RO certification dossier index — the complete QI review pack
Use this dossier index to assemble a reviewer-ready pack for the Responsible Officer (RO) certification. It standardizes folders, file names, and mandatory attachments so your QI periodic review can be uploaded, reviewed, and approved without back-and-forth.
Outcome: one master ZIP (e.g.,
QI_Dossier_BankName_2025_v1.zip) whose internal paths match
the evidence map referenced in the review report.
1) Folder index & file naming
Use numeric prefixes to keep order. All paths below should be referenced in the review report’s evidence map.
| Folder | Contents (examples) | File name patterns |
|---|---|---|
| 01_governance | Independence pack, acceptance memo, team bios | independence_pack.pdf, acceptance_memo.pdf |
| 02_method | Sampling plan workbook, RNG log, selection list | sampling_plan.xlsx, rng_log.pdf |
| 03_results | Documentation tests (WPs), payments/withholding tests | documentation_tests/WP_DOC_####.pdfpayments_tests/WP_PAY_####.pdf |
| 04_recon | 1042-S aggregation, 1042 mapping, GL roll-forward, bridge | 1042S_agg.xlsx, form1042_map.xlsx, gl_rollforward.xlsx, bridge_signed.pdf |
| 05_findings | Findings register, remediation plan, validation evidence | findings_register.xlsx, validation_memo.pdf |
| 06_report | Searchable PDF of the review report with bookmarks | QI_review_report_v1.pdf |
Versioning: if you must re-issue, increment suffixes consistently (e.g., _v2) across report and any updated files; update the evidence map accordingly.
2) Mandatory attachments (minimum set)
- Independence pack — acceptance memo, conflict checks, team bios.
- Sampling plan workbook — populations, strata, RNG seed/log, selections.
- Working papers — pass/fail per sample with evidence links or bundled PDFs.
- Reconciliations — 1042-S → Form 1042 → GL bridge, roll-forward, signatures.
- Findings & remediation — register with owner/ETA and validation plan.
- Review report (PDF/A) — bookmarks/ToC, evidence map section.
3) Evidence map (how paths should appear)
Your report should contain a table like this (pointing to files inside the ZIP):
| Ref ID | Report section | ZIP file path | Notes |
|---|---|---|---|
| GOV-01 | Governance & independence | 01_governance/independence_pack.pdf |
Acceptance memo + conflicts |
| MET-01 | Method | 02_method/sampling_plan.xlsx |
Populations, RNG log, selections |
| REC-01 | Reconciliation | 04_recon/bridge_signed.pdf |
1042-S → 1042 → GL with sign-offs |
Keep casing and paths identical. If anything changes, update both the report and the ZIP.
4) Sign-offs (who approves what)
- Review engagement partner/lead: independence confirmation, scope, results.
- Tax lead/controller: 1042-S/1042 tie-outs, GL reconciliations, corrections.
- Process owner(s): remediation actions, ETA, validation evidence.
- RO: final certification representation (with disclosure where applicable).
Capture signatures or email approvals as a consolidated sign-off pack (PDF) in 06_report/ or 01_governance/.
5) Submission timeline (working back from RO due date)
- T-10 weeks: finalize scope & independence; freeze populations; prepare sampling plan.
- T-8 to T-4: fieldwork — documentation & payments testing; early reconciliations.
- T-3: draft report; findings & remediation; start sign-offs; corrections if any.
- T-2: finalize bridge and GL roll-forward; package ZIP; Run pre-flight checks.
- T-1: RO review session; finalize disclosure language; QAAMS upload.
- T (RO due): certification submitted; archive dossier in records management.
6) Pre-flight (pass/fail in five minutes)
- ZIP opens; paths match evidence map exactly.
- Report is searchable, bookmarked, and references the latest file names.
- Sampling: RNG seed/date present; selections reconcile to populations.
- Bridge: 1042-S totals = 1042 lines = GL (timing explained).
- Findings: owners + ETA + validation plan; no placeholders.
- Privacy: PII minimized/redacted; no live system links or keys.
Starter templates
Report (DOCX), Evidence Map (XLSX), Findings Register (XLSX), Sampling Plan (XLSX), 1042-S Bridge (XLSX), 1446(f) Logic Pack (XLSX).
Report (DOCX), Evidence Map (XLSX), Findings Register (XLSX), Sampling Plan (XLSX), 1042-S Bridge (XLSX), 1446(f) Logic Pack (XLSX).
Want a done-for-you dossier?
We’ll assemble the entire pack, align wording for the RO certification, and guide your QAAMS upload.
We’ll assemble the entire pack, align wording for the RO certification, and guide your QAAMS upload.