{
      "name": "qfc-recordkeeping-cycle",
      "domain": "Audit & Assurance",
      "title": "QFC Part 371 Recordkeeping Cycle",
      "description": "Single-stage cycle over an institution's own 12 CFR part 371 qualified-financial-contract position, counterparty, and collateral file. The validator checks the file's shape against the appendix's published record layout and ties the file's declared totals to a supplied control-total summary, reporting a shape defect and a totals mismatch as two separate, never-merged findings. The rollup emits the closed decision enum: auto_pass, review_required, or escalate (did_not_run when no control-total summary is supplied). A file nonconformance routes the finding to internal audit as reviewer; the daily-capability recordkeeping check closes with a preparer/reviewer pair rather than a named external approver, since this is an internal standing test rather than a supervisor-facing filing -- an approver role binding stays available where the institution runs this co-sourced. The bundle evidences the institution's own basis for asserting part 371 recordkeeping conformance; it is not a filing and offers no advice on whether a contract is in fact a covered QFC.",
      "composer_url": "https://ainumbers.co/chaingraph/chains/qfc-recordkeeping-cycle.html",
      "regulatory_refs": [
        "12 CFR part 371 (Qualified Financial Contract Recordkeeping) and its appendix record layouts",
        "GAO-25-107721 sec. 10.18 (recordkeeping completeness, validity and timeliness dimensions)"
      ],
      "steps": [
        {
          "tool_id": "art-537-qfc-recordkeeping-file-validator",
          "handoff": "File-shape validation against the part 371 appendix record layout plus a control-total tie-out, and the rollup closed decision enum, close the recordkeeping-conformance evidence pack. Single stage.",
          "gate": {
            "input": "/decision/gate_policy",
            "rules": [
              {
                "op": "in",
                "value": ["auto_pass", "review_required", "escalate", "did_not_run"],
                "next": "end"
              }
            ],
            "default": "end",
            "gate_policy": "review_required"
          }
        }
      ]
    }