Merge pull request #1803 from GSA-TTS/1658-cross-validation-validate-…

…number-of-findings-across-awards-and-audit-findings

1658 cross validation validate number of findings across awards and audit findings

backend/audit/cross_validation/__init__.py

@@ -55,6 +55,7 @@
     ]
 
 """
+from .number_of_findings import number_of_findings
 from .additional_ueis import additional_ueis
 from .auditee_ueis_match import auditee_ueis_match
 from .audit_findings import audit_findings
@@ -66,6 +67,7 @@
     audit_findings,
     auditee_ueis_match,
     additional_ueis,
+    number_of_findings,
     submission_progress_check,
     tribal_data_sharing_consent,
 ]

backend/audit/cross_validation/errors.py

@@ -1,3 +1,8 @@
+from audit.fixtures.excel import (
+    SECTION_NAMES,
+)
+
+
 def err_additional_ueis_empty():
     return (
         "general_information.multiple_ueis_covered is checked, "
@@ -29,3 +34,10 @@ def err_missing_tribal_data_sharing_consent():
         "As a tribal organization, you must complete the data "
         "sharing consent statement before submitting your audit."
     )
+
+
+def err_number_of_findings_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, "
+        f"but declared {total_counted} findings for the same award in the {SECTION_NAMES.FEDERAL_AWARDS_AUDIT_FINDINGS} workbook."
+    )

backend/audit/cross_validation/number_of_findings.py

@@ -0,0 +1,52 @@
+from .errors import (
+    err_number_of_findings_inconsistent,
+)
+from collections import defaultdict
+
+
+def number_of_findings(sac_dict, *_args, **_kwargs):
+    """
+    Checks that the number of findings mentioned in Federal Awards matches
+    the number of findings referenced in Federal Awards Audit Findings.
+    """
+
+    all_sections = sac_dict.get("sf_sac_sections", {})
+    federal_awards_section = all_sections.get("federal_awards") or {}
+    federal_awards = federal_awards_section.get("federal_awards", [])
+    findings_uniform_guidance_section = (
+        all_sections.get("findings_uniform_guidance") or {}
+    )
+    findings_uniform_guidance = findings_uniform_guidance_section.get(
+        "findings_uniform_guidance_entries", []
+    )
+
+    expected_award_refs_count = {}
+    found_award_refs_count = defaultdict(int)
+    errors = []
+
+    for award in federal_awards:
+        award_reference = award.get("award_reference", None)
+        if award_reference:
+            expected_award_refs_count[award_reference] = award["program"][
+                "number_of_audit_findings"
+            ]
+
+    for finding in findings_uniform_guidance:
+        award_ref = finding["program"]["award_reference"]
+        if award_ref in expected_award_refs_count:
+            found_award_refs_count[award_ref] += 1
+
+    for award_ref, expected in expected_award_refs_count.items():
+        counted = found_award_refs_count[award_ref]
+        if counted != expected:
+            errors.append(
+                {
+                    "error": err_number_of_findings_inconsistent(
+                        expected,
+                        counted,
+                        award_ref,
+                    )
+                }
+            )
+
+    return errors

backend/audit/cross_validation/test_number_of_findings.py

@@ -0,0 +1,101 @@
+import random
+from django.test import TestCase
+from audit.models import SingleAuditChecklist
+from .errors import err_number_of_findings_inconsistent
+from .number_of_findings import number_of_findings
+from .sac_validation_shape import sac_validation_shape
+from model_bakery import baker
+
+
+class NumberOfFindingsTests(TestCase):
+    AWARD_MIN = 1000
+    AWARD_MAX = 2000
+    FINDINGS_MIN = 1
+    FINDINGS_MAX = 5
+
+    def _random(self, min, max):
+        return random.randint(min, max)  # nosec
+
+    def _award_reference(self):
+        return f"AWARD-{self._random(self.AWARD_MIN,self.AWARD_MAX)}"
+
+    def _make_federal_awards(self, findings_count) -> dict:
+        number_of_award = self._random(2, 4)
+        return {
+            "FederalAwards": {
+                "federal_awards": [
+                    {
+                        "program": {"number_of_audit_findings": findings_count},
+                        "award_reference": self._award_reference(),
+                    }
+                    for _ in range(number_of_award)
+                ]
+            }
+        }
+
+    def _make_findings_uniform_guidance(self, awards, mismatch) -> dict:
+        entries = []
+        for award in awards["FederalAwards"]["federal_awards"]:
+            award_reference = award["award_reference"]
+            count = award["program"]["number_of_audit_findings"]
+            for _ in range(count + mismatch):
+                entries.append({"program": {"award_reference": award_reference}})
+
+        findings = (
+            {
+                "auditee_uei": "AAA123456BBB",
+                "findings_uniform_guidance_entries": entries,
+            }
+            if len(entries) > 0
+            else {"auditee_uei": "AAA123456BBB"}
+        )
+
+        return {"FindingsUniformGuidance": findings}
+
+    def _make_sac(self, findings_count, mismatch=0) -> SingleAuditChecklist:
+        sac = baker.make(SingleAuditChecklist)
+        sac.federal_awards = self._make_federal_awards(findings_count)
+        sac.findings_uniform_guidance = self._make_findings_uniform_guidance(
+            sac.federal_awards, mismatch
+        )
+        return sac
+
+    def test_zero_findings_count_report(self):
+        """Ensure no error is returned for consistent zero findings."""
+        sac = self._make_sac(0)
+        errors = number_of_findings(sac_validation_shape(sac))
+        self.assertEqual(errors, [])
+
+    def test_findings_count_matches_across_workbooks(self):
+        """Ensure no error is returned for consistent findings count."""
+        sac = self._make_sac(self._random(self.FINDINGS_MIN, self.FINDINGS_MAX))
+        errors = number_of_findings(sac_validation_shape(sac))
+        self.assertEqual(errors, [])
+
+    def _test_findings_count_mismatch(self, base_count, mismatch):
+        sac = self._make_sac(base_count, mismatch)
+        errors = number_of_findings(sac_validation_shape(sac))
+        self.assertEqual(
+            len(errors), len(sac.federal_awards["FederalAwards"]["federal_awards"])
+        )
+
+        for award in sac.federal_awards["FederalAwards"]["federal_awards"]:
+            award_reference = award["award_reference"]
+            expected_error = err_number_of_findings_inconsistent(
+                base_count, base_count + mismatch, award_reference
+            )
+            self.assertIn({"error": expected_error}, errors)
+
+    def test_reported_findings_exceed_declared_count(self):
+        """
+        Expect errors when the number of findings in the Federal Awards Audit Findings workbook,
+        a.k.a the Findings Uniform Guidance workbook, exceeds those declared in the Federal Awards workbook.
+        """
+        self._test_findings_count_mismatch(self._random(2, 4), self._random(1, 2))
+
+    def test_declared_findings_exceed_reported_count(self):
+        """
+        Expect errors when the number of findings in the Federal Awards workbook
+        exceeds those reported in the Federal Awards Audit Findings workbook.
+        """
+        self._test_findings_count_mismatch(self._random(2, 4), self._random(-2, -1))

backend/audit/fixtures/excel.py

@@ -82,3 +82,26 @@
     SECONDARY_AUDITORS="SecondaryAuditors",
     NOTES_TO_SEFA="NotesToSefa",
 )
+
+# FIXME MSHD: We should consolidate SectionNames with the above FormSections
+SectionNames = namedtuple(
+    "SectionNames",
+    (
+        "ADDITIONAL_UEIS",
+        "AUDIT_FINDINGS_TEXT",
+        "CORRECTIVE_ACTION_PLAN",
+        "FEDERAL_AWARDS",
+        "FEDERAL_AWARDS_AUDIT_FINDINGS",
+        "NOTES_TO_SEFA",
+        "SECONDARY_AUDITORS",
+    ),
+)
+SECTION_NAMES = SectionNames(
+    ADDITIONAL_UEIS="Additional UEIs",
+    AUDIT_FINDINGS_TEXT="Audit Findings Text",
+    CORRECTIVE_ACTION_PLAN="Corrective Action Plan",
+    FEDERAL_AWARDS="Federal Awards",
+    FEDERAL_AWARDS_AUDIT_FINDINGS="Federal Awards Audit Findings",
+    NOTES_TO_SEFA="Notes to SEFA",
+    SECONDARY_AUDITORS="Secondary Auditors",
+)