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>
431 lines
14 KiB
Python
431 lines
14 KiB
Python
"""
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Tests for the AutoRiskUpdater Service.
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Sprint 6: CI/CD Evidence Collection & Automatic Risk Updates (2026-01-18)
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"""
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from datetime import datetime, timezone
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from unittest.mock import MagicMock
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from ..services.auto_risk_updater import (
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AutoRiskUpdater,
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ScanType,
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FindingSeverity,
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ScanResult,
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RiskUpdateResult,
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CONTROL_SCAN_MAPPING,
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)
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from ..db.models import (
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ControlStatusEnum,
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)
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class TestDetermineControlStatus:
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"""Tests for _determine_control_status method."""
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def test_critical_findings_return_fail(self):
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"""Any critical finding should result in FAIL status."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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findings = {"critical": 1, "high": 0, "medium": 0, "low": 0}
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result = updater._determine_control_status(findings)
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assert result == ControlStatusEnum.FAIL.value
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def test_multiple_critical_findings_return_fail(self):
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"""Multiple critical findings should result in FAIL status."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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findings = {"critical": 5, "high": 2, "medium": 10, "low": 50}
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result = updater._determine_control_status(findings)
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assert result == ControlStatusEnum.FAIL.value
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def test_more_than_5_high_findings_return_fail(self):
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"""More than 5 HIGH findings should result in FAIL status."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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findings = {"critical": 0, "high": 6, "medium": 0, "low": 0}
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result = updater._determine_control_status(findings)
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assert result == ControlStatusEnum.FAIL.value
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def test_exactly_5_high_findings_return_partial(self):
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"""Exactly 5 HIGH findings should result in PARTIAL status."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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findings = {"critical": 0, "high": 5, "medium": 0, "low": 0}
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result = updater._determine_control_status(findings)
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assert result == ControlStatusEnum.PARTIAL.value
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def test_1_to_5_high_findings_return_partial(self):
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"""1-5 HIGH findings should result in PARTIAL status."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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for high_count in [1, 2, 3, 4, 5]:
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findings = {"critical": 0, "high": high_count, "medium": 0, "low": 0}
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result = updater._determine_control_status(findings)
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assert result == ControlStatusEnum.PARTIAL.value, f"Failed for {high_count} HIGH findings"
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def test_more_than_10_medium_findings_return_partial(self):
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"""More than 10 MEDIUM findings should result in PARTIAL status."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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findings = {"critical": 0, "high": 0, "medium": 11, "low": 0}
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result = updater._determine_control_status(findings)
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assert result == ControlStatusEnum.PARTIAL.value
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def test_only_medium_and_low_findings_return_pass(self):
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"""Only MEDIUM (<=10) and LOW findings should result in PASS status."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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findings = {"critical": 0, "high": 0, "medium": 5, "low": 100}
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result = updater._determine_control_status(findings)
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assert result == ControlStatusEnum.PASS.value
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def test_no_findings_return_pass(self):
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"""No findings should result in PASS status."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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findings = {"critical": 0, "high": 0, "medium": 0, "low": 0}
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result = updater._determine_control_status(findings)
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assert result == ControlStatusEnum.PASS.value
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def test_empty_findings_return_pass(self):
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"""Empty findings dict should result in PASS status."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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findings = {}
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result = updater._determine_control_status(findings)
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assert result == ControlStatusEnum.PASS.value
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class TestGenerateStatusNotes:
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"""Tests for _generate_status_notes method."""
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def test_notes_include_tool_name(self):
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"""Status notes should include the scan tool name."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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scan_result = ScanResult(
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scan_type=ScanType.SAST,
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tool="Semgrep",
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timestamp=datetime(2026, 1, 18, 14, 30),
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commit_sha="abc123",
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branch="main",
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control_id="SDLC-001",
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findings={"critical": 1, "high": 2, "medium": 0, "low": 0},
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)
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notes = updater._generate_status_notes(scan_result)
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assert "Semgrep" in notes
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assert "1 CRITICAL" in notes
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assert "2 HIGH" in notes
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def test_notes_include_timestamp(self):
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"""Status notes should include scan timestamp."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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scan_result = ScanResult(
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scan_type=ScanType.DEPENDENCY,
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tool="Trivy",
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timestamp=datetime(2026, 1, 18, 10, 0),
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commit_sha="def456",
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branch="develop",
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control_id="SDLC-002",
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findings={"critical": 0, "high": 3, "medium": 5, "low": 10},
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)
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notes = updater._generate_status_notes(scan_result)
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assert "2026-01-18 10:00" in notes
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def test_notes_for_no_findings(self):
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"""Status notes for no findings should indicate clean scan."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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scan_result = ScanResult(
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scan_type=ScanType.SECRET,
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tool="Gitleaks",
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timestamp=datetime(2026, 1, 18, 12, 0),
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commit_sha="ghi789",
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branch="main",
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control_id="SDLC-003",
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findings={"critical": 0, "high": 0, "medium": 0, "low": 0},
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)
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notes = updater._generate_status_notes(scan_result)
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assert "No significant findings" in notes
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class TestGenerateAlerts:
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"""Tests for _generate_alerts method."""
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def test_alert_for_critical_findings(self):
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"""Critical findings should generate an alert."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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scan_result = ScanResult(
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scan_type=ScanType.DEPENDENCY,
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tool="Trivy",
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timestamp=datetime.now(timezone.utc),
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commit_sha="abc123",
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branch="main",
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control_id="SDLC-002",
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findings={"critical": 2, "high": 0, "medium": 0, "low": 0},
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)
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alerts = updater._generate_alerts(scan_result, ControlStatusEnum.FAIL.value)
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assert len(alerts) >= 1
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assert any("CRITICAL" in alert for alert in alerts)
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assert any("2 critical" in alert.lower() for alert in alerts)
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def test_alert_for_fail_status(self):
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"""Control status change to FAIL should generate an alert."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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scan_result = ScanResult(
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scan_type=ScanType.SAST,
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tool="Semgrep",
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timestamp=datetime.now(timezone.utc),
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commit_sha="def456",
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branch="main",
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control_id="SDLC-001",
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findings={"critical": 0, "high": 10, "medium": 0, "low": 0},
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)
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alerts = updater._generate_alerts(scan_result, ControlStatusEnum.FAIL.value)
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assert any("FAIL" in alert for alert in alerts)
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def test_alert_for_many_high_findings(self):
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"""More than 10 HIGH findings should generate an alert."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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scan_result = ScanResult(
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scan_type=ScanType.CONTAINER,
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tool="Trivy",
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timestamp=datetime.now(timezone.utc),
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commit_sha="ghi789",
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branch="main",
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control_id="SDLC-006",
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findings={"critical": 0, "high": 15, "medium": 0, "low": 0},
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)
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alerts = updater._generate_alerts(scan_result, ControlStatusEnum.FAIL.value)
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assert any("HIGH" in alert and "15" in alert for alert in alerts)
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def test_no_alert_for_pass_with_low_findings(self):
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"""No alert should be generated for PASS status with only low findings."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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scan_result = ScanResult(
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scan_type=ScanType.SAST,
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tool="Semgrep",
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timestamp=datetime.now(timezone.utc),
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commit_sha="jkl012",
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branch="main",
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control_id="SDLC-001",
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findings={"critical": 0, "high": 0, "medium": 5, "low": 20},
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)
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alerts = updater._generate_alerts(scan_result, ControlStatusEnum.PASS.value)
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assert len(alerts) == 0
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class TestControlScanMapping:
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"""Tests for CONTROL_SCAN_MAPPING constant."""
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def test_sdlc_001_maps_to_sast(self):
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"""SDLC-001 should map to SAST scan type."""
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assert CONTROL_SCAN_MAPPING["SDLC-001"] == ScanType.SAST
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def test_sdlc_002_maps_to_dependency(self):
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"""SDLC-002 should map to DEPENDENCY scan type."""
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assert CONTROL_SCAN_MAPPING["SDLC-002"] == ScanType.DEPENDENCY
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def test_sdlc_003_maps_to_secret(self):
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"""SDLC-003 should map to SECRET scan type."""
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assert CONTROL_SCAN_MAPPING["SDLC-003"] == ScanType.SECRET
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def test_sdlc_006_maps_to_container(self):
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"""SDLC-006 should map to CONTAINER scan type."""
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assert CONTROL_SCAN_MAPPING["SDLC-006"] == ScanType.CONTAINER
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def test_cra_001_maps_to_sbom(self):
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"""CRA-001 should map to SBOM scan type."""
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assert CONTROL_SCAN_MAPPING["CRA-001"] == ScanType.SBOM
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class TestProcessEvidenceCollectRequest:
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"""Tests for process_evidence_collect_request method."""
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def test_parses_iso_timestamp(self):
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"""Should correctly parse ISO format timestamps."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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# Mock the control repo to return None (control not found)
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updater.control_repo.get_by_control_id = MagicMock(return_value=None)
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result = updater.process_evidence_collect_request(
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tool="Semgrep",
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control_id="SDLC-001",
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evidence_type="ci_semgrep",
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timestamp="2026-01-18T14:30:00Z",
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commit_sha="abc123",
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findings={"critical": 0, "high": 0, "medium": 0, "low": 0},
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)
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# Control not found, so control_updated should be False
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assert result.control_updated is False
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def test_handles_invalid_timestamp(self):
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"""Should handle invalid timestamps gracefully."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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updater.control_repo.get_by_control_id = MagicMock(return_value=None)
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# Should not raise exception
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result = updater.process_evidence_collect_request(
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tool="Trivy",
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control_id="SDLC-002",
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evidence_type="ci_trivy",
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timestamp="invalid-timestamp",
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commit_sha="def456",
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findings={"critical": 0, "high": 0, "medium": 0, "low": 0},
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)
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assert result is not None
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def test_control_not_found_returns_result(self):
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"""Should return appropriate result when control is not found."""
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db = MagicMock()
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updater = AutoRiskUpdater(db)
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updater.control_repo.get_by_control_id = MagicMock(return_value=None)
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result = updater.process_evidence_collect_request(
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tool="Gitleaks",
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control_id="UNKNOWN-001",
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evidence_type="ci_gitleaks",
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timestamp="2026-01-18T10:00:00Z",
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commit_sha="ghi789",
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findings={"critical": 0, "high": 0, "medium": 0, "low": 0},
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)
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assert result.control_id == "UNKNOWN-001"
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assert result.control_updated is False
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assert "not found" in result.message
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class TestScanResult:
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"""Tests for ScanResult dataclass."""
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def test_scan_result_creation(self):
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"""Should create ScanResult with all required fields."""
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result = ScanResult(
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scan_type=ScanType.SAST,
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tool="Semgrep",
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timestamp=datetime(2026, 1, 18, 14, 0),
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commit_sha="abc123def456",
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branch="main",
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control_id="SDLC-001",
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findings={"critical": 0, "high": 2, "medium": 5, "low": 10},
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)
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assert result.scan_type == ScanType.SAST
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assert result.tool == "Semgrep"
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assert result.control_id == "SDLC-001"
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assert result.findings["high"] == 2
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def test_scan_result_optional_fields(self):
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"""Should handle optional fields correctly."""
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result = ScanResult(
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scan_type=ScanType.DEPENDENCY,
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tool="Trivy",
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timestamp=datetime.now(timezone.utc),
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commit_sha="xyz789",
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branch="develop",
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control_id="SDLC-002",
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findings={"critical": 1},
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raw_report={"vulnerabilities": []},
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ci_job_id="github-actions-12345",
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)
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assert result.raw_report is not None
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assert result.ci_job_id == "github-actions-12345"
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class TestRiskUpdateResult:
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"""Tests for RiskUpdateResult dataclass."""
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def test_risk_update_result_creation(self):
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"""Should create RiskUpdateResult with all fields."""
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result = RiskUpdateResult(
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control_id="SDLC-001",
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control_updated=True,
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old_status="pass",
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new_status="fail",
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evidence_created=True,
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evidence_id="ev-12345",
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risks_affected=["RISK-001", "RISK-002"],
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alerts_generated=["Critical vulnerability found"],
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message="Processed successfully",
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)
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assert result.control_updated is True
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assert result.old_status == "pass"
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assert result.new_status == "fail"
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assert len(result.risks_affected) == 2
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assert len(result.alerts_generated) == 1
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class TestFindingSeverity:
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"""Tests for FindingSeverity enum."""
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def test_severity_levels(self):
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"""Should have all expected severity levels."""
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assert FindingSeverity.CRITICAL.value == "critical"
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assert FindingSeverity.HIGH.value == "high"
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assert FindingSeverity.MEDIUM.value == "medium"
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assert FindingSeverity.LOW.value == "low"
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assert FindingSeverity.INFO.value == "info"
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class TestScanType:
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"""Tests for ScanType enum."""
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def test_scan_types(self):
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"""Should have all expected scan types."""
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assert ScanType.SAST.value == "sast"
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assert ScanType.DEPENDENCY.value == "dependency"
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assert ScanType.SECRET.value == "secret"
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assert ScanType.CONTAINER.value == "container"
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assert ScanType.SBOM.value == "sbom"
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