阶段二失败(或阶段 1.5 引擎失败)后,仅凭 Core 侧数据把「详情 + 预警」两件事补回来
(PRD §7.1 / 架构 §5.4)。
落地(改 3 + 新增 2 脚本 + 测试 2 文件)
- convert_service:新增公开 compensate_convert(group_id, ...) —— 补偿的服务端单点入口
· 锁键 convert:rerun:{gid},与 convert_fund 幂等重试路径同一个键
· 详情侧:非 completed 才补写,复用 _finalize_from_core(不另写第二份阶段二)
· 预警侧:幂等锚点 = 转出端 out_trade_id,复用 find_alerts_by_trade;
命中即 skipped,否则跑 process_convert_event
- risk_repository:has_engine_error_audit 加 decision 参数(默认值不变)
· convert 线阶段 1.5 失败审计用 engine_error,普通交易用 risk_engine_error,不是同一个码
- rebuild_alerts.py:新增 --convert-group(与 location 参数 trade_ids 互斥),薄封装
- 新增 scripts/agent/cleanup_pending_convert.py(架构 §2 与开发计划 §9 指定路径):
超 convert_compensate_sla_hours 的 pending 占位 → status='expired'(标记不硬删,S2)
- 新增 scripts/dev/verify_convert_compensate.py:真库验证脚本(MySQL 8.0.46)
- 测试 +12:test_convert_service +4(补写 / 幂等 / missing / locked)、
test_demo_scripts +8(--convert-group 分派与接线 + cleanup 脚本)
state 四态与 CLI 退出码
- rebuilt(0) / skipped(0 幂等) / missing(1 零写入) / locked(3)
- 退出码 2 保留给 argparse 用法错误,故 locked 取 3
真库专属证据(sqlite 单测给不了的,本任务核心增量)
- status='expired' 在 MySQL ENUM 上被接受(sqlite 该列是 VARCHAR,写什么都收)
- created_at < cutoff 在 DATETIME(3) 上的时间边界正确(超时进候选 / 未超时不进 / 复跑幂等)
- input_summary 是真 JSON 列,而 has_engine_error_audit 用 LIKE 判定:脚本先断言
information_schema 的 DATA_TYPE='json' 再验命中,并反向断言决策码不匹配则不命中
顺带收口(用户指示)
- core_ro.concentration_profile 补 h.qty > 0,与 list_holdings 真正同口径
· ratio 不变(归零行市值为 0),但 rows 不再多出已清仓产品、不虚占截断判定位
· 新用例含跨出口一致性断言;突变验证:去掉 qty > 0 → 精准 1 条红
验证
- pytest -q → 731 passed / 3 skipped(基线 719 加 12,零回归)
- 突变验证 3 组精准命中:去掉幂等锚点(1 红)/ 去掉 status 过滤(2 红)/ 补偿无视锁(1 红)
- 真库 verify_convert_compensate.py 34/34,隔离数据零残留
- 全套 7 个真库脚本复跑零回归:seed 全 PASS / apply 24 / service 35 / engine 31 / lots 20 / tools 14 / compensate 34
357 lines
14 KiB
Python
357 lines
14 KiB
Python
"""B9a 演示/运维脚本单测(开发计划 B9a · sqlite)。
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rebuild_alerts:补偿重放出单并推送、幂等跳过(防重复 append/aml 重复出单)、
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missing 不落库;subscribe_alerts:payload → 单行可读文本。
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**T-12 追加**:`rebuild_alerts --convert-group` 的分派与接线、
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`cleanup_pending_convert` 超时占位清理(标记不硬删)。
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脚本目录非包,动态入 sys.path 后按模块名导入。
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"""
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import sys
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from datetime import datetime, timedelta
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from decimal import Decimal
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from pathlib import Path
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import pytest
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from sqlalchemy import text
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from _ddl import create_sqlite_engine
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DEMO_DIR = Path(__file__).resolve().parents[1] / "scripts" / "demo"
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ROOT = Path(__file__).resolve().parents[1]
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sys.path.insert(0, str(DEMO_DIR))
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sys.path.insert(0, str(ROOT / "scripts" / "agent"))
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import rebuild_alerts # noqa: E402
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from rebuild_alerts import main, rebuild_convert_group, rebuild_trade # noqa: E402
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from subscribe_alerts import format_alert # noqa: E402
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from cleanup_pending_convert import cleanup # noqa: E402
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from app.repository.convert_repository import ConvertRepository # noqa: E402
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from app.repository.core_ro import CoreReadOnlyRepository # noqa: E402
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from app.repository.risk_repository import RiskRepository # noqa: E402
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from app.service.risk import alert_service # noqa: E402
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from app.service.risk.alert_service import handle_alert # noqa: E402
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from app.service.risk.engine import process_trade_event # noqa: E402
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class FakePublisher:
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def __init__(self):
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self.messages = []
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self.deletes = []
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def publish(self, channel, payload):
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self.messages.append((channel, payload))
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def delete(self, *keys):
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self.deletes.append(keys)
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@pytest.fixture()
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def env():
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engine = create_sqlite_engine()
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with engine.begin() as conn:
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conn.execute(
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text(
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"INSERT INTO core_customer (customer_id, display_name, age, is_active) VALUES"
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" ('C1', '张某某', 40, 1), ('C2', '李四', 35, 1)"
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)
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)
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conn.execute(
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text(
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"INSERT INTO core_product (product_id, product_name, min_risk_code, product_type)"
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" VALUES ('P1', '测试混合基金', 'R3', 'mixed')"
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)
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)
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conn.execute(
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text(
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"INSERT INTO risk_aml_list (list_id, list_type, full_name, match_threshold,"
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" source, list_version, is_active) VALUES ('PEP-1', 'pep', '李四', 0.85, 'mock', 'v1', 1)"
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)
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)
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core = CoreReadOnlyRepository(engine=engine)
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repo = RiskRepository(engine=engine)
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pub = FakePublisher()
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alert_service.set_publisher(pub)
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yield core, repo, pub, engine
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alert_service.set_publisher(None)
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engine.dispose()
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def _seed_trade(conn, trade_id, amount, customer="C1", at=datetime(2026, 9, 6, 14, 0, 0)):
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"""直接落 core_trade 不调引擎(engine_error 补偿场景:交易已成立、预警缺失)。"""
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conn.execute(
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text(
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"INSERT INTO core_trade (trade_id, customer_id, product_id, trade_type, amount,"
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" trade_status, traded_at) VALUES (:tid, :cid, 'P1', 'subscribe', :amt, 'confirmed', :at)"
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),
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{"tid": trade_id, "cid": customer, "amt": amount, "at": at},
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)
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def _counts(engine, table, where="1=1"):
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with engine.connect() as conn:
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return conn.execute(text(f"SELECT COUNT(*) FROM {table} WHERE {where}")).scalar_one()
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def test_rebuild_creates_alert_and_publishes(env):
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core, repo, pub, engine = env
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with engine.begin() as conn:
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_seed_trade(conn, "TRD-TEST-RB1", "600000")
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out = rebuild_trade("TRD-TEST-RB1", core, repo)
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assert out["state"] == "rebuilt"
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assert out["triggered_rules"] == ["RISK-001", "RISK-002"]
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assert len(out["alert_ids"]) == 1 and out["aml_hit"] is False
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alert = repo.get_alert(out["alert_ids"][0])
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assert alert["status"] == "pending_review" and alert["risk_score"] == 70
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(channel, _), = pub.messages
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assert channel == "risk:pub:alert"
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assert _counts(engine, "audit_log", "decision='alert_created'") == 1 # P-05 留痕链
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def test_rebuild_idempotent_skips_second_run(env):
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core, repo, pub, engine = env
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with engine.begin() as conn:
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_seed_trade(conn, "TRD-TEST-RB2", "600000")
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first = rebuild_trade("TRD-TEST-RB2", core, repo)
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second = rebuild_trade("TRD-TEST-RB2", core, repo)
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assert first["state"] == "rebuilt" and second["state"] == "skipped"
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assert second["alert_ids"] == first["alert_ids"]
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assert _counts(engine, "risk_alert") == 1
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assert len(repo.get_alert(first["alert_ids"][0])["payload"]["events"]) == 1
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assert len(pub.messages) == 1 # 重放不重复推送
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def test_rebuild_missing_trade_touches_nothing(env):
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core, repo, pub, engine = env
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out = rebuild_trade("TRD-NO-SUCH", core, repo)
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assert out["state"] == "missing" and out["alert_ids"] == []
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assert _counts(engine, "risk_alert") == 0
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assert _counts(engine, "audit_log") == 0
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assert pub.messages == []
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def test_rebuild_aml_hit_then_idempotent(env):
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"""aml 单幂等是 LIKE 检查的关键价值:record_aml_alert 本身无去重,重放防二次出单。"""
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core, repo, pub, engine = env
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with engine.begin() as conn:
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_seed_trade(conn, "TRD-TEST-RB3", "1000", customer="C2")
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first = rebuild_trade("TRD-TEST-RB3", core, repo)
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assert first["state"] == "rebuilt" and first["aml_hit"] is True
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aml_ids = [
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aid
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for aid in first["alert_ids"]
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if repo.get_alert(aid)["alert_type"] == "aml"
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]
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assert aml_ids
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second = rebuild_trade("TRD-TEST-RB3", core, repo)
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assert second["state"] == "skipped" and second["alert_ids"] == first["alert_ids"]
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assert _counts(engine, "risk_alert", "alert_type='aml'") == 1
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def test_rebuild_non_first_trade_of_merged_alert_skips(env):
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"""B8 复审口径(P2-2):幂等保障依赖 LIKE 对 events[n](n≥1)命中——
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同日第二笔 append 进同单后 rebuild,必须 skip 且不重复 append。"""
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core, repo, pub, engine = env
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with engine.begin() as conn:
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_seed_trade(conn, "TRD-TEST-RB4", "600000")
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_seed_trade(conn, "TRD-TEST-RB5", "600000", at=datetime(2026, 9, 6, 15, 0, 0))
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first = rebuild_trade("TRD-TEST-RB4", core, repo)
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assert first["state"] == "rebuilt"
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# 第二笔走正常引擎路径(等价网关同步调用)→ append 进同单
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process_trade_event(core.get_trade_by_id("TRD-TEST-RB5"), core_ro=core, risk_repo=repo)
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merged_id = first["alert_ids"][0]
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assert len(repo.get_alert(merged_id)["payload"]["events"]) == 2
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second = rebuild_trade("TRD-TEST-RB5", core, repo)
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assert second["state"] == "skipped" and second["alert_ids"] == [merged_id]
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assert len(repo.get_alert(merged_id)["payload"]["events"]) == 2 # 不重复 append
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def test_rebuild_after_disposal_still_skips(env):
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"""已处置单仍 skip(重放不得绕过处置结论,评审 P3-7)。"""
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core, repo, pub, engine = env
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with engine.begin() as conn:
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_seed_trade(conn, "TRD-TEST-RB6", "600000")
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out = rebuild_trade("TRD-TEST-RB6", core, repo)
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aid = out["alert_ids"][0]
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handle_alert(aid, "confirmed_normal", "STAFF-R1", risk_repo=repo)
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again = rebuild_trade("TRD-TEST-RB6", core, repo)
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assert again["state"] == "skipped" and again["alert_ids"] == [aid]
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assert _counts(engine, "risk_alert") == 1
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def test_rebuild_warns_on_engine_error_middle_state(env):
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"""P2-1:首张单落库后 engine_error 中断(部分失败中间态)→ skip + warning 提示人工核对。"""
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core, repo, pub, engine = env
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with engine.begin() as conn:
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_seed_trade(conn, "TRD-TEST-RB7", "600000")
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out = rebuild_trade("TRD-TEST-RB7", core, repo)
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assert "warning" not in out # 正常补偿无警示
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# 模拟中断留痕:同一笔再走一遍"交易已成立但引擎异常"的审计(如 aml 单缺失场景)
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repo.insert_audit_log(
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{
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"trace_id": "tr-x", "event_type": "trade_request", "agent_type": "platform",
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"actor_id": "SYSTEM", "customer_id": "C1", "rule_id": None,
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"input_summary": {"trade_id": "TRD-TEST-RB7", "error_stage": "process_trade_event"},
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"decision": "risk_engine_error", "risk_score": None,
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"handler_id": None, "handler_result": None, "handler_comment": None,
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}
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)
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again = rebuild_trade("TRD-TEST-RB7", core, repo)
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assert again["state"] == "skipped"
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assert "人工核对" in again["warning"]
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def test_format_alert_renders_payload_fields():
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line = format_alert(
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{
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"alert_id": "ALT-20260906-ABC",
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"alert_type": "aml",
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"customer_id_mask": "CUST-9**",
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"risk_score": 95,
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"trace_id": "tr-1",
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"notify_role": ["risk_officer", "compliance"],
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}
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)
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for frag in ("aml", "ALT-20260906-ABC", "score=95", "CUST-9**", "tr-1",
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"risk_officer,compliance"):
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assert frag in line
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assert "CUST-9527" not in line # payload 只有脱敏掩码,无原始 id
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assert format_alert({"raw": "not-a-json-dict"}) == "[raw] not-a-json-dict"
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# ---------- T-12 · rebuild_alerts --convert-group 分派与接线 ----------
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def test_convert_group_delegates_to_service(monkeypatch):
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"""`--convert-group` 只是薄封装:所有逻辑必须落在 compensate_convert(不复制实现)。"""
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seen: dict = {}
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def fake(group_id, **kwargs):
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seen["gid"] = group_id
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seen["kwargs"] = kwargs
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return {"state": "skipped", "alert_ids": ["ALT-9"]}
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monkeypatch.setattr(rebuild_alerts, "compensate_convert", fake)
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out = rebuild_convert_group("CNV-T12-1", "CORE", "REPO", "CREPO")
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assert out["state"] == "skipped"
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assert seen["gid"] == "CNV-T12-1"
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assert seen["kwargs"] == {"core_ro": "CORE", "risk_repo": "REPO", "convert_repo": "CREPO"}
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def test_convert_group_missing_is_reported_without_writes(env):
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"""未知 group(Core 侧无流水)→ missing,且不写任何东西。"""
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core, repo, pub, engine = env
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out = rebuild_convert_group("CNV-T12-NOPE", core, repo, ConvertRepository(engine=engine))
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assert out["state"] == "missing" and out["trade_count"] == 0
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assert _counts(engine, "risk_alert") == 0
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assert _counts(engine, "audit_log") == 0
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def test_cli_rejects_convert_group_with_trade_ids(monkeypatch):
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"""`--convert-group` 与 trade_id 位置参数互斥(argparse 用法错误 → 退出码 2)。"""
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monkeypatch.setattr(
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sys, "argv", ["rebuild_alerts.py", "TRD-X", "--convert-group", "CNV-Y"]
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)
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with pytest.raises(SystemExit) as exc:
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main()
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assert exc.value.code == 2
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def test_cli_requires_one_of_the_two_forms(monkeypatch):
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"""两者都不给 → 用法错误(不是静默什么都不做)。"""
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monkeypatch.setattr(sys, "argv", ["rebuild_alerts.py"])
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with pytest.raises(SystemExit) as exc:
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main()
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assert exc.value.code == 2
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# ---------- T-12 · cleanup_pending_convert:超时占位 → expired ----------
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def _seed_convert_detail(engine, rows) -> None:
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"""rows: (group_id, status, created_at)。"""
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with engine.begin() as conn:
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for gid, status, created in rows:
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conn.execute(
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text(
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"INSERT INTO risk_convert_detail"
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" (convert_group_id, status, estimated, created_at)"
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" VALUES (:g, :s, 0, :c)"
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),
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{"g": gid, "s": status, "c": created},
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)
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def _status_map(engine) -> dict:
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with engine.connect() as conn:
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return {
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r["convert_group_id"]: r["status"]
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for r in conn.execute(
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text("SELECT convert_group_id, status FROM risk_convert_detail")
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).mappings()
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}
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def test_cleanup_expires_only_overdue_pending(sqlite_engine):
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"""只动超时的 `pending`:fresh pending / completed / failed 一律不碰。"""
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overdue = datetime.now() - timedelta(hours=30)
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fresh = datetime.now() - timedelta(hours=1)
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_seed_convert_detail(
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sqlite_engine,
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[
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("CNV-OLD", "pending", overdue),
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("CNV-NEW", "pending", fresh),
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("CNV-DONE", "completed", overdue),
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("CNV-FAIL", "failed", overdue),
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],
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)
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summary = cleanup(ConvertRepository(engine=sqlite_engine), 24)
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assert summary["sla_hours"] == 24 and summary["dry_run"] is False
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assert summary["candidate_count"] == 1
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assert summary["expired"] == ["CNV-OLD"]
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assert _status_map(sqlite_engine) == {
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"CNV-OLD": "expired",
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"CNV-NEW": "pending",
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"CNV-DONE": "completed",
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"CNV-FAIL": "failed",
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}
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# S2:标记不硬删 —— 行仍在(4 行一行不少)
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assert _counts(sqlite_engine, "risk_convert_detail") == 4
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def test_cleanup_idempotent_second_run_finds_nothing(sqlite_engine):
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"""复跑 → 候选为空(已 expired 的行不再进候选),行数不变。"""
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_seed_convert_detail(
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sqlite_engine, [("CNV-OLD", "pending", datetime.now() - timedelta(hours=30))]
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)
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repo = ConvertRepository(engine=sqlite_engine)
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first = cleanup(repo, 24)
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second = cleanup(repo, 24)
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assert first["expired"] == ["CNV-OLD"]
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assert second["candidate_count"] == 0 and second["expired"] == []
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assert _status_map(sqlite_engine) == {"CNV-OLD": "expired"}
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assert _counts(sqlite_engine, "risk_convert_detail") == 1
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def test_cleanup_dry_run_writes_nothing(sqlite_engine):
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"""--dry-run 只报告候选,状态不动。"""
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_seed_convert_detail(
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sqlite_engine, [("CNV-OLD", "pending", datetime.now() - timedelta(hours=30))]
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)
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summary = cleanup(ConvertRepository(engine=sqlite_engine), 24, dry_run=True)
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assert summary["dry_run"] is True
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assert summary["candidate_count"] == 1 and summary["expired_count"] == 0
|
||
assert summary["candidates"][0]["convert_group_id"] == "CNV-OLD"
|
||
assert _status_map(sqlite_engine) == {"CNV-OLD": "pending"}
|
||
|
||
|
||
def test_cleanup_honours_custom_sla(sqlite_engine):
|
||
"""--hours 覆盖 SLA:2h 前落下的占位在 1h 口径下不算超时、在 3h 口径下算。"""
|
||
created = datetime.now() - timedelta(hours=2)
|
||
_seed_convert_detail(sqlite_engine, [("CNV-MID", "pending", created)])
|
||
repo = ConvertRepository(engine=sqlite_engine)
|
||
assert cleanup(repo, 3, dry_run=True)["candidate_count"] == 0
|
||
assert cleanup(repo, 1, dry_run=True)["candidate_count"] == 1
|