Add API Q1 CAPA: root cause, corrective action gate, effectiveness verification
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>
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ang3l12
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backend/tests/test_capa.py
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295
backend/tests/test_capa.py
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"""CAPA section (API Q1 §5.9.1.2 / §6.4.2): field capture with audit, the
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closure gate at costing, effectiveness verification, recurring-issue links,
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role enforcement, and the report metrics."""
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from .util import (
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answer_capa_no,
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create_ncr,
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hdr,
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to_closed,
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to_costing,
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user_id_by_email,
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)
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async def _capa(client, team, ncr_id: int, body: dict, as_user: str | None = None):
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return await client.post(
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f"/api/ncrs/{ncr_id}/capa", json=body, headers=hdr(as_user or team["qc"])
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)
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async def _lookup_root_cause_ids(client, email: str) -> dict[str, int]:
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r = await client.get("/api/lookups", headers=hdr(email))
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assert r.status_code == 200, r.text
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return {c["name"]: c["id"] for c in r.json()["root_cause_categories"]}
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async def _full_capa_yes(client, team, ncr_id: int, *, verify: str | None = None):
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"""Answer 'CA required = yes' with a complete plan (optionally verified)."""
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rcc = await _lookup_root_cause_ids(client, team["qc"])
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owner_id = await user_id_by_email(client, team["qc"], team["ops"], "operations")
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body = {
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"root_cause": "Fixture PM interval was never defined.",
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"root_cause_category_id": rcc["Method"],
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"corrective_action_required": True,
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"corrective_action_justification": "Systemic cause; will recur without a fix.",
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"corrective_action_plan": "Define quarterly PM for fixture; update WI-204.",
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"corrective_action_owner_id": owner_id,
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"corrective_action_due_date": "2026-09-01",
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}
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if verify is not None:
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body["effectiveness_result"] = verify
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return await _capa(client, team, ncr_id, body)
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# ── roles & availability ─────────────────────────────────────────────────────
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async def test_capa_requires_qc_or_disposition_role(client, team):
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ncr = await create_ncr(client, team)
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body = {"root_cause": "Some cause."}
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for user in (team["requester"], team["ops"], team["cost"]):
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r = await _capa(client, team, ncr["id"], body, as_user=user)
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assert r.status_code == 403, user
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for user in (team["qc"], team["dispo"], team["admin"]):
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r = await _capa(client, team, ncr["id"], body, as_user=user)
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assert r.status_code == 200, user
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# available_actions advertises capa only to those roles
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r = await client.get(f"/api/ncrs/{ncr['id']}", headers=hdr(team["qc"]))
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assert "capa" in r.json()["available_actions"]
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r = await client.get(f"/api/ncrs/{ncr['id']}", headers=hdr(team["requester"]))
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assert "capa" not in r.json()["available_actions"]
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async def test_capa_locked_once_closed(client, team):
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ncr = await to_closed(client, team, (await create_ncr(client, team))["id"])
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r = await _capa(client, team, ncr["id"], {"root_cause": "Too late."})
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assert r.status_code == 409
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assert "closed" in r.json()["detail"].lower()
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# ── the CA question ──────────────────────────────────────────────────────────
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async def test_ca_question_requires_justification(client, team):
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ncr = await create_ncr(client, team)
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r = await _capa(client, team, ncr["id"], {"corrective_action_required": True})
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assert r.status_code == 422
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assert "justification" in r.json()["detail"].lower()
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r = await _capa(
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client,
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team,
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ncr["id"],
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{
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"corrective_action_required": True,
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"corrective_action_justification": "Repeat risk without process change.",
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},
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)
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assert r.status_code == 200
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body = r.json()["ncr"]
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assert body["corrective_action_required"] is True
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# answering "yes" stamps the CAPA-opened timestamp
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assert body["corrective_action_opened_at"] is not None
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# once a justification is on record, flipping the answer alone is fine
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r = await _capa(client, team, ncr["id"], {"corrective_action_required": False})
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assert r.status_code == 200
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# field-level audit rows were written
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audit = await client.get(f"/api/ncrs/{ncr['id']}/audit", headers=hdr(team["qc"]))
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fields = {a["field_name"] for a in audit.json()["items"] if a["action"] == "capa"}
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assert "corrective_action_required" in fields
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assert "corrective_action_justification" in fields
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async def test_capa_field_validation(client, team):
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ncr = await create_ncr(client, team)
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rcc = await _lookup_root_cause_ids(client, team["qc"])
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# inactive/unknown root cause category rejected (lookups only lists active)
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assert "Retired Cause" not in rcc
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r = await _capa(client, team, ncr["id"], {"root_cause_category_id": 99999})
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assert r.status_code == 422
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# unknown owner rejected
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r = await _capa(client, team, ncr["id"], {"corrective_action_owner_id": 99999})
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assert r.status_code == 422
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# effectiveness verification requires CA required = yes
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r = await _capa(client, team, ncr["id"], {"effectiveness_result": "effective"})
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assert r.status_code == 422
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# ── the closure gate ─────────────────────────────────────────────────────────
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async def test_close_blocked_until_ca_question_answered(client, team):
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ncr = await create_ncr(client, team)
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await to_costing(client, team, ncr["id"])
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costing_body = {
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"labor_cost": "10", "material_cost": "0", "service_cost": "0", "other_cost": "0",
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}
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r = await client.post(
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f"/api/ncrs/{ncr['id']}/costing", json=costing_body, headers=hdr(team["cost"])
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)
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assert r.status_code == 409
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assert "Corrective Action Required" in r.json()["detail"]
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await answer_capa_no(client, team, ncr["id"])
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r = await client.post(
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f"/api/ncrs/{ncr['id']}/costing", json=costing_body, headers=hdr(team["cost"])
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)
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assert r.status_code == 200
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assert r.json()["ncr"]["stage"] == "closed"
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async def test_close_blocked_until_verified_effective(client, team):
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ncr = await create_ncr(client, team)
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await to_costing(client, team, ncr["id"])
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r = await _full_capa_yes(client, team, ncr["id"]) # complete plan, unverified
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assert r.status_code == 200, r.text
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costing_body = {
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"labor_cost": "10", "material_cost": "0", "service_cost": "0", "other_cost": "0",
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}
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r = await client.post(
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f"/api/ncrs/{ncr['id']}/costing", json=costing_body, headers=hdr(team["cost"])
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)
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assert r.status_code == 409
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assert "effectiveness" in r.json()["detail"].lower()
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# a failed verification does not satisfy the gate
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r = await _capa(client, team, ncr["id"], {"effectiveness_result": "not_effective"})
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assert r.status_code == 200
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r = await client.post(
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f"/api/ncrs/{ncr['id']}/costing", json=costing_body, headers=hdr(team["cost"])
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)
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assert r.status_code == 409
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# verified effective → server-stamps who/when, and the NCR can close
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r = await _capa(client, team, ncr["id"], {"effectiveness_result": "effective"})
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body = r.json()["ncr"]
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assert body["effectiveness_verified_by"]["email"] == team["qc"]
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assert body["effectiveness_verified_at"] is not None
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r = await client.post(
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f"/api/ncrs/{ncr['id']}/costing", json=costing_body, headers=hdr(team["cost"])
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)
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assert r.status_code == 200
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assert r.json()["ncr"]["stage"] == "closed"
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async def test_close_blocked_when_plan_incomplete(client, team):
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ncr = await create_ncr(client, team)
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await to_costing(client, team, ncr["id"])
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# CA = yes but no plan/owner/due date/root cause
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r = await _capa(
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client,
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team,
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ncr["id"],
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{
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"corrective_action_required": True,
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"corrective_action_justification": "Needs a systemic fix.",
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},
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)
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assert r.status_code == 200
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r = await client.post(
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f"/api/ncrs/{ncr['id']}/costing",
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json={"labor_cost": "1", "material_cost": "1", "service_cost": "1", "other_cost": "1"},
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headers=hdr(team["cost"]),
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)
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assert r.status_code == 409
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detail = r.json()["detail"]
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for fragment in ("root cause", "plan", "owner", "due date"):
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assert fragment in detail, detail
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# ── recurring-issue links ────────────────────────────────────────────────────
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async def test_recurring_issue_links(client, team):
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prior = await create_ncr(client, team)
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ncr = await create_ncr(client, team)
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# self-link and unknown ids rejected
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r = await _capa(
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client, team, ncr["id"], {"is_recurring": True, "related_ncr_ids": [ncr["id"]]}
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)
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assert r.status_code == 422
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r = await _capa(client, team, ncr["id"], {"related_ncr_ids": [999999]})
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assert r.status_code == 422
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r = await _capa(
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client,
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team,
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ncr["id"],
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{"is_recurring": True, "related_ncr_ids": [prior["id"]]},
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)
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assert r.status_code == 200
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body = r.json()["ncr"]
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assert body["is_recurring"] is True
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assert [l["ncr_number"] for l in body["related_ncrs"]] == [prior["ncr_number"]]
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# the prior NCR shows the reverse reference
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r = await client.get(f"/api/ncrs/{prior['id']}", headers=hdr(team["requester"]))
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assert [l["ncr_number"] for l in r.json()["referenced_by"]] == [ncr["ncr_number"]]
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# clearing the links removes them
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r = await _capa(client, team, ncr["id"], {"related_ncr_ids": []})
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assert r.json()["ncr"]["related_ncrs"] == []
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# ── metrics ──────────────────────────────────────────────────────────────────
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async def test_capa_metrics_in_reports_summary(client, team):
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ncr = await create_ncr(client, team)
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rcc = await _lookup_root_cause_ids(client, team["qc"])
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owner_id = await user_id_by_email(client, team["qc"], team["ops"], "operations")
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# an overdue CAPA: required, past due, not verified effective
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r = await _capa(
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client,
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team,
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ncr["id"],
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{
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"root_cause": "Gauge past calibration due date.",
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"root_cause_category_id": rcc["Method"],
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"corrective_action_required": True,
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"corrective_action_justification": "Calibration program gap.",
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"corrective_action_plan": "Add gauge to the calibration recall system.",
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"corrective_action_owner_id": owner_id,
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"corrective_action_due_date": "2020-01-01",
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},
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)
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assert r.status_code == 200, r.text
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r = await client.get("/api/reports/summary", headers=hdr(team["qc"]))
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assert r.status_code == 200
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data = r.json()
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assert data["overdue_capa_count"] >= 1
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assert data["root_cause_pct"] is not None and data["root_cause_pct"] > 0
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# this CA-required NCR is not verified, so the pct must be < 100 when present
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if data["effectiveness_verified_pct"] is not None:
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assert data["effectiveness_verified_pct"] < 100
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assert any(c["name"] == "Method" for c in data["by_root_cause_category"])
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# close a verified-effective CAPA and the avg close time appears
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ncr2 = await create_ncr(client, team)
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await to_costing(client, team, ncr2["id"])
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r = await _full_capa_yes(client, team, ncr2["id"], verify="effective")
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assert r.status_code == 200, r.text
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r = await client.get("/api/reports/summary", headers=hdr(team["qc"]))
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assert r.json()["avg_capa_close_days"] is not None
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async def test_csv_export_includes_capa_columns(client, team):
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await create_ncr(client, team)
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r = await client.get("/api/ncrs/export.csv", headers=hdr(team["qc"]))
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assert r.status_code == 200
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header = r.text.splitlines()[0]
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for col in (
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"root_cause_category",
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"corrective_action_required",
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"corrective_action_owner",
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"corrective_action_due_date",
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"effectiveness_result",
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"is_recurring",
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):
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assert col in header
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