON_VERTRETUNG_FORMS:
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scope.add("keine_vertretung")
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return sorted(scope)
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@@ -125,6 +125,14 @@ class ImpressumAgent(BaseSpecialistAgent):
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mc_id=mc.mc_id, status="ok", reason="Pattern-Treffer",
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))
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continue
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if mc.optional:
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# fehlt + optional → KEIN Finding (z.B. USt-IdNr;
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# Kleinunternehmer §19 haben legitim keine).
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coverage.append(McCoverage(
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mc_id=mc.mc_id, status="na",
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reason="optional — nicht angegeben",
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))
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continue
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sev = _SEV_TO_ENUM.get(mc.severity_if_missing, Severity.MEDIUM)
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findings.append(Finding(
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check_id=f"IMP-{mc.field_id}",
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@@ -23,8 +23,15 @@ class MC:
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patterns: tuple[Pattern[str], ...] = field(default_factory=tuple)
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severity_if_missing: str = "MEDIUM" # HIGH | MEDIUM | LOW | INFO
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requires_scope: tuple[str, ...] = field(default_factory=tuple)
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# Opt-out: NICHT anwendbar, wenn eines dieser Tokens im Scope liegt
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# (z.B. Einzelunternehmer für Vertretungsberechtigte). Default = immer
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# anwendbar → Entry-Points ohne legal_form verschlucken nichts.
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excludes_scope: tuple[str, ...] = field(default_factory=tuple)
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# Wenn True: bei Scope-Mismatch nicht-applicable melden, sonst skip
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explicit_na: bool = True
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# Wenn True: fehlt die Angabe → KEIN Finding (z.B. USt-IdNr —
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# Kleinunternehmer §19 haben legitim keine). Nur wenn vorhanden relevant.
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optional: bool = False
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MCS: tuple[MC, ...] = (
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@@ -78,6 +85,7 @@ MCS: tuple[MC, ...] = (
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label="Handelsregister-Eintrag",
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norm="§ 5 Abs. 1 Nr. 4 TMG",
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severity_if_missing="HIGH",
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excludes_scope=("kein_handelsregister",),
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patterns=(
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re.compile(r"\bHR[BA]\s+\d", re.IGNORECASE),
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re.compile(r"Handelsregister", re.IGNORECASE),
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@@ -89,6 +97,7 @@ MCS: tuple[MC, ...] = (
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label="USt-IdNr",
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norm="§ 5 Abs. 1 Nr. 6 TMG",
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severity_if_missing="MEDIUM",
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optional=True,
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patterns=(
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re.compile(
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r"\b(?:USt-?Id(?:Nr)?\.?|VAT(?:-?Id)?)\s*[:.\s]",
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@@ -103,6 +112,7 @@ MCS: tuple[MC, ...] = (
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label="Vertretungsberechtigte Person",
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norm="§ 5 Abs. 1 Nr. 1 TMG (juristische Personen)",
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severity_if_missing="HIGH",
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excludes_scope=("keine_vertretung",),
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patterns=(
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re.compile(
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r"(?:Gesch(?:ae|ä)ftsf(?:ue|ü)hr(?:er|ung|erin)|"
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@@ -214,6 +224,10 @@ MC_IDS: tuple[str, ...] = tuple(m.mc_id for m in MCS)
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def scope_matches(mc: MC, scope: set[str], is_automotive: bool) -> bool:
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"""Entscheidet ob die MC auf den Business-Scope anwendbar ist."""
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# Opt-out zuerst: explizit ausgeschlossene Rechtsformen (z.B.
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# Einzelunternehmer für Vertretungsberechtigte) → nicht anwendbar.
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if mc.excludes_scope and any(s in scope for s in mc.excludes_scope):
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return False
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if not mc.requires_scope:
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return True
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if mc.field_id == "aufsichtsbehoerde" and is_automotive:
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@@ -0,0 +1,122 @@
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"""Phase 3: scan_context → business_scope Normalisierung + Rechtsform-Gates.
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Rechts-Zuordnung vom Domain-Experten bestätigt (2026-06-10):
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e.K. ist registerpflichtig (Handelsregister-Finding) aber ohne gesonderte
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Vertretungsberechtigte; Verein umgekehrt; USt-IdNr fehlt → kein Finding;
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healthcare triggert NICHT regulated_profession.
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"""
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from __future__ import annotations
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import asyncio
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import pytest
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from compliance.services.specialist_agents import AgentInput
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from compliance.services.specialist_agents.impressum._classification import (
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scan_context_to_scope,
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)
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from compliance.services.specialist_agents.impressum.agent import ImpressumAgent
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def _scope(**kw) -> set[str]:
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return set(scan_context_to_scope(kw))
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def test_gmbh_no_exclusions():
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# GmbH → keine Ausschluss-Tokens → beide MCs anwendbar.
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s = _scope(legal_form="gmbh")
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assert "kein_handelsregister" not in s
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assert "keine_vertretung" not in s
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def test_einzelkaufmann_register_but_no_vertretung():
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# e.K. registerpflichtig (kein Ausschluss) aber Inhaber genügt.
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s = _scope(legal_form="ek")
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assert "kein_handelsregister" not in s
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assert "keine_vertretung" in s
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def test_verein_vertretung_but_no_register():
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# e.V. = Vereinsregister, NICHT Handelsregister → HR ausgeschlossen.
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s = _scope(legal_form="verein")
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assert "kein_handelsregister" in s
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assert "keine_vertretung" not in s
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def test_branche_tokens():
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assert "ecommerce" in _scope(industry="ecommerce")
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assert "ecommerce" in _scope(direct_sales="yes")
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assert "b2c" in _scope(business_model="b2c")
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assert "b2c" in _scope(business_model="both")
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assert "automotive" in _scope(industry="automotive")
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assert "editorial" in _scope(industry="media")
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assert "insurance" in _scope(industry="insurance")
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assert "financial_services" in _scope(industry="banking")
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assert "public_authority" in _scope(legal_form="behoerde")
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assert "public_authority" in _scope(industry="public")
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def test_healthcare_does_not_imply_regulated_profession():
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# Krankenhaus-GmbH ≠ Apotheke → industry allein triggert es nicht.
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assert "regulated_profession" not in _scope(
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industry="healthcare", legal_form="gmbh")
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def test_unknown_legal_form_no_exclusions():
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# Unbekannte Rechtsform → keine Ausschluss-Tokens → MCs bleiben anwendbar.
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# (Das 4-Status-Modell INSUFFICIENT_EVIDENCE folgt in der nächsten Phase.)
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s = _scope(industry="ecommerce") # kein legal_form
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assert "kein_handelsregister" not in s
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assert "keine_vertretung" not in s
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# ── Agent-Verhalten mit den Gates ──────────────────────────────────
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IMPRESSUM_MINIMAL = (
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"Angaben gemäß § 5 TMG\n\n"
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"Beispiel Firma\n"
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"Musterstraße 1\n"
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"12345 Berlin\n\n"
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"E-Mail: info@example.com\n"
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"Telefon: +49 30 1234567\n"
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"Mehr Informationen auf unserer Website.\n"
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)
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@pytest.fixture(autouse=True)
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def _llm_offline(monkeypatch):
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async def _no_validate(*_a, **_kw):
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return {}
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monkeypatch.setattr(
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"compliance.services.specialist_agents.impressum.agent.validate_present",
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_no_validate, raising=False,
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)
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def _finding_fields(legal_form: str) -> set[str]:
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agent = ImpressumAgent()
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out = asyncio.run(agent.evaluate(AgentInput(
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doc_type="impressum",
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text=IMPRESSUM_MINIMAL,
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business_scope=scan_context_to_scope({"legal_form": legal_form}),
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)))
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return {f.field_id for f in out.findings}
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def test_einzelkaufmann_handelsregister_finding_no_vertretung():
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fields = _finding_fields("ek")
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assert "handelsregister" in fields # registerpflichtig
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assert "vertretungsberechtigte" not in fields # Inhaber genügt
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def test_gmbh_both_findings():
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fields = _finding_fields("gmbh")
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assert "handelsregister" in fields
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assert "vertretungsberechtigte" in fields
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def test_ust_id_absent_yields_no_finding():
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# USt-IdNr fehlt im Text → optional → KEIN Finding (egal welche Rechtsform).
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assert "ust_id" not in _finding_fields("gmbh")
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assert "ust_id" not in _finding_fields("ek")
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@@ -1,7 +1,7 @@
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"""Phase 2: SSE-Plumbing für den Compliance-Check.
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Deckt emit (Queue-Push), _format_sse (SSE-Zeilenformat) und den
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event_generator (hello → Events → stream_close bei 'complete') ab.
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Queue + Generator laufen innerhalb eines asyncio.run (sonst bindet
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asyncio.Queue in Py3.9 an einen ggf. geschlossenen Loop).
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"""
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from __future__ import annotations
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@@ -11,15 +11,8 @@ import asyncio
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from compliance.api.agent_check import _sse
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def test_emit_pushes_and_format():
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cid = "sse-test-1"
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_sse.new_queue(cid)
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_sse.emit(cid, {"type": "topic", "topic": "impressum", "output": {"x": 1}})
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q = _sse._check_queues[cid]
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assert q.qsize() == 1
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ev = q.get_nowait()
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assert ev["type"] == "topic" and ev["topic"] == "impressum"
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line = _sse._format_sse(ev)
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def test_format_sse_line():
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line = _sse._format_sse({"type": "topic", "topic": "impressum"})
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assert line.startswith("data: ") and line.endswith("\n\n")
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assert '"impressum"' in line
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@@ -29,21 +22,20 @@ def test_emit_is_noop_without_queue():
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_sse.emit("does-not-exist-xyz", {"type": "topic"})
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def test_event_generator_streams_topic_then_closes_on_complete():
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cid = "sse-test-gen"
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_sse.new_queue(cid)
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_sse.emit(cid, {"type": "topic", "topic": "impressum", "output": {}})
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_sse.emit(cid, {"type": "complete", "status": "completed"})
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async def collect():
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out = []
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def test_emit_and_event_generator_streams_then_closes():
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async def scenario():
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cid = "sse-test-gen"
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_sse.new_queue(cid)
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_sse.emit(cid, {"type": "topic", "topic": "impressum", "output": {}})
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_sse.emit(cid, {"type": "complete", "status": "completed"})
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out: list[str] = []
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async for line in _sse.event_generator(cid):
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out.append(line)
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if len(out) > 12: # safety
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break
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return out
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blob = "".join(asyncio.run(collect()))
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blob = "".join(asyncio.run(scenario()))
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assert '"type": "hello"' in blob
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assert '"topic": "impressum"' in blob
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assert '"type": "complete"' in blob
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