deepset-ai--haystack/test/components/rankers/test_llm_ranker.py

# SPDX-FileCopyrightText: 2022-present deepset GmbH <info@deepset.ai>
#
# SPDX-License-Identifier: Apache-2.0

import os
from unittest.mock import AsyncMock, Mock

import pytest
from jinja2 import TemplateSyntaxError

from haystack import Document
from haystack.components.generators.chat.openai import OpenAIChatGenerator
from haystack.components.rankers.llm_ranker import DEFAULT_PROMPT_TEMPLATE, LLMRanker
from haystack.dataclasses import ChatMessage


@pytest.fixture
def mock_chat_generator():
    return Mock(spec=OpenAIChatGenerator)


def test_init_invalid_top_k():
    with pytest.raises(ValueError, match="top_k must be > 0"):
        LLMRanker(top_k=0)


def test_init_default_generator(monkeypatch):
    monkeypatch.setenv("OPENAI_API_KEY", "test-key")
    ranker = LLMRanker()

    assert ranker.top_k == 10
    assert ranker.raise_on_failure is False
    assert ranker.prompt == DEFAULT_PROMPT_TEMPLATE
    assert isinstance(ranker._chat_generator, OpenAIChatGenerator)
    assert ranker._chat_generator.model == "gpt-4.1-mini"
    assert ranker._prompt_builder is not None


def test_init_custom_generator(mock_chat_generator):
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=5, raise_on_failure=True)

    assert ranker._chat_generator is mock_chat_generator
    assert ranker.top_k == 5
    assert ranker.raise_on_failure is True


def test_to_dict(monkeypatch):
    monkeypatch.setenv("OPENAI_API_KEY", "test-key")
    chat_generator = OpenAIChatGenerator(generation_kwargs={"temperature": 0.5})
    ranker = LLMRanker(
        chat_generator=chat_generator,
        prompt="Rank {{ documents|length }} docs for {{ query }}",
        top_k=3,
        raise_on_failure=True,
    )

    assert ranker.to_dict() == {
        "type": "haystack.components.rankers.llm_ranker.LLMRanker",
        "init_parameters": {
            "chat_generator": chat_generator.to_dict(),
            "prompt": "Rank {{ documents|length }} docs for {{ query }}",
            "top_k": 3,
            "raise_on_failure": True,
        },
    }


def test_from_dict(monkeypatch):
    monkeypatch.setenv("OPENAI_API_KEY", "test-key")
    chat_generator = OpenAIChatGenerator(generation_kwargs={"temperature": 0.5})
    data = {
        "type": "haystack.components.rankers.llm_ranker.LLMRanker",
        "init_parameters": {
            "chat_generator": chat_generator.to_dict(),
            "prompt": "Rank {{ documents|length }} docs for {{ query }}",
            "top_k": 3,
            "raise_on_failure": True,
        },
    }

    ranker = LLMRanker.from_dict(data)

    assert ranker.top_k == 3
    assert ranker.raise_on_failure is True
    assert ranker.prompt == "Rank {{ documents|length }} docs for {{ query }}"
    assert ranker._chat_generator.to_dict() == chat_generator.to_dict()


def test_run_invalid_runtime_top_k(mock_chat_generator):
    ranker = LLMRanker(chat_generator=mock_chat_generator)

    with pytest.raises(ValueError, match="top_k must be > 0"):
        ranker.run(query="test", documents=[Document(content="doc")], top_k=0)


def test_run_empty_documents(mock_chat_generator):
    ranker = LLMRanker(chat_generator=mock_chat_generator)

    assert ranker.run(query="test", documents=[]) == {"documents": []}


def test_run_whitespace_query_returns_fallback(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=1)

    result = ranker.run(query="   ", documents=documents)

    assert result == {"documents": documents}
    mock_chat_generator.run.assert_not_called()


def test_run_successful_ranking(mock_chat_generator):
    documents = [
        Document(id="1", content="first"),
        Document(id="2", content="second"),
        Document(id="3", content="third"),
    ]
    mock_chat_generator.run.return_value = {
        "replies": [ChatMessage.from_assistant('{"documents": [{"index": 2}, {"index": 1}, {"index": 3}]}')]
    }
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=2)

    result = ranker.run(query="test query", documents=documents)

    assert [document.id for document in result["documents"]] == ["2", "1"]


def test_run_returns_only_documents_listed_by_the_llm(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {"replies": [ChatMessage.from_assistant('{"documents": [{"index": 2}]}')]}
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=2)

    result = ranker.run(query="test query", documents=documents)

    assert [document.id for document in result["documents"]] == ["2"]


def test_run_runtime_top_k_overrides_instance_top_k(mock_chat_generator):
    documents = [
        Document(id="doc_1", content="first"),
        Document(id="doc_2", content="second"),
        Document(id="doc_3", content="third"),
    ]
    mock_chat_generator.run.return_value = {
        "replies": [ChatMessage.from_assistant('{"documents": [{"index": 3}, {"index": 2}, {"index": 1}]}')]
    }
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=3)

    result = ranker.run(query="test query", documents=documents, top_k=1)

    assert [document.id for document in result["documents"]] == ["doc_3"]


def test_run_ignores_out_of_range_indices(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {
        "replies": [ChatMessage.from_assistant('{"documents": [{"index": 99}, {"index": 2}, {"index": 1}]}')]
    }
    ranker = LLMRanker(chat_generator=mock_chat_generator)

    result = ranker.run(query="test query", documents=documents)

    assert [document.id for document in result["documents"]] == ["2", "1"]


def test_run_empty_ranking_result_returns_empty_documents(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {"replies": [ChatMessage.from_assistant('{"documents": []}')]}
    ranker = LLMRanker(chat_generator=mock_chat_generator)

    result = ranker.run(query="test query", documents=documents)

    assert result == {"documents": []}


def test_run_invalid_json_falls_back(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {"replies": [ChatMessage.from_assistant("not-json")]}
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=1, raise_on_failure=False)

    result = ranker.run(query="test query", documents=documents)

    assert result == {"documents": documents}


def test_run_invalid_json_raises(mock_chat_generator):
    documents = [Document(id="1", content="first")]
    mock_chat_generator.run.return_value = {"replies": [ChatMessage.from_assistant("not-json")]}
    ranker = LLMRanker(chat_generator=mock_chat_generator, raise_on_failure=True)

    with pytest.raises(ValueError):
        ranker.run(query="test query", documents=documents)


def test_run_generator_exception_falls_back(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.side_effect = RuntimeError("generator failed")
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=1)

    result = ranker.run(query="test query", documents=documents)

    assert result == {"documents": documents}


def test_run_generator_exception_raises(mock_chat_generator):
    documents = [Document(id="1", content="first")]
    mock_chat_generator.run.side_effect = RuntimeError("generator failed")
    ranker = LLMRanker(chat_generator=mock_chat_generator, raise_on_failure=True)

    with pytest.raises(RuntimeError, match="generator failed"):
        ranker.run(query="test query", documents=documents)


def test_run_no_replies_falls_back(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {"replies": []}
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=1)

    result = ranker.run(query="test query", documents=documents)

    assert result == {"documents": documents}


def test_run_reply_without_text_falls_back(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {"replies": [ChatMessage.from_assistant(tool_calls=[])]}
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=1)

    result = ranker.run(query="test query", documents=documents)

    assert result == {"documents": documents}


def test_run_no_valid_document_indices_falls_back(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {
        "replies": [ChatMessage.from_assistant('{"documents": [{"index": 0}, {"index": 3}]}')]
    }
    ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=1)

    result = ranker.run(query="test query", documents=documents)

    assert result == {"documents": documents}


def test_run_deduplicates_documents_before_ranking(mock_chat_generator):
    documents = [
        Document(id="duplicate", content="keep me", score=0.9),
        Document(id="duplicate", content="drop me", score=0.1),
        Document(id="unique", content="unique", score=0.2),
    ]
    mock_chat_generator.run.return_value = {
        "replies": [ChatMessage.from_assistant('{"documents": [{"index": 2}, {"index": 1}]}')]
    }
    ranker = LLMRanker(chat_generator=mock_chat_generator)

    result = ranker.run(query="test query", documents=documents)

    assert [document.content for document in result["documents"]] == ["unique", "keep me"]


def test_run_preserves_duplicate_indices(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {
        "replies": [ChatMessage.from_assistant('{"documents": [{"index": 2}, {"index": 2}, {"index": 1}]}')]
    }
    ranker = LLMRanker(chat_generator=mock_chat_generator)

    result = ranker.run(query="test query", documents=documents)

    assert [document.id for document in result["documents"]] == ["2", "2", "1"]


def test_run_numeric_string_index_is_accepted(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {"replies": [ChatMessage.from_assistant('{"documents": [{"index": "2"}]}')]}
    ranker = LLMRanker(chat_generator=mock_chat_generator)

    result = ranker.run(query="test query", documents=documents)

    assert result == {"documents": [documents[1]]}


def test_run_invalid_index_type_falls_back(mock_chat_generator):
    documents = [Document(id="1", content="first"), Document(id="2", content="second")]
    mock_chat_generator.run.return_value = {
        "replies": [ChatMessage.from_assistant('{"documents": [{"index": "invalid"}]}')]
    }
    ranker = LLMRanker(chat_generator=mock_chat_generator)

    result = ranker.run(query="test query", documents=documents)

    assert result == {"documents": documents}


def test_init_invalid_custom_prompt_raises(mock_chat_generator):
    with pytest.raises(TemplateSyntaxError):
        LLMRanker(chat_generator=mock_chat_generator, prompt="Rank {{ query }")


def test_init_prompt_requires_query_and_documents(mock_chat_generator):
    with pytest.raises(ValueError, match="prompt must include exactly the variables 'documents' and 'query'"):
        LLMRanker(chat_generator=mock_chat_generator, prompt="Rank {{ query }}")


def test_init_prompt_rejects_additional_variables(mock_chat_generator):
    with pytest.raises(ValueError, match="prompt must include exactly the variables 'documents' and 'query'"):
        LLMRanker(
            chat_generator=mock_chat_generator,
            prompt="Rank {{ query }} using {{ documents|length }} docs with top_k={{ top_k }}",
        )


@pytest.mark.integration
@pytest.mark.skipif(
    not os.environ.get("OPENAI_API_KEY", None),
    reason="Export an env var called OPENAI_API_KEY containing the OpenAI API key to run this test.",
)
def test_live_run_ranks_berlin_first_for_germany_query():
    documents = [
        Document(id="doc-berlin", content="Berlin is the capital of Germany."),
        Document(id="doc-paris", content="Paris is the capital of France."),
        Document(id="doc-rust", content="Rust is a systems programming language focused on safety."),
    ]
    ranker = LLMRanker(top_k=2)

    result = ranker.run(query="What is the capital of Germany?", documents=documents)

    assert result["documents"]
    assert result["documents"][0].id == "doc-berlin"
    assert len(result["documents"]) <= 2


@pytest.mark.integration
@pytest.mark.skipif(
    not os.environ.get("OPENAI_API_KEY", None),
    reason="Export an env var called OPENAI_API_KEY containing the OpenAI API key to run this test.",
)
def test_live_run_ranks_rust_for_programming_language_query():
    documents = [
        Document(id="doc-berlin", content="Berlin is the capital of Germany."),
        Document(id="doc-paris", content="Paris is the capital of France."),
        Document(id="doc-rust", content="Rust is a systems programming language focused on safety."),
    ]
    ranker = LLMRanker(top_k=1)

    result = ranker.run(query="Which document is about a programming language?", documents=documents)

    assert [document.id for document in result["documents"]] == ["doc-rust"]


class FakeSyncOnlyChatGenerator:
    """A chat generator exposing only a synchronous `run` (no `run_async`) for the fallback path."""

    def __init__(self):
        self.run = Mock()


class TestLLMRankerAsync:
    @pytest.mark.asyncio
    async def test_run_async(self):
        documents = [
            Document(id="1", content="first"),
            Document(id="2", content="second"),
            Document(id="3", content="third"),
        ]
        mock_chat_generator = Mock(spec=OpenAIChatGenerator)
        mock_chat_generator.run_async = AsyncMock(
            return_value={
                "replies": [ChatMessage.from_assistant('{"documents": [{"index": 2}, {"index": 1}, {"index": 3}]}')]
            }
        )
        ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=2)

        result = await ranker.run_async(query="test query", documents=documents)

        assert [document.id for document in result["documents"]] == ["2", "1"]
        mock_chat_generator.run_async.assert_awaited_once()
        mock_chat_generator.run.assert_not_called()

    @pytest.mark.asyncio
    async def test_run_async_fallback_to_sync_run(self):
        documents = [
            Document(id="1", content="first"),
            Document(id="2", content="second"),
            Document(id="3", content="third"),
        ]
        fake_chat_generator = FakeSyncOnlyChatGenerator()
        fake_chat_generator.run.return_value = {
            "replies": [ChatMessage.from_assistant('{"documents": [{"index": 2}, {"index": 1}, {"index": 3}]}')]
        }
        assert not hasattr(fake_chat_generator, "run_async")
        ranker = LLMRanker(chat_generator=fake_chat_generator, top_k=2)

        result = await ranker.run_async(query="test query", documents=documents)

        assert [document.id for document in result["documents"]] == ["2", "1"]
        fake_chat_generator.run.assert_called_once()

    @pytest.mark.asyncio
    async def test_run_async_generator_exception_falls_back(self):
        documents = [Document(id="1", content="first"), Document(id="2", content="second")]
        mock_chat_generator = Mock(spec=OpenAIChatGenerator)
        mock_chat_generator.run_async = AsyncMock(side_effect=RuntimeError("generator failed"))
        ranker = LLMRanker(chat_generator=mock_chat_generator, top_k=1, raise_on_failure=False)

        result = await ranker.run_async(query="test query", documents=documents)

        assert result == {"documents": documents}

    @pytest.mark.asyncio
    async def test_run_async_generator_exception_raises(self):
        documents = [Document(id="1", content="first")]
        mock_chat_generator = Mock(spec=OpenAIChatGenerator)
        mock_chat_generator.run_async = AsyncMock(side_effect=RuntimeError("generator failed"))
        ranker = LLMRanker(chat_generator=mock_chat_generator, raise_on_failure=True)

        with pytest.raises(RuntimeError, match="generator failed"):
            await ranker.run_async(query="test query", documents=documents)

    @pytest.mark.integration
    @pytest.mark.skipif(
        not os.environ.get("OPENAI_API_KEY", None),
        reason="Export an env var called OPENAI_API_KEY containing the OpenAI API key to run this test.",
    )
    @pytest.mark.asyncio
    async def test_live_run_async_ranks_berlin_first_for_germany_query(self):
        documents = [
            Document(id="doc-berlin", content="Berlin is the capital of Germany."),
            Document(id="doc-paris", content="Paris is the capital of France."),
            Document(id="doc-rust", content="Rust is a systems programming language focused on safety."),
        ]
        ranker = LLMRanker(top_k=2)

        result = await ranker.run_async(query="What is the capital of Germany?", documents=documents)

        assert result["documents"]
        assert result["documents"][0].id == "doc-berlin"
        assert len(result["documents"]) <= 2


class TestComponentLifecycle:
    def test_warm_up_delegates_to_chat_generator(self, mock_chat_generator):
        ranker = LLMRanker(chat_generator=mock_chat_generator)
        ranker.warm_up()
        mock_chat_generator.warm_up.assert_called_once()

    async def test_warm_up_async_delegates_to_chat_generator(self, mock_chat_generator):
        mock_chat_generator.warm_up_async = AsyncMock()
        ranker = LLMRanker(chat_generator=mock_chat_generator)
        await ranker.warm_up_async()
        mock_chat_generator.warm_up_async.assert_awaited_once()

    async def test_warm_up_async_falls_back_to_sync_warm_up(self):
        chat_generator = Mock(spec=["run", "warm_up"])
        ranker = LLMRanker(chat_generator=chat_generator)
        await ranker.warm_up_async()
        chat_generator.warm_up.assert_called_once()

    def test_close_delegates_to_chat_generator(self, mock_chat_generator):
        ranker = LLMRanker(chat_generator=mock_chat_generator)
        ranker.close()
        mock_chat_generator.close.assert_called_once()

    async def test_close_async_delegates_to_chat_generator(self, mock_chat_generator):
        mock_chat_generator.close_async = AsyncMock()
        ranker = LLMRanker(chat_generator=mock_chat_generator)
        await ranker.close_async()
        mock_chat_generator.close_async.assert_awaited_once()

    async def test_close_async_falls_back_to_sync_close(self):
        chat_generator = Mock(spec=["run", "close"])
        ranker = LLMRanker(chat_generator=chat_generator)
        await ranker.close_async()
        chat_generator.close.assert_called_once()

    def test_lifecycle_is_safe_when_chat_generator_lacks_methods(self):
        chat_generator = Mock(spec=["run"])
        ranker = LLMRanker(chat_generator=chat_generator)
        ranker.warm_up()
        ranker.close()