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Add API Q1 CAPA: root cause, corrective action gate, effectiveness verification

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Implements tester feedback against API Q1 §5.9.1.2 / §6.4.2:

- Root Cause field + 6M Root Cause Category lookup (Man/Machine/Method/
  Material/Measurement/Environment), separate from Deviation Detail/Category
- "Corrective Action Required?" Yes/No gate on every NCR with a required
  justification
- Corrective action plan with owner + due date; owner is notified by email
- Effectiveness verification (result, notes, server-stamped verifier/date)
  required before an NCR can close when corrective action is required —
  costing returns 409 listing the missing pieces
- Recurring-issue flag with bidirectional NCR-to-NCR links; prior NCRs show
  a warning when later NCRs reference them
- Dashboard metrics: % root cause completed, % CAPA verified effective,
  avg CAPA close time, overdue CAPA count, NCRs by root cause category
- CAPA section in the NCR detail UI, printable PDF, CSV export, and the
  vw_ncr_full Power BI view; admin list manager for root cause categories
- Migrations 0003 (schema + seeded 6M lookup) and 0004 (view refresh);
  demo seed data exercises every metric

Co-Authored-By: Claude Fable 5 <noreply@anthropic.com>
This commit is contained in:
ang3l12
2026-08-04 13:49:08 -06:00
parent 8d48f774bb
commit c1cd1bc9df
28 changed files with 1830 additions and 61 deletions
Download Patch File Download Diff File Expand all files Collapse all files

301
backend/app/routers/ncrs.py
View File

@@ -22,7 +22,9 @@ from app.models import (
DeviationCategory,
JobInfo,
Ncr,
NcrLink,
NcrSecondaryAssignee,
RootCauseCategory,
User,
UserRole,
)
@@ -31,12 +33,14 @@ from app.schemas.ncr import (
AttachmentOut,
AuditEntryOut,
AuditListOut,
CapaIn,
CostingIn,
InitialDispositionIn,
InspectionIn,
JobInfoOut,
NcrCreateIn,
NcrDetailOut,
NcrLinkOut,
NcrListItem,
NcrListOut,
NcrMutationOut,
@@ -111,6 +115,12 @@ def _is_secondary_assignee(ncr: Ncr, current: CurrentUser) -> bool:
return any(row.user_id == current.id for row in ncr.secondary_assignee_rows)
def _can_edit_capa(ncr: Ncr, current: CurrentUser) -> bool:
return ncr.stage != Stage.CLOSED.value and current.has_role(
Role.QC_INSPECTOR, Role.DISPOSITION_AUTHORITY
)
def _available_actions(ncr: Ncr, current: CurrentUser) -> list[str]:
actions: list[str] = []
stage = Stage(ncr.stage)
@@ -128,6 +138,8 @@ def _available_actions(ncr: Ncr, current: CurrentUser) -> list[str]:
actions.append("costing")
if stage == Stage.CLOSED and current.is_admin:
actions.append("reopen")
if _can_edit_capa(ncr, current):
actions.append("capa")
if stage != Stage.CLOSED:
actions.append("add_attachment")
if current.has_role(Role.QC_INSPECTOR): # admins pass automatically
@@ -135,8 +147,38 @@ def _available_actions(ncr: Ncr, current: CurrentUser) -> list[str]:
return actions
def _detail(ncr: Ncr, current: CurrentUser) -> NcrDetailOut:
async def _ncr_links(db: AsyncSession, ncr_id: int) -> tuple[list[NcrLinkOut], list[NcrLinkOut]]:
"""Outgoing links (prior NCRs this one references) and incoming links
(later NCRs that flagged this one as a recurrence)."""
async def _load(join_col, where_col) -> list[NcrLinkOut]:
rows = (
await db.execute(
select(Ncr.id, Ncr.ncr_number, Ncr.job_number, Ncr.stage)
.join(NcrLink, join_col == Ncr.id)
.where(where_col == ncr_id)
.order_by(Ncr.ncr_number)
)
).all()
return [
NcrLinkOut(
id=r.id,
ncr_number=r.ncr_number,
job_number=r.job_number,
stage=r.stage,
stage_label=STAGE_LABELS[Stage(r.stage)],
)
for r in rows
]
related = await _load(NcrLink.related_ncr_id, NcrLink.ncr_id)
referenced_by = await _load(NcrLink.ncr_id, NcrLink.related_ncr_id)
return related, referenced_by
async def _detail(db: AsyncSession, ncr: Ncr, current: CurrentUser) -> NcrDetailOut:
stage = Stage(ncr.stage)
related_ncrs, referenced_by = await _ncr_links(db, ncr.id)
return NcrDetailOut(
id=ncr.id,
ncr_number=ncr.ncr_number,
@@ -174,6 +216,32 @@ def _detail(ncr: Ncr, current: CurrentUser) -> NcrDetailOut:
qc_closed_by=(
UserRef.model_validate(ncr.qc_closed_by) if ncr.qc_closed_by else None
),
root_cause=ncr.root_cause,
root_cause_category=(
ncr.root_cause_category.name if ncr.root_cause_category else None
),
root_cause_category_id=ncr.root_cause_category_id,
corrective_action_required=ncr.corrective_action_required,
corrective_action_justification=ncr.corrective_action_justification,
corrective_action_plan=ncr.corrective_action_plan,
corrective_action_owner=(
UserRef.model_validate(ncr.corrective_action_owner)
if ncr.corrective_action_owner
else None
),
corrective_action_due_date=ncr.corrective_action_due_date,
corrective_action_opened_at=ncr.corrective_action_opened_at,
effectiveness_result=ncr.effectiveness_result,
effectiveness_notes=ncr.effectiveness_notes,
effectiveness_verified_at=ncr.effectiveness_verified_at,
effectiveness_verified_by=(
UserRef.model_validate(ncr.effectiveness_verified_by)
if ncr.effectiveness_verified_by
else None
),
is_recurring=ncr.is_recurring,
related_ncrs=related_ncrs,
referenced_by=referenced_by,
labor_cost=ncr.labor_cost,
material_cost=ncr.material_cost,
service_cost=ncr.service_cost,
@@ -271,7 +339,7 @@ async def create_ncr(
f"{current.user.display_name} submitted a new NCR and selected you as the "
"disposition authority.",
)
return NcrMutationOut(ncr=_detail(ncr, current), warnings=warnings)
return NcrMutationOut(ncr=await _detail(db, ncr, current), warnings=warnings)
# ── queues / search / export ────────────────────────────────────────────────
@@ -398,8 +466,10 @@ _CSV_COLUMNS = [
"ncr_number", "job_number", "department", "deviation_category", "requester",
"disposition_authority", "stage", "days_in_stage", "created_at", "work_order",
"qc_authority", "secondary_review_needed", "operations_complete", "qc_approval",
"qc_closed", "labor_cost", "material_cost", "service_cost", "other_cost",
"total_cost", "closed_at",
"qc_closed", "root_cause_category", "corrective_action_required",
"corrective_action_owner", "corrective_action_due_date", "effectiveness_result",
"effectiveness_verified_at", "is_recurring", "labor_cost", "material_cost",
"service_cost", "other_cost", "total_cost", "closed_at",
]
@@ -449,7 +519,15 @@ async def export_ncrs_csv(
STAGE_LABELS[Stage(n.stage)], _days_in_stage(n),
n.created_at.isoformat(sep=" "), n.work_order or "", n.qc_authority or "",
n.secondary_review_needed, n.operations_complete, n.qc_approval or "",
n.qc_closed, n.labor_cost or "", n.material_cost or "",
n.qc_closed,
n.root_cause_category.name if n.root_cause_category else "",
"" if n.corrective_action_required is None else n.corrective_action_required,
n.corrective_action_owner.display_name if n.corrective_action_owner else "",
n.corrective_action_due_date.isoformat() if n.corrective_action_due_date else "",
n.effectiveness_result or "",
n.effectiveness_verified_at.isoformat(sep=" ") if n.effectiveness_verified_at else "",
n.is_recurring,
n.labor_cost or "", n.material_cost or "",
n.service_cost or "", n.other_cost or "", n.total_cost or "",
n.closed_at.isoformat(sep=" ") if n.closed_at else "",
]
@@ -469,7 +547,7 @@ async def get_ncr(
db: AsyncSession = Depends(get_db),
) -> NcrDetailOut:
ncr = await _get_ncr(db, ncr_ref)
return _detail(ncr, current)
return await _detail(db, ncr, current)
# ── stage actions ────────────────────────────────────────────────────────────
@@ -542,7 +620,7 @@ async def initial_disposition(
await db.commit()
ncr = await _refetch(db, ncr.id)
warnings = await send_stage_notification(db, ncr, event, current, summary)
return NcrMutationOut(ncr=_detail(ncr, current), warnings=warnings)
return NcrMutationOut(ncr=await _detail(db, ncr, current), warnings=warnings)
@router.post("/ncrs/{ncr_ref}/secondary-disposition", response_model=NcrMutationOut)
@@ -583,7 +661,7 @@ async def secondary_disposition(
else:
await db.commit()
ncr = await _refetch(db, ncr.id)
return NcrMutationOut(ncr=_detail(ncr, current), warnings=warnings)
return NcrMutationOut(ncr=await _detail(db, ncr, current), warnings=warnings)
@router.post("/ncrs/{ncr_ref}/operations-complete", response_model=NcrMutationOut)
@@ -618,7 +696,7 @@ async def operations_complete(
f"{current.user.display_name} marked operations complete; the NCR is ready "
"for QC inspection.",
)
return NcrMutationOut(ncr=_detail(ncr, current), warnings=warnings)
return NcrMutationOut(ncr=await _detail(db, ncr, current), warnings=warnings)
@router.post("/ncrs/{ncr_ref}/inspection", response_model=NcrMutationOut)
@@ -655,7 +733,192 @@ async def inspection(
else:
await db.commit()
ncr = await _refetch(db, ncr.id)
return NcrMutationOut(ncr=_detail(ncr, current), warnings=warnings)
return NcrMutationOut(ncr=await _detail(db, ncr, current), warnings=warnings)
@router.post("/ncrs/{ncr_ref}/capa", response_model=NcrMutationOut)
async def update_capa(
ncr_ref: str,
payload: CapaIn,
current: CurrentUser = Depends(
require_roles(Role.QC_INSPECTOR, Role.DISPOSITION_AUTHORITY)
),
db: AsyncSession = Depends(get_db),
) -> NcrMutationOut:
"""Corrective & Preventive Action (API Q1 §5.9.1.2 / §6.4.2). Editable in
any non-closed stage by QC Inspectors, Disposition Authorities, or Admins;
the costing action refuses to close the NCR until this section is
complete (see _capa_close_blockers)."""
ncr = await _get_ncr(db, ncr_ref)
if ncr.stage == Stage.CLOSED.value:
raise HTTPException(
status_code=409,
detail=f"{ncr.ncr_number} is closed and locked. Only an Admin can reopen it.",
)
updates = payload.model_dump(exclude_unset=True, exclude={"related_ncr_ids"})
# The Yes/No gate always carries a brief justification (either in this
# request or already on record).
if updates.get("corrective_action_required") is not None:
justification = updates.get(
"corrective_action_justification", ncr.corrective_action_justification
)
if not (justification or "").strip():
raise HTTPException(
status_code=422,
detail="A brief justification is required when answering "
"'Corrective Action Required?'.",
)
if updates.get("root_cause_category_id") is not None:
cat = await db.get(RootCauseCategory, updates["root_cause_category_id"])
if cat is None or not cat.is_active:
raise HTTPException(
status_code=422, detail="Unknown or inactive root cause category."
)
if updates.get("corrective_action_owner_id") is not None:
owner = await db.get(User, updates["corrective_action_owner_id"])
if owner is None or not owner.is_active:
raise HTTPException(
status_code=422, detail="Corrective action owner must be an active user."
)
ca_required = updates.get(
"corrective_action_required", ncr.corrective_action_required
)
new_result = updates.get("effectiveness_result", ncr.effectiveness_result)
if new_result is not None and ca_required is not True:
raise HTTPException(
status_code=422,
detail="Answer 'Corrective Action Required? = Yes' before recording "
"effectiveness verification.",
)
# Server-stamped bookkeeping: who/when verified, and when the CAPA opened.
if (
"effectiveness_result" in updates
and updates["effectiveness_result"] != ncr.effectiveness_result
):
if updates["effectiveness_result"] is None:
updates.update(
{"effectiveness_verified_at": None, "effectiveness_verified_by_id": None}
)
else:
updates.update(
{
"effectiveness_verified_at": utcnow(),
"effectiveness_verified_by_id": current.id,
}
)
if (
updates.get("corrective_action_required") is True
and ncr.corrective_action_opened_at is None
):
updates["corrective_action_opened_at"] = utcnow()
changes = apply_field_updates(db, ncr, current.id, updates, action="capa")
if payload.related_ncr_ids is not None:
if ncr.id in payload.related_ncr_ids:
raise HTTPException(
status_code=422, detail="An NCR cannot be linked to itself."
)
new_ids = set(payload.related_ncr_ids)
if new_ids:
found = {
r[0]
for r in (
await db.execute(select(Ncr.id).where(Ncr.id.in_(new_ids)))
).all()
}
if new_ids - found:
raise HTTPException(
status_code=422, detail="One or more linked NCRs do not exist."
)
old_ids = {
r[0]
for r in (
await db.execute(
select(NcrLink.related_ncr_id).where(NcrLink.ncr_id == ncr.id)
)
).all()
}
if new_ids != old_ids:
numbers = {
r[0]: r[1]
for r in (
await db.execute(
select(Ncr.id, Ncr.ncr_number).where(
Ncr.id.in_(new_ids | old_ids)
)
)
).all()
}
await db.execute(delete(NcrLink).where(NcrLink.ncr_id == ncr.id))
for rid in sorted(new_ids):
db.add(NcrLink(ncr_id=ncr.id, related_ncr_id=rid))
audit_event(
db,
ncr_id=ncr.id,
user_id=current.id,
action="capa",
field_name="related_ncrs",
old_value=", ".join(numbers[i] for i in sorted(old_ids)) or None,
new_value=", ".join(numbers[i] for i in sorted(new_ids)) or None,
)
# Captured before commit: _refetch expires the session, and unlike stage
# transitions nothing re-loads the acting user afterwards.
actor_name = current.user.display_name
await db.commit()
ncr = await _refetch(db, ncr.id)
warnings: list[str] = []
if "corrective_action_owner_id" in changes and ncr.corrective_action_owner:
await db.refresh(current.user) # notification internals read actor email
due = (
f" Due date: {ncr.corrective_action_due_date.isoformat()}."
if ncr.corrective_action_due_date
else ""
)
warnings = await send_stage_notification(
db,
ncr,
NotifyEvent.CAPA_ASSIGNED,
current,
f"{actor_name} assigned you as the corrective action "
f"owner for this NCR.{due}",
)
return NcrMutationOut(ncr=await _detail(db, ncr, current), warnings=warnings)
def _capa_close_blockers(ncr: Ncr) -> list[str]:
"""What still blocks closure under the API Q1 §6.4.2 gate. Empty when the
CA question is answered 'No' (with justification, enforced at entry) or
answered 'Yes' with a complete, verified-effective action plan."""
if ncr.corrective_action_required is None:
return ["'Corrective Action Required?' has not been answered"]
if not ncr.corrective_action_required:
return []
problems = []
if not (ncr.root_cause or "").strip():
problems.append("root cause is missing")
if ncr.root_cause_category_id is None:
problems.append("root cause category is not set")
if not (ncr.corrective_action_plan or "").strip():
problems.append("corrective action plan is missing")
if ncr.corrective_action_owner_id is None:
problems.append("no corrective action owner is assigned")
if ncr.corrective_action_due_date is None:
problems.append("no corrective action due date is set")
if ncr.effectiveness_result != "effective":
problems.append(
"effectiveness verification has not confirmed the corrective action "
"as effective"
)
return problems
@router.post("/ncrs/{ncr_ref}/costing", response_model=NcrMutationOut)
@@ -665,10 +928,19 @@ async def costing(
current: CurrentUser = Depends(require_roles(Role.COSTING)),
db: AsyncSession = Depends(get_db),
) -> NcrMutationOut:
"""Stage 6 — Costing. Saving costs completes the workflow and closes the NCR."""
"""Stage 6 — Costing. Saving costs completes the workflow and closes the
NCR — provided the CAPA section passes the API Q1 closure gate."""
ncr = await _get_ncr(db, ncr_ref)
_ensure_stage(ncr, Stage.COSTING)
blockers = _capa_close_blockers(ncr)
if blockers:
raise HTTPException(
status_code=409,
detail=f"{ncr.ncr_number} cannot be closed: " + "; ".join(blockers) + ". "
"Complete the CAPA section first.",
)
now = utcnow()
apply_field_updates(
db,
@@ -697,7 +969,7 @@ async def costing(
f"Costing is complete and your NCR has been closed. Total cost of "
f"nonconformance: ${ncr.total_cost:,.2f}.",
)
return NcrMutationOut(ncr=_detail(ncr, current), warnings=warnings)
return NcrMutationOut(ncr=await _detail(db, ncr, current), warnings=warnings)
@router.post("/ncrs/{ncr_ref}/reopen", response_model=NcrMutationOut)
@@ -747,7 +1019,7 @@ async def reopen(
f"{current.user.display_name} reopened this NCR to "
f"'{STAGE_LABELS[payload.to_stage]}'. Reason: {payload.reason}",
)
return NcrMutationOut(ncr=_detail(ncr, current), warnings=warnings)
return NcrMutationOut(ncr=await _detail(db, ncr, current), warnings=warnings)
def _do_transition(
@@ -865,7 +1137,8 @@ async def ncr_pdf(
from app.services.pdf import render_ncr_pdf
ncr = await _get_ncr(db, ncr_ref)
pdf_bytes = await render_ncr_pdf(ncr)
related_ncrs, _ = await _ncr_links(db, ncr.id)
pdf_bytes = await render_ncr_pdf(ncr, [r.ncr_number for r in related_ncrs])
return Response(
content=pdf_bytes,
media_type="application/pdf",