From 42e1f29aa24efa2dab8824f68a116a4d22184734 Mon Sep 17 00:00:00 2001 From: Aditi Kumari Date: Fri, 12 Jun 2026 16:28:17 +0530 Subject: [PATCH] =?UTF-8?q?feat(governance):=20audit=20pipeline=20?= =?UTF-8?q?=E2=80=94=20manager,=20console=20+=20traces=20sinks?= MIME-Version: 1.0 Content-Type: text/plain; charset=UTF-8 Content-Transfer-Encoding: 8bit Co-Authored-By: Claude Opus 4.8 --- .../runtime/governance/audit/__init__.py | 70 ++ src/uipath/runtime/governance/audit/base.py | 720 ++++++++++++++++++ .../runtime/governance/audit/console.py | 130 ++++ .../runtime/governance/audit/factory.py | 45 ++ src/uipath/runtime/governance/audit/traces.py | 263 +++++++ tests/test_audit_console.py | 275 +++++++ tests/test_audit_register_sink.py | 103 +++ tests/test_traces_severity.py | 226 ++++++ 8 files changed, 1832 insertions(+) create mode 100644 src/uipath/runtime/governance/audit/__init__.py create mode 100644 src/uipath/runtime/governance/audit/base.py create mode 100644 src/uipath/runtime/governance/audit/console.py create mode 100644 src/uipath/runtime/governance/audit/factory.py create mode 100644 src/uipath/runtime/governance/audit/traces.py create mode 100644 tests/test_audit_console.py create mode 100644 tests/test_audit_register_sink.py create mode 100644 tests/test_traces_severity.py diff --git a/src/uipath/runtime/governance/audit/__init__.py b/src/uipath/runtime/governance/audit/__init__.py new file mode 100644 index 0000000..6f7ecc5 --- /dev/null +++ b/src/uipath/runtime/governance/audit/__init__.py @@ -0,0 +1,70 @@ +"""Audit sink framework for governance events. + +This module provides a pluggable audit system that supports multiple +output destinations (sinks) for governance events. Events are emitted +to all registered sinks, allowing flexible audit trail configuration. + +Usage:: + + from uipath.runtime.governance.audit import get_audit_manager, AuditEvent + + # Get the global audit manager + manager = get_audit_manager() + + # Emit an event (goes to all registered sinks) + manager.emit(AuditEvent( + event_type="rule_evaluation", + trace_id="abc-123", + agent_name="my-agent", + data={"rule_id": "ASI-01", "matched": True}, + )) + + # Register a custom sink + manager.register_sink(MyCustomSink()) + +Built-in sinks: + +- :class:`TracesAuditSink` – OpenTelemetry spans for Orchestrator Traces UI +- :class:`ConsoleAuditSink` – stderr output for debugging + +Sink registration: + +- The ``traces`` sink (OpenTelemetry spans → Orchestrator audit UI) is + **platform-mandated** and always registered. It cannot be disabled by + a developer-side env var — governance is platform-owned. +- The ``console`` sink is a developer aid for local debugging and is + opt-in via env var. + +Environment variables (developer-facing, console only): + +- ``UIPATH_AUDIT_VERBOSE`` – verbose console output. +- ``UIPATH_GOVERNANCE_CONSOLE_LOG`` – enable the console sink. +""" + +from .base import ( + AuditEvent, + AuditManager, + AuditSink, + EventType, + get_audit_manager, + reset_audit_manager, +) +from .console import ConsoleAuditSink +from .factory import create_sink +from .traces import TracesAuditSink + +__all__ = [ + # Core classes + "AuditEvent", + "AuditManager", + "AuditSink", + "EventType", + # Global manager + "get_audit_manager", + "reset_audit_manager", + # Factory + "create_sink", + # Built-in sinks + "ConsoleAuditSink", + "TracesAuditSink", +] diff --git a/src/uipath/runtime/governance/audit/base.py b/src/uipath/runtime/governance/audit/base.py new file mode 100644 index 0000000..86ff3b4 --- /dev/null +++ b/src/uipath/runtime/governance/audit/base.py @@ -0,0 +1,720 @@ +"""Base classes and models for the audit sink framework. + +This module provides the core abstractions for the governance audit system: +- AuditEvent: The data model for audit events +- EventType: Constants for common event types +- AuditSink: Abstract base class for sink implementations +- AuditManager: Central hub for routing events to sinks + +The AuditManager uses a background thread to process events asynchronously, +avoiding blocking the main agent execution path during audit trace HTTP calls. +""" + +from __future__ import annotations + +import atexit +import json +import logging +import os +import queue +import threading +from abc import ABC, abstractmethod +from dataclasses import asdict, dataclass, field +from datetime import datetime, timezone +from typing import TYPE_CHECKING, Any + +if TYPE_CHECKING: + pass + +logger = logging.getLogger(__name__) + + +# ============================================================================= +# Audit Event Model +# ============================================================================= + + +@dataclass +class AuditEvent: + """Generic audit event that can be sent to any sink. + + Attributes: + event_type: Type of event (e.g., "rule_evaluation", "hook_summary") + timestamp: When the event occurred (auto-set if not provided) + trace_id: Trace identifier for correlation + agent_name: Name of the agent being governed + hook: Lifecycle hook where event occurred (optional) + data: Event-specific data dictionary + metadata: Additional metadata for filtering/routing + """ + + event_type: str + trace_id: str = "" + agent_name: str = "unknown" + hook: str = "" + data: dict[str, Any] = field(default_factory=dict) + metadata: dict[str, Any] = field(default_factory=dict) + timestamp: datetime = field(default_factory=lambda: datetime.now(timezone.utc)) + + def to_dict(self) -> dict[str, Any]: + """Convert to dictionary for serialization.""" + result = asdict(self) + result["timestamp"] = self.timestamp.isoformat() + return result + + def to_json(self) -> str: + """Convert to JSON string.""" + return json.dumps(self.to_dict()) + + +class EventType: + """Constants for common event types.""" + + RULE_EVALUATION = "rule_evaluation" + HOOK_START = "hook_start" + HOOK_END = "hook_end" + SESSION_START = "session_start" + SESSION_END = "session_end" + POLICY_VIOLATION = "policy_violation" + POLICY_ALLOW = "policy_allow" + PACKS_LOADED = "packs_loaded" + + +# ============================================================================= +# Audit Sink Base Class +# ============================================================================= + + +class AuditSink(ABC): + """Abstract base class for audit output destinations. + + Subclass this to create custom audit sinks. Each sink receives + all audit events and decides how to handle them. + + Example: + class SlackAuditSink(AuditSink): + def __init__(self, webhook_url: str): + self.webhook_url = webhook_url + self._name = "slack" + + @property + def name(self) -> str: + return self._name + + def emit(self, event: AuditEvent) -> None: + if event.data.get("matched") and event.data.get("action") == "deny": + # Send to Slack on violations + requests.post(self.webhook_url, json=event.to_dict()) + + def flush(self) -> None: + pass + """ + + @property + @abstractmethod + def name(self) -> str: + """Unique name for this sink.""" + pass + + @abstractmethod + def emit(self, event: AuditEvent) -> None: + """Emit an audit event to this sink. + + Args: + event: The audit event to emit + + Note: + Implementations should handle errors gracefully and not + raise exceptions that would disrupt governance evaluation. + """ + pass + + def flush(self) -> None: + """Flush any buffered events. + + Override if sink buffers events before writing. + """ + return + + def close(self) -> None: + """Clean up resources. + + Override if sink holds resources that need cleanup. + """ + return + + def accepts(self, event: AuditEvent) -> bool: + """Check if this sink should receive the event. + + Override to filter events. Default accepts all events. + + Args: + event: The audit event to check + + Returns: + True if sink should receive event, False to skip + """ + return True + + +# ============================================================================= +# Audit Manager +# ============================================================================= + + +class AuditManager: + """Manages multiple audit sinks and routes events to them. + + The AuditManager is the central hub for audit events. It maintains + a list of registered sinks and broadcasts events to all of them. + + Thread Safety: + Events are queued and processed by a background thread, making + emit() non-blocking. This avoids blocking agent execution during + audit trace HTTP calls. + """ + + # Trip a sink after this many consecutive emit failures (circuit-breaker). + _SINK_FAILURE_THRESHOLD = 10 + # Bound the async queue so a stuck sink can't grow memory without limit. + # Matches the order of magnitude of a long-running agent's per-session + # audit volume; on overflow the oldest event is dropped (loss visible + # via stats.events_dropped). + _DEFAULT_QUEUE_MAXSIZE = 10_000 + + def __init__( + self, + async_mode: bool = True, + queue_maxsize: int = _DEFAULT_QUEUE_MAXSIZE, + ) -> None: + """Initialize the audit manager. + + Args: + async_mode: If True (default), events are processed in a background + thread. If False, events are processed synchronously. + queue_maxsize: Max queued events in async mode. On overflow the + oldest queued event is dropped to make room. + """ + self._sinks: list[AuditSink] = [] + # Single lock guards _sinks, _sink_failures, _tripped_sinks, + # _event_count, _error_count, _dropped_count — every counter and + # collection that the worker thread and emit-caller mutate. + self._sinks_lock = threading.Lock() + # Per-sink consecutive-failure counter, keyed by sink name. + self._sink_failures: dict[str, int] = {} + self._tripped_sinks: set[str] = set() + self._event_count = 0 + self._error_count = 0 + self._dropped_count = 0 + self._async_mode = async_mode + self._pid = os.getpid() + + # Background processing + self._queue: queue.Queue[AuditEvent | None] = queue.Queue(maxsize=queue_maxsize) + self._worker_thread: threading.Thread | None = None + self._shutdown = threading.Event() + + if self._async_mode: + self._start_worker() + + def _start_worker(self) -> None: + """Start the background worker thread.""" + if self._worker_thread is not None and self._worker_thread.is_alive(): + return + + self._shutdown.clear() + self._worker_thread = threading.Thread( + target=self._worker_loop, + name="governance-audit-worker", + daemon=True, + ) + self._worker_thread.start() + logger.debug("Background audit worker started") + + def _worker_loop(self) -> None: + """Background worker loop that processes queued events.""" + while not self._shutdown.is_set(): + try: + # Wait for event with timeout to allow checking shutdown + event = self._queue.get(timeout=0.5) + if event is None: + # Shutdown signal + break + self._emit_sync(event) + self._queue.task_done() + except queue.Empty: + continue + except Exception as e: + logger.warning("Audit worker error: %s", e) + + # Drain remaining events on shutdown + self._drain_queue() + + def _drain_queue(self) -> None: + """Process any remaining events in the queue.""" + while True: + try: + event = self._queue.get_nowait() + if event is not None: + self._emit_sync(event) + self._queue.task_done() + except queue.Empty: + break + except Exception as e: + logger.warning("Audit drain error: %s", e) + + def _emit_sync(self, event: AuditEvent) -> None: + """Emit event synchronously to all sinks (called from worker thread).""" + with self._sinks_lock: + sinks = list(self._sinks) + tripped = set(self._tripped_sinks) + for sink in sinks: + if sink.name in tripped: + continue + try: + if sink.accepts(event): + sink.emit(event) + # Success — reset failure counter for this sink. + with self._sinks_lock: + if self._sink_failures.get(sink.name): + self._sink_failures[sink.name] = 0 + except Exception as e: + with self._sinks_lock: + self._error_count += 1 + fails = self._sink_failures.get(sink.name, 0) + 1 + self._sink_failures[sink.name] = fails + tripped_now = fails >= self._SINK_FAILURE_THRESHOLD + if tripped_now: + self._tripped_sinks.add(sink.name) + if tripped_now: + logger.error( + "Audit sink '%s' tripped after %d consecutive failures; " + "will be skipped for the rest of this process. Last error: %s", + sink.name, + fails, + e, + ) + else: + logger.warning( + "Audit sink '%s' failed to emit event (%d/%d): %s", + sink.name, + fails, + self._SINK_FAILURE_THRESHOLD, + e, + ) + + def register_sink(self, sink: AuditSink) -> None: + """Register an audit sink. + + Args: + sink: The sink to register + + Note: + Duplicate sinks (same name) are ignored. + The circuit-breaker failure counter is cleared so a freshly + registered sink doesn't inherit a previous instance's tripped + state. ``unregister_sink`` already clears these, but the + defensive reset here guards against external manipulation + of the internal counters (tests, future callers). + """ + with self._sinks_lock: + if any(s.name == sink.name for s in self._sinks): + logger.debug("Sink '%s' already registered, skipping", sink.name) + return + self._sinks.append(sink) + self._sink_failures.pop(sink.name, None) + self._tripped_sinks.discard(sink.name) + logger.info("Registered audit sink: %s", sink.name) + + def unregister_sink(self, name: str) -> bool: + """Unregister an audit sink by name. + + Args: + name: Name of the sink to remove + + Returns: + True if sink was removed, False if not found + """ + sink_to_close: AuditSink | None = None + with self._sinks_lock: + for i, sink in enumerate(self._sinks): + if sink.name == name: + sink_to_close = sink + del self._sinks[i] + self._sink_failures.pop(name, None) + self._tripped_sinks.discard(name) + break + if sink_to_close is not None: + try: + sink_to_close.close() + except Exception as e: + logger.warning("Audit sink '%s' failed to close: %s", name, e) + logger.info("Unregistered audit sink: %s", name) + return True + return False + + def get_sink(self, name: str) -> AuditSink | None: + """Get a registered sink by name.""" + with self._sinks_lock: + for sink in self._sinks: + if sink.name == name: + return sink + return None + + def list_sinks(self) -> list[str]: + """Get names of all registered sinks.""" + with self._sinks_lock: + return [s.name for s in self._sinks] + + def emit(self, event: AuditEvent) -> None: + """Emit an audit event to all registered sinks. + + In async mode (default), this queues the event for background + processing and returns immediately. This avoids blocking the + main agent execution path during audit trace HTTP calls. + + On post-fork callers (worker process inheriting the parent's + manager), the queue is reinitialized and the worker thread + re-spawned before enqueue — otherwise events would silently + accumulate in a queue no one is draining. + + Args: + event: The audit event to emit + """ + self._ensure_alive_after_fork() + + with self._sinks_lock: + self._event_count += 1 + + if self._async_mode: + # Non-blocking enqueue with drop-oldest backpressure: if the + # worker is wedged on a slow sink, this keeps memory bounded + # rather than growing without limit. The dropped count is + # surfaced via ``stats``. + try: + self._queue.put_nowait(event) + except queue.Full: + try: + self._queue.get_nowait() + self._queue.task_done() + except queue.Empty: + pass + with self._sinks_lock: + self._dropped_count += 1 + try: + self._queue.put_nowait(event) + except queue.Full: + # Worker is so far behind that the queue refilled + # between get_nowait and put_nowait — give up on + # this event rather than block. + pass + else: + # Synchronous processing + self._emit_sync(event) + + def _ensure_alive_after_fork(self) -> None: + """Reset queue and respawn worker if we're in a forked child.""" + current_pid = os.getpid() + if current_pid == self._pid: + return + # Child process inherited a dead worker_thread reference and a + # queue the parent owned. Rebuild both so child events drain. + self._pid = current_pid + self._queue = queue.Queue(maxsize=self._queue.maxsize) + self._shutdown = threading.Event() + self._worker_thread = None + if self._async_mode: + self._start_worker() + + def emit_rule_evaluation( + self, + rule_id: str, + rule_name: str, + pack_name: str, + hook: str, + matched: bool, + action: str, + detail: str = "", + agent_name: str = "agent", + trace_id: str = "", + description: str = "", + ) -> None: + """Convenience method to emit a rule evaluation event.""" + self.emit( + AuditEvent( + event_type=EventType.RULE_EVALUATION, + trace_id=trace_id, + agent_name=agent_name, + hook=hook, + data={ + "rule_id": rule_id, + "rule_name": rule_name, + "pack_name": pack_name, + "matched": matched, + "action": action, + "detail": detail, + "description": description, + "status": "MATCHED" if matched else "PASS", + }, + ) + ) + + def emit_hook_summary( + self, + hook: str, + agent_name: str, + total_rules: int, + matched_rules: int, + final_action: str, + trace_id: str = "", + enforcement_mode: str = "audit", + ) -> None: + """Convenience method to emit a hook summary event.""" + self.emit( + AuditEvent( + event_type=EventType.HOOK_END, + trace_id=trace_id, + agent_name=agent_name, + hook=hook, + data={ + "total_rules": total_rules, + "matched_rules": matched_rules, + "final_action": final_action, + "enforcement_mode": enforcement_mode, + }, + ) + ) + + def emit_session_start( + self, + session_id: str, + agent_name: str, + packs: list[str], + enforcement_mode: str = "audit", + ) -> None: + """Convenience method to emit a session start event.""" + self.emit( + AuditEvent( + event_type=EventType.SESSION_START, + trace_id=session_id, + agent_name=agent_name, + data={ + "session_id": session_id, + "packs": packs, + "enforcement_mode": enforcement_mode, + }, + ) + ) + + def emit_session_end( + self, + session_id: str, + agent_name: str, + total_evaluations: int, + rules_matched: int, + rules_denied: int, + ) -> None: + """Convenience method to emit a session end event.""" + self.emit( + AuditEvent( + event_type=EventType.SESSION_END, + trace_id=session_id, + agent_name=agent_name, + data={ + "session_id": session_id, + "total_evaluations": total_evaluations, + "rules_matched": rules_matched, + "rules_denied": rules_denied, + }, + ) + ) + + def flush(self, timeout: float = 5.0) -> None: + """Flush all pending events and sinks. + + In async mode, polls the queue until it drains or ``timeout`` + seconds elapse, whichever comes first. ``queue.Queue.join`` has + no timeout argument — using it would block indefinitely on a + wedged sink, which defeats the bounded-shutdown contract that + :func:`_cleanup_audit_manager` relies on at process exit. + + Args: + timeout: Maximum seconds to wait for queue to drain (default 5.0) + """ + if self._async_mode: + import time + + deadline = time.monotonic() + max(0.0, timeout) + poll_interval = min(0.05, timeout) if timeout > 0 else 0.0 + while time.monotonic() < deadline: + try: + if self._queue.unfinished_tasks == 0: + break + except Exception: # noqa: BLE001 - queue introspection is best-effort + break + time.sleep(poll_interval) + else: + # Loop didn't break — drain timed out. Log so a wedged + # sink is surfaced rather than swallowed. + try: + pending = self._queue.unfinished_tasks + except Exception: # noqa: BLE001 + pending = -1 + if pending: + logger.warning( + "Audit queue did not drain within %.2fs " + "(unfinished tasks=%s); sink may be wedged", + timeout, pending, + ) + + with self._sinks_lock: + sinks = list(self._sinks) + for sink in sinks: + try: + sink.flush() + except Exception as e: + logger.warning("Audit sink '%s' failed to flush: %s", sink.name, e) + + def close(self) -> None: + """Close all sinks and release resources. + + Stops the background worker thread and drains any remaining events. + Shutdown is bounded: ``_shutdown`` is the primary signal the + worker polls; the sentinel ``None`` enqueue is best-effort. If + the queue is full and the worker is wedged on a slow sink, + ``put_nowait`` fails fast rather than hanging process exit. + """ + if self._async_mode and self._worker_thread is not None: + # Signal shutdown first so the worker's next queue.get() loop + # iteration exits even if we can't enqueue the sentinel. + self._shutdown.set() + try: + self._queue.put_nowait(None) # Wake up worker + except queue.Full: + # Queue saturated by a stuck sink; the worker will see + # _shutdown on its next loop iteration once whatever it's + # blocked on completes (or the 2s join timeout fires). + logger.debug( + "Audit queue full at shutdown; relying on _shutdown signal" + ) + + # Wait for worker to finish (with timeout) + if self._worker_thread.is_alive(): + self._worker_thread.join(timeout=2.0) + + logger.debug("Background audit worker stopped") + + with self._sinks_lock: + sinks = list(self._sinks) + self._sinks.clear() + self._sink_failures.clear() + self._tripped_sinks.clear() + for sink in sinks: + try: + sink.close() + except Exception as e: + logger.warning("Audit sink '%s' failed to close: %s", sink.name, e) + + @property + def stats(self) -> dict[str, Any]: + """Get audit statistics.""" + with self._sinks_lock: + sink_names = [s.name for s in self._sinks] + event_count = self._event_count + error_count = self._error_count + dropped_count = self._dropped_count + return { + "sinks": len(sink_names), + "sink_names": sink_names, + "events_emitted": event_count, + "events_queued": self._queue.qsize() if self._async_mode else 0, + "events_dropped": dropped_count, + "errors": error_count, + "async_mode": self._async_mode, + } + + +# ============================================================================= +# Global Audit Manager +# ============================================================================= + +_audit_manager: AuditManager | None = None +_atexit_registered = False + + +def _cleanup_audit_manager() -> None: + """Cleanup handler called at process exit.""" + global _audit_manager + if _audit_manager is not None: + try: + _audit_manager.flush(timeout=2.0) + _audit_manager.close() + except Exception: + pass + + +def get_audit_manager() -> AuditManager: + """Get or create the global audit manager. + + On first call, initializes sinks based on environment configuration. + The manager uses a background thread for async event processing. + + Returns: + The global AuditManager instance + """ + global _audit_manager, _atexit_registered + + if _audit_manager is None: + # Check if async mode should be disabled (for testing or debugging) + async_mode = os.getenv("UIPATH_AUDIT_SYNC", "false").lower() != "true" + _audit_manager = AuditManager(async_mode=async_mode) + _configure_default_sinks(_audit_manager) + + # Register cleanup handler + if not _atexit_registered: + atexit.register(_cleanup_audit_manager) + _atexit_registered = True + + return _audit_manager + + +def _configure_default_sinks(manager: AuditManager) -> None: + """Configure default sinks. + + The traces sink (OpenTelemetry spans to the Orchestrator audit UI) + is **platform-mandated** and is always registered — no developer-side + env var can disable it. This preserves the principle that governance + is platform-owned and developers cannot bypass the audit trail. + + The console sink is a developer aid for local debugging and is + opt-in via ``UIPATH_GOVERNANCE_CONSOLE_LOG=true``. + """ + from .factory import create_sink + + sink_names: list[str] = ["traces"] # mandatory — platform-controlled + + if os.getenv("UIPATH_GOVERNANCE_CONSOLE_LOG", "false").lower() == "true": + sink_names.append("console") + + for sink_name in sink_names: + sink = create_sink(sink_name) + if sink: + manager.register_sink(sink) + logger.info("Audit sink registered: %s", sink_name) + + logger.info("Governance audit sinks configured: %s", ", ".join(sink_names)) + + +def reset_audit_manager() -> None: + """Reset the global audit manager (for testing). + + Flushes pending events and stops the background worker before resetting. + """ + global _audit_manager + if _audit_manager: + try: + _audit_manager.flush(timeout=1.0) + except Exception: + pass + _audit_manager.close() + _audit_manager = None diff --git a/src/uipath/runtime/governance/audit/console.py b/src/uipath/runtime/governance/audit/console.py new file mode 100644 index 0000000..3d28a57 --- /dev/null +++ b/src/uipath/runtime/governance/audit/console.py @@ -0,0 +1,130 @@ +"""Console audit sink for human-readable output. + +This sink writes audit events to stderr in a human-readable format, +useful for debugging and development. +""" + +from __future__ import annotations + +import json +import sys + +from .base import AuditEvent, AuditSink, EventType + + +class ConsoleAuditSink(AuditSink): + """Audit sink that writes to console (stderr). + + Useful for debugging and development. Output is human-readable. + + Args: + verbose: If True, show all events. If False, only show matches. + """ + + def __init__(self, verbose: bool = False) -> None: + """Configure the sink's verbosity (verbose shows every event).""" + self._verbose = verbose + + @property + def name(self) -> str: + """Constant sink identifier.""" + return "console" + + def accepts(self, event: AuditEvent) -> bool: + """Filter to matched rules and lifecycle events unless verbose.""" + if self._verbose: + return True + # Only show matched rules and important events + if event.event_type == EventType.RULE_EVALUATION: + return event.data.get("matched", False) + return event.event_type in ( + EventType.SESSION_START, + EventType.SESSION_END, + EventType.HOOK_END, + EventType.POLICY_VIOLATION, + ) + + def emit(self, event: AuditEvent) -> None: + """Write the event to stderr using the appropriate formatter.""" + if event.event_type == EventType.RULE_EVALUATION: + self._emit_rule_evaluation(event) + elif event.event_type == EventType.HOOK_END: + self._emit_hook_summary(event) + elif event.event_type == EventType.SESSION_START: + self._emit_session_start(event) + elif event.event_type == EventType.SESSION_END: + self._emit_session_end(event) + else: + self._emit_generic(event) + + def _emit_rule_evaluation(self, event: AuditEvent) -> None: + data = event.data + matched = data.get("matched", False) + status = "MATCHED" if matched else "PASS" + rule_id = data.get("rule_id", "?") + rule_name = data.get("rule_name", "?") + action = data.get("action", "?").upper() + detail = data.get("detail", "") + + if matched: + print( + f"[GOVERNANCE] [{status}] {rule_id} | {rule_name} | " + f"action={action} | {detail}", + file=sys.stderr, + flush=True, + ) + elif self._verbose: + print( + f"[GOVERNANCE] [{status}] {rule_id} | {rule_name}", + file=sys.stderr, + flush=True, + ) + + def _emit_hook_summary(self, event: AuditEvent) -> None: + data = event.data + hook = event.hook + total = data.get("total_rules", 0) + matched = data.get("matched_rules", 0) + action = data.get("final_action", "allow").upper() + mode = data.get("enforcement_mode", "audit") + + if mode == "audit" and action == "DENY": + action = "AUDIT (would deny)" + + print( + f"[GOVERNANCE] HOOK: {hook} | rules={total} | matched={matched} | " + f"action={action}", + file=sys.stderr, + flush=True, + ) + + def _emit_session_start(self, event: AuditEvent) -> None: + data = event.data + packs = data.get("packs", []) + mode = data.get("enforcement_mode", "audit") + print( + f"[GOVERNANCE] Session started | agent={event.agent_name} | " + f"packs={','.join(packs)} | mode={mode}", + file=sys.stderr, + flush=True, + ) + + def _emit_session_end(self, event: AuditEvent) -> None: + data = event.data + total = data.get("total_evaluations", 0) + matched = data.get("rules_matched", 0) + denied = data.get("rules_denied", 0) + print( + f"[GOVERNANCE] Session ended | evaluations={total} | " + f"matched={matched} | denied={denied}", + file=sys.stderr, + flush=True, + ) + + def _emit_generic(self, event: AuditEvent) -> None: + print( + f"[GOVERNANCE] {event.event_type} | {event.agent_name} | " + f"{json.dumps(event.data)}", + file=sys.stderr, + flush=True, + ) diff --git a/src/uipath/runtime/governance/audit/factory.py b/src/uipath/runtime/governance/audit/factory.py new file mode 100644 index 0000000..1c8e248 --- /dev/null +++ b/src/uipath/runtime/governance/audit/factory.py @@ -0,0 +1,45 @@ +"""Factory function for creating audit sinks by name. + +This module provides the create_sink function used by the AuditManager +to instantiate sinks based on environment configuration. +""" + +from __future__ import annotations + +import logging +import os + +from .base import AuditSink + +logger = logging.getLogger(__name__) + + +def create_sink(name: str) -> AuditSink | None: + """Create an audit sink by name. + + Args: + name: Name of the sink to create (``traces`` or ``console``). + + Returns: + The created sink, or ``None`` if the name is unknown. + + Supported sinks: + - ``traces``: OpenTelemetry spans for Orchestrator Traces UI + - ``console``: human-readable stderr output + """ + name = name.lower() + + if name == "traces": + from .traces import TracesAuditSink + + return TracesAuditSink() + + elif name == "console": + from .console import ConsoleAuditSink + + verbose = os.getenv("UIPATH_AUDIT_VERBOSE", "false").lower() == "true" + return ConsoleAuditSink(verbose=verbose) + + else: + logger.warning("Unknown audit sink: %s", name) + return None diff --git a/src/uipath/runtime/governance/audit/traces.py b/src/uipath/runtime/governance/audit/traces.py new file mode 100644 index 0000000..260f6d8 --- /dev/null +++ b/src/uipath/runtime/governance/audit/traces.py @@ -0,0 +1,263 @@ +"""OpenTelemetry traces audit sink for Orchestrator integration. + +This sink creates OpenTelemetry spans for governance events, which +appear in the UiPath Orchestrator Traces UI for observability. +""" + +from __future__ import annotations + +import logging +from typing import Any + +from .base import AuditEvent, AuditSink, EventType + +logger = logging.getLogger(__name__) + +# Value for the ``type`` / ``span_type`` span attributes on every +# governance span. Matches ``SpanType.AGENT_RUN`` in uipath-agents-python +# — we use the string literal here (not a cross-package import) to keep +# uipath-runtime free of a uipath-agents dependency. If the agents-side +# registry adds new values, this constant is the single place to update. +SPAN_TYPE_AGENT_RUN = "agentRun" + +# Identifies this auditor on every governance span. Lets a downstream +# consumer distinguish traces emitted by the Python in-runtime governance +# checker from those produced by the governance-server (or any future +# language-specific governance SDK). Set as the ``source`` span +# attribute on every governance trace span. +GOVERNANCE_SOURCE = "governance-checker-python" + + +class TracesAuditSink(AuditSink): + """Audit sink that creates OpenTelemetry spans. + + Spans appear in UiPath Orchestrator Traces UI, providing structured + data for each governance evaluation. + """ + + def __init__(self) -> None: + """Initialize the sink with a deferred tracer and zero span count.""" + self._tracer: Any = None # Can be None, Tracer, or False + self._spans_created = 0 + + @property + def name(self) -> str: + """Constant sink identifier.""" + return "traces" + + def _get_tracer(self) -> Any: + """Get or create the OpenTelemetry tracer.""" + if self._tracer is None: + try: + from opentelemetry import trace + + self._tracer = trace.get_tracer("uipath.governance") + logger.info("OpenTelemetry tracer initialized for governance traces") + except ImportError: + # OpenTelemetry is supplied transitively by uipath-core; an + # ImportError here means the host install is broken or + # governance is running outside the UiPath SDK environment. + logger.warning( + "OpenTelemetry not available - governance traces disabled. " + "OTel is normally provided by uipath-core; reinstall the SDK." + ) + self._tracer = False + return self._tracer if self._tracer else None + + def _get_uipath_trace_id(self) -> str | None: + """Get trace ID from UiPath config.""" + try: + from uipath.platform.common import UiPathConfig + + return UiPathConfig.trace_id + except (ImportError, AttributeError): + return None + + def _get_uipath_context(self) -> dict[str, str]: + """Get UiPath context attributes.""" + context = {} + try: + from uipath.platform.common import UiPathConfig + + if UiPathConfig.organization_id: + context["uipath.organization_id"] = UiPathConfig.organization_id + if UiPathConfig.tenant_id: + context["uipath.tenant_id"] = UiPathConfig.tenant_id + if UiPathConfig.folder_key: + context["uipath.folder_key"] = UiPathConfig.folder_key + if UiPathConfig.job_key: + context["uipath.job_key"] = UiPathConfig.job_key + except (ImportError, AttributeError): + pass + return context + + def emit(self, event: AuditEvent) -> None: + """Create a span for RULE_EVALUATION or HOOK_END events; drop others.""" + if event.event_type == EventType.RULE_EVALUATION: + self._emit_rule_span(event) + elif event.event_type == EventType.HOOK_END: + self._emit_hook_span(event) + + def _emit_hook_span(self, event: AuditEvent) -> None: + """Create a span for a hook summary (always emitted for each governance check).""" + tracer = self._get_tracer() + if tracer is None: + return + + try: + from opentelemetry import context + + data = event.data + hook = event.hook or "unknown" + span_name = f"governance.{hook.lower()}" + + # Use the current OTel context if one is active; otherwise start a + # root span. A previous version fabricated a random parent + # span_id when only a trace_id was known, which produced orphan + # parents the backend could never resolve. The governance span + # now correctly appears as a child of whichever span is current + # (e.g. the runtime's root span) or as a fresh root. + ctx = context.get_current() + uipath_trace_id = event.trace_id or self._get_uipath_trace_id() + + with tracer.start_as_current_span(span_name, context=ctx) as span: + # Required for Orchestrator Traces + span.set_attribute("type", SPAN_TYPE_AGENT_RUN) + span.set_attribute("span_type", SPAN_TYPE_AGENT_RUN) + # Identifies which agent emitted this audit trace. Lets + # downstream consumers (Orchestrator Traces UI, audit + # dashboards) filter governance spans by producer when + # multiple SDKs / governance backends co-exist. + span.set_attribute("source", GOVERNANCE_SOURCE) + span.set_attribute("uipath.custom_instrumentation", True) + if uipath_trace_id: + span.set_attribute("uipath.trace_id", uipath_trace_id) + + # UiPath context + for key, value in self._get_uipath_context().items(): + span.set_attribute(key, value) + + # Hook summary attributes + span.set_attribute("governance.hook", hook) + span.set_attribute("governance.total_rules", data.get("total_rules", 0)) + span.set_attribute( + "governance.matched_rules", data.get("matched_rules", 0) + ) + span.set_attribute( + "governance.final_action", data.get("final_action", "allow") + ) + span.set_attribute( + "governance.enforcement_mode", data.get("enforcement_mode", "audit") + ) + span.set_attribute("governance.agent_name", event.agent_name) + + # Hook spans are summary containers — they're left at + # Status.UNSET regardless of final_action. Severity is + # carried by the per-rule spans (see _emit_rule_span); + # marking the hook span as ERROR would falsely paint + # the entire lifecycle phase as failed when only a + # specific rule fired underneath. + + self._spans_created += 1 + + except Exception as e: + logger.warning("Failed to create governance hook span: %s", e) + + def _emit_rule_span(self, event: AuditEvent) -> None: + """Create a span for a rule evaluation.""" + tracer = self._get_tracer() + if tracer is None: + return + + try: + from opentelemetry import context + + data = event.data + rule_id = data.get("rule_id", "unknown") + span_name = f"governance.rule.{rule_id}" + + # See note in _emit_hook_span: rely on the current OTel context + # rather than fabricating a remote-parent span_id. + ctx = context.get_current() + uipath_trace_id = event.trace_id or self._get_uipath_trace_id() + + with tracer.start_as_current_span(span_name, context=ctx) as span: + # Required for Orchestrator Traces + span.set_attribute("type", SPAN_TYPE_AGENT_RUN) + span.set_attribute("span_type", SPAN_TYPE_AGENT_RUN) + # Identifies which agent emitted this audit trace. Lets + # downstream consumers (Orchestrator Traces UI, audit + # dashboards) filter governance spans by producer when + # multiple SDKs / governance backends co-exist. + span.set_attribute("source", GOVERNANCE_SOURCE) + span.set_attribute("uipath.custom_instrumentation", True) + if uipath_trace_id: + span.set_attribute("uipath.trace_id", uipath_trace_id) + + # UiPath context + for key, value in self._get_uipath_context().items(): + span.set_attribute(key, value) + + # Governance attributes + span.set_attribute("governance.rule_id", rule_id) + span.set_attribute("governance.rule_name", data.get("rule_name", "")) + span.set_attribute("governance.pack_name", data.get("pack_name", "")) + span.set_attribute("governance.hook", event.hook) + span.set_attribute("governance.matched", data.get("matched", False)) + span.set_attribute("governance.action", data.get("action", "allow")) + span.set_attribute("governance.status", data.get("status", "PASS")) + span.set_attribute("governance.agent_name", event.agent_name) + + detail = data.get("detail", "") + if detail: + span.set_attribute("governance.detail", detail[:500]) + + # Severity for matched non-allow rules is carried by the + # platform-standard ``verbosityLevel`` span field (UiPath + # Orchestrator log levels: 3=Warning, 4=Error). Default + # platform verbosity is 2 (Information), so we only set + # this attribute when there's a violation worth flagging. + # + # - Audit mode (and any audit-action rule even in + # enforce mode): runtime did NOT block the agent → + # verbosityLevel=3 (Warning), Status stays UNSET. The + # agent's span shouldn't be marked failed just because + # an advisory rule fired. + # - Enforce mode + deny / escalate: runtime actually + # blocked → verbosityLevel=4 (Error) + Status.ERROR. + # The agent span genuinely failed. + action_str = data.get("action", "allow").lower() + if data.get("matched") and action_str != "allow": + from uipath.runtime.governance.config import ( + EnforcementMode, + get_enforcement_mode, + ) + + mode = get_enforcement_mode() + will_block = ( + mode == EnforcementMode.ENFORCE + and action_str in {"deny", "escalate"} + ) + span.set_attribute("verbosityLevel", 4 if will_block else 3) + if will_block: + try: + from opentelemetry.trace import StatusCode + + span.set_status( + StatusCode.ERROR, + f"Policy violation: " + f"{data.get('rule_name', rule_id)} " + f"(action={action_str})", + ) + except ImportError: + pass + + self._spans_created += 1 + + except Exception as e: + logger.warning("Failed to create governance span: %s", e) + + @property + def spans_created(self) -> int: + """Number of spans created.""" + return self._spans_created diff --git a/tests/test_audit_console.py b/tests/test_audit_console.py new file mode 100644 index 0000000..8a8cd52 --- /dev/null +++ b/tests/test_audit_console.py @@ -0,0 +1,275 @@ +"""Tests for ``ConsoleAuditSink``. + +The console sink is a developer-aid that writes governance events to +stderr in a human-readable format. Filtering and per-event-type +formatting are the things worth pinning so a non-verbose run doesn't +spam unmatched evaluations. +""" + +from __future__ import annotations + +import pytest + +from uipath.runtime.governance.audit.base import AuditEvent, EventType +from uipath.runtime.governance.audit.console import ConsoleAuditSink + +# --------------------------------------------------------------------------- +# Basic surface +# --------------------------------------------------------------------------- + + +def test_sink_name_is_console() -> None: + assert ConsoleAuditSink().name == "console" + + +def test_default_is_non_verbose() -> None: + """Constructor default keeps the sink quiet (matches-only).""" + sink = ConsoleAuditSink() + unmatched = AuditEvent( + event_type=EventType.RULE_EVALUATION, + data={"matched": False, "rule_id": "A", "rule_name": "n"}, + ) + assert sink.accepts(unmatched) is False + + +# --------------------------------------------------------------------------- +# accepts() — filtering behavior +# --------------------------------------------------------------------------- + + +def test_accepts_verbose_passes_everything() -> None: + sink = ConsoleAuditSink(verbose=True) + assert sink.accepts(AuditEvent(event_type=EventType.RULE_EVALUATION)) is True + assert sink.accepts(AuditEvent(event_type=EventType.HOOK_END)) is True + assert sink.accepts(AuditEvent(event_type=EventType.PACKS_LOADED)) is True + + +def test_accepts_non_verbose_filters_unmatched_rule_eval() -> None: + sink = ConsoleAuditSink(verbose=False) + matched = AuditEvent( + event_type=EventType.RULE_EVALUATION, data={"matched": True} + ) + unmatched = AuditEvent( + event_type=EventType.RULE_EVALUATION, data={"matched": False} + ) + assert sink.accepts(matched) is True + assert sink.accepts(unmatched) is False + + +@pytest.mark.parametrize( + "event_type", + [ + EventType.SESSION_START, + EventType.SESSION_END, + EventType.HOOK_END, + EventType.POLICY_VIOLATION, + ], +) +def test_accepts_non_verbose_passes_lifecycle_events(event_type: str) -> None: + """Lifecycle events flow through even when verbose is off.""" + sink = ConsoleAuditSink(verbose=False) + assert sink.accepts(AuditEvent(event_type=event_type)) is True + + +def test_accepts_non_verbose_drops_other_event_types() -> None: + sink = ConsoleAuditSink(verbose=False) + # PACKS_LOADED isn't in the lifecycle allowlist for non-verbose. + assert sink.accepts(AuditEvent(event_type=EventType.PACKS_LOADED)) is False + + +# --------------------------------------------------------------------------- +# _emit_rule_evaluation +# --------------------------------------------------------------------------- + + +def test_emit_matched_rule_writes_full_line(capsys: pytest.CaptureFixture[str]) -> None: + sink = ConsoleAuditSink(verbose=False) + sink.emit( + AuditEvent( + event_type=EventType.RULE_EVALUATION, + data={ + "matched": True, + "rule_id": "A.10.4", + "rule_name": "commitment-language", + "action": "audit", + "detail": "Customer commitment detected.", + }, + ) + ) + out = capsys.readouterr().err + assert "MATCHED" in out + assert "A.10.4" in out + assert "commitment-language" in out + assert "action=AUDIT" in out + assert "Customer commitment detected." in out + + +def test_emit_unmatched_rule_silent_when_non_verbose( + capsys: pytest.CaptureFixture[str], +) -> None: + sink = ConsoleAuditSink(verbose=False) + sink.emit( + AuditEvent( + event_type=EventType.RULE_EVALUATION, + data={"matched": False, "rule_id": "A", "rule_name": "n"}, + ) + ) + assert capsys.readouterr().err == "" + + +def test_emit_unmatched_rule_prints_pass_when_verbose( + capsys: pytest.CaptureFixture[str], +) -> None: + sink = ConsoleAuditSink(verbose=True) + sink.emit( + AuditEvent( + event_type=EventType.RULE_EVALUATION, + data={"matched": False, "rule_id": "A.1", "rule_name": "rule-one"}, + ) + ) + out = capsys.readouterr().err + assert "PASS" in out + assert "A.1" in out + assert "rule-one" in out + + +# --------------------------------------------------------------------------- +# _emit_hook_summary +# --------------------------------------------------------------------------- + + +def test_emit_hook_summary_basic(capsys: pytest.CaptureFixture[str]) -> None: + sink = ConsoleAuditSink(verbose=False) + sink.emit( + AuditEvent( + event_type=EventType.HOOK_END, + hook="after_model", + data={ + "total_rules": 5, + "matched_rules": 1, + "final_action": "allow", + "enforcement_mode": "audit", + }, + ) + ) + out = capsys.readouterr().err + assert "HOOK: after_model" in out + assert "rules=5" in out + assert "matched=1" in out + assert "action=ALLOW" in out + + +def test_emit_hook_summary_audit_mode_would_deny_marker( + capsys: pytest.CaptureFixture[str], +) -> None: + """In AUDIT mode a DENY action is annotated as 'would deny'. + + Without this, operators reading the console would think a deny + actually fired when the runtime only audited it. + """ + sink = ConsoleAuditSink(verbose=False) + sink.emit( + AuditEvent( + event_type=EventType.HOOK_END, + hook="before_model", + data={ + "total_rules": 1, + "matched_rules": 1, + "final_action": "deny", + "enforcement_mode": "audit", + }, + ) + ) + out = capsys.readouterr().err + assert "AUDIT (would deny)" in out + + +def test_emit_hook_summary_enforce_mode_deny_not_annotated( + capsys: pytest.CaptureFixture[str], +) -> None: + """In ENFORCE mode the 'would deny' annotation is NOT applied.""" + sink = ConsoleAuditSink(verbose=False) + sink.emit( + AuditEvent( + event_type=EventType.HOOK_END, + hook="before_model", + data={ + "total_rules": 1, + "matched_rules": 1, + "final_action": "deny", + "enforcement_mode": "enforce", + }, + ) + ) + out = capsys.readouterr().err + assert "would deny" not in out + assert "action=DENY" in out + + +# --------------------------------------------------------------------------- +# Session start / end +# --------------------------------------------------------------------------- + + +def test_emit_session_start_includes_packs_and_mode( + capsys: pytest.CaptureFixture[str], +) -> None: + sink = ConsoleAuditSink(verbose=False) + sink.emit( + AuditEvent( + event_type=EventType.SESSION_START, + agent_name="my-agent", + data={"packs": ["iso42001", "owasp"], "enforcement_mode": "audit"}, + ) + ) + out = capsys.readouterr().err + assert "Session started" in out + assert "agent=my-agent" in out + assert "iso42001,owasp" in out + assert "mode=audit" in out + + +def test_emit_session_end_counters(capsys: pytest.CaptureFixture[str]) -> None: + sink = ConsoleAuditSink(verbose=False) + sink.emit( + AuditEvent( + event_type=EventType.SESSION_END, + trace_id="trace-abc", + data={ + "total_evaluations": 12, + "rules_matched": 3, + "rules_denied": 1, + }, + ) + ) + out = capsys.readouterr().err + assert "Session ended" in out + assert "evaluations=12" in out + assert "matched=3" in out + assert "denied=1" in out + + +# --------------------------------------------------------------------------- +# Generic / fallback +# --------------------------------------------------------------------------- + + +def test_emit_generic_unknown_event_type(capsys: pytest.CaptureFixture[str]) -> None: + """Anything that isn't a known event type falls through to _emit_generic. + + The generic formatter serializes ``data`` as JSON so operators can + still inspect the payload even for events the sink doesn't know about. + """ + sink = ConsoleAuditSink(verbose=True) + sink.emit( + AuditEvent( + event_type="custom_event", + agent_name="x", + data={"foo": "bar", "n": 1}, + ) + ) + out = capsys.readouterr().err + assert "custom_event" in out + assert "x" in out + assert '"foo": "bar"' in out + assert '"n": 1' in out diff --git a/tests/test_audit_register_sink.py b/tests/test_audit_register_sink.py new file mode 100644 index 0000000..ff03710 --- /dev/null +++ b/tests/test_audit_register_sink.py @@ -0,0 +1,103 @@ +"""Tests for ``AuditManager.register_sink`` failure-counter semantics. + +A re-registered same-name sink must NOT inherit the previous instance's +tripped circuit-breaker state. ``unregister_sink`` already clears these +counters, but ``register_sink`` also clears them on a successful add as +defense-in-depth (covers tests / external callers that touch the +internal counter dicts directly). +""" + +from __future__ import annotations + +from typing import Any + +import pytest + +from uipath.runtime.governance.audit.base import ( + AuditEvent, + AuditManager, + AuditSink, + EventType, +) + + +class _NoopSink(AuditSink): + """Sink that records emit calls and never raises.""" + + def __init__(self, name: str = "test-sink") -> None: + self._name = name + self.events: list[AuditEvent] = [] + + @property + def name(self) -> str: + return self._name + + def emit(self, event: AuditEvent) -> None: + self.events.append(event) + + +def _event() -> AuditEvent: + return AuditEvent(event_type=EventType.RULE_EVALUATION, agent_name="a") + + +@pytest.fixture +def manager() -> Any: + """Build a fresh, sync-mode AuditManager for the test.""" + return AuditManager(async_mode=False) + + +def test_register_clears_stale_failure_counter(manager: AuditManager) -> None: + """A new sink with a name that previously tripped starts fresh.""" + # Simulate prior instance having tripped the circuit-breaker without + # going through unregister (e.g. test code or external code that + # mutated the counters directly). + manager._sink_failures["test-sink"] = manager._SINK_FAILURE_THRESHOLD + manager._tripped_sinks.add("test-sink") + + new_sink = _NoopSink(name="test-sink") + manager.register_sink(new_sink) + + # Counter and tripped-set must be cleared. + assert manager._sink_failures.get("test-sink", 0) == 0 + assert "test-sink" not in manager._tripped_sinks + + # And the new sink actually receives events (would be skipped if + # still considered tripped). + manager.emit(_event()) + assert len(new_sink.events) == 1 + + +def test_register_does_not_clear_for_duplicate(manager: AuditManager) -> None: + """Re-registering an already-present sink is a no-op (no counter reset).""" + sink = _NoopSink(name="test-sink") + manager.register_sink(sink) + + # Simulate the existing sink having accumulated some failures. + manager._sink_failures["test-sink"] = 3 + + # A second register call with the same name should NOT clear those + # failures — the duplicate-check fires before the reset. + duplicate = _NoopSink(name="test-sink") + manager.register_sink(duplicate) + + assert manager._sink_failures["test-sink"] == 3 + + +def test_unregister_then_register_starts_fresh(manager: AuditManager) -> None: + """The full lifecycle: register → trip → unregister → register again.""" + sink = _NoopSink(name="test-sink") + manager.register_sink(sink) + manager._sink_failures["test-sink"] = manager._SINK_FAILURE_THRESHOLD + manager._tripped_sinks.add("test-sink") + + manager.unregister_sink("test-sink") + # Unregister already clears. + assert "test-sink" not in manager._tripped_sinks + + new_sink = _NoopSink(name="test-sink") + manager.register_sink(new_sink) + assert manager._sink_failures.get("test-sink", 0) == 0 + assert "test-sink" not in manager._tripped_sinks + + manager.emit(_event()) + assert len(new_sink.events) == 1 diff --git a/tests/test_traces_severity.py b/tests/test_traces_severity.py new file mode 100644 index 0000000..30980cb --- /dev/null +++ b/tests/test_traces_severity.py @@ -0,0 +1,226 @@ +"""Tests for trace-span verbosity / status semantics. + +``TracesAuditSink`` emits an OpenTelemetry span for every governance +hook end and every rule evaluation. The contract: + +- Matched non-allow rules carry a ``verbosityLevel`` span attribute + (UiPath Orchestrator log levels: 3=Warning, 4=Error). Platform default + is 2 (Information); we only emit this attribute when a violation + warrants Warning or Error. OTel ``StatusCode`` only has OK / ERROR / + UNSET, so verbosityLevel is the channel that distinguishes + "audit-mode advisory violation" from "actually blocked the agent". +- ``verbosityLevel = 4`` (Error) and ``StatusCode.ERROR`` fire **only** + when the runtime actually blocked the agent — enforce mode AND the + rule's action is ``deny`` or ``escalate``. +- ``verbosityLevel = 3`` (Warning) and ``Status.UNSET`` for advisory + violations — audit mode (any non-allow action), or audit-action rules + even in enforce mode. The agent didn't fail; surfacing Status.ERROR + would falsely paint a successful run as a failure. +- Hook spans never set Status, regardless of enforcement mode or + final_action. They're summary containers; verbosityLevel belongs on + the individual rule span that fired. +- ``allow`` actions and unmatched evaluations leave Status at UNSET and + do not emit a verbosityLevel attribute (platform default applies). +""" + +from __future__ import annotations + +from unittest.mock import MagicMock + +import pytest + +from uipath.runtime.governance.audit.base import AuditEvent, EventType +from uipath.runtime.governance.audit.traces import TracesAuditSink +from uipath.runtime.governance.config import ( + EnforcementMode, + reset_enforcement_mode, + set_enforcement_mode, +) + + +@pytest.fixture +def captured_span(monkeypatch: pytest.MonkeyPatch) -> MagicMock: + """Wire ``TracesAuditSink`` to a mock tracer and return the span mock.""" + span = MagicMock(name="span") + tracer = MagicMock(name="tracer") + tracer.start_as_current_span.return_value.__enter__.return_value = span + tracer.start_as_current_span.return_value.__exit__.return_value = False + monkeypatch.setattr(TracesAuditSink, "_get_tracer", lambda self: tracer) + return span + + +@pytest.fixture(autouse=True) +def _reset_mode() -> None: + """Each test selects its own enforcement mode explicitly.""" + reset_enforcement_mode() + yield + reset_enforcement_mode() + + +def _hook_event(final_action: str, mode: str = "audit") -> AuditEvent: + return AuditEvent( + event_type=EventType.HOOK_END, + agent_name="agent", + hook="after_model", + data={ + "total_rules": 1, + "matched_rules": 1 if final_action != "allow" else 0, + "final_action": final_action, + "enforcement_mode": mode, + }, + ) + + +def _rule_event(matched: bool, action: str) -> AuditEvent: + return AuditEvent( + event_type=EventType.RULE_EVALUATION, + agent_name="agent", + hook="after_model", + data={ + "rule_id": "A.10.4", + "rule_name": "commitment-language", + "pack_name": "iso42001", + "matched": matched, + "action": action, + "status": "MATCHED" if matched else "PASS", + "detail": "Customer-binding commitment detected.", + }, + ) + + +def _span_attrs(span: MagicMock) -> dict[str, object]: + """Return a mapping of attribute name → value for set_attribute calls.""" + attrs: dict[str, object] = {} + for call in span.set_attribute.call_args_list: + key, value = call.args + attrs[key] = value + return attrs + + +# --------------------------------------------------------------------------- +# Hook span — never marked ERROR +# --------------------------------------------------------------------------- + + +@pytest.mark.parametrize( + "final_action,mode", + [ + ("deny", "enforce"), + ("deny", "audit"), + ("audit", "audit"), + ("escalate", "audit"), + ("allow", "audit"), + ], +) +def test_hook_span_never_sets_error( + captured_span: MagicMock, final_action: str, mode: str +) -> None: + """Hook spans are summary containers — they never carry an ERROR Status.""" + sink = TracesAuditSink() + sink.emit(_hook_event(final_action=final_action, mode=mode)) + assert not captured_span.set_status.called, ( + f"Hook span should never set_status; called with " + f"final_action={final_action!r}, mode={mode!r}" + ) + + +# --------------------------------------------------------------------------- +# Rule span — enforce-mode actually-blocking violations +# --------------------------------------------------------------------------- + + +@pytest.mark.parametrize("action", ["deny", "escalate"]) +def test_enforce_mode_blocking_violation_is_error( + captured_span: MagicMock, action: str +) -> None: + """Enforce mode + deny/escalate = real failure → verbosityLevel=4 + Status.ERROR.""" + set_enforcement_mode(EnforcementMode.ENFORCE) + sink = TracesAuditSink() + sink.emit(_rule_event(matched=True, action=action)) + + attrs = _span_attrs(captured_span) + assert attrs.get("verbosityLevel") == 4 + assert "severity" not in attrs + assert "governance.severity" not in attrs + + assert captured_span.set_status.called, ( + f"Status.ERROR must fire for enforce-mode {action} violation" + ) + status_code, message = captured_span.set_status.call_args.args + from opentelemetry.trace import StatusCode + + assert status_code is StatusCode.ERROR + assert "commitment-language" in message + assert action in message + + +# --------------------------------------------------------------------------- +# Rule span — advisory violations (audit mode, or audit-action rules) +# --------------------------------------------------------------------------- + + +@pytest.mark.parametrize("action", ["deny", "audit", "escalate"]) +def test_audit_mode_violation_is_warning( + captured_span: MagicMock, action: str +) -> None: + """Audit mode never blocks → verbosityLevel=3, Status.UNSET. + + Surfacing Status.ERROR for an audit-mode violation would falsely + mark the agent's run as failed when the runtime intentionally + let it through. + """ + set_enforcement_mode(EnforcementMode.AUDIT) + sink = TracesAuditSink() + sink.emit(_rule_event(matched=True, action=action)) + + attrs = _span_attrs(captured_span) + assert attrs.get("verbosityLevel") == 3 + assert "severity" not in attrs + assert "governance.severity" not in attrs + + assert not captured_span.set_status.called, ( + f"Audit-mode {action} violation must NOT set Status.ERROR" + ) + + +def test_enforce_mode_audit_action_is_warning(captured_span: MagicMock) -> None: + """Enforce mode + action=audit is still advisory → verbosityLevel=3. + + An ``audit`` action means "log this match but don't block" even + when the policy is in enforce mode. The runtime doesn't block; + verbosity stays Warning. + """ + set_enforcement_mode(EnforcementMode.ENFORCE) + sink = TracesAuditSink() + sink.emit(_rule_event(matched=True, action="audit")) + + attrs = _span_attrs(captured_span) + assert attrs.get("verbosityLevel") == 3 + assert not captured_span.set_status.called + + +# --------------------------------------------------------------------------- +# Rule span — no violation, no verbosityLevel attribute (platform default = 2) +# --------------------------------------------------------------------------- + + +def test_unmatched_rule_no_verbosity_no_error(captured_span: MagicMock) -> None: + """Unmatched evaluations are quiet: no verbosityLevel attr, no Status.""" + set_enforcement_mode(EnforcementMode.ENFORCE) + sink = TracesAuditSink() + sink.emit(_rule_event(matched=False, action="deny")) + + attrs = _span_attrs(captured_span) + assert "verbosityLevel" not in attrs + assert not captured_span.set_status.called + + +def test_matched_allow_action_no_verbosity(captured_span: MagicMock) -> None: + """A rule whose action is 'allow' is an explicit non-violation.""" + set_enforcement_mode(EnforcementMode.ENFORCE) + sink = TracesAuditSink() + sink.emit(_rule_event(matched=True, action="allow")) + + attrs = _span_attrs(captured_span) + assert "verbosityLevel" not in attrs + assert not captured_span.set_status.called