feat(ai-knowledge): P-B 授权过滤 fail-closed，检索结果补齐 §5.3 合同字段 + omittedSources
专题-03 AI 检索串联第二期（P-B）：在 P-A 最小检索链路上叠加按用途授权 + 来源状态门控（fail-closed），检索结果补齐 §5.3 可追溯合同字段，被过滤来源透出 omittedSources 供审计。
- §4.3 用途门：binding.bindingScope 须含 "search" 上下文检索用途（阅读/导出≠检索），否则拒
- §4.3 来源状态门：projection.status ∈ {revoked,recalled,delisted,blocked,owner_missing,unauthorized} 一律拒；active/stale 纳入（stale 非阻断）；active binding 无投影则 fail-closed
- §5.3 授权快照门：缺 authorizationSnapshot 的来源不进 Prompt
- §5.3 chunk 补字段：sourceOwner/sourceObjectVersion/authorizationSnapshot/sourceStatus/allowedPurpose
- omittedSources：被授权门过滤的来源（kbId/reason/sourceStatus）透出；executor metadata 透出 omittedSourceCount
- 全部消费已有 binding + source_binding_projection 数据，无新建授权模型/表
验证：knowledge 11 单测 + ai 6 单测 + ArchUnit（BcBoundary/AiGrantRuntime）全绿。端到端真链路（真 RAGFlow 摄入 + 真 New-API 生成 + 授权门生效）验收待补（攒 P-B 后一次做）。
Co-Authored-By: Claude Opus 4.8 (1M context) <noreply@anthropic.com>
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@ -174,6 +174,10 @@ public class MuseAiRuntimeJobExecutor {
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// 检索作品绑定知识库的授权片段,填入上下文 Layer 3(专题-03 §4.2);检索失败/无命中由 facade fail-closed 降级,不阻断生成。
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KnowledgeRetrievalFacade.ContextAssembly knowledgeContext = assembleKnowledgeContext(task, job, userInstruction);
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metadata.put("knowledgeChunkCount", knowledgeContext.chunkCount());
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if (knowledgeContext.omittedSourceCount() > 0) {
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// 被授权门(§4.3 用途/来源状态)或 token 预算过滤掉的来源数,透出供审计与质量门控可见(专题-03 §4 omittedSources)
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metadata.put("knowledgeOmittedSourceCount", knowledgeContext.omittedSourceCount());
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}
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if (knowledgeContext.omittedReason() != null) {
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metadata.put("knowledgeOmittedReason", knowledgeContext.omittedReason());
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}
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@ -7,6 +7,7 @@ import cn.iocoder.muse.module.knowledge.api.MuseKnowledgeRetrievalApi.RetrievedC
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import jakarta.annotation.Resource;
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import org.springframework.context.annotation.Primary;
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import org.springframework.stereotype.Component;
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import org.springframework.util.StringUtils;
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import java.util.List;
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import java.util.Locale;
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@ -34,11 +35,15 @@ public class DefaultKnowledgeRetrievalFacade implements KnowledgeRetrievalFacade
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RetrievalResult result = knowledgeRetrievalApi.retrieveForWork(new RetrievalRequest(
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request.tenantId(), request.ownerUserId(), request.workId(),
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request.question(), request.topK(), request.correlationId()));
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if (result == null || !result.hasChunks()) {
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return ContextAssembly.empty(result == null ? "retrieval_null" : result.omittedReason());
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if (result == null) {
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return ContextAssembly.empty("retrieval_null");
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}
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int omittedSourceCount = result.omittedSources() == null ? 0 : result.omittedSources().size();
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if (!result.hasChunks()) {
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return ContextAssembly.empty(result.omittedReason(), omittedSourceCount);
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}
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String section = formatChunks(result.chunks());
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return new ContextAssembly(section, result.chunks().size(), null);
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return new ContextAssembly(section, result.chunks().size(), omittedSourceCount, null);
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} catch (RuntimeException ex) {
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// fail-closed 降级:检索故障绝不阻断主生成链(检索是增强、非硬依赖)
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return ContextAssembly.empty("retrieval_error");
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@ -51,6 +56,12 @@ public class DefaultKnowledgeRetrievalFacade implements KnowledgeRetrievalFacade
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int idx = 1;
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for (RetrievedChunk chunk : chunks) {
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sb.append("\n[").append(idx++).append("] (kbId=").append(chunk.sourceKbId());
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if (StringUtils.hasText(chunk.sourceOwner())) {
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sb.append(", owner=").append(chunk.sourceOwner());
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}
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if (StringUtils.hasText(chunk.sourceStatus())) {
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sb.append(", status=").append(chunk.sourceStatus());
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}
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if (chunk.similarity() != null) {
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sb.append(", similarity=").append(String.format(Locale.ROOT, "%.3f", chunk.similarity()));
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}
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@ -28,14 +28,19 @@ public interface KnowledgeRetrievalFacade {
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/**
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* 上下文组装结果。
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*
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* @param promptSection 可拼进 provider prompt 的 L3 上下文文本(带来源归因,可空)
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* @param chunkCount 命中片段数
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* @param omittedReason 无命中/降级原因(供审计与 omittedSources;有命中时为 null)
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* @param promptSection 可拼进 provider prompt 的 L3 上下文文本(带来源归因,可空)
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* @param chunkCount 命中片段数
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* @param omittedSourceCount 被授权门/token 预算过滤掉的来源数(专题-03 §4 omittedSources,供审计透明)
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* @param omittedReason 无命中/降级原因(供审计;有命中时为 null)
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*/
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record ContextAssembly(String promptSection, int chunkCount, String omittedReason) {
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record ContextAssembly(String promptSection, int chunkCount, int omittedSourceCount, String omittedReason) {
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public static ContextAssembly empty(String omittedReason) {
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return new ContextAssembly(null, 0, omittedReason);
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return new ContextAssembly(null, 0, 0, omittedReason);
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}
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public static ContextAssembly empty(String omittedReason, int omittedSourceCount) {
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return new ContextAssembly(null, 0, omittedSourceCount, omittedReason);
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}
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public boolean hasContext() {
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@ -4,6 +4,7 @@ import cn.iocoder.muse.framework.test.core.ut.BaseMockitoUnitTest;
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import cn.iocoder.muse.module.ai.application.muse.facade.KnowledgeRetrievalFacade.ContextAssembly;
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import cn.iocoder.muse.module.ai.application.muse.facade.KnowledgeRetrievalFacade.ContextAssemblyRequest;
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import cn.iocoder.muse.module.knowledge.api.MuseKnowledgeRetrievalApi;
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import cn.iocoder.muse.module.knowledge.api.MuseKnowledgeRetrievalApi.OmittedSource;
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import cn.iocoder.muse.module.knowledge.api.MuseKnowledgeRetrievalApi.RetrievalRequest;
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import cn.iocoder.muse.module.knowledge.api.MuseKnowledgeRetrievalApi.RetrievalResult;
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import cn.iocoder.muse.module.knowledge.api.MuseKnowledgeRetrievalApi.RetrievedChunk;
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@ -20,7 +21,8 @@ import static org.mockito.ArgumentMatchers.any;
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import static org.mockito.Mockito.when;
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/**
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* P-A AI 侧检索 facade 单测:命中→组装 promptSection(含归因);无命中/异常→empty 降级(绝不抛、不阻断主链)。
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* P-B AI 侧检索 facade 单测:命中→组装 promptSection(含 §5.3 归因)+ 透出 omittedSourceCount;
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* 无命中/异常→empty 降级(绝不抛、不阻断主链)。
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*/
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class DefaultKnowledgeRetrievalFacadeTest extends BaseMockitoUnitTest {
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@ -33,18 +35,37 @@ class DefaultKnowledgeRetrievalFacadeTest extends BaseMockitoUnitTest {
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return new ContextAssemblyRequest(100L, 2001L, 4001L, "如何写好开头", 5, "corr-1");
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}
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/** §5.3 全字段 chunk。 */
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private RetrievedChunk chunk() {
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return new RetrievedChunk(5001L, "ds-1", "doc-9", "开头要抓人", 0.88,
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"user", "3", "auth-1", "active", "search,generate");
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}
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@Test
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void should_assembleContext_whenApiReturnsChunks() {
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when(knowledgeRetrievalApi.retrieveForWork(any(RetrievalRequest.class))).thenReturn(
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RetrievalResult.ok(List.of(new RetrievedChunk(5001L, "ds-1", "doc-9", "开头要抓人", 0.88))));
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when(knowledgeRetrievalApi.retrieveForWork(any(RetrievalRequest.class)))
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.thenReturn(RetrievalResult.ok(List.of(chunk()), List.of()));
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ContextAssembly result = facade.assembleContext(req());
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assertTrue(result.hasContext());
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assertEquals(1, result.chunkCount());
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// promptSection 带来源归因(kbId)+ 正文,供 §5.3 可追溯
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assertEquals(0, result.omittedSourceCount());
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// promptSection 带来源归因(kbId/owner)+ 正文,供 §5.3 可追溯
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assertTrue(result.promptSection().contains("kbId=5001"));
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assertTrue(result.promptSection().contains("owner=user"));
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assertTrue(result.promptSection().contains("开头要抓人"));
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}
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@Test
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void should_carryOmittedSourceCount_whenSomeSourcesFiltered() {
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// 部分来源被授权门过滤:命中仍返回,但透出 omittedSourceCount 供审计
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when(knowledgeRetrievalApi.retrieveForWork(any(RetrievalRequest.class)))
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.thenReturn(RetrievalResult.ok(List.of(chunk()),
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List.of(new OmittedSource(6001L, "not_authorized", null))));
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ContextAssembly result = facade.assembleContext(req());
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assertTrue(result.hasContext());
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assertEquals(1, result.omittedSourceCount());
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}
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@Test
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void should_empty_whenApiReturnsEmpty() {
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when(knowledgeRetrievalApi.retrieveForWork(any(RetrievalRequest.class)))
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@ -52,6 +73,19 @@ class DefaultKnowledgeRetrievalFacadeTest extends BaseMockitoUnitTest {
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ContextAssembly result = facade.assembleContext(req());
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assertFalse(result.hasContext());
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assertEquals("no_binding", result.omittedReason());
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assertEquals(0, result.omittedSourceCount());
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}
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@Test
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void should_emptyWithOmittedCount_whenAllSourcesFiltered() {
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// 全被授权门拒:empty 仍透出 omittedSourceCount(专题-03 §4 omittedSources 透明)
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when(knowledgeRetrievalApi.retrieveForWork(any(RetrievalRequest.class)))
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.thenReturn(RetrievalResult.empty("not_authorized",
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List.of(new OmittedSource(5001L, "not_authorized", "revoked"))));
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ContextAssembly result = facade.assembleContext(req());
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assertFalse(result.hasContext());
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assertEquals("not_authorized", result.omittedReason());
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assertEquals(1, result.omittedSourceCount());
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}
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@Test
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@ -3,16 +3,18 @@ package cn.iocoder.muse.module.knowledge.api;
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import java.util.List;
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/**
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* Knowledge 对外只读检索 API(BC 对外契约,专题-03 P-A 最小检索串联)。
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* Knowledge 对外只读检索 API(BC 对外契约,专题-03 AI 编排上下文检索串联)。
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*
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* <p>供他域(AI 生成链)在<b>不直连 knowledge DAL/application</b> 的前提下,按作品检索其绑定知识库的相关片段,
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* 用于 AI 上下文组装(专题-03 §4.2 Layer 3 授权资料)。由 knowledge-server 的
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* {@code MuseKnowledgeRetrievalApiImpl} 实现(读本域 work→binding→kb→active dataset 映射 + 调 RAGFlow retrieveChunks);
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* 消费方依赖本 -api 契约,不得依赖 {@code knowledge.dal}/{@code knowledge.application}(ArchUnit BcBoundaryArchTest 机械约束)。</p>
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* {@code MuseKnowledgeRetrievalApiImpl} 实现;消费方依赖本 -api 契约,不得依赖 {@code knowledge.dal}/{@code knowledge.application}
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* (ArchUnit BcBoundaryArchTest 机械约束)。</p>
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*
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* <p>P-A 最小授权门:仅检索 active binding 的 kb;tenantId+ownerUserId 必填、fail-closed。
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* 完整按用途授权过滤(专题-03 §4.3/§5.3)+ 授权快照/allowedPurpose/sourceStatus 字段属 P-B。
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* 检索失败/无 chunk/外部不可用一律返回空结果(带 omittedReason),<b>不抛异常阻断主生成链</b>。</p>
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* <p>授权 fail-closed(P-B,专题-03 §4.3/§5.3):两道门——<b>用途门</b>(binding 须授权"上下文检索"用途)+
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* <b>来源状态门</b>(来源状态 ∈ 阻断集一律拒);通过的 chunk 须带齐 §5.3 合同字段
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* (sourceOwner/sourceObjectVersion/authorizationSnapshot/sourceStatus/allowedPurpose),<b>缺授权快照不进 Prompt</b>。
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* 被过滤的来源记入 {@link OmittedSource} 供审计与 token 预算透明。检索失败/无 chunk/外部不可用一律返回空结果
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* (带 omittedReason),<b>不抛异常阻断主生成链</b>。</p>
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*/
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public interface MuseKnowledgeRetrievalApi {
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@ -20,7 +22,7 @@ public interface MuseKnowledgeRetrievalApi {
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* 按作品检索其绑定知识库的相关片段。
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*
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* @param request 检索入参(tenantId/ownerUserId/workId/question 必填)
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* @return 脱敏检索结果;无绑定/无 dataset/检索失败/无 chunk 时返回 {@link RetrievalResult#empty(String)}(不抛)
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* @return 脱敏检索结果;无绑定/未授权/检索失败/无 chunk 时返回 {@link RetrievalResult#empty(String)}(不抛)
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*/
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RetrievalResult retrieveForWork(RetrievalRequest request);
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@ -32,19 +34,26 @@ public interface MuseKnowledgeRetrievalApi {
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/**
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* 检索结果(脱敏)。
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*
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* @param chunks 命中的片段(可空集)
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* @param status "ok"=有命中 / "empty"=无命中或降级
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* @param omittedReason status=empty 时的原因(no_binding/no_dataset/retrieval_failed/no_chunk/blank_question 等),
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* 供审计与上下文 omittedSources(专题-03 §4 token 预算省略枚举)
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* @param chunks 命中且通过授权门的片段(可空集)
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* @param status "ok"=有命中 / "empty"=无命中或降级
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* @param omittedReason status=empty 时的总体原因(no_binding/no_dataset/not_authorized/retrieval_failed/no_chunk/blank_question 等)
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* @param omittedSources 被授权门/token 预算过滤掉的来源明细(专题-03 §4 omittedSources,供审计与透明);可空集
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*/
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record RetrievalResult(List<RetrievedChunk> chunks, String status, String omittedReason) {
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record RetrievalResult(List<RetrievedChunk> chunks, String status, String omittedReason,
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List<OmittedSource> omittedSources) {
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public static RetrievalResult ok(List<RetrievedChunk> chunks) {
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return new RetrievalResult(chunks == null ? List.of() : chunks, "ok", null);
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public static RetrievalResult ok(List<RetrievedChunk> chunks, List<OmittedSource> omittedSources) {
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return new RetrievalResult(chunks == null ? List.of() : chunks, "ok", null,
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omittedSources == null ? List.of() : omittedSources);
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}
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public static RetrievalResult empty(String omittedReason) {
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return new RetrievalResult(List.of(), "empty", omittedReason);
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return new RetrievalResult(List.of(), "empty", omittedReason, List.of());
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}
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public static RetrievalResult empty(String omittedReason, List<OmittedSource> omittedSources) {
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return new RetrievalResult(List.of(), "empty", omittedReason,
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omittedSources == null ? List.of() : omittedSources);
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}
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public boolean hasChunks() {
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@ -53,15 +62,32 @@ public interface MuseKnowledgeRetrievalApi {
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}
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/**
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* 单条检索片段(脱敏,对齐专题-03 §5.3 检索结果合同基础字段)。
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* 单条检索片段(脱敏,对齐专题-03 §5.3 检索结果合同:每条 chunk 须带齐授权可追溯字段,缺任一不进 Prompt)。
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*
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* @param sourceKbId 来源知识库 ID(sourceObject)
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* @param datasetId RAGFlow dataset ID(归因)
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* @param documentId 来源文档 ID(归因,可空)
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* @param contentSummary 片段正文摘要(evidence,已截断脱敏、不含 token/raw 响应)
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* @param similarity 相似度(confidence,可空)
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* @param sourceKbId 来源知识库 ID(§5.3 sourceObject)
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* @param datasetId RAGFlow dataset ID(归因)
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* @param documentId 来源文档 ID(归因,可空)
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* @param contentSummary 片段正文摘要(§5.3 evidence,已截断脱敏、不含 token/raw 响应)
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* @param similarity 相似度(§5.3 confidence,可空)
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* @param sourceOwner 来源归属(§5.3 sourceOwner,如 user/global/market)
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* @param sourceObjectVersion 来源对象版本(§5.3 sourceObject+version,可空)
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* @param authorizationSnapshotId 授权快照 ID(§5.3 authorizationSnapshot,绑定即检索授权的凭据)
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* @param sourceStatus 来源状态(§5.3/§4.3 sourceStatus,如 active/stale)
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* @param allowedPurpose 授权用途(§5.3 allowedPurpose,逗号分隔的 binding 用途)
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*/
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record RetrievedChunk(Long sourceKbId, String datasetId, String documentId,
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String contentSummary, Double similarity) {
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String contentSummary, Double similarity,
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String sourceOwner, String sourceObjectVersion,
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String authorizationSnapshotId, String sourceStatus, String allowedPurpose) {
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}
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/**
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* 被过滤来源明细(专题-03 §4 omittedSources)。
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*
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* @param kbId 被省略的知识库 ID
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* @param reason 原因枚举(not_authorized/stale_source/token_budget/no_dataset 等)
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* @param sourceStatus 当时来源状态(供审计)
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*/
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record OmittedSource(Long kbId, String reason, String sourceStatus) {
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}
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}
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@ -7,45 +7,65 @@ import cn.iocoder.muse.module.knowledge.application.muse.facade.RagFlowKnowledge
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import cn.iocoder.muse.module.knowledge.application.muse.facade.RagFlowKnowledgeRuntimeClient.Status;
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import cn.iocoder.muse.module.knowledge.dal.dataobject.muse.MuseKnowledgeBindingDO;
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import cn.iocoder.muse.module.knowledge.dal.dataobject.muse.MuseKnowledgeRagflowBindingDO;
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import cn.iocoder.muse.module.knowledge.dal.dataobject.muse.MuseKnowledgeSourceBindingProjectionDO;
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import cn.iocoder.muse.module.knowledge.dal.mysql.muse.MuseKnowledgeBindingMapper;
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import cn.iocoder.muse.module.knowledge.dal.mysql.muse.MuseKnowledgeRagflowBindingMapper;
|
||||
import cn.iocoder.muse.module.knowledge.dal.mysql.muse.MuseKnowledgeSourceBindingProjectionMapper;
|
||||
import com.fasterxml.jackson.databind.JsonNode;
|
||||
import jakarta.annotation.Resource;
|
||||
import org.springframework.stereotype.Service;
|
||||
import org.springframework.util.StringUtils;
|
||||
|
||||
import java.util.ArrayList;
|
||||
import java.util.HashSet;
|
||||
import java.util.LinkedHashMap;
|
||||
import java.util.List;
|
||||
import java.util.Map;
|
||||
import java.util.Set;
|
||||
|
||||
/**
|
||||
* Knowledge 对外检索 API 实现(BC 本域读本域:work→active binding→kb→active dataset + 调 RAGFlow retrieveChunks)。
|
||||
* Knowledge 对外检索 API 实现(BC 本域读本域:work→binding/projection→kb→active dataset + 调 RAGFlow retrieveChunks)。
|
||||
*
|
||||
* <p>P-A 最小检索串联:仅 active binding 的 kb;tenant/owner/work/question 缺一 fail-closed(不裸跑)。
|
||||
* chunk 从 {@code RuntimeResult.summary.responseBody}(RAGFlow {@code /api/v1/retrieval} 的 {@code data.chunks[]})
|
||||
* 解析 + 截断脱敏。检索失败/无 chunk/任何异常一律返回 {@code empty(omittedReason)},<b>不抛异常阻断主生成链</b>。
|
||||
* 完整按用途授权过滤 + 授权快照/allowedPurpose(专题-03 §4.3/§5.3)属 P-B。</p>
|
||||
* <p>授权 fail-closed(专题-03 §4.3/§5.3)两道门:<b>用途门</b>(binding.bindingScope 须含 "search" 上下文检索用途;
|
||||
* 阅读≠检索)+ <b>来源状态门</b>(projection.status ∈ {@link #BLOCKED_SOURCE_STATUS} 一律拒);
|
||||
* 另要求 binding.authorizationSnapshotId 非空(§5.3 缺授权快照不进 Prompt)。通过的 chunk 带齐 §5.3 合同字段
|
||||
* (sourceOwner/sourceObjectVersion/authorizationSnapshot/sourceStatus/allowedPurpose),被过滤来源记入 omittedSources。</p>
|
||||
*
|
||||
* <p>chunk 从 {@code RuntimeResult.summary.responseBody}(RAGFlow {@code /api/v1/retrieval} 的 {@code data.chunks[]})
|
||||
* 解析 + 截断脱敏。tenant/owner/work/question 缺一 fail-closed;检索失败/无 chunk/任何异常一律返回
|
||||
* {@code empty(omittedReason)},<b>不抛异常阻断主生成链</b>。</p>
|
||||
*/
|
||||
@Service
|
||||
public class MuseKnowledgeRetrievalApiImpl implements MuseKnowledgeRetrievalApi {
|
||||
|
||||
/** 单 chunk 正文摘要最大长度(token 预算意识,防 prompt 撑爆;专题-03 §4)。 */
|
||||
private static final int MAX_CHUNK_SUMMARY_CHARS = 600;
|
||||
/** P-A 默认 topK / 相似度阈值。 */
|
||||
/** 默认 topK / 相似度阈值。 */
|
||||
private static final int DEFAULT_TOP_K = 5;
|
||||
private static final double DEFAULT_THRESHOLD = 0.2d;
|
||||
/** 授权"上下文检索"的用途标识(专题-03 §4.3:阅读≠上下文检索;binding.bindingScope 须含此用途才放行检索)。 */
|
||||
private static final String PURPOSE_SEARCH = "search";
|
||||
/** §4.3 来源状态阻断集:一律拒检索(active/stale 不在内,stale 为降级、非阻断、可纳入)。 */
|
||||
private static final Set<String> BLOCKED_SOURCE_STATUS = Set.of(
|
||||
"revoked", "recalled", "delisted", "blocked", "owner_missing", "unauthorized");
|
||||
|
||||
@Resource
|
||||
private MuseKnowledgeBindingMapper bindingMapper;
|
||||
@Resource
|
||||
private MuseKnowledgeSourceBindingProjectionMapper projectionMapper;
|
||||
@Resource
|
||||
private MuseKnowledgeRagflowBindingMapper ragflowBindingMapper;
|
||||
@Resource
|
||||
private RagFlowKnowledgeRuntimeClient ragFlowClient;
|
||||
|
||||
/** impl 内部:通过双门的授权来源(承载检索 datasetId + chunk §5.3 字段填充所需授权元数据)。 */
|
||||
private record AuthorizedSource(Long kbId, String datasetId, String sourceOwner, String sourceObjectVersion,
|
||||
String authorizationSnapshotId, String sourceStatus, String allowedPurpose) {
|
||||
}
|
||||
|
||||
@Override
|
||||
public RetrievalResult retrieveForWork(RetrievalRequest request) {
|
||||
// 最小授权门:tenant/owner/work/question 必填,缺一 fail-closed(不裸跑、不放任意检索)
|
||||
// 入参门:tenant/owner/work/question 必填,缺一 fail-closed(不裸跑、不放任意检索)
|
||||
if (request == null || request.tenantId() == null || request.ownerUserId() == null
|
||||
|| request.workId() == null) {
|
||||
return RetrievalResult.empty("invalid_request");
|
||||
@ -54,58 +74,102 @@ public class MuseKnowledgeRetrievalApiImpl implements MuseKnowledgeRetrievalApi
|
||||
return RetrievalResult.empty("blank_question");
|
||||
}
|
||||
try {
|
||||
// 1. work→active binding(一作品可绑多 kb)
|
||||
// 1. work→active binding(用途 + 授权快照来源)
|
||||
List<MuseKnowledgeBindingDO> bindings = bindingMapper.selectActiveByWorkId(request.workId());
|
||||
if (bindings == null || bindings.isEmpty()) {
|
||||
return RetrievalResult.empty("no_binding");
|
||||
}
|
||||
// 2. 每 kb→active dataset,收集 datasetId 与 dataset→kbId 反查映射(去重)
|
||||
List<String> datasetIds = new ArrayList<>();
|
||||
Map<String, Long> datasetToKb = new LinkedHashMap<>();
|
||||
// 2. work→来源绑定投影(来源状态 + sourceOwner/revision),按 kbId 索引(selectActiveByWorkId 已按 updateTime desc,首个=最新)
|
||||
Map<Long, MuseKnowledgeSourceBindingProjectionDO> projectionByKb = new LinkedHashMap<>();
|
||||
List<MuseKnowledgeSourceBindingProjectionDO> projections = projectionMapper.selectActiveByWorkId(request.workId());
|
||||
if (projections != null) {
|
||||
for (MuseKnowledgeSourceBindingProjectionDO projection : projections) {
|
||||
if (projection.getKbId() != null) {
|
||||
projectionByKb.putIfAbsent(projection.getKbId(), projection);
|
||||
}
|
||||
}
|
||||
}
|
||||
// 3. 双门过滤(§4.3 用途 + 来源状态 + 授权快照)→ 授权来源 + 被省略来源
|
||||
List<AuthorizedSource> authorized = new ArrayList<>();
|
||||
List<OmittedSource> omitted = new ArrayList<>();
|
||||
Set<Long> seenKb = new HashSet<>();
|
||||
for (MuseKnowledgeBindingDO binding : bindings) {
|
||||
Long kbId = binding.getKbId();
|
||||
if (kbId == null) {
|
||||
if (kbId == null || !seenKb.add(kbId)) {
|
||||
continue;
|
||||
}
|
||||
// §4.3 用途门:bindingScope 须含 "search" 上下文检索用途(阅读/导出等用途不放行检索)
|
||||
if (!hasPurpose(binding.getBindingScope(), PURPOSE_SEARCH)) {
|
||||
omitted.add(new OmittedSource(kbId, "not_authorized", null));
|
||||
continue;
|
||||
}
|
||||
// §5.3 授权快照门:缺 authorizationSnapshot 的来源不进 Prompt
|
||||
if (!StringUtils.hasText(binding.getAuthorizationSnapshotId())) {
|
||||
omitted.add(new OmittedSource(kbId, "not_authorized", null));
|
||||
continue;
|
||||
}
|
||||
// §4.3 来源状态门:无投影(来源状态未知)→ fail-closed;状态 ∈ 阻断集 → 拒
|
||||
MuseKnowledgeSourceBindingProjectionDO projection = projectionByKb.get(kbId);
|
||||
if (projection == null) {
|
||||
omitted.add(new OmittedSource(kbId, "not_authorized", null));
|
||||
continue;
|
||||
}
|
||||
String sourceStatus = projection.getStatus();
|
||||
if (sourceStatus != null && BLOCKED_SOURCE_STATUS.contains(sourceStatus)) {
|
||||
omitted.add(new OmittedSource(kbId, "not_authorized", sourceStatus));
|
||||
continue;
|
||||
}
|
||||
// kb→active dataset
|
||||
MuseKnowledgeRagflowBindingDO dataset = ragflowBindingMapper.selectActiveDatasetByKbId(kbId);
|
||||
if (dataset == null || !StringUtils.hasText(dataset.getRagflowDatasetId())) {
|
||||
omitted.add(new OmittedSource(kbId, "no_dataset", sourceStatus));
|
||||
continue;
|
||||
}
|
||||
if (!datasetToKb.containsKey(dataset.getRagflowDatasetId())) {
|
||||
datasetIds.add(dataset.getRagflowDatasetId());
|
||||
datasetToKb.put(dataset.getRagflowDatasetId(), kbId);
|
||||
authorized.add(new AuthorizedSource(kbId, dataset.getRagflowDatasetId(),
|
||||
projection.getSourceOwner(), projection.getSourceRevision(),
|
||||
binding.getAuthorizationSnapshotId(), sourceStatus, binding.getBindingScope()));
|
||||
}
|
||||
if (authorized.isEmpty()) {
|
||||
// 全被门拒:授权问题优先暴露,否则归 no_dataset
|
||||
String reason = omitted.stream().anyMatch(o -> "not_authorized".equals(o.reason()))
|
||||
? "not_authorized" : "no_dataset";
|
||||
return RetrievalResult.empty(reason, omitted);
|
||||
}
|
||||
// 4. 一次跨所有授权 dataset 检索(RAGFlow 支持多 dataset_ids);chunk 再按 dataset 反查授权来源
|
||||
List<String> datasetIds = new ArrayList<>();
|
||||
Map<String, AuthorizedSource> datasetToSource = new LinkedHashMap<>();
|
||||
for (AuthorizedSource source : authorized) {
|
||||
if (datasetToSource.putIfAbsent(source.datasetId(), source) == null) {
|
||||
datasetIds.add(source.datasetId());
|
||||
}
|
||||
}
|
||||
if (datasetIds.isEmpty()) {
|
||||
return RetrievalResult.empty("no_dataset");
|
||||
}
|
||||
// 3. 一次跨所有 active dataset 检索(RAGFlow 支持多 dataset_ids);kbId 取首个供审计、chunk 再按 dataset 反查
|
||||
Long primaryKbId = datasetToKb.get(datasetIds.get(0));
|
||||
AuthorizedSource primary = authorized.get(0);
|
||||
int topK = request.topK() != null && request.topK() > 0 ? request.topK() : DEFAULT_TOP_K;
|
||||
RetrieveChunksCommand command = new RetrieveChunksCommand(
|
||||
request.tenantId(), request.ownerUserId(), primaryKbId, datasetIds, null,
|
||||
request.tenantId(), request.ownerUserId(), primary.kbId(), datasetIds, null,
|
||||
request.question(), topK, DEFAULT_THRESHOLD, null,
|
||||
request.correlationId(), null, 1);
|
||||
RuntimeResult result = ragFlowClient.retrieveChunks(command);
|
||||
if (result == null || result.status() != Status.SUCCEEDED) {
|
||||
String reason = result == null || result.failureClass() == null
|
||||
? "retrieval_failed" : "retrieval_failed:" + result.failureClass().name();
|
||||
return RetrievalResult.empty(reason);
|
||||
return RetrievalResult.empty(reason, omitted);
|
||||
}
|
||||
// 4. 解析 data.chunks[] → 脱敏 chunk(dataset_id 反查 kbId)
|
||||
List<RetrievedChunk> chunks = parseChunks(result, datasetToKb, primaryKbId);
|
||||
// 5. 解析 data.chunks[] → 补 §5.3 合同字段(按 dataset 反查授权来源)
|
||||
List<RetrievedChunk> chunks = parseChunks(result, datasetToSource, primary);
|
||||
if (chunks.isEmpty()) {
|
||||
return RetrievalResult.empty("no_chunk");
|
||||
return RetrievalResult.empty("no_chunk", omitted);
|
||||
}
|
||||
return RetrievalResult.ok(chunks);
|
||||
return RetrievalResult.ok(chunks, omitted);
|
||||
} catch (RuntimeException ex) {
|
||||
// fail-closed 降级:检索任何异常都不阻断主生成链,返回 empty 供 omittedSources 记录
|
||||
// fail-closed 降级:检索任何异常都不阻断主生成链
|
||||
return RetrievalResult.empty("retrieval_error");
|
||||
}
|
||||
}
|
||||
|
||||
/** 从 RAGFlow 检索响应树 data.chunks[] 解析脱敏片段;dataset_id 反查 kbId,无则归 primary。 */
|
||||
private List<RetrievedChunk> parseChunks(RuntimeResult result, Map<String, Long> datasetToKb, Long primaryKbId) {
|
||||
/** 从 RAGFlow 检索响应树 data.chunks[] 解析脱敏片段;按 dataset 反查授权来源补齐 §5.3 字段,反查不到归 primary。 */
|
||||
private List<RetrievedChunk> parseChunks(RuntimeResult result, Map<String, AuthorizedSource> datasetToSource,
|
||||
AuthorizedSource primary) {
|
||||
List<RetrievedChunk> chunks = new ArrayList<>();
|
||||
Object responseBody = result.summary() == null ? null : result.summary().get("responseBody");
|
||||
JsonNode tree = toJsonNode(responseBody);
|
||||
@ -123,14 +187,29 @@ public class MuseKnowledgeRetrievalApiImpl implements MuseKnowledgeRetrievalApi
|
||||
}
|
||||
String datasetId = firstText(chunk, "dataset_id", "kb_id");
|
||||
String documentId = firstText(chunk, "document_id", "doc_id");
|
||||
Long sourceKbId = datasetId != null && datasetToKb.containsKey(datasetId)
|
||||
? datasetToKb.get(datasetId) : primaryKbId;
|
||||
AuthorizedSource source = datasetId != null && datasetToSource.containsKey(datasetId)
|
||||
? datasetToSource.get(datasetId) : primary;
|
||||
Double similarity = chunk.path("similarity").isNumber() ? chunk.path("similarity").asDouble() : null;
|
||||
chunks.add(new RetrievedChunk(sourceKbId, datasetId, documentId, summarize(content), similarity));
|
||||
chunks.add(new RetrievedChunk(source.kbId(), datasetId, documentId, summarize(content), similarity,
|
||||
source.sourceOwner(), source.sourceObjectVersion(), source.authorizationSnapshotId(),
|
||||
source.sourceStatus(), source.allowedPurpose()));
|
||||
}
|
||||
return chunks;
|
||||
}
|
||||
|
||||
/** bindingScope(逗号分隔的授权用途)是否含指定用途。 */
|
||||
private boolean hasPurpose(String bindingScope, String purpose) {
|
||||
if (!StringUtils.hasText(bindingScope)) {
|
||||
return false;
|
||||
}
|
||||
for (String scope : bindingScope.split(",")) {
|
||||
if (purpose.equals(scope.trim())) {
|
||||
return true;
|
||||
}
|
||||
}
|
||||
return false;
|
||||
}
|
||||
|
||||
private JsonNode toJsonNode(Object responseBody) {
|
||||
if (responseBody == null) {
|
||||
return null;
|
||||
|
||||
@ -12,8 +12,10 @@ import cn.iocoder.muse.module.knowledge.application.muse.facade.RagFlowKnowledge
|
||||
import cn.iocoder.muse.module.knowledge.application.muse.facade.RagFlowKnowledgeRuntimeClient.Status;
|
||||
import cn.iocoder.muse.module.knowledge.dal.dataobject.muse.MuseKnowledgeBindingDO;
|
||||
import cn.iocoder.muse.module.knowledge.dal.dataobject.muse.MuseKnowledgeRagflowBindingDO;
|
||||
import cn.iocoder.muse.module.knowledge.dal.dataobject.muse.MuseKnowledgeSourceBindingProjectionDO;
|
||||
import cn.iocoder.muse.module.knowledge.dal.mysql.muse.MuseKnowledgeBindingMapper;
|
||||
import cn.iocoder.muse.module.knowledge.dal.mysql.muse.MuseKnowledgeRagflowBindingMapper;
|
||||
import cn.iocoder.muse.module.knowledge.dal.mysql.muse.MuseKnowledgeSourceBindingProjectionMapper;
|
||||
import org.junit.jupiter.api.Test;
|
||||
import org.mockito.InjectMocks;
|
||||
import org.mockito.Mock;
|
||||
@ -30,7 +32,8 @@ import static org.mockito.Mockito.verifyNoInteractions;
|
||||
import static org.mockito.Mockito.when;
|
||||
|
||||
/**
|
||||
* P-A 检索串联 knowledge 侧单测:work→binding→kb→dataset→retrieveChunks 链路 + 各 fail-closed 分支。
|
||||
* P-B 检索串联 + 授权 fail-closed 单测:work→binding/projection→kb→dataset→retrieveChunks 链路
|
||||
* + 双门(§4.3 用途/来源状态)+ 授权快照门 + §5.3 chunk 字段 + omittedSources。
|
||||
*/
|
||||
class MuseKnowledgeRetrievalApiImplTest extends BaseMockitoUnitTest {
|
||||
|
||||
@ -39,6 +42,8 @@ class MuseKnowledgeRetrievalApiImplTest extends BaseMockitoUnitTest {
|
||||
@Mock
|
||||
private MuseKnowledgeBindingMapper bindingMapper;
|
||||
@Mock
|
||||
private MuseKnowledgeSourceBindingProjectionMapper projectionMapper;
|
||||
@Mock
|
||||
private MuseKnowledgeRagflowBindingMapper ragflowBindingMapper;
|
||||
@Mock
|
||||
private RagFlowKnowledgeRuntimeClient ragFlowClient;
|
||||
@ -47,13 +52,30 @@ class MuseKnowledgeRetrievalApiImplTest extends BaseMockitoUnitTest {
|
||||
return new RetrievalRequest(100L, 2001L, 4001L, "如何写好开头", 5, "corr-1");
|
||||
}
|
||||
|
||||
private MuseKnowledgeBindingDO activeBinding(Long kbId) {
|
||||
/** binding:bindingScope=授权用途(逗号分隔), authorizationSnapshotId=授权快照。 */
|
||||
private MuseKnowledgeBindingDO binding(Long kbId, String bindingScope, String authSnap) {
|
||||
MuseKnowledgeBindingDO b = new MuseKnowledgeBindingDO();
|
||||
b.setKbId(kbId);
|
||||
b.setBindingStatus("active");
|
||||
b.setBindingScope(bindingScope);
|
||||
b.setAuthorizationSnapshotId(authSnap);
|
||||
return b;
|
||||
}
|
||||
|
||||
/** 标准授权 binding:含 search 检索用途 + 授权快照。 */
|
||||
private MuseKnowledgeBindingDO authorizedBinding(Long kbId) {
|
||||
return binding(kbId, "search,generate", "auth-" + kbId);
|
||||
}
|
||||
|
||||
private MuseKnowledgeSourceBindingProjectionDO projection(Long kbId, String status) {
|
||||
MuseKnowledgeSourceBindingProjectionDO p = new MuseKnowledgeSourceBindingProjectionDO();
|
||||
p.setKbId(kbId);
|
||||
p.setStatus(status);
|
||||
p.setSourceOwner("user");
|
||||
p.setSourceRevision("3");
|
||||
return p;
|
||||
}
|
||||
|
||||
private MuseKnowledgeRagflowBindingDO dataset(String datasetId) {
|
||||
MuseKnowledgeRagflowBindingDO d = new MuseKnowledgeRagflowBindingDO();
|
||||
d.setRagflowDatasetId(datasetId);
|
||||
@ -72,14 +94,14 @@ class MuseKnowledgeRetrievalApiImplTest extends BaseMockitoUnitTest {
|
||||
RetrievalResult result = retrievalApi.retrieveForWork(new RetrievalRequest(100L, null, 4001L, "q", 5, "c"));
|
||||
assertEquals("invalid_request", result.omittedReason());
|
||||
assertFalse(result.hasChunks());
|
||||
verifyNoInteractions(bindingMapper, ragFlowClient);
|
||||
verifyNoInteractions(bindingMapper, projectionMapper, ragFlowClient);
|
||||
}
|
||||
|
||||
@Test
|
||||
void should_returnBlankQuestion_whenQuestionEmpty() {
|
||||
RetrievalResult result = retrievalApi.retrieveForWork(new RetrievalRequest(100L, 2001L, 4001L, " ", 5, "c"));
|
||||
assertEquals("blank_question", result.omittedReason());
|
||||
verifyNoInteractions(bindingMapper, ragFlowClient);
|
||||
verifyNoInteractions(bindingMapper, projectionMapper, ragFlowClient);
|
||||
}
|
||||
|
||||
@Test
|
||||
@ -87,41 +109,95 @@ class MuseKnowledgeRetrievalApiImplTest extends BaseMockitoUnitTest {
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of());
|
||||
RetrievalResult result = retrievalApi.retrieveForWork(req());
|
||||
assertEquals("no_binding", result.omittedReason());
|
||||
verifyNoInteractions(ragFlowClient);
|
||||
verifyNoInteractions(projectionMapper, ragFlowClient);
|
||||
}
|
||||
|
||||
@Test
|
||||
void should_returnNoDataset_whenBindingHasNoActiveDataset() {
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(activeBinding(5001L)));
|
||||
void should_omitNotAuthorized_whenBindingScopeLacksSearch() {
|
||||
// §4.3 用途门:bindingScope 仅 export(无 search 上下文检索用途)→ 拒
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(binding(5001L, "export", "auth-5001")));
|
||||
when(projectionMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(projection(5001L, "active")));
|
||||
RetrievalResult result = retrievalApi.retrieveForWork(req());
|
||||
assertEquals("not_authorized", result.omittedReason());
|
||||
assertEquals(1, result.omittedSources().size());
|
||||
assertEquals(5001L, result.omittedSources().get(0).kbId());
|
||||
assertEquals("not_authorized", result.omittedSources().get(0).reason());
|
||||
verifyNoInteractions(ragflowBindingMapper, ragFlowClient);
|
||||
}
|
||||
|
||||
@Test
|
||||
void should_omitNotAuthorized_whenAuthorizationSnapshotMissing() {
|
||||
// §5.3 授权快照门:缺 authorizationSnapshot 的来源不进 Prompt
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(binding(5001L, "search", null)));
|
||||
when(projectionMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(projection(5001L, "active")));
|
||||
RetrievalResult result = retrievalApi.retrieveForWork(req());
|
||||
assertEquals("not_authorized", result.omittedReason());
|
||||
verifyNoInteractions(ragflowBindingMapper, ragFlowClient);
|
||||
}
|
||||
|
||||
@Test
|
||||
void should_omitNotAuthorized_whenSourceStatusBlocked() {
|
||||
// §4.3 来源状态门:revoked ∈ 阻断集 → 拒
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(authorizedBinding(5001L)));
|
||||
when(projectionMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(projection(5001L, "revoked")));
|
||||
RetrievalResult result = retrievalApi.retrieveForWork(req());
|
||||
assertEquals("not_authorized", result.omittedReason());
|
||||
assertEquals("revoked", result.omittedSources().get(0).sourceStatus());
|
||||
verifyNoInteractions(ragflowBindingMapper, ragFlowClient);
|
||||
}
|
||||
|
||||
@Test
|
||||
void should_omitNotAuthorized_whenProjectionMissing() {
|
||||
// 来源状态未知(active binding 但无投影)→ fail-closed 拒
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(authorizedBinding(5001L)));
|
||||
when(projectionMapper.selectActiveByWorkId(4001L)).thenReturn(List.of());
|
||||
RetrievalResult result = retrievalApi.retrieveForWork(req());
|
||||
assertEquals("not_authorized", result.omittedReason());
|
||||
verifyNoInteractions(ragflowBindingMapper, ragFlowClient);
|
||||
}
|
||||
|
||||
@Test
|
||||
void should_returnNoDataset_whenAuthorizedButNoActiveDataset() {
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(authorizedBinding(5001L)));
|
||||
when(projectionMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(projection(5001L, "active")));
|
||||
when(ragflowBindingMapper.selectActiveDatasetByKbId(5001L)).thenReturn(null);
|
||||
RetrievalResult result = retrievalApi.retrieveForWork(req());
|
||||
assertEquals("no_dataset", result.omittedReason());
|
||||
assertEquals("no_dataset", result.omittedSources().get(0).reason());
|
||||
verifyNoInteractions(ragFlowClient);
|
||||
}
|
||||
|
||||
@Test
|
||||
void should_returnChunks_whenRetrievalSucceeds() {
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(activeBinding(5001L)));
|
||||
void should_returnChunksWithContractFields_whenAuthorizedAndRetrievalSucceeds() {
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(authorizedBinding(5001L)));
|
||||
when(projectionMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(projection(5001L, "active")));
|
||||
when(ragflowBindingMapper.selectActiveDatasetByKbId(5001L)).thenReturn(dataset("ds-1"));
|
||||
// 用 RAGFlow /api/v1/retrieval 官方真实响应结构(chunk 正文为 content、dataset 标识为 kb_id)验容错解析与 kb_id→muse kbId 反查
|
||||
// RAGFlow /api/v1/retrieval 官方真实结构(content 正文 + kb_id 指 dataset)
|
||||
String json = "{\"code\":0,\"data\":{\"chunks\":[{"
|
||||
+ "\"content\":\"开头要抓人\",\"content_ltks\":\"开头 抓人\",\"document_id\":\"doc-9\","
|
||||
+ "\"document_keyword\":\"x.txt\",\"id\":\"chunk-1\",\"kb_id\":\"ds-1\","
|
||||
+ "\"similarity\":0.88,\"term_similarity\":1.0,\"vector_similarity\":0.8}],\"total\":1}}";
|
||||
+ "\"content\":\"开头要抓人\",\"document_id\":\"doc-9\",\"id\":\"chunk-1\",\"kb_id\":\"ds-1\","
|
||||
+ "\"similarity\":0.88,\"vector_similarity\":0.8}],\"total\":1}}";
|
||||
when(ragFlowClient.retrieveChunks(any(RetrieveChunksCommand.class))).thenReturn(retrievalSuccess(json));
|
||||
RetrievalResult result = retrievalApi.retrieveForWork(req());
|
||||
assertTrue(result.hasChunks());
|
||||
assertEquals(1, result.chunks().size());
|
||||
assertEquals(5001L, result.chunks().get(0).sourceKbId());
|
||||
assertEquals("ds-1", result.chunks().get(0).datasetId());
|
||||
assertEquals("开头要抓人", result.chunks().get(0).contentSummary());
|
||||
assertEquals("doc-9", result.chunks().get(0).documentId());
|
||||
assertEquals(0.88, result.chunks().get(0).similarity(), 0.0001);
|
||||
MuseKnowledgeRetrievalApi.RetrievedChunk chunk = result.chunks().get(0);
|
||||
assertEquals(5001L, chunk.sourceKbId());
|
||||
assertEquals("ds-1", chunk.datasetId());
|
||||
assertEquals("doc-9", chunk.documentId());
|
||||
assertEquals("开头要抓人", chunk.contentSummary());
|
||||
assertEquals(0.88, chunk.similarity(), 0.0001);
|
||||
// §5.3 合同字段全带齐
|
||||
assertEquals("user", chunk.sourceOwner());
|
||||
assertEquals("3", chunk.sourceObjectVersion());
|
||||
assertEquals("auth-5001", chunk.authorizationSnapshotId());
|
||||
assertEquals("active", chunk.sourceStatus());
|
||||
assertEquals("search,generate", chunk.allowedPurpose());
|
||||
}
|
||||
|
||||
@Test
|
||||
void should_returnRetrievalFailed_whenClientFails() {
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(activeBinding(5001L)));
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(authorizedBinding(5001L)));
|
||||
when(projectionMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(projection(5001L, "active")));
|
||||
when(ragflowBindingMapper.selectActiveDatasetByKbId(5001L)).thenReturn(dataset("ds-1"));
|
||||
RuntimeResult failed = new RuntimeResult(null, Operation.RETRIEVE_CHUNKS, "c", null, 1, 10L,
|
||||
Status.FAILED, FailureClass.RAGFLOW_UNAVAILABLE, null, "r", List.of(), Map.of());
|
||||
@ -133,7 +209,8 @@ class MuseKnowledgeRetrievalApiImplTest extends BaseMockitoUnitTest {
|
||||
|
||||
@Test
|
||||
void should_returnNoChunk_whenResponseHasEmptyChunks() {
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(activeBinding(5001L)));
|
||||
when(bindingMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(authorizedBinding(5001L)));
|
||||
when(projectionMapper.selectActiveByWorkId(4001L)).thenReturn(List.of(projection(5001L, "active")));
|
||||
when(ragflowBindingMapper.selectActiveDatasetByKbId(5001L)).thenReturn(dataset("ds-1"));
|
||||
when(ragFlowClient.retrieveChunks(any(RetrieveChunksCommand.class)))
|
||||
.thenReturn(retrievalSuccess("{\"code\":0,\"data\":{\"chunks\":[]}}"));
|
||||
|
||||
Loading…
x
Reference in New Issue
Block a user