""" Workflow Automation Engine - Comprehensive investigation automation """ import logging from datetime import datetime, timedelta from enum import Enum from typing import Any from pydantic import BaseModel logger = logging.getLogger(__name__) class CaseType(str, Enum): AML_INVESTIGATION = "aml_investigation" FRAUD_DETECTION = "fraud_detection" NETWORK_ANALYSIS = "network_analysis" COMPLIANCE_REVIEW = "compliance_review" class InvestigationStatus(str, Enum): NEW = "new" IN_PROGRESS = "in_progress" EVIDENCE_COLLECTION = "evidence_collection" ANALYSIS = "analysis" REVIEW = "review" COMPLETED = "completed" CLOSED = "closed" class AutomatedAction(BaseModel): """Automated action generated for investigation workflow""" id: str action_type: str title: str description: str priority: str # low, medium, high, critical evidence_required: list[str] estimated_duration: int # in minutes ai_persona: str confidence_score: float execution_script: str | None = None class InvestigationTemplate(BaseModel): """Auto-generated investigation template""" id: str case_type: CaseType title: str description: str required_evidence: list[str] standard_actions: list[str] regulatory_requirements: list[str] estimated_duration: int # in hours class WorkflowEngine: """Automated investigation workflow engine""" def __init__(self): self.case_templates = self._initialize_templates() self.workflow_rules = self._initialize_workflow_rules() def _initialize_templates(self) -> dict[CaseType, InvestigationTemplate]: """Initialize investigation templates for different case types""" return { CaseType.AML_INVESTIGATION: InvestigationTemplate( id="aml_template_001", case_type=CaseType.AML_INVESTIGATION, title="Anti-Money Laundering Investigation", description="Comprehensive AML investigation template covering transaction analysis, structuring detection, and SAR filing", required_evidence=[ "Transaction records", "Account statements", "Customer identification documents", "Wire transfer instructions", "Beneficial ownership documentation", ], standard_actions=[ "Initial risk assessment", "Transaction pattern analysis", "Network mapping", "Evidence collection", "SAR preparation and filing", ], regulatory_requirements=[ "Fincen 314a requirements", "FATF 40 recommendations", "Local AML regulations", ], estimated_duration=48, ), CaseType.FRAUD_DETECTION: InvestigationTemplate( id="fraud_template_001", case_type=CaseType.FRAUD_DETECTION, title="Fraud Detection Investigation", description="Template for investigating various types of fraud including account takeover, payment fraud, and identity theft", required_evidence=[ "Suspicious activity logs", "Account access records", "Device fingerprinting data", "Customer complaints", "Transaction patterns", ], standard_actions=[ "Fraud assessment", "Evidence gathering", "Victim interview", "Forensic analysis", "Loss calculation", ], regulatory_requirements=[ "Consumer protection laws", "Data breach notification", "Financial institution policies", ], estimated_duration=24, ), CaseType.NETWORK_ANALYSIS: InvestigationTemplate( id="network_template_001", case_type=CaseType.NETWORK_ANALYSIS, title="Transaction Network Analysis", description="Template for analyzing complex transaction networks and identifying connected entities", required_evidence=[ "Transaction data", "Entity relationship data", "Geographic information", "Communication patterns", ], standard_actions=[ "Network mapping", "Entity identification", "Relationship analysis", "Flow tracing", "Visualization", ], regulatory_requirements=[ "Data privacy regulations", "Cross-border transfer rules", "Sanctions screening requirements", ], estimated_duration=72, ), CaseType.COMPLIANCE_REVIEW: InvestigationTemplate( id="compliance_template_001", case_type=CaseType.COMPLIANCE_REVIEW, title="Regulatory Compliance Review", description="Template for conducting comprehensive compliance reviews and audit preparation", required_evidence=[ "Policy documents", "Transaction samples", "Customer risk assessments", "Internal controls documentation", ], standard_actions=[ "Policy review", "Gap analysis", "Control testing", "Audit preparation", "Management reporting", ], regulatory_requirements=[ "Applicable regulations", "Industry standards", "Best practices framework", ], estimated_duration=36, ), } def _initialize_workflow_rules(self) -> dict[str, Any]: """Initialize workflow automation rules""" return { "auto_escalation": { "risk_threshold": 0.8, "time_threshold": 24, # hours "required_approval": True, }, "evidence_collection": { "auto_categorization": True, "relevance_scoring": True, "duplicate_detection": True, }, "timeline_generation": { "auto_sorting": True, "gap_detection": True, "confidence_threshold": 0.7, }, "report_generation": { "auto_population": True, "template_matching": True, "compliance_check": True, }, } async def generate_investigation_case( self, alert_data: dict[str, Any], case_type: CaseType, ai_insights: list[dict[str, Any]] | None = None, ) -> dict[str, Any]: """Generate complete investigation case with automation""" try: template = self.case_templates[case_type] # Generate case ID case_id = f"case_{datetime.now().strftime('%Y%m%d_%H%M%S')}" # Auto-generate investigation actions actions = await self._generate_automated_actions( alert_data, template, ai_insights ) # Generate evidence collection plan evidence_plan = await self._generate_evidence_plan(alert_data, template) # Generate timeline timeline = await self._generate_investigation_timeline(alert_data, actions) # Calculate investigation parameters investigation_params = await self._calculate_investigation_parameters( alert_data, template, actions ) return { "case_id": case_id, "template": template.dict(), "generated_actions": [action.dict() for action in actions], "evidence_plan": evidence_plan, "timeline": timeline, "parameters": investigation_params, "status": InvestigationStatus.NEW, "created_at": datetime.now().isoformat(), "ai_enhanced": True, } except Exception as e: logger.error(f"Failed to generate investigation case: {e}") return {"error": str(e), "case_id": None, "status": InvestigationStatus.NEW} async def _generate_automated_actions( self, alert_data: dict[str, Any], template: InvestigationTemplate, ai_insights: list[dict[str, Any]], ) -> list[AutomatedAction]: """Generate AI-enhanced automated actions for investigation""" actions = [] # Analyze alert risk level risk_score = alert_data.get("risk_score", 0.5) alert_data.get("alert_type", "unknown") # Generate actions based on template and AI insights for i, standard_action in enumerate(template.standard_actions): priority = self._calculate_action_priority(standard_action, risk_score, i) confidence = self._calculate_action_confidence(standard_action, ai_insights) estimated_duration = self._estimate_action_duration( standard_action, alert_data ) action = AutomatedAction( id=f"action_{i + 1}", action_type=standard_action, title=standard_action.replace("_", " ").title(), description=f"AI-generated {standard_action} for {template.title}", priority=priority, evidence_required=self._get_required_evidence( standard_action, template ), estimated_duration=estimated_duration, ai_persona=self._get_best_persona_for_action(standard_action), confidence_score=confidence, ) actions.append(action) return actions def _calculate_action_priority( self, action: str, risk_score: float, sequence: int ) -> str: """Calculate priority based on action sequence and risk level""" if risk_score >= 0.8: return "critical" elif risk_score >= 0.6 or sequence <= 2: return "high" elif sequence <= 5: return "medium" else: return "low" def _calculate_action_confidence( self, action: str, ai_insights: list[dict[str, Any]] ) -> float: """Calculate confidence score for action based on AI insights""" if not ai_insights: return 0.7 # Default confidence # Find matching insights for this action matching_insights = [ insight for insight in ai_insights if action.lower() in insight.get("description", "").lower() ] if matching_insights: # Average confidence from matching insights return sum( insight.get("confidence", 0.7) for insight in matching_insights ) / len(matching_insights) return 0.7 def _estimate_action_duration(self, action: str, alert_data: dict[str, Any]) -> int: """Estimate action duration in minutes based on action type and alert complexity""" base_durations = { "Initial risk assessment": 15, "Transaction pattern analysis": 45, "Network mapping": 90, "Evidence collection": 120, "SAR preparation and filing": 60, "Fraud assessment": 30, "Forensic analysis": 180, "Policy review": 45, "Audit preparation": 90, } # Adjust based on alert complexity complexity_factor = 1.0 if alert_data.get("transaction_count", 0) > 100: complexity_factor = 1.5 if alert_data.get("involved_entities", 0) > 10: complexity_factor = 1.3 if len(alert_data.get("alert_types", [])) > 1: complexity_factor = 1.4 action_duration = base_durations.get(action, 60) return int(action_duration * complexity_factor) def _get_required_evidence( self, action: str, template: InvestigationTemplate ) -> list[str]: """Get required evidence for a specific action""" action_evidence_mapping = { "Initial risk assessment": ["Transaction records", "Customer profile"], "Transaction pattern analysis": [ "Transaction history", "Account statements", ], "Network mapping": ["Transaction data", "Entity information"], "Evidence collection": ["All available evidence", "Supporting documents"], "SAR preparation and filing": [ "Transaction evidence", "Analysis results", "Risk assessment", ], } return action_evidence_mapping.get(action, ["Supporting documentation"]) def _get_best_persona_for_action(self, action: str) -> str: """Get the best AI persona for a specific action""" persona_mapping = { "Initial risk assessment": "risk_quantifier", "Transaction pattern analysis": "aml_analyst", "Network mapping": "network_mapper", "Evidence collection": "behavioral_profiler", "SAR preparation and filing": "compliance_officer", "Fraud assessment": "network_mapper", "Forensic analysis": "network_mapper", } return persona_mapping.get(action, "aml_analyst") async def _generate_evidence_plan( self, alert_data: dict[str, Any], template: InvestigationTemplate ) -> dict[str, Any]: """Generate automated evidence collection plan""" return { "required_evidence": template.required_evidence, "auto_collection_methods": self._get_collection_methods(alert_data), "evidence_priority_scoring": True, "duplicate_detection": True, "metadata_extraction": True, "estimated_collection_time": len(template.required_evidence) * 30, # 30 minutes per evidence item } def _get_collection_methods(self, alert_data: dict[str, Any]) -> list[str]: """Get evidence collection methods based on alert data""" methods = [] if alert_data.get("has_transactions"): methods.append("Automated transaction parsing") if alert_data.get("has_documents"): methods.append("Document OCR and analysis") if alert_data.get("has_communications"): methods.append("Communication pattern analysis") if alert_data.get("digital_footprint"): methods.append("Digital forensics and IP tracing") return methods if methods else ["Manual evidence collection"] async def _generate_investigation_timeline( self, alert_data: dict[str, Any], actions: list[AutomatedAction] ) -> dict[str, Any]: """Generate investigation timeline with automated actions""" timeline_events = [] # Add initial alert alert_timestamp = alert_data.get("timestamp", datetime.now()) timeline_events.append( { "id": "initial_alert", "timestamp": alert_timestamp.isoformat(), "event": "Fraud Alert Triggered", "type": "alert", "duration": 0, } ) # Add automated actions total_duration = 0 for action in actions: start_time = alert_timestamp + timedelta(minutes=total_duration) start_time + timedelta(minutes=action.estimated_duration) timeline_events.append( { "id": action.id, "timestamp": start_time.isoformat(), "event": action.title, "type": "action", "duration": action.estimated_duration, "persona": action.ai_persona, "confidence": action.confidence_score, } ) total_duration += action.estimated_duration # Add completion milestone completion_time = alert_timestamp + timedelta(minutes=total_duration) timeline_events.append( { "id": "investigation_completion", "timestamp": completion_time.isoformat(), "event": "Automated Investigation Complete", "type": "milestone", "duration": 0, } ) return { "events": timeline_events, "total_estimated_duration": total_duration, "estimated_completion": completion_time.isoformat(), "automation_level": len(actions) / 10, # Automation score out of 10 } async def _calculate_investigation_parameters( self, alert_data: dict[str, Any], template: InvestigationTemplate, actions: list[AutomatedAction], ) -> dict[str, Any]: """Calculate investigation parameters""" return { "complexity_score": self._calculate_complexity_score(alert_data), "resource_requirements": self._estimate_resources(actions), "critical_path_analysis": self._identify_critical_path(actions), "success_probability": self._calculate_success_probability( alert_data, actions ), "regulatory_risk_level": self._assess_regulatory_risk(alert_data), "automation_potential": len(actions) / len(template.standard_actions) * 100, } def _calculate_complexity_score(self, alert_data: dict[str, Any]) -> float: """Calculate investigation complexity score""" score = 0.0 # Transaction count complexity tx_count = alert_data.get("transaction_count", 1) if tx_count > 50: score += 0.3 elif tx_count > 100: score += 0.6 elif tx_count > 200: score += 1.0 # Entity complexity entity_count = alert_data.get("involved_entities", 1) if entity_count > 5: score += 0.2 elif entity_count > 10: score += 0.4 # Time span complexity time_span_days = alert_data.get("time_span_days", 1) if time_span_days > 30: score += 0.3 elif time_span_days > 90: score += 0.6 return min(score, 1.0) def _estimate_resources(self, actions: list[AutomatedAction]) -> dict[str, Any]: """Estimate resource requirements for investigation""" total_duration = sum(action.estimated_duration for action in actions) investigator_hours = total_duration / 60 # Convert to hours return { "total_estimated_hours": investigator_hours, "required_skills": list( {self._get_required_skills(action.action_type) for action in actions} ), "system_requirements": [ "Investigation Platform", "AI Assistant", "Data Analysis Tools", ], "estimated_cost": investigator_hours * 150, # $150/hour average "critical_path_hours": sum( action.estimated_duration for action in actions if action.priority in ["critical", "high"] ) / 60, } def _get_required_skills(self, action_type: str) -> list[str]: """Get required skills for action type""" skill_mapping = { "Initial risk assessment": ["Risk Analysis", "Quantitative Methods"], "Transaction pattern analysis": ["AML Knowledge", "Pattern Recognition"], "Network mapping": [ "Graph Theory", "Relationship Analysis", "Data Visualization", ], "Evidence collection": [ "Forensic Analysis", "Evidence Handling", "Chain of Custody", ], "SAR preparation and filing": [ "Regulatory Compliance", "Legal Writing", "Documentation", ], "Fraud assessment": [ "Fraud Investigation", "Interviewing", "Digital Forensics", ], } return skill_mapping.get(action_type, ["Investigation"]) def _identify_critical_path(self, actions: list[AutomatedAction]) -> list[str]: """Identify critical path actions""" critical_actions = [] for action in actions: if ( action.priority in ["critical", "high"] and action.confidence_score >= 0.8 ): critical_actions.append(action.id) return critical_actions def _calculate_success_probability( self, alert_data: dict[str, Any], actions: list[AutomatedAction] ) -> float: """Calculate probability of investigation success""" base_probability = 0.75 # Factors that influence success if len(actions) >= 5: base_probability += 0.1 # Comprehensive plan high_confidence_actions = [a for a in actions if a.confidence_score >= 0.8] if len(high_confidence_actions) >= 3: base_probability += 0.1 # High confidence in actions if alert_data.get("has_clear_evidence"): base_probability += 0.05 # Strong evidence if alert_data.get("has_cooperation"): base_probability += 0.05 # Cooperative parties return min(base_probability, 0.95) def _assess_regulatory_risk(self, alert_data: dict[str, Any]) -> str: """Assess regulatory risk level""" risk_indicators = [] if alert_data.get("involves_political_figures"): risk_indicators.append("PEP") if alert_data.get("cross_border"): risk_indicators.append("International Transfer") if alert_data.get("high_value_transactions"): risk_indicators.append("High Value") if len(risk_indicators) >= 2: return "high" elif len(risk_indicators) >= 1: return "medium" else: return "low"