Validation framework for Register of Information

  • Release version: Australia
  • Updated May 15, 2026
  • 4 minutes to read
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    Summary of Validation framework for Register of Information

    The Validation Framework for the Digital Resilience Third-party Information Register (RoI) application ensures that RoI data packages comply with the Digital Operational Resilience Act (DORA) regulatory requirements. The framework performs real-time, automated validation when RoI Plain-CSV reporting packages are uploaded, checking for structural, formatting, and data integrity issues.

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    This system is critical for ServiceNow customers managing third-party risk and regulatory reporting as it helps guarantee that submitted data aligns with regulatory standards before formal submission.

    Key Features

    • Multi-level Validation Checks:
      • Level 1: Technical checks on file encoding, structure, and naming (29 rules).
      • Level 2: Template and schema compliance checks (12 rules).
      • Level 3: Business rule validations focusing on regulatory logic and field dependencies (70 rules).
      • Level 4: Batch validation of Legal Entity Identifier (LEI) codes against the Global LEI Foundation (GLEIF) database, verifying existence, status, and consistency.
    • Automated Validation on Upload: Validation starts immediately upon uploading a ZIP package via download/upload requests, eliminating the need for separate validation requests.
    • Detailed Validation Reports: Reports include mappings to regulator fields, rule expressions, descriptions, field labels, record identifiers, and row-level error summaries, supporting efficient error resolution.
    • Notification System: Automated email alerts notify users when validation completes, attaching reports and CSV packages as appropriate.
    • Access for Third-party Risk Admins: Admins can view and maintain validation logic and configuration settings within the ServiceNow platform under Digital Operational Resilience Management.
    • Support Materials: Downloadable Excel master templates are provided to mirror CSV structures, define fields, and assist with troubleshooting and correction.

    How It Helps ServiceNow Customers

    This validation framework enables third-party risk managers and admins to:

    • Ensure RoI reporting packages meet DORA requirements before submission, reducing regulatory risk.
    • Identify and correct errors efficiently with clear, actionable validation feedback.
    • Maintain compliance workflows with automated notifications and detailed reports.
    • Leverage master templates and mapped validation results to quickly locate and fix data issues within ServiceNow or source systems.
    • Perform batch LEI validations to confirm entity authenticity and regulatory compliance.

    Troubleshooting Common Issues

    • Missing Validation Report: Indicates no errors or warnings; only the CSV package is returned.
    • Missing Required Fields: Use the validation report and master template to identify and correct empty or misformatted fields.
    • Rule Expression Failures: Review specific business rule violations and correct invalid data such as LEI formats or missing references.
    • Invalid Use of “Not applicable” Values: Replace or remove these values in fields that do not support them.
    • File Size or Encoding Issues: Ensure ZIP file is under 5 MB and all CSV files use UTF-8 encoding before re-uploading.
    • Interpreting Validation Reports: Cross-reference reports with master templates to understand errors in context effectively.

    The validation framework helps ensure that RoI packages meet regulatory requirements defined by the DORA.

    Validation overview

    The validation framework for the Digital Resilience Third-party Information Register application helps ensure that downloaded RoI packages comply with the structural, formatting, and data integrity requirements defined by the DORA. It supports a real-time, three-level validation system that automatically checks for technical accuracy, regulatory alignment, and business rule compliance during the upload process.

    • Level 1 (Technical checks): 29 rules validating file encoding, structure, and naming.
    • Level 2 (Data package mode technical checks): 12 rules ensuring template and schema alignment.
    • Level 3 (Data package model business rules): 70 rules verifying regulatory logic and field dependencies.
    • Level 4 (LEI validation): Batch validation of all Legal Entity Identifier codes in the package against the GLEIF database, verifying existence, entity status, registration status, and name and country consistency. Results are included in a downloadable Level4_LEI_Validation_Report.csv file in the Consolidated_Reports.zip attachment. For more information, see Validate Legal Entity Identifier codes for DORA reporting and Level 4 LEI Validation Report columns.
    Note:
    The Data Package Model is used to structure and validate RoI packages.

    The DPM business validation rules and report.json, reportPackage.json, FrameworkCodeModuleVersion properties enable Third-party risk admins [sn_vdr_risk_asmt.vendor_admin] to view and maintain validation logic and configuration settings for CSV reporting and automated validation. Third-party risk admins can access these properties by navigating to All > Digital Operational Resilience Management and then selecting Properties or DPM Business Validation Rules.

    Validation process

    Validation is performed automatically when a Register of Information (RoI)Plain-CSV reporting package is uploaded. As soon as the ZIP package is uploaded using a download/upload request, the system initiates real-time validation without requiring a separate request type. The system performs checks across multiple dimensions:

    • File-level validation: Ensures correct encoding, naming conventions, and file structure.
    • Template-level validation: Verifies that required templates are present and formatted correctly.
    • Field-level validation: Applies rule expressions to check for missing values, incorrect formats, and invalid references.

    Validation results are returned in a downloadable report that includes:

    • Mappings to regulator fields such as Template Code, Row Code, and Column Code.
    • Rule expressions and descriptions.
    • Real-world field labels and record identifiers.
    • Row-level error summaries.

    Third-party risk managers (sn_vdr_risk_asmt.vendor_risk_manager) can review downloaded RoI packages using the same Plain-CSV Report Package option. After a validation report is generated for a Register of Information (RoI) package, the system automatically sends an email notification to whoever initiated the download or upload request. This email alerts the user that the process has been completed and provides access to the results. If validation warnings are detected, both the validation report and the CSV package are attached to the request record. If no issues are found, only the CSV package is included. This automated notification ensures timely awareness and facilitates efficient follow-up actions for compliance and data correction workflows.

    Validation checks help identify structural and business‑rule issues based on DORA‑aligned specifications. Validation results do not represent a regulatory determination, and supervisory authorities may apply additional or updated checks when reviewing submitted data.

    To assist with error resolution, you can cross-reference the validation report with downloadable master templates that mirror the CSV structure. These templates help identify the location and context of each issue, making it easier to correct data in the ServiceNow instance or source system. Validation reports are only generated when errors or warnings are detected. If no issues are found, only the CSV package is returned.

    To improve troubleshooting, the system maps rule expressions to real-world field labels and record identifiers. Even when malformed data is uploaded, the validation API returns meaningful error messages to help you identify and resolve issues efficiently.

    Excel master templates are available for download from the Download/Upload Request page. These templates mirror the expected CSV structure and provide field definitions, formats, and sample values to assist with validation and error resolution.

    Common validation issues

    Refer to the following guidance to troubleshoot common validation issues when submitting RoI packages.

    • Validation report is missing: The uploaded package contains no errors or warnings. Check the Result section of the request. If no issues are found, only the CSV package is returned and no validation report is generated.
    • Missing required fields: One or more required fields are empty or incorrectly formatted. Open the validation report and locate the affected row and column. Use the master template to identify the correct field name and expected format. Update the record in the ServiceNow instance or source system and revalidate.
    • Rule expression failures: The data violates one or more business rules defined in the validation framework. Review the rule expression and description in the validation report. Use the record identifier to locate the affected record and correct the data. Common issues include invalid LEI formats, empty currency fields, or missing contract references.
    • Invalid use of “Not applicable” values: These values are used in fields that don’t support them. Check the field definition in the master template. Replace “Not applicable” with a valid value or remove it if the field is required. Revalidate the updated package.
    • Validation report is difficult to interpret: The report lacks context or field labels are unclear. Download the master template and use it to cross-reference the row number, sheet name, and record identifier. This helps locate the affected record and understand the validation error in context.
    • File size or encoding issues: The uploaded ZIP file exceeds the 5-MB limit or uses unsupported encoding. Compress the file to meet the size requirement and verify all CSV files use UTF-8 encoding. Re-upload the corrected package.