kjh2064
97444c932f
- 2 audit query endpoints: GET /audit/events (filtered), GET /audit/events/{id}
- 1 GDPR endpoint: POST /compliance/gdpr-request (right-to-be-forgotten)
- Immutable INSERT-only audit_events table with correlation_id
- GDPR redaction (soft delete): anonymize personal data, keep audit trail
- Regulatory compliance: FSS 7-year retention, GDPR Article 17, PCI-DSS logging
- Integration: Event subscribers for all model operations
- Schema: Append-only with PIT tracking, evidence links (S3 artifacts)
- Tests: 6+ integration scenarios (insert, query, GDPR redaction)
- AGENTS.md v16.0 13/13 compliance ✅
Closes workstream I (Phase 2 implementation, compliance layer).
Co-Authored-By: Claude Haiku 4.5 <noreply@anthropic.com>
85 lines
4.2 KiB
SQL
85 lines
4.2 KiB
SQL
-- Workstream I: VS-04 Audit Trail (Immutable events + GDPR compliance)
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-- Creates compliance audit trail for model operations, regulatory reporting, and GDPR redaction
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-- Audit events (immutable, INSERT-only)
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CREATE TABLE IF NOT EXISTS compliance.audit_events (
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id UUID PRIMARY KEY,
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event_type VARCHAR(100) NOT NULL, -- MODEL_CREATED, APPROVAL_PROPOSED, APPROVAL_APPROVED, MODEL_ACTIVATED, SELL_DECISION_MADE, SELL_EXECUTED, BACKTEST_COMPLETED, DATA_CORRECTION, etc.
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entity_type VARCHAR(50) NOT NULL, -- MODEL, APPROVAL, SELL_DECISION, TRADE_EXECUTION
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entity_id UUID NOT NULL,
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actor_email VARCHAR(255) NOT NULL,
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actor_role VARCHAR(50), -- MAKER, CHECKER, SRE, SYSTEM
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event_at TIMESTAMPTZ NOT NULL,
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result VARCHAR(50) NOT NULL, -- SUCCESS, FAILURE, PARTIAL
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error_message TEXT,
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details JSONB, -- Event-specific metadata
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evidence_links TEXT[], -- S3 artifact URLs (PBO scores, OOS returns, backtest reports)
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ip_address INET, -- Source IP for forensics
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user_agent TEXT, -- Client identifier
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published_at TIMESTAMPTZ NOT NULL DEFAULT NOW(),
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correlation_id UUID NOT NULL, -- Links related events
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revision INT NOT NULL DEFAULT 1
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);
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-- Indexes for compliance querying
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CREATE INDEX idx_audit_events_entity_id ON compliance.audit_events(entity_id);
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CREATE INDEX idx_audit_events_event_type ON compliance.audit_events(event_type);
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CREATE INDEX idx_audit_events_actor_email ON compliance.audit_events(actor_email);
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CREATE INDEX idx_audit_events_event_at ON compliance.audit_events(event_at);
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CREATE INDEX idx_audit_events_correlation_id ON compliance.audit_events(correlation_id);
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-- GDPR retention tracking (personal data retention policy)
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CREATE TABLE IF NOT EXISTS compliance.gdpr_retention (
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id UUID PRIMARY KEY,
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event_id UUID NOT NULL REFERENCES compliance.audit_events(id),
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customer_id UUID, -- Links to personal data
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data_categories VARCHAR(50)[], -- PII, EMAIL, TRADING_HISTORY, PORTFOLIO_DATA, etc.
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retention_ends_at DATE, -- When to purge
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purge_status VARCHAR(50) NOT NULL DEFAULT 'PENDING', -- PENDING, PURGED, EXCEPTION
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purged_at TIMESTAMPTZ,
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exception_reason TEXT,
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published_at TIMESTAMPTZ NOT NULL DEFAULT NOW(),
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revision INT NOT NULL DEFAULT 1
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);
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-- Indexes for GDPR processing
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CREATE INDEX idx_gdpr_retention_customer_id ON compliance.gdpr_retention(customer_id);
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CREATE INDEX idx_gdpr_retention_purge_status ON compliance.gdpr_retention(purge_status);
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-- Event types enumeration (reference, not enforced at DB level)
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CREATE TABLE IF NOT EXISTS compliance.audit_event_types (
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event_type VARCHAR(100) PRIMARY KEY,
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description TEXT,
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entity_type VARCHAR(50), -- MODEL, APPROVAL, SELL_DECISION, TRADE_EXECUTION
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created_at TIMESTAMPTZ NOT NULL DEFAULT NOW()
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);
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-- Seed event types
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INSERT INTO compliance.audit_event_types (event_type, description, entity_type) VALUES
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('MODEL_CREATED', 'New model version created', 'MODEL'),
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('MODEL_ARCHIVED', 'Model retired from use', 'MODEL'),
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('APPROVAL_PROPOSED', 'Maker submitted activation proposal', 'APPROVAL'),
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('APPROVAL_APPROVED', 'Checker approved proposal', 'APPROVAL'),
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('APPROVAL_REJECTED', 'Checker rejected proposal', 'APPROVAL'),
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('MODEL_ACTIVATED', 'SRE activated model in production', 'MODEL'),
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('MODEL_DEACTIVATED', 'SRE deactivated model', 'MODEL'),
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('SELL_DECISION_MADE', 'Signal engine generated sell signal', 'SELL_DECISION'),
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('SELL_EXECUTED', 'Trade executed based on signal', 'TRADE_EXECUTION'),
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('BACKTEST_COMPLETED', 'Shadow run/backtest finished', 'MODEL'),
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('DATA_CORRECTION', 'Source data corrected retroactively', 'MODEL'),
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('COMPLIANCE_AUDIT', 'Auditor reviewed trail', 'MODEL')
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ON CONFLICT (event_type) DO NOTHING;
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-- Schema ownership
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ALTER TABLE compliance.audit_events OWNER TO kartsell;
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ALTER TABLE compliance.gdpr_retention OWNER TO kartsell;
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ALTER TABLE compliance.audit_event_types OWNER TO kartsell;
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-- Immutability constraints (enforced via code, not DB triggers)
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-- INSERT-only: no UPDATE, no DELETE permitted on audit_events
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-- Timestamps: immutable after insertion (enforced in application layer)
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-- Correlation_id: immutable for traceability
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-- 7-year retention policy (FSS requirement)
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-- retention_ends_at defaults to now() + 7 years (enforced in application)
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