MOD-057 — Statistical Returns & Survey Engine¶

Purpose¶

Compile and submit RBNZ + APRA statistical / survey returns (Bank Balance Sheet survey, Interest Rate survey, APRA EFS, AS1) from the governed SD06 data pipeline. Same REP-005 GATE approval shape as MOD-036 — shared evaluator from @bank-risk-platform/shared/regulatory-gate. bank-wiki #35 Action C.

Architecture¶

Hybrid module: - DCM — STATISTICAL_OBLIGATION_REGISTER table + two alerts. Co- exists in MOD-056's REGULATORY schema (DCM v2 ownership constraint). - dbt — four cell-level return DTs (BBS / Interest / EFS / AS1) + validation + preview views. Same _source_lineage JSON-per-row shape as MOD-036; reads MOD-032 LCR/NSFR + MOD-086 NIM via dbt source(). - Lambda — submission orchestrator with the shared four-check REP-005 GATE; routes NZ → RBNZ data portal stub, AU → APRA RAAP stub (v1 stubs; v2 wires real endpoints). - No Streamlit of its own — MOD-170 portal embeds V_STAT_RETURN_PREVIEW alongside MOD-036's per-return drill-down. - No new approval table — reuses REGULATORY.RETURN_APPROVALS (MOD-036-owned). Same orchestrator ingest_role writes RETURN_RUNS + RETURN_SUBMISSIONS rows alongside MOD-036's prudential rows; return_code distinguishes the two surfaces.

Snowflake objects owned by MOD-057¶

Object	Type	Schema	Notes
`STATISTICAL_OBLIGATION_REGISTER`	TABLE (DCM)	REGULATORY	Schedule + due dates. Control table; INSERT/UPDATE allowed.
`ALERT_STAT_RETURN_VALIDATION_FAILED`	ALERT (DCM, post-dbt)	REGULATORY	FR-250
`ALERT_STAT_DUE_DATE_APPROACHING`	ALERT (DCM, post-dbt)	REGULATORY	FR-249
`DT_RBNZ_BBS`	DT (dbt)	REGULATORY	1h target_lag, FULL refresh, cell-level
`DT_RBNZ_INTEREST`	DT (dbt)	REGULATORY	1h target_lag, FULL refresh
`DT_APRA_EFS`	DT (dbt)	REGULATORY	1h target_lag, FULL refresh
`DT_RBNZ_STAT_AS1`	DT (dbt)	REGULATORY	1h target_lag, FULL refresh
`V_STAT_RETURN_VALIDATION`	VIEW (dbt)	REGULATORY	PASSED/FAILED per (run_id, return_code) — read by shared gate
`V_STAT_RETURN_PREVIEW`	VIEW (dbt)	REGULATORY	Cell viewer — consumed by MOD-170

SSM outputs¶

Path	Value
`/bank/{env}/risk-platform/statistical-returns/submission-orchestrator-arn`	Lambda ARN
`/bank/{env}/risk-platform/statistical-returns/obligation-register-table`	`REGULATORY.STATISTICAL_OBLIGATION_REGISTER`
`/bank/{env}/risk-platform/statistical-returns/return-preview-view`	`REGULATORY.V_STAT_RETURN_PREVIEW`
`/bank/{env}/risk-platform/statistical-returns/event-source-name`	`bank.risk-platform`

SSM inputs (read)¶

Source	Path	Purpose
MOD-036	`/bank/{env}/risk-platform/prudential-return-builder/return-approvals-table`	Shared approval-record table (`REGULATORY.RETURN_APPROVALS`) — orchestrator gate reads here

Dependencies¶

Module	Why hard
MOD-036	Owns RETURN_RUNS / RETURN_SUBMISSIONS / RETURN_APPROVALS (shared audit surface). MOD-057's gate reads RETURN_APPROVALS; orchestrator INSERTs to RUNS + SUBMISSIONS.
MOD-056	Owns the REGULATORY schema (declared by MOD-056's DCM project).
MOD-032	V_LCR_CURRENT + V_NSFR_CURRENT feed Bank Balance Sheet survey.
MOD-086	V_NIM_ATTRIBUTION_DAILY feeds Interest Rate survey.
MOD-042	CDC pipeline supplies the upstream raw data MOD-032/086 transform.
MOD-102/104	Account + AWS bootstrap.
MOD-170	Approval workflow surface — without it, every submission stays APPROVAL_REQUIRED.

Policies satisfied¶

Policy	Mode	How
REP-008	AUTO	`tests/policy/REP-008-auto.test.ts` — obligation register lists 4 v1 returns; 4 DTs use 1h target_lag + FULL refresh; orchestrator has daily cron trigger.
REP-005	GATE	`tests/policy/REP-005-gate.test.ts` — 5 negative + 1 positive against the shared `evaluateGate(moduleId="MOD-057", …)`.
NFR-024	LOG	`tests/policy/NFR-024-log.test.ts` — MOD-057 doesn't grant UPDATE/DELETE/TRUNCATE on RETURN_RUNS / RETURN_SUBMISSIONS / RETURN_APPROVALS anywhere in its DCM project.

docs/handoffs/SD06-streamlit-dashboard-layer.handoff.md — bank-wiki #35 Action C parent.
MOD-036 design doc — RETURN_APPROVALS / RETURN_RUNS / RETURN_SUBMISSIONS shared-surface contract.
packages/shared/src/regulatory-gate/gate.ts — canonical REP-005 evaluator.