131 lines
6.3 KiB
Python
131 lines
6.3 KiB
Python
"""T07-a 预审结果约束：把核查结果收敛成受约束的建议。
|
||
|
||
依据：docs/v2/01-requirements.md §5、03-detailed-design.md §5；
|
||
BR-05/06/07/12、E-02/06/07/08、AC-05/06/07/09/12/45。
|
||
|
||
本模块只做**确定性结论校验**，不调用任何模型、不算概率。四条不可让渡的规则：
|
||
|
||
1. **硬性阻断不可被覆盖**（BR-06）：已确认的 hard 规则命中即 `stop`，模型的高分
|
||
或"建议推进"都不能翻盘。同时**保留模型原始结构化提案**供审计，并指出规则版本。
|
||
2. **未知不等于风险，也不等于通过**（BR-07）：关键核查不可完成时给
|
||
`insufficient_information` 并列补件，**不得**据此评判企业高风险。
|
||
3. **单题不能代表综合意见**（BR-05）：专项判断只进 findings 与被引用，不能直接
|
||
写入 recommendation。
|
||
4. **未校准就没有概率**（BR-12）：`probability` 恒为 None + `not_calibrated`，
|
||
任何模型自报置信度都不改写它。
|
||
"""
|
||
|
||
from __future__ import annotations
|
||
|
||
RECOMMENDATIONS = ("advance", "supplement", "stop", "insufficient_information")
|
||
|
||
NOT_CALIBRATED = "not_calibrated"
|
||
NO_PROBABILITY_REASON = "尚未完成真实历史校准；不展示审批通过概率"
|
||
|
||
# 判定优先级（从上到下，先命中先返回）。顺序本身是业务口径，改动等于改结论。
|
||
PRECEDENCE = ("hard_block", "critical_incomplete", "open_findings", "clean")
|
||
|
||
INCOMPLETE_RESULTS = ("unknown", "error", "not_applicable")
|
||
|
||
|
||
def _codes(findings) -> set[str]:
|
||
return {str(item.get("code")) for item in findings or () if item.get("code")}
|
||
|
||
|
||
def hard_blocks(findings, hard_rule_codes) -> list[dict]:
|
||
"""命中的硬性阻断项。`hard_rule_codes` 来自冻结方案里 effect=hard 且 on_match=block 的规则。"""
|
||
wanted = set(hard_rule_codes or ())
|
||
return [dict(item) for item in findings or () if item.get("code") in wanted and item.get("result") == "issue"]
|
||
|
||
|
||
def critical_incomplete(findings, critical_check_ids) -> list[str]:
|
||
"""关键核查项中未完成的那些编码（未知/执行失败/不适用）。"""
|
||
critical = set(critical_check_ids or ())
|
||
return sorted({
|
||
str(item.get("code")) for item in findings or ()
|
||
if item.get("code") in critical and item.get("result") in INCOMPLETE_RESULTS
|
||
})
|
||
|
||
|
||
def open_findings(findings) -> list[dict]:
|
||
"""需要业务处理但未阻断的问题（issue / unknown）。"""
|
||
return [dict(item) for item in findings or ()
|
||
if item.get("result") in ("issue", "unknown")]
|
||
|
||
|
||
def probability() -> dict:
|
||
"""P0 恒为空。**不接受任何入参**——不给"顺手传个模型分数"留口子。"""
|
||
return {"value": None, "reason": NOT_CALIBRATED, "message": NO_PROBABILITY_REASON}
|
||
|
||
|
||
def decide(findings, missing_inputs=(), degradations=(), judgments=(),
|
||
critical_check_ids=(), hard_rule_codes=(), rule_versions=()) -> dict:
|
||
"""收敛结论。返回 recommendation 与支撑它的理由、降级与审计信息。"""
|
||
blocks = hard_blocks(findings, hard_rule_codes)
|
||
incomplete = critical_incomplete(findings, critical_check_ids)
|
||
open_items = open_findings(findings)
|
||
|
||
degradations = [dict(item) for item in degradations or ()]
|
||
missing = sorted({str(item) for item in missing_inputs or ()})
|
||
|
||
if blocks:
|
||
# 命中硬阻断：即便专项模型给出正面单题判断，也不改变结论（BR-05 / BR-06）
|
||
stage = "hard_block"
|
||
recommendation = "stop"
|
||
reason = "存在已确认的硬性阻断，暂不建议推进；" + "、".join(
|
||
f'{item.get("code")}@{item.get("basis_version", "未标注版本")}' for item in blocks)
|
||
elif incomplete:
|
||
stage = "critical_incomplete"
|
||
recommendation = "insufficient_information"
|
||
reason = ("关键核查未能完成，无法形成结论，请补充材料后重新发起；"
|
||
"不得据此判定企业高风险。未完成项：" + "、".join(incomplete))
|
||
missing = sorted(set(missing) | set(incomplete))
|
||
elif degradations or missing or any(item.get("result") == "error" for item in findings or ()):
|
||
stage = "critical_incomplete"
|
||
recommendation = "insufficient_information"
|
||
reason = "核查存在未完成步骤或缺失材料，请补充并重新核查；不得按已通过处理"
|
||
elif open_items:
|
||
stage = "open_findings"
|
||
recommendation = "supplement"
|
||
reason = f"存在 {len(open_items)} 项待处理事项，建议补充材料或说明后重新核查"
|
||
else:
|
||
stage = "clean"
|
||
recommendation = "advance"
|
||
reason = "已完成方案内的确定性核查，未发现阻断项；正式审批仍由业务流程决定"
|
||
|
||
return {
|
||
"recommendation": recommendation,
|
||
"recommendation_reason": reason,
|
||
"stage": stage,
|
||
"findings": [dict(item) for item in findings or ()],
|
||
"open_findings": open_items,
|
||
"hard_blocks": blocks,
|
||
"critical_incomplete": incomplete,
|
||
"missing_inputs": missing,
|
||
"degradations": degradations,
|
||
# 专项判断只作为依据入档，**不参与** recommendation 的判定
|
||
"judgments": [dict(item) for item in judgments or ()],
|
||
"judgment_can_override": False,
|
||
"rule_versions": [dict(item) for item in rule_versions or ()],
|
||
"probability": probability(),
|
||
# AC-45：stop 只是"暂不建议推进"，系统不得自动关闭项目或执行正式审批
|
||
"formal_approval_touched": False,
|
||
}
|
||
|
||
|
||
def assert_no_probability_leak(result: dict) -> None:
|
||
"""任何路径都不得产出未校准概率（BR-12 / AC-12）。"""
|
||
value = (result.get("probability") or {}).get("value")
|
||
if value is not None:
|
||
raise ValueError("未校准的数据集不得产出审批通过概率")
|
||
for item in result.get("judgments", ()):
|
||
for metric in item.get("native_metrics", ()) or ():
|
||
if str(metric.get("name", "")).lower() in ("probability", "approval_probability"):
|
||
raise ValueError("专项模型的原生指标不得被当作审批概率")
|
||
|
||
|
||
def budget_exhausted(reason: str = "RUN_BUDGET_EXCEEDED") -> dict:
|
||
"""预算耗尽（E-08）：停止并列出未完成项，不伪造完成。"""
|
||
return {"code": reason, "message": "本次核查已达到执行上限，请复核未完成项",
|
||
"retryable": False}
|