533 filing status prototype

db_revisions/versions/7fe49d38726b_add_filing_state_and_reopen_to_useractiontype_enum.py

@@ -0,0 +1,74 @@
+"""Add filing state
+
+Revision ID: 7fe49d38726b
+Revises: 6ec12afa5b37
+Create Date: 2024-12-30 13:05:01.303998
+
+"""
+
+from typing import Sequence, Union
+
+from alembic import op, context
+import sqlalchemy as sa
+from sqlalchemy.dialects import postgresql
+
+# revision identifiers, used by Alembic.
+revision: str = "7fe49d38726b"
+down_revision: Union[str, None] = "6ec12afa5b37"
+branch_labels: Union[str, Sequence[str], None] = None
+depends_on: Union[str, Sequence[str], None] = None
+
+filing_state_enum = postgresql.ENUM(
+    "OPEN",
+    "CLOSED",
+    name="filingstate",
+    create_type=False,
+)
+
+old_user_action = postgresql.ENUM(
+    "SUBMIT",
+    "ACCEPT",
+    "SIGNED",
+    "CREATE",
+    name="useractiontype",
+    create_type=False,
+)
+
+new_user_action = postgresql.ENUM(
+    "SUBMIT",
+    "ACCEPT",
+    "SIGNED",
+    "CREATE",
+    "REOPEN",
+    name="useractiontype",
+    create_type=False,
+)
+
+
+def upgrade() -> None:
+    filing_state_enum.create(op.get_bind(), checkfirst=True)
+    op.add_column(
+        "filing",
+        sa.Column("state", filing_state_enum),
+    )
+
+    if "sqlite" not in context.get_context().dialect.name:
+        op.execute("ALTER TYPE useractiontype RENAME TO useractiontype_old")
+        new_user_action.create(op.get_bind(), checkfirst=True)
+        op.execute(
+            "ALTER TABLE user_action ALTER COLUMN action_type TYPE useractiontype USING user_action::text::useractiontype"
+        )
+        op.execute("DROP TYPE useractiontype_old")
+
+
+def downgrade() -> None:
+    op.drop_column("filing", "state")
+    if "sqlite" not in context.get_context().dialect.name:
+        op.execute(sa.DDL("DROP TYPE filingstate"))
+
+        op.execute("ALTER TYPE useractiontype RENAME TO useractiontype_old")
+        old_user_action.create(op.get_bind(), checkfirst=True)
+        op.execute(
+            "ALTER TABLE user_action ALTER COLUMN action_type TYPE useractiontype USING user_action::text::useractiontype"
+        )
+        op.execute("DROP TYPE useractiontype_old")

pyproject.toml

@@ -79,8 +79,9 @@ env = [
   "FS_DOWNLOAD_CONFIG__PROTOCOL=file",
   "ENV=TEST",
   "MAIL_API_URL=http://mail-api:8765/internal/confirmation/send",
-  'REQUEST_VALIDATORS__SIGN_AND_SUBMIT=["valid_lei_status","valid_lei_tin","valid_filing_exists","valid_sub_accepted","valid_voluntary_filer","valid_contact_info"]',
-  'REQUEST_VALIDATORS__FILING_CREATE=["valid_period_exists", "valid_no_filing_exists"]'
+  'REQUEST_VALIDATORS__SIGN_AND_SUBMIT=["valid_lei_status","valid_lei_tin","valid_filing_exists_sign","valid_sub_accepted","valid_voluntary_filer","valid_contact_info"]',
+  'REQUEST_VALIDATORS__FILING_CREATE=["valid_period_exists", "valid_no_filing_exists"]',
+  'REQUEST_VALIDATORS__FILING_REOPEN=["valid_filing_exists_reopen", "valid_filing_not_open"]'
 ]
 testpaths = ["tests"]
 

src/.env.local

@@ -21,5 +21,6 @@ FS_UPLOAD_CONFIG__ROOT="../upload"
 EXPIRED_SUBMISSION_CHECK_SECS=120
 SERVER_CONFIG__RELOAD="true"
 MAIL_API_URL=http://mail-api:8765/internal/confirmation/send
-REQUEST_VALIDATORS__SIGN_AND_SUBMIT=["valid_lei_status","valid_lei_tin","valid_filing_exists","valid_sub_accepted","valid_voluntary_filer","valid_contact_info"]
-REQUEST_VALIDATORS__FILING_CREATE=["valid_period_exists", "valid_no_filing_exists"]
+REQUEST_VALIDATORS__SIGN_AND_SUBMIT=["valid_lei_status","valid_lei_tin","valid_filing_exists_sign","valid_sub_accepted","valid_voluntary_filer","valid_contact_info"]
+REQUEST_VALIDATORS__FILING_CREATE=["valid_period_exists", "valid_no_filing_exists"]
+REQUEST_VALIDATORS__FILING_REOPEN=["valid_filing_exists_reopen", "valid_filing_not_open"]

src/sbl_filing_api/config.py

@@ -87,14 +87,16 @@ class RequestActionValidations(BaseSettings):
     sign_and_submit: Set[str] = {
         "valid_lei_status",
         "valid_lei_tin",
-        "valid_filing_exists",
+        "valid_filing_exists_sign",
         "valid_sub_accepted",
         "valid_voluntary_filer",
         "valid_contact_info",
     }
 
     filing_create: Set[str] = {"valid_period_exists", "valid_no_filing_exists"}
 
+    filing_reopen: Set[str] = {"valid_filing_exists_reopen", "valid_filing_not_open"}
+
     model_config = SettingsConfigDict(env_prefix="request_validators__", env_file=env_files_to_load, extra="allow")
 
 

src/sbl_filing_api/entities/models/dao.py

@@ -1,4 +1,10 @@
-from sbl_filing_api.entities.models.model_enums import FilingType, FilingTaskState, SubmissionState, UserActionType
+from sbl_filing_api.entities.models.model_enums import (
+    FilingType,
+    FilingTaskState,
+    SubmissionState,
+    UserActionType,
+    FilingState,
+)
 from datetime import datetime
 from typing import Any, List
 from sqlalchemy import Enum as SAEnum, String, desc
@@ -125,6 +131,7 @@ class FilingDAO(Base):
     creator_id: Mapped[int] = mapped_column(ForeignKey("user_action.id"))
     creator: Mapped[UserActionDAO] = relationship(lazy="selectin", foreign_keys=[creator_id])
     is_voluntary: Mapped[bool] = mapped_column(nullable=True)
+    state: Mapped[FilingState | None] = mapped_column(nullable=True)
 
     def __str__(self):
         return f"ID: {self.id}, Filing Period: {self.filing_period}, LEI: {self.lei}, Tasks: {self.tasks}, Institution Snapshot ID: {self.institution_snapshot_id}, Contact Info: {self.contact_info}"

src/sbl_filing_api/entities/models/dto.py

@@ -2,7 +2,13 @@
 from datetime import datetime
 from typing import Dict, Any, List
 from pydantic import BaseModel, ConfigDict, Field, model_validator
-from sbl_filing_api.entities.models.model_enums import FilingType, FilingTaskState, SubmissionState, UserActionType
+from sbl_filing_api.entities.models.model_enums import (
+    FilingType,
+    FilingTaskState,
+    SubmissionState,
+    UserActionType,
+    FilingState,
+)
 
 
 class UserActionDTO(BaseModel):
@@ -89,6 +95,7 @@ class FilingDTO(BaseModel):
     signatures: List[UserActionDTO] = []
     creator: UserActionDTO
     is_voluntary: bool | None = None
+    state: FilingState | None = None
 
 
 class FilingPeriodDTO(BaseModel):

src/sbl_filing_api/entities/models/model_enums.py

@@ -6,6 +6,7 @@ class UserActionType(str, Enum):
     ACCEPT = "ACCEPT"
     SIGN = "SIGN"
     CREATE = "CREATE"
+    REOPEN = "REOPEN"
 
 
 class SubmissionState(str, Enum):
@@ -30,3 +31,8 @@ class FilingTaskState(str, Enum):
 
 class FilingType(str, Enum):
     ANNUAL = "ANNUAL"
+
+
+class FilingState(str, Enum):
+    OPEN = "OPEN"
+    CLOSED = "CLOSED"

src/sbl_filing_api/entities/repos/submission_repo.py

@@ -20,7 +20,7 @@
     UserActionDAO,
 )
 from sbl_filing_api.entities.models.dto import FilingPeriodDTO, FilingDTO, ContactInfoDTO, UserActionDTO
-from sbl_filing_api.entities.models.model_enums import SubmissionState
+from sbl_filing_api.entities.models.model_enums import SubmissionState, FilingState
 
 logger = logging.getLogger(__name__)
 
@@ -139,7 +139,7 @@ async def upsert_filing(session: AsyncSession, filing: FilingDTO) -> FilingDAO:
 
 
 async def create_new_filing(session: AsyncSession, lei: str, filing_period: str, creator_id: int) -> FilingDAO:
-    new_filing = FilingDAO(filing_period=filing_period, lei=lei, creator_id=creator_id)
+    new_filing = FilingDAO(filing_period=filing_period, lei=lei, creator_id=creator_id, state=FilingState.OPEN)
     return await upsert_helper(session, new_filing, FilingDAO)
 
 

src/sbl_filing_api/routers/filing.py

@@ -12,7 +12,7 @@
 from regtech_api_commons.models.auth import AuthenticatedUser
 
 from sbl_filing_api.entities.models.dao import FilingDAO
-from sbl_filing_api.entities.models.model_enums import UserActionType
+from sbl_filing_api.entities.models.model_enums import UserActionType, FilingState
 from sbl_filing_api.services import submission_processor
 from sbl_filing_api.services.multithread_handler import handle_submission
 from sbl_filing_api.config import request_action_validations
@@ -139,6 +139,7 @@ async def sign_filing(request: Request, lei: str, period_code: str):
     sig_timestamp = int(sig.timestamp.timestamp())
     filing.confirmation_id = lei + "-" + period_code + "-" + str(latest_sub.counter) + "-" + str(sig_timestamp)
     filing.signatures.append(sig)
+    filing.state = FilingState.CLOSED
     send_confirmation_email(
         request.user.name, request.user.email, filing.contact_info.email, filing.confirmation_id, sig_timestamp
     )
@@ -411,3 +412,28 @@ async def update_is_voluntary(request: Request, lei: str, period_code: str, upda
         name="Filing Not Found",
         detail=f"A Filing for the LEI ({lei}) and period ({period_code}) that was attempted to be updated does not exist.",
     )
+
+
+@router.put(
+    "/institutions/{lei}/filings/{period_code}/reopen",
+    response_model=FilingDTO,
+    dependencies=[
+        Depends(set_context({UserActionContext.FILING})),
+        Depends(validate_user_action(request_action_validations.filing_reopen, "Filing Reopen Forbidden")),
+    ],
+)
+@requires("authenticated")
+async def reopen_filing(request: Request, lei: str, period_code: str):
+    await repo.add_user_action(
+        request.state.db_session,
+        UserActionDTO(
+            user_id=request.user.id,
+            user_name=request.user.name,
+            user_email=request.user.email,
+            action_type=UserActionType.REOPEN,
+        ),
+    )
+    filing = await repo.get_filing(request.state.db_session, lei, period_code)
+    filing.state = FilingState.OPEN
+    res = await repo.upsert_filing(request.state.db_session, filing)
+    return res

src/sbl_filing_api/services/validators/filing_validators.py

@@ -1,6 +1,7 @@
 import logging
 
 from sbl_filing_api.entities.models.dao import FilingDAO
+from sbl_filing_api.entities.models.model_enums import FilingState
 from .base_validator import ActionValidator
 
 log = logging.getLogger(__name__)
@@ -15,15 +16,24 @@ def __call__(self, filing: FilingDAO, period_code: str, lei: str, **kwargs):
             return f"Filing already exists for Filing Period {period_code} and LEI {lei}"
 
 
-class ValidFilingExists(ActionValidator):
+class ValidFilingExistsSign(ActionValidator):
     def __init__(self):
-        super().__init__("valid_filing_exists")
+        super().__init__("valid_filing_exists_sign")
 
     def __call__(self, filing: FilingDAO, lei: str, period_code: str, **kwargs):
         if not filing:
             return f"There is no Filing for LEI {lei} in period {period_code}, unable to sign a non-existent Filing."
 
 
+class ValidFilingExistsReopen(ActionValidator):
+    def __init__(self):
+        super().__init__("valid_filing_exists_reopen")
+
+    def __call__(self, filing: FilingDAO, lei: str, period_code: str, **kwargs):
+        if not filing:
+            return f"There is no Filing for LEI {lei} in period {period_code}, unable to reopen a non-existent Filing."
+
+
 class ValidVoluntaryFiler(ActionValidator):
     def __init__(self):
         super().__init__("valid_voluntary_filer")
@@ -40,3 +50,12 @@ def __init__(self):
     def __call__(self, filing: FilingDAO, **kwargs):
         if filing and not filing.contact_info:
             return f"Cannot sign filing. Filing for {filing.lei} for period {filing.filing_period} does not have contact info defined."
+
+
+class ValidFilingNotOpen(ActionValidator):
+    def __init__(self):
+        super().__init__("valid_filing_not_open")
+
+    def __call__(self, *args, filing: FilingDAO, **kwargs):
+        if filing and filing.state is FilingState.OPEN:
+            return f"Cannot reopen filing. Filing state for {filing.lei} for period {filing.filing_period} is OPEN."

tests/api/routers/test_filing_api.py

@@ -21,7 +21,7 @@
     UserActionDAO,
 )
 from sbl_filing_api.entities.models.dto import ContactInfoDTO, UserActionDTO
-from sbl_filing_api.entities.models.model_enums import UserActionType
+from sbl_filing_api.entities.models.model_enums import UserActionType, FilingState
 from sbl_filing_api.services import submission_processor
 from sbl_filing_api.services.multithread_handler import handle_submission
 
@@ -1001,6 +1001,7 @@ async def test_good_sign_filing(
         self, mocker: MockerFixture, app_fixture: FastAPI, authed_user_mock: Mock, get_filing_mock: Mock
     ):
         get_filing_mock.return_value.is_voluntary = True
+        get_filing_mock.return_value.state = FilingState.CLOSED
         get_filing_mock.return_value.submissions = [
             SubmissionDAO(
                 id=1,
@@ -1302,3 +1303,43 @@ def test_contact_info_invalid_phone_number(
             in res.json()["error_detail"]
         )
         assert res.status_code == 422
+
+    async def test_unauthed_reopen_filing(self, mocker: MockerFixture, app_fixture: FastAPI, unauthed_user_mock):
+        client = TestClient(app_fixture)
+        res = client.put("/v1/filing/institutions/123456790/filings/2024/reopen")
+        assert res.status_code == 403
+
+    def test_reopen_filing(
+        self, mocker: MockerFixture, app_fixture: FastAPI, get_filing_mock: Mock, authed_user_mock: Mock
+    ):
+        add_user_action_mock = mocker.patch("sbl_filing_api.entities.repos.submission_repo.add_user_action")
+        add_user_action_mock.return_value = None
+        get_filing_mock.return_value.state = FilingState.OPEN
+
+        upsert_mock = mocker.patch("sbl_filing_api.entities.repos.submission_repo.upsert_filing")
+        updated_filing_obj = deepcopy(get_filing_mock.return_value)
+        upsert_mock.return_value = updated_filing_obj
+
+        client = TestClient(app_fixture)
+        res = client.put("/v1/filing/institutions/1234567890ABCDEFGH00/filings/2024/reopen")
+
+        assert res.status_code == 403
+        assert res.json()["error_name"] == "Filing Reopen Forbidden"
+        assert (
+            res.json()["error_detail"]
+            == "['Cannot reopen filing. Filing state for 1234567890ABCDEFGH00 for period 2024 is OPEN.']"
+        )
+
+        get_filing_mock.return_value.state = FilingState.CLOSED
+        res = client.put("/v1/filing/institutions/1234567890ABCDEFGH00/filings/2024/reopen")
+        assert res.status_code == 200
+        assert res.json()["state"] == "OPEN"
+
+        get_filing_mock.return_value = None
+        res = client.put("/v1/filing/institutions/1234567890ABCDEFGH00/filings/2024/reopen")
+        assert res.status_code == 403
+        assert res.json()["error_name"] == "Filing Reopen Forbidden"
+        assert (
+            res.json()["error_detail"]
+            == "['There is no Filing for LEI 1234567890ABCDEFGH00 in period 2024, unable to reopen a non-existent Filing.']"
+        )

tests/entities/repos/test_submission_repo.py

@@ -72,12 +72,21 @@ async def setup(
             action_type=UserActionType.SIGN,
             timestamp=dt.now(),
         )
+        user_action6 = UserActionDAO(
+            id=6,
+            user_id="[email protected]",
+            user_name="signer name",
+            user_email="[email protected]",
+            action_type=UserActionType.REOPEN,
+            timestamp=dt.now(),
+        )
 
         transaction_session.add(user_action1)
         transaction_session.add(user_action2)
         transaction_session.add(user_action3)
         transaction_session.add(user_action4)
         transaction_session.add(user_action5)
+        transaction_session.add(user_action6)
 
         filing_task_1 = FilingTaskDAO(name="Task-1", task_order=1)
         filing_task_2 = FilingTaskDAO(name="Task-2", task_order=2)
@@ -262,6 +271,7 @@ async def test_add_filing(self, transaction_session: AsyncSession):
         assert res.creator.user_name == "test creator"
         assert res.creator.user_email == "[email protected]"
         assert res.creator.action_type == UserActionType.CREATE
+        assert res.state == "OPEN"
 
     async def test_modify_filing(self, transaction_session: AsyncSession):
         user_action_create = await repo.add_user_action(
@@ -606,7 +616,7 @@ async def test_get_user_action(self, query_session: AsyncSession):
     async def test_get_user_actions(self, query_session: AsyncSession):
         res = await repo.get_user_actions(session=query_session)
 
-        assert len(res) == 5
+        assert len(res) == 6
         assert res[0].id == 1
         assert res[0].user_name == "signer name"
 

tests/migrations/test_migrations.py

@@ -462,3 +462,10 @@ def test_migrations_to_63138f5cf036(alembic_runner: MigrationContext, alembic_en
     inspector = sqlalchemy.inspect(alembic_engine)
     columns = inspector.get_columns("filing")
     assert next(c for c in columns if c["name"] == "is_voluntary")["nullable"]
+
+
+def test_migrations_to_7fe49d38726b(alembic_runner: MigrationContext, alembic_engine: Engine):
+    alembic_runner.migrate_up_to("7fe49d38726b")
+    inspector = sqlalchemy.inspect(alembic_engine)
+
+    assert "state" in set([c["name"] for c in inspector.get_columns("filing")])