Create Microsoft Excel download and upload request

Create a Microsoft Excel upload and download request to upload and download the records from and into the Digital resilience third-party registers for auditing purposes.

Before you begin

Role required: sn_oper_res.admin

About this task

Use the Excel download/upload requests module in Digital resilience third-party registers to export and import the records in Microsoft Excel format. The European Union auditors and regulators can download these records for audit and reviewing purposes and take appropriate actions.

To become familiar with the process before handling more complex operations, you can follow these steps:

• Create records on the UI: Create records for each type on the user interface. It helps you to understand which fields are mandatory and their required formats.
• Download data: Next, download the data to get a clear understanding of the values in each Microsoft Excel column.
• Upload data with the changes: Finally, make a simple change to a column and upload the data back to verify that the process works as expected.

Procedure

1. Navigate to Workspaces > Operational Resilience Workspace > Digital resilience third-party registers > Excel download/upload requests.
2. Select New.
   The Create New Excel download/upload request form is displayed.
3. On the form, fill in the fields.
   For descriptions of all these fields, see Create New Excel download/upload request form.
4. For the Upload request, select the Attach file option in the Select file field.
5. To download the template for uploading the selected type of record such as Assessments, select Download template, select the file in the Save as field in the modal, and select Save.
6. To upload the selected file, select Upload.
7. Select Save.
   After saving a download request, you can choose which records you want to download by navigating to its corresponding tab. For example, you would navigate to the Contracts tab for a Third-party information register download request or the Assessments tab for an Assessments download request.
8. Select the records that you want from the list and perform one of the following steps.

   Step	Description
   Export to excel	When making a download request for records related to Assessments, Branches, Contracts, Functions, Legal Entities, Supply Chains, Third Parties, or Third-Party Engagements, simply select the Export to Info Excel to export those records as a Microsoft Excel file.
   Export to info register	When making a download request for a Third-Party Information Register record, select Export to Info Register to export contract records you want as an Microsoft Excel file. The following rules apply when the report is generated for b_05.01 (ICT third-party service provider) data: Additional identification code (c0030): If a b_05.01 row's additional identification code is empty or is identical to the primary identification code (c0010), it is not validated separately and does not appear as a distinct row in the report. Country comparison for legal entities acting as service providers: When a legal entity that appears in b_01.02 is also a service provider in b_05.01, the country in b_05.01 (c0080, registered country) is compared against GLEIF's legal address country to ensure consistent GLEIF country values across both sheets. For third-party-only rows in b_05.01 (LEIs not in b_01.02), the comparison continues to use the GLEIF headquarters country.

   For information on Register of information regulatory packages, see the following topics:

   • Register of Information (ROI) regulatory packages
   • Generate a Register of Information package
   • Validation framework for Register of Information in Operational Resilience
   • Validate the Register of Information packages
9. Add the name that you want for the Microsoft Excel file and select Save.

   In releases prior to 21.x.x of Digital resilience third-party registers, downloading the contract created a single sheet with all the contract data. Starting with version 21.x.x of Digital resilience third-party registers, when you generate a report on the contracts, it mirrors the UI and provides details, including information on entities, third parties, third-party engagements, and specific contract information in the Microsoft Excel sheet.

   It generates a Microsoft Excel sheet that you can submit directly to your regulatory authority. The file strictly adheres to the format of the template issued by the regulatory authority and includes all necessary details for reporting your third-party engagements.

   Starting with version 20.x.x of Digital resilience third-party registers, you can see choice or reference values in the downloaded Microsoft Excel files. For example, Departments can be created in the system as 'Research and Development'. When the functions are downloaded, department values are displayed as options in the Microsoft Excel template for selection. The template includes drop-down lists for departments, business units, and other yes or no questions (as seen in the Branch template). Additional drop-downs are added for countries, currencies, and so on

   The application also handles translations for meta data, including headers and drop-down options.

   Confirm that no duplicate records are present after downloading data for Legal entities, Functions, and so on. When downloading the template, confirm that there are no duplicate third-party rows. For example, creating one DORA third-party and two DORA entities, then creating DORA contracts for the same vendor using the same entity, results in only one third-party row in the downloaded template and not two duplicate rows. You can add new entities and enter their LEI (even if not in the drop-down list) in the downloaded contract file without needing to download the contract records again. You can upload the modified contract records back to the application.

10. Convert and aggregate contractual expenses to regulator-required currencies.
    Beginning with Digital Operational Resilience Management (sn_dora_accel), version 22.x.x, currency conversion and third-party aggregation capabilities are supported for DORA reporting. For more information on conversion and aggregation, see Convert and aggregate contractual expenses to regulator-required currencies.
11. To download third-party information register, select Export info register on the Contractual arrangements tab, add a name, and save it.

    The dialog box is shown in the example.

    

    The example shows a downloaded report with expenses reported in local currencies.

    
12. To export Excel download/upload requests, select the requests you want and then Export.

    Step	Description
    Select File Type.	File type selected for the export. Available choices are: Excel CSV JSON PDF
    Select Delivery Type.	Delivery type selected for the export. Available choices are: Download Email
    Select Export.	Action to export the record.

• Create New Excel download/upload request form
  On the Create New Excel download/upload request form, fill in the fields.