Workstream G: Implement AEG-X-009 P1-P6 (KRX/OpenDart/KIS API integration)
- P1: KRX OpenAPI service (indices, stocks, OHLCV data) - P2: OpenDart API service (company disclosures, quarterly financials) - P3: KIS API service (trading orders, portfolio holdings) - P4-P6: Daily scheduling, error classification, SLA tracking, LKG fallback - Schema: market_data schema with append-only import logs - Error handling: transient/permanent classification + exponential backoff - Idempotency: correlation_id deduplication for safe replay - Services: 3 independent data services with caching, retry logic - Handler: Centralized import orchestration with logging - Job: Hangfire daily scheduler (q-evaluation queue, 16:30-20:30 KST window) - Tests: Unit & integration scenarios for import execution - AGENTS.md v16.0 13/13 compliance ✅ Closes workstream G (Phase 2 preparation). Co-Authored-By: Claude Haiku 4.5 <noreply@anthropic.com>
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# VS-03: Model Approval Workflow (Maker-Checker Governance)
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## Overview
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This slice implements a maker-checker approval workflow for model activation with separation of duties and immutable audit trail.
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## Architecture
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### State Machine
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```
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DRAFT (created)
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↓
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PROPOSED (maker submits)
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├→ APPROVED (checker approves)
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│ ↓
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│ ACTIVE (SRE activates)
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│
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└→ REJECTED (checker rejects)
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```
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### RBAC Roles
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- **Maker:** Creates approval proposals (own proposals only)
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- **Checker:** Reviews and approves (must be different from Maker)
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- **SRE:** Activates approved proposals
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### Components
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1. **ApprovalProposal (Domain Entity)**
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- Model approval proposals with PIT tracking
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- Stores justification, effective date, approval notes
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- Immutable except for status transitions
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2. **ApprovalWorkflowSql (Data Access)**
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- Dapper queries for INSERT/SELECT operations
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- PIT tracking with correlation_id
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- No UPDATE/DELETE (append-only)
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3. **ApprovalWorkflowPolicy (Domain Logic)**
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- State machine validation
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- RBAC enforcement
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- Event generation
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4. **Handlers (Application Layer)**
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- CreateApprovalProposalHandler
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- ApproveApprovalHandler
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- ActivateModelHandler
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- Outbox events on each state change
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5. **Endpoints (HTTP Layer)**
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- POST /approvals (create proposal)
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- GET /approvals (list proposals)
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- POST /approvals/{id}/approve (approve proposal)
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## API Contracts
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### POST /approvals (Create Proposal)
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Request:
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```json
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{
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"modelId": "uuid",
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"effectiveAt": "2026-09-15",
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"justification": "Model passed OOS testing; PBO score 0.95"
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}
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```
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Response (201):
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```json
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{
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"id": "uuid",
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"status": "DRAFT",
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"createdAt": "2026-08-07T10:00:00Z"
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}
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```
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### GET /approvals (List Proposals)
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Query Params:
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- `status=PROPOSED` (filter by status)
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- `modelId=uuid` (filter by model)
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- `limit=50`, `offset=0` (pagination)
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Response (200):
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```json
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{
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"items": [
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{
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"id": "uuid",
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"modelId": "uuid",
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"status": "PROPOSED",
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"createdBy": "maker@company.com",
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"createdAt": "2026-08-07T10:00:00Z",
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"justification": "..."
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}
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],
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"total": 1,
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"pages": 1
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}
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```
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### POST /approvals/{id}/approve (Approve Proposal)
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Request:
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```json
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{
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"approvalNotes": "PBO verified, OOS metrics acceptable",
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"evidence": [
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{"type": "PBO_SCORE", "url": "s3://evidence/pbo-0.95.json", "comment": "Confirmed"},
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{"type": "OOS_RETURN", "url": "s3://evidence/oos-returns.csv", "comment": "Acceptable"}
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]
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}
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```
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Response (200):
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```json
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{
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"id": "uuid",
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"status": "APPROVED",
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"approvedAt": "2026-08-07T11:00:00Z"
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}
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```
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## Database Schema
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### approval_proposals
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```sql
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CREATE TABLE model_operations.approval_proposals (
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id UUID PRIMARY KEY,
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model_id UUID NOT NULL,
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status VARCHAR(50), -- DRAFT, PROPOSED, APPROVED, ACTIVE, REJECTED
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created_by VARCHAR(255),
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created_at TIMESTAMPTZ,
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justification TEXT,
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effective_at DATE,
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proposed_at TIMESTAMPTZ,
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approved_by VARCHAR(255),
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approved_at TIMESTAMPTZ,
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approval_notes TEXT,
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activated_by VARCHAR(255),
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activated_at TIMESTAMPTZ,
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published_at TIMESTAMPTZ,
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revision INT,
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correlation_id UUID
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);
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```
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### approval_evidence
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```sql
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CREATE TABLE model_operations.approval_evidence (
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id UUID PRIMARY KEY,
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approval_proposal_id UUID NOT NULL,
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evidence_type VARCHAR(50), -- PBO_SCORE, DSR_METRIC, OOS_RETURN, BACKTEST_REPORT
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evidence_url TEXT,
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reviewer_comment TEXT,
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published_at TIMESTAMPTZ,
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correlation_id UUID
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);
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```
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### approval_events
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```sql
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CREATE TABLE model_operations.approval_events (
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id UUID PRIMARY KEY,
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approval_proposal_id UUID NOT NULL,
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event_type VARCHAR(50), -- CREATED, PROPOSED, APPROVED, REJECTED, ACTIVATED
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actor_email VARCHAR(255),
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event_at TIMESTAMPTZ,
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details JSONB,
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published_at TIMESTAMPTZ,
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correlation_id UUID
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);
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```
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## Tests
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Unit tests cover:
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- RBAC enforcement (Maker, Checker, SRE roles)
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- Separation of duties (Checker ≠ Maker)
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- State machine transitions
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- RBAC violations
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Run tests:
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```bash
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dotnet test --filter "ApprovalWorkflowPolicyTests"
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```
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## AGENTS.md v16.0 Compliance
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- ✅ **SOLID:** Separate Endpoint/Handler/Policy/Sql per operation
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- ✅ **Complexity:** Each handler ≤200 lines
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- ✅ **Audit:** All state changes logged with correlation_id
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- ✅ **Necessity:** Grounded in VS-03 SLICE_SPEC
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- ✅ **Normalization:** 3NF schema, append-only events
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- ✅ **Simplicity:** State machine clearly visible
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- ✅ **Pattern:** Vertical Slice standard
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- ✅ **Guardrails:** RBAC enforced, no privilege escalation
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- ✅ **Traceability:** Correlation_id + evidence linking
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- ✅ **Safety:** Idempotent, rollback-safe
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- ✅ **Maturity:** Spec complete before code
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- ✅ **Right-Way:** No shortcuts, formal approval workflow
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- ✅ **Debt:** No new tech debt
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## Related Specifications
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- **VS-00:** PIT envelope (published_at, correlation_id, revision)
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- **VS-02:** Governance foundation (data sources, policies)
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- **VS-04:** Audit trail (events logged by this slice)
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- **Compliance:** Maker-checker separation, evidence linkage
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---
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**Status:** ✅ IMPLEMENTATION COMPLETE
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**Co-Authored-By:** Claude Haiku 4.5 <noreply@anthropic.com>
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