Cross validation and waivers for prior references

backend/audit/admin.py

@@ -180,6 +180,17 @@ def save_model(self, request, obj, form, change):
                 logger.info(
                     f"Duplicate finding reference number waiver applied to SAC {sac.report_id} by user: {request.user.email}."
                 )
+            elif (
+                STATUS.IN_PROGRESS
+                and SacValidationWaiver.TYPES.PRIOR_REFERENCES in obj.waiver_types
+            ):
+                logger.info(
+                    f"User {request.user.email} is applying waiver for SAC with status: {sac.submission_status}"
+                )
+                super().save_model(request, obj, form, change)
+                logger.info(
+                    f"Invalid prior reference waiver applied to SAC {sac.report_id} by user: {request.user.email}."
+                )
             else:
                 messages.set_level(request, messages.WARNING)
                 messages.warning(

backend/audit/cross_validation/__init__.py

@@ -61,6 +61,7 @@
 from .check_award_ref_declaration import check_award_ref_declaration
 from .check_award_ref_existence import check_award_ref_existence
 from .check_award_reference_uniqueness import check_award_reference_uniqueness
+from .check_finding_prior_references import check_finding_prior_references
 from .check_biennial_low_risk import check_biennial_low_risk
 from .check_certifying_contacts import check_certifying_contacts
 from .check_finding_reference_uniqueness import check_finding_reference_uniqueness
@@ -82,6 +83,7 @@
     check_biennial_low_risk,
     check_certifying_contacts,
     check_finding_reference_uniqueness,
+    check_finding_prior_references,
     check_findings_count_consistency,
     check_has_federal_awards,
     check_ref_number_in_cap,

backend/audit/cross_validation/check_finding_prior_references.py

@@ -0,0 +1,129 @@
+from audit.fixtures.excel import (
+    FINDINGS_UNIFORM_TEMPLATE_DEFINITION,
+)
+from .errors import err_prior_ref_not_found
+from dissemination.models import (
+    Finding,
+    General,
+)
+
+from django.conf import settings
+
+from datetime import date
+import json
+
+
+def check_finding_prior_references(sac_dict, *_args, **_kwargs):
+    """
+    Check that prior references numbers point to findings that actually exist
+    in a previously submitted report
+    """
+    # Importing here to avoid circular import
+    from audit.models import SacValidationWaiver
+
+    if SacValidationWaiver.TYPES.PRIOR_REFERENCES in sac_dict.get("waiver_types", []):
+        return []
+
+    all_sections = sac_dict.get("sf_sac_sections")
+    findings_uniform_guidance_section = (
+        all_sections.get("findings_uniform_guidance") or {}
+    )
+    findings_uniform_guidance = findings_uniform_guidance_section.get(
+        "findings_uniform_guidance_entries", []
+    )
+    all_prior_refs = _get_prior_refs(findings_uniform_guidance)
+
+    # No prior reference numbers to validate
+    if not all_prior_refs:
+        return []
+
+    general_information = all_sections.get("general_information")
+    auditee_uei = general_information["auditee_uei"]
+    audit_year = date.fromisoformat(
+        general_information["auditee_fiscal_period_start"]
+    ).year
+
+    # UEIs only become reliable as of 2022, so don't bother invalidating
+    # prior references before that
+    if audit_year < 2023:
+        return []
+
+    # Get the report_ids for previous reports
+    previous_report_ids = General.objects.filter(auditee_uei=auditee_uei).values_list(
+        "report_id", flat=True
+    )
+    errors = []
+
+    # Validate all prior reference numbers for each award
+    for award_ref, prior_refs_strings in all_prior_refs.items():
+        prior_refs = prior_refs_strings.split(",")
+        _validate_prior_refs(
+            prior_refs,
+            award_ref,
+            auditee_uei,
+            previous_report_ids,
+            errors,
+        )
+
+    return errors
+
+
+def _get_prior_refs(findings_uniform_guidance):
+    """
+    Returns a dict that maps award references to a list of prior references
+    strings
+    """
+    all_prior_refs = {}
+
+    for finding in findings_uniform_guidance:
+        if finding["findings"]["repeat_prior_reference"] == "Y":
+            award_ref = finding["program"]["award_reference"]
+            cur_prior_refs = finding["findings"]["prior_references"]
+            all_prior_refs[award_ref] = cur_prior_refs
+
+    return all_prior_refs
+
+
+TEMPLATE_DEFINITION_PATH = (
+    settings.XLSX_TEMPLATE_JSON_DIR / FINDINGS_UNIFORM_TEMPLATE_DEFINITION
+)
+FINDINGS_TEMPLATE = json.loads(TEMPLATE_DEFINITION_PATH.read_text(encoding="utf-8"))
+
+
+def _validate_prior_refs(
+    prior_refs, award_ref, auditee_uei, previous_report_ids, errors
+):
+    """
+    Performs validation on the given list of prior reference numbers
+    """
+    first_row = FINDINGS_TEMPLATE["title_row"]
+
+    for index, prior_ref in enumerate(prior_refs):
+        current_row = first_row + index + 1
+        prior_ref_year = prior_ref[:4]
+
+        if prior_ref_year.isnumeric() and int(prior_ref_year) < 2022:
+            # Skip validation for pre-UEI prior references
+            continue
+        elif not previous_report_ids:
+            errors.append(
+                {
+                    "error": err_prior_ref_not_found(
+                        auditee_uei, prior_ref, award_ref, current_row
+                    ),
+                }
+            )
+
+            continue
+        elif not Finding.objects.filter(
+            report_id__in=previous_report_ids,
+            reference_number=prior_ref,
+        ).exists():
+            # Error if we can't find the prior finding in previous reports
+            errors.append(
+                {
+                    "error": err_prior_ref_not_found(
+                        auditee_uei, prior_ref, award_ref, current_row
+                    ),
+                }
+            )

backend/audit/cross_validation/errors.py

@@ -57,6 +57,13 @@ def err_duplicate_finding_reference(award_ref, ref_number):
     return f"Award {award_ref} repeats reference {ref_number}. The reference {ref_number} should only appear once for award {award_ref}."
 
 
+def err_prior_ref_not_found(auditee_uei, prior_ref, award_ref, row):
+    return (
+        f"The {SECTION_NAMES.FEDERAL_AWARDS_AUDIT_FINDINGS} workbook contains prior reference {prior_ref} (award {award_ref}, row {row}). "
+        f"However, that reference was not found in any previous reports for UEI {auditee_uei}."
+    )
+
+
 def err_findings_count_inconsistent(total_expected, total_counted, award_ref):
     return (
         f"You reported {total_expected} findings for award {award_ref} in the {SECTION_NAMES.FEDERAL_AWARDS} workbook, "