QI acceptance checklists — per form, reviewer-ready templates
These lean checklists make W-8/W-9 acceptance consistent and auditable. Each form has a short set of rules, the expected evidence, and a simple Pass/Fail field — perfect for sample testing, periodic reviews, and RO sign-offs.
Scope: W-8BEN, W-8BEN-E, W-8IMY, W-8EXP, and W-9 acceptance. Includes GIIN & treaty evidence hints,
recipient-code alignment, and notes for change-in-circumstances.
What’s inside (per form)
- W-8BEN — identity & residency, treaty claim details, signature/capacity, U.S. indicia check.
- W-8BEN-E — Chapter 3/4 statuses, GIIN when required, treaty LOB wording, entity classification to recipient code.
- W-8IMY — QI/NQI/WT status, withholding statement, underlying documentation list, GIIN/QDD flags.
- W-8EXP — exempt category, supporting statements, GIIN (if relevant), signature/date.
- W-9 — name/TIN match, backup withholding status, FATCA exemption code (if any).
How to use: complete one checklist per sampled form and file it next to the form image.
If a rule is not applicable, select N/A and state why in “Notes”.
Download the templates
| File | What it includes | Link |
|---|---|---|
| QI Acceptance Checklists (XLSX) | Tabs for W-8BEN, W-8BEN-E, W-8IMY, W-8EXP, W-9 + Instructions | Download |
Acceptance tips that prevent rejects
- Version-lock: track the IRS form version and your acceptance checklist version together.
- GIIN hygiene: pattern-check + monthly FFI-list match; keep exceptions with closures.
- Treaty evidence: document residency proof and LOB wording where required; use country-specific pools.
- Recipient code: pull from KYC entity type to avoid 1042-S misclassification.
- CiC workflow: changes trigger re-papering; keep before/after snapshots and outreach proof.
Want the checklists tailored to your onboarding?
We align rules to your systems and build sampling sheets for periodic reviews.
We align rules to your systems and build sampling sheets for periodic reviews.