# DCA Governance – Supporting Assets (Checklists & Tools)

This folder is the designated place for **operational checklists and tools** that implement the framework. They are used by Collections, Risk, Compliance, and Legal in day-to-day DCA governance.

## Your Excel assets and where they fit

### 1. NZ_DCA_Compliance_Attestation_Checklist_v2.xlsx

**What it is:** The checklist/template used to perform and record **compliance attestations** (DCA and/or bank) for NZ DCA engagements.

**Where it fits in the package:**

| Framework reference | How the checklist is used |
|--------------------|----------------------------|
| **Layer 1 – DCA Governance Policy** | Policy requires attestations; this is the **form** used to capture them. |
| **Layer 5 – Governance Cadence** | Used at the **Quarterly Risk & Attestation Review**. DCA (and bank) complete the checklist; signed attestation is received and filed. |
| **Layer 3 – Monthly Reporting Pack** | Section 5 (Risk Indicators) includes “Attestation status” (Y/N). The checklist supports that status. |
| **Layer 6 – Escalation Framework** | “Attestation qualified or not received” triggers escalation to Risk; this checklist is the evidence of receipt and content. |
| **Main NZ framework** | “Risk attestations” section (who attests, what, frequency) – this Excel is the **operational implementation** of that requirement. |

**When to use it:**  
- **Quarterly** (minimum), per Layer 5, as part of the Risk & Attestation Review.  
- **Monthly** for high-risk or new DCAs if your policy requires more frequent attestation.

**Recommendation:**  
- Copy this file into this folder (or keep in a shared drive and link from here).  
- Name consistently in the repo if you version it, e.g. `NZ_DCA_Compliance_Attestation_Checklist_v2.xlsx` or `DCA-Attestation-Checklist.xlsx`.

---

### 2. NZ_DCA_Contract_SLA_Checklist_v2.xlsx

**What it is:** A **checklist** to verify that a DCA contract and its SLA schedule include all required elements from the **Layer 2** standard (standard contract appendix and SLA).

**Where it fits in the package:**

| Framework reference | How the checklist is used |
|--------------------|----------------------------|
| **Layer 2 – Contract Appendix & SLA** | The Layer 2 document defines *what* must be in the contract; this Excel is the **verification checklist** that each contract has those elements (SLA metrics, contact standards, disclosure, delegation, reporting, service credits). |
| **Appendix – DCA Onboarding Checklist** | Onboarding items 2 (“Legal review of standard contract appendix”) and 6 (“Contract signed with standard appendix”) – this checklist is the **tool** used to perform that review and confirm alignment before sign-off. |
| **Layer 5 – Governance Cadence** | Used at the **Annual Contract & Incentive Review** to confirm existing contracts (and any amendments) still align with Layer 2; any gaps feed into contract amendment or exception process. |
| **Layer 1 – Exception process** | If a contract has bespoke terms, the checklist can record which items are met by exception and reference the exception register. |

**When to use it:**  
- **Onboarding:** Before contract signature, Legal/Collections complete the checklist to confirm the contract and SLA schedule meet Layer 2.  
- **Annual review:** At Contract & Incentive Review, re-run the checklist for each DCA contract (or when amending).  
- **New standard:** When Layer 2 is updated, use the checklist to identify which contracts need amendment.

**Recommendation:**  
- Copy this file into this folder (or keep in a shared location and link from here).  
- Consider a tab or section that maps each row to the relevant clause/section in Layer 2 for easy audit.

---

## Folder structure (suggested)

Place your Excel files here so the whole package is in one place:

```
docs/DCA-Governance/exec-docs/supporting-assets/
├── README-Supporting-Assets.md          (this file)
├── NZ_DCA_Compliance_Attestation_Checklist_v2.xlsx
└── NZ_DCA_Contract_SLA_Checklist_v2.xlsx
```

If you prefer to keep the xlsx files on a shared drive or in a different repo, keep this README here and update the “Copy this file” text above to point to the actual path or link.

---

## Summary

| Asset | Implements | Primary use |
|-------|------------|-------------|
| **NZ_DCA_Compliance_Attestation_Checklist_v2.xlsx** | Attestation requirement (Layer 1, main NZ framework); evidence for Layer 3 & 6 | Quarterly (and optionally monthly) Risk & Attestation Review |
| **NZ_DCA_Contract_SLA_Checklist_v2.xlsx** | Layer 2 standard (contract & SLA content) | Onboarding contract review; Annual Contract & Incentive Review |

Both are **supporting assets** that make the framework executable; they do not replace the policy or standard documents (Layers 1–6) but are the checklists/tools used to comply with them.