Files
breakpilot-compliance/backend-compliance/compliance/api/ai_routes.py
Sharang Parnerkar 3320ef94fc refactor: phase 0 guardrails + phase 1 step 2 (models.py split)
Squash of branch refactor/phase0-guardrails-and-models-split — 4 commits,
81 files, 173/173 pytest green, OpenAPI contract preserved (360 paths /
484 operations).

## Phase 0 — Architecture guardrails

Three defense-in-depth layers to keep the architecture rules enforced
regardless of who opens Claude Code in this repo:

  1. .claude/settings.json PreToolUse hook on Write/Edit blocks any file
     that would exceed the 500-line hard cap. Auto-loads in every Claude
     session in this repo.
  2. scripts/githooks/pre-commit (install via scripts/install-hooks.sh)
     enforces the LOC cap locally, freezes migrations/ without
     [migration-approved], and protects guardrail files without
     [guardrail-change].
  3. .gitea/workflows/ci.yaml gains loc-budget + guardrail-integrity +
     sbom-scan (syft+grype) jobs, adds mypy --strict for the new Python
     packages (compliance/{services,repositories,domain,schemas}), and
     tsc --noEmit for admin-compliance + developer-portal.

Per-language conventions documented in AGENTS.python.md, AGENTS.go.md,
AGENTS.typescript.md at the repo root — layering, tooling, and explicit
"what you may NOT do" lists. Root CLAUDE.md is prepended with the six
non-negotiable rules. Each of the 10 services gets a README.md.

scripts/check-loc.sh enforces soft 300 / hard 500 and surfaces the
current baseline of 205 hard + 161 soft violations so Phases 1-4 can
drain it incrementally. CI gates only CHANGED files in PRs so the
legacy baseline does not block unrelated work.

## Deprecation sweep

47 files. Pydantic V1 regex= -> pattern= (2 sites), class Config ->
ConfigDict in source_policy_router.py (schemas.py intentionally skipped;
it is the Phase 1 Step 3 split target). datetime.utcnow() ->
datetime.now(timezone.utc) everywhere including SQLAlchemy default=
callables. All DB columns already declare timezone=True, so this is a
latent-bug fix at the Python side, not a schema change.

DeprecationWarning count dropped from 158 to 35.

## Phase 1 Step 1 — Contract test harness

tests/contracts/test_openapi_baseline.py diffs the live FastAPI /openapi.json
against tests/contracts/openapi.baseline.json on every test run. Fails on
removed paths, removed status codes, or new required request body fields.
Regenerate only via tests/contracts/regenerate_baseline.py after a
consumer-updated contract change. This is the safety harness for all
subsequent refactor commits.

## Phase 1 Step 2 — models.py split (1466 -> 85 LOC shim)

compliance/db/models.py is decomposed into seven sibling aggregate modules
following the existing repo pattern (dsr_models.py, vvt_models.py, ...):

  regulation_models.py       (134) — Regulation, Requirement
  control_models.py          (279) — Control, Mapping, Evidence, Risk
  ai_system_models.py        (141) — AISystem, AuditExport
  service_module_models.py   (176) — ServiceModule, ModuleRegulation, ModuleRisk
  audit_session_models.py    (177) — AuditSession, AuditSignOff
  isms_governance_models.py  (323) — ISMSScope, Context, Policy, Objective, SoA
  isms_audit_models.py       (468) — Finding, CAPA, MgmtReview, InternalAudit,
                                     AuditTrail, Readiness

models.py becomes an 85-line re-export shim in dependency order so
existing imports continue to work unchanged. Schema is byte-identical:
__tablename__, column definitions, relationship strings, back_populates,
cascade directives all preserved.

All new sibling files are under the 500-line hard cap; largest is
isms_audit_models.py at 468. No file in compliance/db/ now exceeds
the hard cap.

## Phase 1 Step 3 — infrastructure only

backend-compliance/compliance/{schemas,domain,repositories}/ packages
are created as landing zones with docstrings. compliance/domain/
exports DomainError / NotFoundError / ConflictError / ValidationError /
PermissionError — the base classes services will use to raise
domain-level errors instead of HTTPException.

PHASE1_RUNBOOK.md at backend-compliance/PHASE1_RUNBOOK.md documents
the nine-step execution plan for Phase 1: snapshot baseline,
characterization tests, split models.py (this commit), split schemas.py
(next), extract services, extract repositories, mypy --strict, coverage.

## Verification

  backend-compliance/.venv-phase1: uv python install 3.12 + pip -r requirements.txt
  PYTHONPATH=. pytest compliance/tests/ tests/contracts/
  -> 173 passed, 0 failed, 35 warnings, OpenAPI 360/484 unchanged

Co-Authored-By: Claude Opus 4.6 (1M context) <noreply@anthropic.com>
2026-04-07 13:18:29 +02:00

378 lines
13 KiB
Python

"""
FastAPI routes for AI Act Compliance — AI System CRUD.
Endpoints:
- /ai/systems: List/Create AI systems
- /ai/systems/{id}: Get/Update/Delete AI system
- /ai/systems/{id}/assess: Run AI Act risk assessment
"""
import logging
from typing import Optional
from fastapi import APIRouter, Depends, HTTPException, Query
from sqlalchemy.orm import Session
from classroom_engine.database import get_db
from ..db.models import AISystemDB, AIClassificationEnum, AISystemStatusEnum
from .schemas import (
AISystemCreate, AISystemUpdate, AISystemResponse, AISystemListResponse,
)
logger = logging.getLogger(__name__)
router = APIRouter(tags=["compliance-ai"])
# ============================================================================
# AI System CRUD Endpoints (AI Act Compliance)
# ============================================================================
@router.get("/ai/systems", response_model=AISystemListResponse)
async def list_ai_systems(
classification: Optional[str] = Query(None, description="Filter by classification"),
status: Optional[str] = Query(None, description="Filter by status"),
sector: Optional[str] = Query(None, description="Filter by sector"),
db: Session = Depends(get_db),
):
"""List all registered AI systems."""
query = db.query(AISystemDB)
if classification:
try:
cls_enum = AIClassificationEnum(classification)
query = query.filter(AISystemDB.classification == cls_enum)
except ValueError:
pass
if status:
try:
status_enum = AISystemStatusEnum(status)
query = query.filter(AISystemDB.status == status_enum)
except ValueError:
pass
if sector:
query = query.filter(AISystemDB.sector.ilike(f"%{sector}%"))
systems = query.order_by(AISystemDB.created_at.desc()).all()
results = [
AISystemResponse(
id=s.id,
name=s.name,
description=s.description,
purpose=s.purpose,
sector=s.sector,
classification=s.classification.value if s.classification else "unclassified",
status=s.status.value if s.status else "draft",
obligations=s.obligations or [],
assessment_date=s.assessment_date,
assessment_result=s.assessment_result,
risk_factors=s.risk_factors,
recommendations=s.recommendations,
created_at=s.created_at,
updated_at=s.updated_at,
)
for s in systems
]
return AISystemListResponse(systems=results, total=len(results))
@router.post("/ai/systems", response_model=AISystemResponse)
async def create_ai_system(
data: AISystemCreate,
db: Session = Depends(get_db),
):
"""Register a new AI system."""
import uuid as _uuid
try:
cls_enum = AIClassificationEnum(data.classification) if data.classification else AIClassificationEnum.UNCLASSIFIED
except ValueError:
cls_enum = AIClassificationEnum.UNCLASSIFIED
try:
status_enum = AISystemStatusEnum(data.status) if data.status else AISystemStatusEnum.DRAFT
except ValueError:
status_enum = AISystemStatusEnum.DRAFT
system = AISystemDB(
id=str(_uuid.uuid4()),
name=data.name,
description=data.description,
purpose=data.purpose,
sector=data.sector,
classification=cls_enum,
status=status_enum,
obligations=data.obligations or [],
)
db.add(system)
db.commit()
db.refresh(system)
return AISystemResponse(
id=system.id,
name=system.name,
description=system.description,
purpose=system.purpose,
sector=system.sector,
classification=system.classification.value if system.classification else "unclassified",
status=system.status.value if system.status else "draft",
obligations=system.obligations or [],
assessment_date=system.assessment_date,
assessment_result=system.assessment_result,
risk_factors=system.risk_factors,
recommendations=system.recommendations,
created_at=system.created_at,
updated_at=system.updated_at,
)
@router.get("/ai/systems/{system_id}", response_model=AISystemResponse)
async def get_ai_system(system_id: str, db: Session = Depends(get_db)):
"""Get a specific AI system by ID."""
system = db.query(AISystemDB).filter(AISystemDB.id == system_id).first()
if not system:
raise HTTPException(status_code=404, detail=f"AI System {system_id} not found")
return AISystemResponse(
id=system.id,
name=system.name,
description=system.description,
purpose=system.purpose,
sector=system.sector,
classification=system.classification.value if system.classification else "unclassified",
status=system.status.value if system.status else "draft",
obligations=system.obligations or [],
assessment_date=system.assessment_date,
assessment_result=system.assessment_result,
risk_factors=system.risk_factors,
recommendations=system.recommendations,
created_at=system.created_at,
updated_at=system.updated_at,
)
@router.put("/ai/systems/{system_id}", response_model=AISystemResponse)
async def update_ai_system(
system_id: str,
data: AISystemUpdate,
db: Session = Depends(get_db),
):
"""Update an AI system."""
from datetime import datetime
system = db.query(AISystemDB).filter(AISystemDB.id == system_id).first()
if not system:
raise HTTPException(status_code=404, detail=f"AI System {system_id} not found")
update_data = data.model_dump(exclude_unset=True)
if "classification" in update_data:
try:
update_data["classification"] = AIClassificationEnum(update_data["classification"])
except ValueError:
raise HTTPException(status_code=400, detail=f"Invalid classification: {update_data['classification']}")
if "status" in update_data:
try:
update_data["status"] = AISystemStatusEnum(update_data["status"])
except ValueError:
raise HTTPException(status_code=400, detail=f"Invalid status: {update_data['status']}")
for key, value in update_data.items():
if hasattr(system, key):
setattr(system, key, value)
system.updated_at = datetime.now(timezone.utc)
db.commit()
db.refresh(system)
return AISystemResponse(
id=system.id,
name=system.name,
description=system.description,
purpose=system.purpose,
sector=system.sector,
classification=system.classification.value if system.classification else "unclassified",
status=system.status.value if system.status else "draft",
obligations=system.obligations or [],
assessment_date=system.assessment_date,
assessment_result=system.assessment_result,
risk_factors=system.risk_factors,
recommendations=system.recommendations,
created_at=system.created_at,
updated_at=system.updated_at,
)
@router.delete("/ai/systems/{system_id}")
async def delete_ai_system(system_id: str, db: Session = Depends(get_db)):
"""Delete an AI system."""
system = db.query(AISystemDB).filter(AISystemDB.id == system_id).first()
if not system:
raise HTTPException(status_code=404, detail=f"AI System {system_id} not found")
db.delete(system)
db.commit()
return {"success": True, "message": "AI System deleted"}
@router.post("/ai/systems/{system_id}/assess", response_model=AISystemResponse)
async def assess_ai_system(
system_id: str,
db: Session = Depends(get_db),
):
"""Run AI Act risk assessment for an AI system."""
from datetime import datetime
system = db.query(AISystemDB).filter(AISystemDB.id == system_id).first()
if not system:
raise HTTPException(status_code=404, detail=f"AI System {system_id} not found")
# Try AI-based assessment
assessment_result = None
try:
from ..services.ai_compliance_assistant import get_ai_assistant
assistant = get_ai_assistant()
result = await assistant.assess_module_risk(
module_name=system.name,
service_type="ai_system",
description=system.description or "",
processes_pii=True,
ai_components=True,
criticality="high",
data_categories=[],
regulations=[{"code": "AI-ACT", "relevance": "high"}],
)
assessment_result = {
"overall_risk": result.overall_risk,
"risk_factors": result.risk_factors,
"recommendations": result.recommendations,
"compliance_gaps": result.compliance_gaps,
"confidence_score": result.confidence_score,
}
except Exception as e:
logger.warning(f"AI assessment failed for {system_id}, using rule-based: {e}")
# Rule-based fallback
assessment_result = _rule_based_assessment(system)
# Update system with assessment results
classification = _derive_classification(assessment_result)
try:
system.classification = AIClassificationEnum(classification)
except ValueError:
system.classification = AIClassificationEnum.UNCLASSIFIED
system.assessment_date = datetime.now(timezone.utc)
system.assessment_result = assessment_result
system.obligations = _derive_obligations(classification)
system.risk_factors = assessment_result.get("risk_factors", [])
system.recommendations = assessment_result.get("recommendations", [])
system.status = AISystemStatusEnum.CLASSIFIED
db.commit()
db.refresh(system)
return AISystemResponse(
id=system.id,
name=system.name,
description=system.description,
purpose=system.purpose,
sector=system.sector,
classification=system.classification.value if system.classification else "unclassified",
status=system.status.value if system.status else "draft",
obligations=system.obligations or [],
assessment_date=system.assessment_date,
assessment_result=system.assessment_result,
risk_factors=system.risk_factors,
recommendations=system.recommendations,
created_at=system.created_at,
updated_at=system.updated_at,
)
def _rule_based_assessment(system: AISystemDB) -> dict:
"""Simple rule-based AI Act classification when AI service is unavailable."""
desc = (system.description or "").lower() + " " + (system.purpose or "").lower()
sector = (system.sector or "").lower()
risk_factors = []
risk_score = 0
# Check for prohibited use cases
prohibited_keywords = ["social scoring", "biometric surveillance", "emotion recognition", "subliminal manipulation"]
for kw in prohibited_keywords:
if kw in desc:
risk_factors.append({"factor": f"Prohibited use case: {kw}", "severity": "critical", "likelihood": "high"})
risk_score += 10
# Check for high-risk indicators
high_risk_keywords = ["education", "employment", "credit scoring", "law enforcement", "migration", "critical infrastructure", "medical", "bildung", "gesundheit"]
for kw in high_risk_keywords:
if kw in desc or kw in sector:
risk_factors.append({"factor": f"High-risk sector: {kw}", "severity": "high", "likelihood": "medium"})
risk_score += 5
# Check for limited-risk indicators
limited_keywords = ["chatbot", "deepfake", "emotion", "biometric"]
for kw in limited_keywords:
if kw in desc:
risk_factors.append({"factor": f"Transparency requirement: {kw}", "severity": "medium", "likelihood": "high"})
risk_score += 3
return {
"overall_risk": "critical" if risk_score >= 10 else "high" if risk_score >= 5 else "medium" if risk_score >= 3 else "low",
"risk_factors": risk_factors,
"recommendations": [
"Dokumentation des AI-Systems vervollstaendigen",
"Risikomanagement-Framework implementieren",
"Transparenzpflichten pruefen",
],
"compliance_gaps": [],
"confidence_score": 0.6,
"risk_score": risk_score,
}
def _derive_classification(assessment: dict) -> str:
"""Derive AI Act classification from assessment result."""
risk = assessment.get("overall_risk", "medium")
score = assessment.get("risk_score", 0)
if score >= 10:
return "prohibited"
elif risk in ("critical", "high") or score >= 5:
return "high-risk"
elif risk == "medium" or score >= 3:
return "limited-risk"
else:
return "minimal-risk"
def _derive_obligations(classification: str) -> list:
"""Derive AI Act obligations based on classification."""
obligations_map = {
"prohibited": ["Einsatz verboten (Art. 5 AI Act)"],
"high-risk": [
"Risikomanagementsystem (Art. 9)",
"Daten-Governance (Art. 10)",
"Technische Dokumentation (Art. 11)",
"Aufzeichnungspflicht (Art. 12)",
"Transparenz (Art. 13)",
"Menschliche Aufsicht (Art. 14)",
"Genauigkeit & Robustheit (Art. 15)",
"Konformitaetsbewertung (Art. 43)",
],
"limited-risk": [
"Transparenzpflicht (Art. 52)",
"Kennzeichnung als KI-System",
],
"minimal-risk": [
"Freiwillige Verhaltenskodizes (Art. 69)",
],
}
return obligations_map.get(classification, [])