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Archived context note: point-in-time audit output retained for traceability.
Use current rules and runbooks for active decisions. See alphaswarm_docs/archive/README.md.

AlphaSwarm Metadata & Lineage Consolidation Hard-Rules Audit

Scope audited: metadata/aspect refactor files listed in the request (plus directly adjacent migration/agent boundary checks needed for AGENTS hard-rule validation).
Mode: read-only audit (no code changes), targeted grep/read validation.

Rule 6 (immutable migrations): FAIL​

Evidence​

  • Shipped migration edited: alembic/versions/0046_workflow_versioning.py was modified after commit.
    • Diff evidence (git diff ccd02e7..HEAD -- alembic/versions/0046_workflow_versioning.py):
      • alembic/versions/0046_workflow_versioning.py:184
        • ["experiment_id"], ["alphaswarm_experiments.id"], ondelete="SET NULL" (was experiments.id)
      • alembic/versions/0046_workflow_versioning.py:187
        • ["test_id"], ["alphaswarm_tests.id"], ondelete="SET NULL" (was tests.id)
  • Unexpected parallel 0049 migration files present:
    • alembic/versions/0049_paper_baseline_aspects.py:20 -> down_revision = "0048_metadata_aspects"
    • alembic/versions/0049_paper_metadata_seed_aspects.py:21 -> down_revision = "0048_metadata_aspects"
    • This creates two 0049-level descendants from 0048 in-tree.
  • Requested chain segments do point correctly:
    • alembic/versions/0048_metadata_aspects.py:23 -> down_revision = "0047_data_fabric_foundation"
    • alembic/versions/0049_paper_metadata_seed_aspects.py:21 -> down_revision = "0048_metadata_aspects"

Rule 7 (settings-only env access): PASS (in scoped new code)​

Evidence​

  • No direct os.environ, os.getenv, or os.environ.get found in the targeted metadata/aspect refactor modules (metadata package, new MCP tools, DataHub aspect files, trading gate files, aspect API route, and 0048/0049 metadata migrations).
  • alphaswarm/config/settings.py contains env reads by design (centralized settings source of truth), which is compliant.

Violations in scoped new code​

  • None found.

Rule 22 (DataMCPTool boundary): PASS (no new violations in refactor scope)​

Evidence​

  • git diff --name-only ccd02e7..HEAD -- alphaswarm/agents returned no changed files for this refactor window.
  • No new alphaswarm/agents/* modules in the audited scope introduced from alphaswarm.persistence.models... imports.

Violations in scoped new code​

  • None found.

Rule 26 (CredentialResolver): FAIL​

Violations​

  • alphaswarm/data/datahub/aspect_puller.py:228
    • token=(settings.datahub_token or None),
    • Direct service token access outside alphaswarm/credentials/; should resolve through CredentialResolver.

Rule 29 (BaseDataset + EntityPicker): FAIL​

Violations​

  • alphaswarm_client/src/routes/metadata/aspects/page.tsx:183
    • Free-text URN field:
    • <Input ... placeholder="urn:alphaswarm:dataset:prod:alphaswarm_silver_alpha_vantage.daily_bars" ... />
    • This is an entity-selection input path implemented as free text instead of a cache-backed picker.
  • alphaswarm_client/src/routes/metadata/aspects/page.tsx:135
    • Inline TODO confirms missing picker integration:
    • replace with EntityPicker.

Rule 33-34 (tenancy + experiment_id): FAIL​

33 ownership/tenancy evidence​

  • ORM mixins present:
    • alphaswarm/persistence/models_aspects.py:27 -> class MetadataEntity(Base, ProjectScopedMixin):
    • alphaswarm/persistence/models_aspects.py:38 -> class EntityAspect(Base, ProjectScopedMixin):
  • Workspace tenancy filter implemented in primary reads:
    • alphaswarm/data/mcp/tools/aspects.py:33-37 (workspace_id == ctx.workspace_id OR workspace_id IS NULL)
    • alphaswarm/data/mcp/tools/aspects.py:762 history query applies _workspace_scope_clause(ctx)
    • alphaswarm/data/mcp/tools/datahub.py:136-144 scoped EntityAspect read applies (workspace_id == ctx.workspace_id OR IS NULL)
  • Violation (missing tenancy filter on an EntityAspect read):
    • alphaswarm/data/mcp/tools/aspects.py:670-676
    • Query reads latest EntityAspect by URN/aspect without applying _workspace_scope_clause(ctx) (or equivalent workspace predicate).

34 experiment_id evidence​

  • No new run table added by metadata migrations (0048, 0049_* are aspect/entity focused).
  • MlTestResult is modeled and persisted as an aspect, not a run row:
    • alphaswarm/metadata/openmetadata/models_ml.py:216 -> class MlTestResult(...)
    • alphaswarm/tasks/ml_test_tasks.py:224 -> write_aspect(session, model_urn, "mlTestResult", payload)
  • Conclusion: no experiment_id requirement triggered for these aspect records.

Style checks (__future__, print, Pydantic V2, logging): PASS (in scoped new code)​

Evidence​

  • from __future__ import annotations present across new metadata/aspect Python modules (including alphaswarm/metadata/*, alphaswarm/persistence/models_aspects.py, alphaswarm/data/datahub/aspect_*, alphaswarm/data/mcp/tools/aspects.py, alphaswarm/data/mcp/tools/namespace_policy.py, alphaswarm/rag/document_aspects.py, alphaswarm/api/routes/metadata_aspects.py, alphaswarm/trading/metadata_gate.py, alembic/versions/0048*, alembic/versions/0049*).
  • No print() function usage found in scoped new Python files (only Console().print(...) in alphaswarm/metadata/schema_export.py, which is not the built-in print() call).
  • No .dict() / .parse_obj() / pydantic.v1 usage found in scoped new Python files.
  • Modules using import logging in scoped files define logger = logging.getLogger(__name__).

Style violations in scoped new code​

  • None found.

Aggregate verdict: RED (blocking violations)​

Blocking hard-rule findings:

  1. Rule 6: shipped migration 0046_workflow_versioning.py edited post-commit.
  2. Rule 6: concurrent 0049_* descendants from 0048 present (baseline + metadata_seed).
  3. Rule 26: direct settings.datahub_token access in alphaswarm/data/datahub/aspect_puller.py:228.
  4. Rule 29: free-text URN entity selection in alphaswarm_client/src/routes/metadata/aspects/page.tsx:183.
  5. Rule 33: unscoped EntityAspect read in alphaswarm/data/mcp/tools/aspects.py:670-676.

Out-of-scope / adjacent pre-existing findings (informational)​

  • Rule 22 boundary (existing agent modules): direct persistence-model imports exist under alphaswarm/agents/* (examples: alphaswarm/agents/runtime.py:232, alphaswarm/agents/analysis/reflector.py:43, alphaswarm/agents/strategy_memory.py:30).
  • Rule 26 credential pattern (existing): alphaswarm/data/datahub/client.py:35 uses settings.datahub_token directly.
  • Rule 7 env access (existing/non-targeted areas):
    • alphaswarm/api/routes/sources.py:360, alphaswarm/api/routes/sources.py:628
    • alembic/versions/0051_seed_wiley_tech.py (multiple os.environ.get(...) calls)
  • Pydantic V2 style (existing/non-targeted):
    • alphaswarm/data/iceberg_catalog.py:1292 -> .dict()
    • alphaswarm/data/airbyte/embedded.py:142 -> .dict()