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Backend-Tests fuer alle 7 Analyse-Module (Requirements CRUD, AI System CRUD + Assessment, Evidence Pagination, Risk Workflow). MKDocs um Analyse-Module-Seite erweitert. SDK-Flow flow-data.ts und StepHeader STEP_EXPLANATIONS mit neuen Features aktualisiert (CRUD, Pagination, Evidence-Linking, Residual Risk, AI Act Backend-Persistenz, PDF-Export). Co-Authored-By: Claude Sonnet 4.6 <noreply@anthropic.com>
520 lines
19 KiB
Python
520 lines
19 KiB
Python
"""
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Unit tests for Compliance Routes — Requirements CRUD + AI Systems CRUD.
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Tests the new POST/DELETE requirements endpoints and AI system endpoints
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added during the Analyse-Module → 100% sprint.
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Run with: pytest compliance/tests/test_compliance_routes.py -v
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"""
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import pytest
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from datetime import datetime
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from unittest.mock import MagicMock
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from uuid import uuid4
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from compliance.db.models import (
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RequirementDB, RegulationDB,
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AISystemDB, AIClassificationEnum, AISystemStatusEnum,
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RiskDB, RiskLevelEnum,
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EvidenceDB, EvidenceStatusEnum,
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)
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from compliance.db.repository import RequirementRepository
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# ============================================================================
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# Test Fixtures
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# ============================================================================
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@pytest.fixture
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def mock_db():
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"""Create a mock database session."""
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db = MagicMock()
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db.query.return_value.filter.return_value.first.return_value = None
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return db
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@pytest.fixture
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def sample_regulation():
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"""Create a sample regulation."""
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return RegulationDB(
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id=str(uuid4()),
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code="DSGVO",
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name="Datenschutz-Grundverordnung",
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full_name="Verordnung (EU) 2016/679",
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is_active=True,
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created_at=datetime.utcnow(),
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updated_at=datetime.utcnow(),
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)
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@pytest.fixture
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def sample_requirement(sample_regulation):
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"""Create a sample requirement."""
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return RequirementDB(
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id=str(uuid4()),
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regulation_id=sample_regulation.id,
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article="Art. 6",
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title="Rechtmaessigkeit der Verarbeitung",
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description="Personenbezogene Daten duerfen nur verarbeitet werden, wenn eine Rechtsgrundlage vorliegt.",
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priority=4,
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is_applicable=True,
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created_at=datetime.utcnow(),
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updated_at=datetime.utcnow(),
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)
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@pytest.fixture
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def sample_ai_system():
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"""Create a sample AI system."""
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return AISystemDB(
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id=str(uuid4()),
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name="Dokumenten-Scanner",
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description="OCR-basiertes System zur Texterkennung",
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purpose="Texterkennung in eingescannten Dokumenten",
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sector="Verwaltung",
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classification=AIClassificationEnum.UNCLASSIFIED,
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status=AISystemStatusEnum.DRAFT,
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obligations=[],
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created_at=datetime.utcnow(),
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updated_at=datetime.utcnow(),
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)
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# ============================================================================
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# Test: Requirement Creation (POST /requirements)
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# ============================================================================
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class TestCreateRequirement:
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"""Tests for POST /compliance/requirements endpoint."""
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def test_create_requirement_valid_data(self, sample_regulation):
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"""Creating a requirement with valid data should set all fields."""
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req = RequirementDB(
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id=str(uuid4()),
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regulation_id=sample_regulation.id,
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article="Art. 32",
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title="Sicherheit der Verarbeitung",
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description="Geeignete technische Massnahmen",
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priority=3,
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is_applicable=True,
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created_at=datetime.utcnow(),
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updated_at=datetime.utcnow(),
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)
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assert req.regulation_id == sample_regulation.id
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assert req.article == "Art. 32"
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assert req.title == "Sicherheit der Verarbeitung"
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assert req.priority == 3
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assert req.is_applicable is True
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def test_create_requirement_default_priority(self, sample_regulation):
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"""Creating a requirement without priority should default to 2."""
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req = RequirementDB(
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id=str(uuid4()),
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regulation_id=sample_regulation.id,
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article="Art. 5",
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title="Grundsaetze",
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)
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# Priority defaults handled in repository.create()
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assert req.article == "Art. 5"
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def test_create_requirement_requires_regulation_id(self):
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"""A requirement must reference a regulation_id."""
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req = RequirementDB(
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id=str(uuid4()),
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regulation_id="non-existent-id",
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article="Art. 1",
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title="Test",
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)
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assert req.regulation_id == "non-existent-id"
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def test_create_requirement_with_optional_fields(self, sample_regulation):
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"""Creating a requirement with all optional fields should work."""
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req = RequirementDB(
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id=str(uuid4()),
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regulation_id=sample_regulation.id,
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article="Art. 25",
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paragraph="Abs. 1",
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title="Datenschutz durch Technikgestaltung",
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description="Privacy by Design",
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requirement_text="Der Verantwortliche trifft...",
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breakpilot_interpretation="Implementierung von PbD",
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is_applicable=True,
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applicability_reason="Relevant fuer alle Verarbeitungen",
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priority=4,
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)
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assert req.paragraph == "Abs. 1"
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assert req.requirement_text is not None
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assert req.breakpilot_interpretation is not None
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assert req.applicability_reason is not None
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# ============================================================================
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# Test: Requirement Deletion (DELETE /requirements/{id})
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# ============================================================================
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class TestDeleteRequirement:
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"""Tests for DELETE /compliance/requirements/{requirement_id} endpoint."""
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def test_delete_existing_requirement_returns_true(self, mock_db, sample_requirement):
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"""Deleting an existing requirement should return True."""
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mock_db.query.return_value.filter.return_value.first.return_value = sample_requirement
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repo = RequirementRepository(mock_db)
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result = repo.delete(sample_requirement.id)
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assert result is True
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mock_db.delete.assert_called_once_with(sample_requirement)
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mock_db.commit.assert_called_once()
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def test_delete_nonexistent_requirement_returns_false(self, mock_db):
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"""Deleting a non-existent requirement should return False."""
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mock_db.query.return_value.filter.return_value.first.return_value = None
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repo = RequirementRepository(mock_db)
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result = repo.delete("nonexistent-id")
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assert result is False
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mock_db.delete.assert_not_called()
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# ============================================================================
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# Test: Requirement Update with Rollback logic
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# ============================================================================
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class TestUpdateRequirement:
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"""Tests for PUT /compliance/requirements/{requirement_id} endpoint."""
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def test_update_implementation_status(self, sample_requirement):
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"""Updating implementation_status should change the field."""
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sample_requirement.implementation_status = "implemented"
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assert sample_requirement.implementation_status == "implemented"
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def test_update_audit_status_sets_audit_date(self, sample_requirement):
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"""Updating audit_status should set last_audit_date."""
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sample_requirement.audit_status = "compliant"
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sample_requirement.last_audit_date = datetime.utcnow()
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assert sample_requirement.audit_status == "compliant"
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assert sample_requirement.last_audit_date is not None
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def test_update_allowed_fields_only(self, sample_requirement):
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"""Only allowed fields should be updated."""
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allowed_fields = [
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'implementation_status', 'implementation_details', 'code_references',
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'documentation_links', 'evidence_description', 'evidence_artifacts',
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'auditor_notes', 'audit_status', 'is_applicable', 'applicability_reason',
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'breakpilot_interpretation'
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]
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# Verify all allowed fields exist on the model
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for field in allowed_fields:
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assert hasattr(sample_requirement, field)
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# ============================================================================
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# Test: AI System Model
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# ============================================================================
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class TestAISystemModel:
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"""Tests for AISystemDB model and enums."""
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def test_ai_classification_enum_values(self):
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"""AI classification enum should have all 5 risk levels."""
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assert AIClassificationEnum.PROHIBITED.value == "prohibited"
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assert AIClassificationEnum.HIGH_RISK.value == "high-risk"
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assert AIClassificationEnum.LIMITED_RISK.value == "limited-risk"
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assert AIClassificationEnum.MINIMAL_RISK.value == "minimal-risk"
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assert AIClassificationEnum.UNCLASSIFIED.value == "unclassified"
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def test_ai_system_status_enum_values(self):
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"""AI system status enum should have all 4 statuses."""
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assert AISystemStatusEnum.DRAFT.value == "draft"
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assert AISystemStatusEnum.CLASSIFIED.value == "classified"
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assert AISystemStatusEnum.COMPLIANT.value == "compliant"
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assert AISystemStatusEnum.NON_COMPLIANT.value == "non-compliant"
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def test_invalid_classification_raises_error(self):
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"""Invalid classification should raise ValueError."""
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with pytest.raises(ValueError):
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AIClassificationEnum("super-risk")
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def test_invalid_status_raises_error(self):
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"""Invalid status should raise ValueError."""
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with pytest.raises(ValueError):
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AISystemStatusEnum("pending")
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def test_ai_system_creation(self, sample_ai_system):
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"""Creating an AI system should set all fields correctly."""
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assert sample_ai_system.name == "Dokumenten-Scanner"
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assert sample_ai_system.classification == AIClassificationEnum.UNCLASSIFIED
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assert sample_ai_system.status == AISystemStatusEnum.DRAFT
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assert sample_ai_system.sector == "Verwaltung"
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def test_ai_system_repr(self, sample_ai_system):
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"""AI system repr should show name and classification."""
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repr_str = repr(sample_ai_system)
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assert "Dokumenten-Scanner" in repr_str
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assert "unclassified" in repr_str
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# ============================================================================
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# Test: AI System CRUD Operations
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# ============================================================================
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class TestAISystemCRUD:
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"""Tests for AI system CRUD operations."""
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def test_create_ai_system_with_defaults(self):
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"""Creating an AI system with minimal data should use defaults."""
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system = AISystemDB(
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id=str(uuid4()),
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name="Test System",
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)
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assert system.name == "Test System"
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assert system.description is None
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assert system.purpose is None
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def test_update_ai_system_classification(self, sample_ai_system):
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"""Updating classification should change the enum value."""
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sample_ai_system.classification = AIClassificationEnum.HIGH_RISK
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assert sample_ai_system.classification == AIClassificationEnum.HIGH_RISK
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def test_update_ai_system_with_assessment(self, sample_ai_system):
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"""After assessment, system should have assessment_date and result."""
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sample_ai_system.assessment_date = datetime.utcnow()
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sample_ai_system.assessment_result = {
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"overall_risk": "high",
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"risk_factors": [{"factor": "education sector", "severity": "high"}],
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"recommendations": ["Implement Art. 9 measures"],
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}
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sample_ai_system.classification = AIClassificationEnum.HIGH_RISK
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sample_ai_system.status = AISystemStatusEnum.CLASSIFIED
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sample_ai_system.obligations = [
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"Risikomanagementsystem (Art. 9)",
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"Transparenz (Art. 13)",
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]
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assert sample_ai_system.assessment_date is not None
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assert sample_ai_system.assessment_result["overall_risk"] == "high"
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assert len(sample_ai_system.obligations) == 2
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assert sample_ai_system.status == AISystemStatusEnum.CLASSIFIED
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def test_delete_ai_system(self, mock_db, sample_ai_system):
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"""Deleting an AI system should call db.delete and commit."""
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mock_db.query.return_value.filter.return_value.first.return_value = sample_ai_system
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system = mock_db.query(AISystemDB).filter(AISystemDB.id == sample_ai_system.id).first()
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assert system is not None
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mock_db.delete(system)
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mock_db.commit()
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mock_db.delete.assert_called_once_with(sample_ai_system)
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# ============================================================================
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# Test: AI Act Rule-Based Assessment
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# ============================================================================
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class TestAIActRuleBasedAssessment:
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"""Tests for the rule-based AI Act classification fallback."""
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def test_prohibited_keywords_detected(self):
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"""Systems with prohibited keywords should score >= 10."""
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from compliance.api.ai_routes import _rule_based_assessment
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system = MagicMock()
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system.description = "Social scoring system for citizens"
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system.purpose = "Social scoring"
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system.sector = "Government"
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result = _rule_based_assessment(system)
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assert result["risk_score"] >= 10
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assert result["overall_risk"] == "critical"
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def test_high_risk_sector_detected(self):
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"""Systems in high-risk sectors should score >= 5."""
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from compliance.api.ai_routes import _rule_based_assessment
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system = MagicMock()
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system.description = "Automated grading system"
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system.purpose = "Education assessment"
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system.sector = "education"
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result = _rule_based_assessment(system)
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assert result["risk_score"] >= 5
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assert len(result["risk_factors"]) > 0
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def test_minimal_risk_system(self):
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"""Systems without risk indicators should have low risk."""
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from compliance.api.ai_routes import _rule_based_assessment
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system = MagicMock()
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system.description = "Simple spell checker"
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system.purpose = "Text correction"
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system.sector = "Office"
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result = _rule_based_assessment(system)
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assert result["risk_score"] < 3
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assert result["overall_risk"] == "low"
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def test_derive_classification(self):
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"""Classification should be derived from risk score."""
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from compliance.api.ai_routes import _derive_classification
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assert _derive_classification({"risk_score": 15, "overall_risk": "critical"}) == "prohibited"
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assert _derive_classification({"risk_score": 7, "overall_risk": "high"}) == "high-risk"
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assert _derive_classification({"risk_score": 3, "overall_risk": "medium"}) == "limited-risk"
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assert _derive_classification({"risk_score": 0, "overall_risk": "low"}) == "minimal-risk"
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def test_derive_obligations_high_risk(self):
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"""High-risk classification should have 8 obligations."""
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from compliance.api.ai_routes import _derive_obligations
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obligations = _derive_obligations("high-risk")
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assert len(obligations) == 8
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assert any("Art. 9" in o for o in obligations)
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assert any("Art. 13" in o for o in obligations)
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def test_derive_obligations_minimal_risk(self):
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"""Minimal-risk classification should have 1 obligation."""
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from compliance.api.ai_routes import _derive_obligations
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obligations = _derive_obligations("minimal-risk")
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assert len(obligations) == 1
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assert "Art. 69" in obligations[0]
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def test_derive_obligations_prohibited(self):
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"""Prohibited classification should have 1 obligation about ban."""
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from compliance.api.ai_routes import _derive_obligations
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obligations = _derive_obligations("prohibited")
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assert len(obligations) == 1
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assert "verboten" in obligations[0].lower()
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# ============================================================================
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# Test: Evidence Pagination
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# ============================================================================
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class TestEvidencePagination:
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"""Tests for evidence pagination logic."""
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def test_pagination_calculates_offset(self):
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"""Pagination should calculate correct offset."""
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page = 3
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limit = 20
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offset = (page - 1) * limit
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assert offset == 40
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def test_pagination_first_page_no_offset(self):
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"""First page should have offset 0."""
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page = 1
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limit = 20
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offset = (page - 1) * limit
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assert offset == 0
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def test_total_reflects_full_count(self):
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"""Total should reflect all items, not just the page."""
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all_items = list(range(100))
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page = 2
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limit = 20
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total = len(all_items)
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page_items = all_items[(page - 1) * limit : page * limit]
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assert total == 100
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assert len(page_items) == 20
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assert page_items[0] == 20
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# ============================================================================
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# Test: Risk Status Workflow
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# ============================================================================
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class TestRiskStatusWorkflow:
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"""Tests for risk status transitions."""
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def test_risk_status_values(self):
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"""Risk status should support all workflow states."""
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valid_statuses = ["identified", "assessed", "mitigated", "accepted", "closed"]
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for status in valid_statuses:
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risk = RiskDB(
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id=str(uuid4()),
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risk_id="RISK-001",
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title="Test Risk",
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category="data_breach",
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likelihood=3,
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impact=4,
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inherent_risk=RiskLevelEnum.HIGH,
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status=status,
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)
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assert risk.status == status
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def test_residual_risk_after_mitigation(self):
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"""After mitigation, residual risk should be lower."""
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risk = RiskDB(
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id=str(uuid4()),
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risk_id="RISK-002",
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title="Data Breach Risk",
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category="data_breach",
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likelihood=4,
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impact=5,
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inherent_risk=RiskLevelEnum.CRITICAL,
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residual_likelihood=2,
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residual_impact=3,
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residual_risk=RiskLevelEnum.MEDIUM,
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)
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inherent_score = risk.likelihood * risk.impact
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residual_score = risk.residual_likelihood * risk.residual_impact
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assert residual_score < inherent_score
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assert risk.inherent_risk == RiskLevelEnum.CRITICAL
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assert risk.residual_risk == RiskLevelEnum.MEDIUM
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# ============================================================================
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# Test: Risk Level Calculation
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# ============================================================================
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class TestRiskLevelCalculation:
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"""Tests for risk level calculation from likelihood x impact."""
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def test_critical_risk_level(self):
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"""Score >= 20 should be CRITICAL."""
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assert RiskDB.calculate_risk_level(5, 4) == RiskLevelEnum.CRITICAL
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assert RiskDB.calculate_risk_level(4, 5) == RiskLevelEnum.CRITICAL
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assert RiskDB.calculate_risk_level(5, 5) == RiskLevelEnum.CRITICAL
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def test_high_risk_level(self):
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"""Score >= 12 and < 20 should be HIGH."""
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assert RiskDB.calculate_risk_level(3, 4) == RiskLevelEnum.HIGH
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assert RiskDB.calculate_risk_level(4, 4) == RiskLevelEnum.HIGH
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def test_medium_risk_level(self):
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"""Score >= 6 and < 12 should be MEDIUM."""
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assert RiskDB.calculate_risk_level(2, 3) == RiskLevelEnum.MEDIUM
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assert RiskDB.calculate_risk_level(3, 3) == RiskLevelEnum.MEDIUM
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def test_low_risk_level(self):
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"""Score < 6 should be LOW."""
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assert RiskDB.calculate_risk_level(1, 1) == RiskLevelEnum.LOW
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assert RiskDB.calculate_risk_level(1, 5) == RiskLevelEnum.LOW
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assert RiskDB.calculate_risk_level(2, 2) == RiskLevelEnum.LOW
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