Register of information regulatory packages

The Register of Information (RoI) is a regulatory reporting requirement under the Digital Operational Resilience Act (DORA) and is supported by the Digital Resilience Third-party Information Register application in the Vendor Management Workspace.

RoI overview

The RoI is a structured data package that financial entities must submit to regulators to demonstrate compliance with DORA. It includes information about legal entities, third-party service providers, contracts, and functions.

Starting with version 21.1.x, third-party assessors (sn_vdr_risk_asmt.vendor_assessor) can generate regulator-ready RoI packages using the Plain-CSV Report Package option on the download page. The ZIP file includes metadata and report folders structured to regulator specifications, with file names containing LEI, entity ID, and release version. This enhancement supports EU DORA compliance and automated validation workflows. You can follow the guide provided in the Instructions section on the Download/Upload request page for step-by-step instructions and required permissions.

Note: You can use the Excel master template option to download a document to use for data preparation and internal review and the Plain-CSV reporting package option to download a document to use for regulator submission and compliance validation. For more information, see Create a Microsoft Excel download request.

The RoI framework aligns with DORA’s five pillars, particularly ICT third-party risk management and incident reporting. TPRM contributes third-party risk data that is included in RoI packages generated by Digital Operational Resilience capabilities. These RoI packages follow the European Banking Authority’s structure and validation requirements.

The RoI framework includes DPM business validation rules, properties, and additional configuration files such as report.json, reportPackage.json, decimalsMonetary, and FrameworkCodeModuleVersion. These components enable third-party risk administrators (sn_vdr_risk_asmt.vendor_risk_admin) to view and maintain validation logic and configuration settings for CSV reporting and automated validation workflows, helping maintain consistency across regulatory submissions. TPR admins can access these properties by navigating to All > Digital Operational Resilience Management > Properties and can access DPM business validation rules by navigating to All > Digital Operational Resilience Management > DPM business validation rules.

Note:

The decimalsMonetary property controls decimal precision for monetary values in Master Template and CSV downloads only. You can set decimal precision to -6, -3, 0, or 2 for monetary value fields. It doesn’t affect UI display, upload and validation, individual table downloads, or database storage.

After validation completes, the system automatically notifies the request initiator by email and attaches the validation report when errors or warnings are detected.

Digital Resilience Third-party Information Register support for RoI

The Digital Resilience Third-party Information Register provides the following capabilities to support RoI compliance:

• Data capture for entities, contracts, functions, and third parties

• CSV report generation aligned with regulator specifications

• ZIP packaging with metadata and report folders

• Validation workflows for technical, schema, and business rule checks

• Level 4 LEI validation against the GLEIF database, with a downloadable Level4_LEI_Validation_Report.csv included in Consolidated_Reports.zip. For more information, see Validate Legal Entity Identifier codes for DORA reporting.

• A Terminology Definitions module for providing your organization’s internal definitions of the closed-set indicator options used across RoI templates, so the B_99.01 export includes your terminology. For more information, see Define terminology for the Register of Information export.

• Role-based access for managing RoI requests

Note:

All RoI-related actions are performed in the Digital resilience third-party registers section of the Vendor Management Workspace. This workspace provides access to download/upload requests, validation tools, and master templates.

For more information, see Generate a register of information package

Currency conversion and aggregation

During report generation, you can enable optional currency conversion and third‑party total expense aggregation. These options standardize or combine annual expense values in the reporting package. These options affect only the generated reporting package and don’t modify source records in the digital resilience registers.

For more information, see Currency conversion and third-party expense aggregation.

RoI validation checks

Business-rule checks for RoI validation generate data quality warnings for contracts and third-party service providers without blocking Plain-CSV reporting package generation. For the complete list of these checks, see Validation framework for Register of Information.

Quarterly RoI CSV generation

A quarterly scheduled job (DORA: Quarterly CSV download) generates the CSV Register of Information report for the previous quarter automatically, so you don’t have to trigger the download manually each quarter. The job is inactive by default; a TPR admin [sn_vdr_risk_asmt.vendor_risk_admin] can navigate to All > System Definition > Scheduled Jobs and activate it before it runs.

When the job runs, it uses the most recently created CSV download request record as its configuration template, regardless of that record’s state. It copies the entity, competent authority, base currency, currency conversion, and third-party total expense aggregation settings to the new request. No email notification is sent for the generated report, because the job runs under the system account rather than a specific user.

Related topics

Generate a register of information package

Define terminology for the Register of Information export

Terminology and definitions fields

Validation framework for Register of Information