QAAMS upload checklist (review report & attachments)

QAAMS upload checklist (review report & attachments)

Submitting your QI periodic review through QAAMS is straightforward if your report structure, attachments, and file hygiene are ready. Use this checklist to avoid common rejections and keep your RO certification timeline on track.

Tip: keep a single master ZIP with stable file names referenced inside the report. If you must re-upload, increment a version suffix (e.g., _v2) consistently across report and ZIP.

1) Review report — suggested structure

  1. Executive summary (scope, approach, key results, conclusions)
  2. Governance & independence (reviewer independence memo, team bios)
  3. Method (populations, strata, sampling, tests, RNG log)
  4. Results (documentation tests, payments/withholding tests, reconciliations)
  5. Findings & remediation (severity, owners, ETA, validation plan)
  6. Appendices & evidence map (table linking each reference to a file path in the ZIP)

File as searchable PDF. Bookmarks and a front-page contents help reviewers navigate quickly.

2) Attachments — what to include

Attachment Content File suggestion
Independence pack Acceptance memo, conflict checks, team bios 01_governance/independence_pack.pdf
Sampling plan Populations, strata, RNG seed/log, selection list 02_method/sampling_plan.xlsx
Documentation tests WP for each sample, pass/fail, evidence links/screens 03_results/documentation_tests/...
Payments/withholding tests Rate justification, calc traces, tie-outs 03_results/payments_tests/...
Reconciliations To GL, to Forms 1042/1042-S 04_recon/reconciliation_pack.xlsx
Findings & remediation Register, root cause, owners, ETA; validation evidence 05_findings/findings_register.xlsx

Screenshots as PDF bundles (not scattered PNGs). Redact PII where not essential.

3) File naming & packaging

  • Stable, referenced names: mirror the evidence map. Avoid auto-IDs that change.
  • Order with numeric prefixes: 01_ to 05_ folders.
  • Archive: one ZIP (e.g., QI_Review_BankName_2025_v1.zip) under 500MB if possible.
  • PDF/A for report, XLSX/CSV for data, PDF for screenshots/bundles.
  • Versioning: if re-uploading, use _v2 and update the report’s evidence map.

4) Privacy & access hygiene

  • Minimize PII: include only what’s required to evidence the test; redact names/addresses if not needed.
  • Mask identifiers: show partial account numbers (e.g., last 4) where feasible.
  • Remove live links/API keys: export screens as PDFs, not live system links.
  • Password on ZIP if required by policy (share password via separate channel).
  • Internal approvals: keep a short release note authorizing external submission.

5) Pre-flight checks (pass/fail in 5 minutes)

  • Report opens, is searchable, and has bookmarks/ToC.
  • Evidence map paths match files in ZIP exactly.
  • Sampling log includes seed/date and equals selections list.
  • Findings have owners & ETAs; validation plan exists.
  • Reconciliations tie to totals (1042-S/1042 & GL).
  • No empty placeholders or “lorem” pages remain.

6) Common rejection reasons (and quick fixes)

Reason Fix
Evidence map references don’t match file names Rename to match the map or update the map; keep casing identical
Missing RNG log / sampling rationale Add one-page RNG note + selection list with timestamps
Screenshots unreadable / scattered Bundle per test as searchable PDF; ensure font size > 10pt
No tie-out to 1042-S/1042 or GL Include a reconciliation sheet and cite page numbers in the report
Findings lack owners/ETA Update register with owners, dates, and validation plan

7) Download templates

Upload your own versions to the Media Library and update the links below:

Need a QAAMS-ready package?
We’ll assemble a reviewer-friendly report, evidence map, and attachments — and walk you through the upload.

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