DORA – Submission timeframe for register of information – eDesk Portal open as of 11 February 2026

(3)of Regulation (EU) 2022/2554 (DORA), financial entities subject to DORA shall maintain and update at entity level, and at sub-consolidated and consolidated levels, a register of information in relation to all contractual arrangements on the use of ICT services provided by ICT third-party service providers. As requested in Circular CSSF 25/882, financial entities are required to submit annually their register of information to the CSSF, at individual or consolidated level as relevant. Financial entities are required to submit their register of information to the CSSF between 11 February 2026 and 31 March 2026 via eDesk. It is strongly recommended to submit it as soon as possible and not to wait until the end of the submission period to ensure potential issues can be addressed before end of March. Following the publication of the Q&A #102 (Link) by the ESA, third country branches of financial entity types falling in the DORA remit and under the supervision of the CSSF now have to submit a register of information to the CSSF. For these entities the same submission window applies. For 2026, the reference date of the register of information is set to 31 December 2025, i.e. the register of information shall contain all contractual arrangements contracted until 31 December 2025. The validation checks defined by the ESA and last updated in April 2025 have not changed (Link) but will be applied to more data fields in order to increase the quality of the received data. Therefore, in certain cases, a register of information which was accepted last year, may be rejected this year. This is why it is important for financial entities to submit their register of information as soon as possible so that they have sufficient time to make any necessary corrections. eDesk Procedure to submit the register To be able to upload the register of information via the eDesk Portal, the Legal Entity Identifier (LEI) of the financial entity submitting the register of information has to be communicated beforehand to the CSSF. In addition, the role “DORA Reporting” needs to be assigned by a financial entity to at least one dedicated employee. When the role “DORA Reporting” has been granted, the eDesk procedure “Submission of the Register of Information” can be selected starting as from 11 February. Further details on how to assign this role can be found in the eDesk Portal user guide. During the upload and validation processes, certain messages will be generated and communicated to the financial entity. Please note that those messages will only be addressed to the person having effectively uploaded the register of information and not to all employees to whom the “DORA Reporting” role may have been granted. The CSSF highlights that the register of information must be submitted in plain-csv files, enclosed in a .zip-file following a predefined folder structure and file naming convention, as defined by the ESAs. As a reminder, the CSSF highly recommends financial entities to follow closely the ESAs’ practical information and instructions available on the EBA website for the preparation and submission of the register of information (Link). Further details on how to submit the register to the CSSF can be found in the User Guide for DORA – Submission of the Register of Information in the eDesk Portal. Potential requests for re-submission Uploaded registers of information will be subject to validation checks by the CSSF in due time. In case errors are detected, the submitting financial entity will be invited to fix them and re-submit its register of information before 31 March 2026. Registers of information accepted by the CSSF may be submitted on request to the ESA which will perform additional validation checks. Should the ESAs detect additional errors and consequently refuse the register of information on their side, the submitting financial entity must fix the detected errors and re-submit its register of information to the CSSF which will then forward it again to the ESAs. Disclaimer on providing access to the eDesk Portal In case financial entities will be assisted by third parties in the submission of their register of information, the CSSF would like to draw attention to the following. Providing access, even with a specific role, to the eDesk Portal to a third party entails the risk that such third party may have access to other eDesk reporting procedures, i.e. data of your entity that go beyond the data that are strictly linked to the submission of the register of information, including potentially sensitive data. Please ensure that any third party with access to the eDesk Portal confirms strict compliance with the confidentiality obligations relating to the data that may be accessed. Note that you remain solely responsible for the protection of your sensitive data in line with applicable regulations. Helpdesk For any technical question related to the on-boarding or the use of the eDesk Portal, please contact: edesk@cssf.lu. For any question related to the content of the register of information or the raised error messages during the analysis of the submitted register of information, please contact: ictrisksupervision@cssf.lu. In case a question is related to a register of information that has already been submitted, financial entities shall provide the corresponding eDesk tracing code when contacting the helpdesk of the CSSF. The CSSF has published a set of documents in order to help financial entities to submit their register of information. 7 April 2025 - Updated on 24 April 2025 Register of information: Guidance tables on submission to the CSSF Guidance allowing financial entities to identify the National Competent Authority to which their register of information has to be submitted. CSSF guidance PDF (86.42Kb) 24 April 2025 CSSF guide concerning the submission of DORA Register of information Guidance related to the composition and the content of a register of information. Compilation of information from different ESA sources. Technical document PDF (604.24Kb) 16 May 2025 Guidance for interpretation and resolution of ESA error messages related to the DORA register Guidance allowing financial entities to interpret and resolve error messages raised by the ESA during the analysis of the submitted register of information. CSSF guidance PDF (763.19Kb) 11 February 2026 Guidance for interpretation and resolution of CSSF error messages related to the submission of the DORA register Guidance allowing financial entities to identify the National Competent Authority to which their register of information has to be submitted. CSSF guidance PDF (658Kb) The guidance published by the CSSF may be updated if required during this year’s submission exercise. The CSSF advises financial entities to consult the latest version of the relevant document(

1. s)according to their specific question(
2. s)before contacting our helpdesks. 9 April 2025 Circular CSSF 25/882 on requirements on the use of ICT third-party services for Financial Entities subject to the Digital Operational Resilience Act (DORA) CSSF circular PDF (229.95Kb) PDF (261.02Kb) Main topic: ICT and cyber risk – for DORA entities Relevant for Credit institutions Crypto-Assets Service Providers (CASPs) Data Reporting Service Providers (DRSPs) E-money institutions Investment firms Investment fund managers Payment institutions Register of information: Guidance tables on submission to the CSSF The summary tables below are designed to help Luxembourg-based financial entities falling under the scope of the DORA regulation and supervised by the CSSF or the ECB (FE) to determine, whether a register of information needs to be communicated to the CSSF and based on which consolidation level, or whether it needs to be submitted to another competent authority (table 1) as part of the consolidated register of its parent company. In case it is to be submitted to the CSSF on a consolidated basis, the second table provides details for which entities the information needs to be included in the register. These tables should identify a number of cases, without claiming to be exhaustive. In case of doubt, financial entities may always contact their supervision departments. Table 1: Obligation of submission and level of consolidation The Financial Entity (FE) is not part of a group FE Individually To CSSF The FE is the EU parent of a group of FEs FE Supervised by the CSSF FE supervised by the ECB FE Consolidated To CSSF FE Consolidated To ECB* The FE is a subsidiary within a group of FEs whose parent company (PC) is not in the EU/EEA FE Individually To CSSF The FE is a subsidiary within a group of FEs whose EU PC is established in Luxembourg The FE is a subsidiary within a group of FEs whose PC in the EU is established in a Eurozone country The FE is a subsidiary within a group of FEs whose PC in the EU is established in an EU/EEA country outside the Eurozone PC is supervised by the CSSF PC is supervised by the ECB PC is not supervised by the CSSF or ECB PC is supervised by the ECB PC is supervised by an NCA from the same sector PC is supervised by an NCA from the same sector PC Consolidated To CSSF PC Consolidated To ECB* FE Individually To CSSF PC Consolidated To ECB* PC Consolidated To same sector NCA PC is supervised by an NCA from another sector FE Individually To CSSF PC Consolidated To same sector NCA PC is supervised by an NCA from another sector FE Individually To CSSF * The ECB asks that the information be submitted at the highest level of consolidation within the Single Supervisory Mechanism (SSM) considering the prudential scope of consolidation. In accordance with the DORA FAQs No 5, if the prudential scope of consolidation were to encompass financial entities within the meaning of DORA that belong to another (non-banking) financial sector, the register of information of this entity would therefore be encompassed in the consolidated/sub-consolidated RoI of the group and should consequently be reported to the ECB at consolidated level. Table 2: Identification of subsidiaries whose information must be included in the consolidated register to submit to the CSSF (submission of an EU parent entity established in Luxembourg under CSSF supervision) Does the subsidiary belong to the same Where is the subsidiary located? sector? Yes Yes Yes No In Luxembourg In the EU or EEA Outside the EU or EEA In Luxembourg No No In the EU or EEA Outside the EU or EEA REGISTER OF INFORMATION: GUIDANCE TABLES ON SUBMISSION TO THE CSSF Is the subsidiary supervised by the Should the consolidated RoI include information about CSSF? this subsidiary? Yes No No Yes No No No Yes Yes No Yes No No No CSSF guide concerning the submission of DORA Register of information Version 1.0 – 23/04/2025 TABLE OF CONTENTS 1. Introduction ............................................................................................................... 4 2. General information .................................................................................................... 4 2.1 Identification of financial entities and their third-party service provider ............................. 4 2.1.1 Type of Identifier .................................................................................................. 4 2.1.2 Composition of a Legal Entity Identifier (LEI) ............................................................ 5 2.1.3 Composition of a European Unique Identifier (EUID) .................................................. 5 2.1.4 GLEIF / BRIS database .......................................................................................... 5 2.2 Difference between Warning and Error messages............................................................ 5 3. Structure of the Register of Information ........................................................................ 6 3.1 Naming convention of the .zip file ................................................................................. 6 3.2 Content of the .zip file ................................................................................................. 6 3.2.1 Sub-folder META-INF ............................................................................................. 7 3.2.2 Sub-folder reports ................................................................................................. 7 3.2.2.1 report.json ........................................................................................................ 8 3.2.2.2 FilingIndicators.csv ............................................................................................. 9 3.2.2.2 parameters.csv .................................................................................................. 9 3.3 UTF-8 encoding ........................................................................................................ 10 4. Content of a .csv file ................................................................................................. 10 4.1 Composition of a .csv file ........................................................................................... 10 4.1.1 Header of a .csv file............................................................................................. 10 4.1.1.1 Special case: Table B_03.03 .............................................................................. 11 4.1.1.2 Special case: Table B_02.03 and B_03.01 ........................................................... 11 4.1.1.3 Special case : Table B_06.01 ............................................................................. 12 4.3 Order of the columns ................................................................................................ 12 5. .csv files .................................................................................................................. 13 5.1 Data Field types ....................................................................................................... 13 5.1.1 String (varchar) ................................................................................................. 13 5.1.2 Date .................................................................................................................. 13 5.1.3 Boolean ............................................................................................................. 13 5.2 Enumerated type (Close set of options) ....................................................................... 14 5.3 Mandatory data fields ................................................................................................ 14 5.4 Key fields ................................................................................................................ 15 5.4.1 Identification of Key Fields ................................................................................... 15 5.4.2 Identical Key values on open tables ....................................................................... 15 5.5 Missing data for Mandatory / Key fields ....................................................................... 16 5.5.1 Missing or unknown LEI ....................................................................................... 16 5.5.2 Country key fields ............................................................................................... 16 6. Foreign Key Violations ............................................................................................... 17 6.1 Foreign Key Violation - across tables .......................................................................... 17 6.2 Foreign Key Violation - self reference ......................................................................... 17 7. Validation Rules........................................................................................................ 18 7.1 DPM Business Validation Rules ................................................................................... 18 2/24 7.2 Validation Rules related to LEI / EUID ......................................................................... 23 3/24 CSSF guide concerning the submission of DORA Register of information Version 1.0 – 23/04/2025 1. Introduction The aim of this guide consists in assisting financial entities in resolving issues detected during the validation checks of the submitted DORA registers of information (RoI). This guide shall be read in conjunction with the ‘Observations from testing of RoI reporting to the ESAs. Key common issues identified’ document published by the ESA on 16 April 2025 (Link). This guide is not intended to be exhaustive but covers the issues most commonly encountered in the validation checks of the RoI received during the first year of submission. It provides information based on current best knowledge and will be updated regularly. As it is evolving over time, the CSSF advises you to consult the latest version of this guide before contacting our helpdesks. In case of any question, please feel free to contact by mail the different helpdesks of the CSSF: Any technical issues, for instance with the on-boarding to CSSF eDesk platform shall be addressed to edesk@cssf.lu Any question related to the content of the register of information shall be addressed to ICTRiskSupervision@cssf.lu 2. General information 2.1 Identification of financial entities and their third-party service provider 2.1.1 Type of Identifier • Financial entities are identified under DORA via a Legal Entity Identifier (LEI). • Third-party service providers located inside the EU are identified under DORA via a Legal Entity • Third-party service providers located outside the EU are identified under DORA via a LEI. Identifier (LEI) or a European Unique Identifier (EUID). 4/24 2.1.2 Composition of a Legal Entity Identifier (LEI) • A LEI consists of a 20-character alphanumeric string. The first four characters identify the Local Operating Unit (LOU) that has issued the LEI whereas Characters 5 to 18 are the unique alphanumeric string assigned to the financial entity. The final two characters are checksum digits. 2.1.3 Composition of a European Unique Identifier (EUID) • The EUID has been introduced as a European standard alongside national business registers in 2017 by the European Commission. • Its composition is the following: 2.1.4 GLEIF / BRIS database • The ESA check the provided LEI or EUID against the GLEIF and BRIS databases. • In case the provided ID is not contained in both databases, a warning message will be displayed. • However, the submitted register will not be rejected. Please refer also to the Top Errors #5 (page 17), Top Error #9 (page 22) and Top Error #12 (page 25) in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. 2.2 Difference between Warning and Error messages This guide enumerates a certain number of requirements based on the published ITS on register of information (Link) and the technical specifications provided by the ESA (Link). In case a non-compliance of the RoI is detected during the analysis of its content, an error message is shown. In this case, the submitted RoI is rejected, and financial entities shall fix the detected error(
3. s)and resubmit their register in due time to the CSSF, which will submit the register to the ESA. A warning message on the other hand indicates a detected non-compliance of the submitted register but without rejection. The financial entities may decide to fix the detected issue(
4. s)and to re-submit their register to the CSSF. Any register re-submitted before end of May 2025 will be transmitted by the CSSF to the ESA. Examples of warning or error messages 5/24 Please refer also to the list of Top 20 error codes which may lead to the rejection of the register described on page 5 in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. 3. Structure of the Register of Information • The register of information to be submitted to the CSSF is composed of different folders and files. Those folders and files are grouped inside a .zip file. • Only .zip files are accepted by the CSSF via its eDesk platform. • Any RoI communicated to the CSSF which is not a valid .zip file will be rejected. This is for instance the case for any file for which the file extension is changed to .zip. Other compressed files like for instance .7z files will be rejected. 3.1 Naming convention of the .zip file • The following naming convention has to be respected when submitting a register of information to the CSSF: LEI.IND_Country_Version_ReferenceDate_Timestamp.zip or LEI.CON_Country_Version_ReferenceDate_Timestamp.zip where:  LEI is the LEI code of the reporting financial entity composed of 18 characters and numbers followed by two check digits  CON or IND is the indication whether the file is being reported at consolidated (CON) or individual entity level (IND)  Country is the two-letter ISO code of the country of the submitting entity  Version is DORA010100 (constant for the reporting in 2025)  ReferenceDate is 2025-03-31 for the first reporting in 2025  Timestamp is the timestamp when the reporting file was created: YYYYMMDDHHMMSS000 Examples: DUMMYLEI123456789012.CON_IT_DORA010100_DORA_2025-03-31_20250421141632000.zip DUMMYLEI123456789012.IND_LU_DORA010100_DORA_2025-03-31_20250421141632000.zip 3.2 Content of the .zip file Please refer also to the Top Error #10 described on page 23 in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. • The main folder contained in the .zip file has the same name as the zip file but without the • The name of the folder is in uppercase .zip extension Example: Name of the .zip file: DUMMYLEI123456789012.IND_LU_DORA010100_DORA_2025-03-31_20250421141632000.zip 6/24 Name of the folder: DUMMYLEI123456789012.IND_LU_DORA010100_DORA_2025-03-31_20250421141632000 • The main folder contains two sub-folders ‘reports’ and ‘META-INF’ • The name of those two sub-folders must not be modified and are case-sensitive • Additional sub-folders are prohibited • Additional files at sub-folder level are prohibited A non-compliance with this rule leads to the rejection of the submitted register. 3.2.1 Sub-folder META-INF • The sub-folder ‘META-INF’ contains one file called ‘reportPackage.json’. • Any additional folder or file inside the sub-folder META-INF is prohibited • The filename of the ‘reportPackage.json’ is case sensitive • The ‘reportPackage.json’ file shall not be modified • Content of the ‘reportPackage.json’ file: A non-compliance with this rule leads to the rejection of the submitted register. 3.2.2 Sub-folder reports Please refer also to the Top Error #6 described on pages 18-19 and the additional information related to the Table.csv files on pages 27-28 in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. 7/24 The sub-folder ‘reports’ contains: the different b_xx.xx .csv files corresponding to the table files the ‘FilingIndicators.csv’ file the ‘parameters.csv’ file the ‘report.json’ file Example : • Any additional folder or file inside the sub-folder is prohibited leading to the rejection of the submitted register • The sub-folder does not contain any .xls or .xlsx files • All filenames are case sensitive • The filename of the b_xx.xx.csv table files must be lower case e.g. b_01.01.csv • Financial entities do not need to include all b_xx.xx.csv files (for instance in case a financial entity has no branches, file b_01.03.csv is not required to be included in the sub-folder). In this particular case, financial entities have to ensure that the requirements in the below section ‘3.2.2.2 FilingIndicators.csv’ are respected. A non-compliance with this rule leads to the rejection of the submitted register. 3.2.2.1 report.json • The report.json file contained in the sub-folder ‘reports’ shall not be modified • Content of the ‘report.json’ file: A non-compliance with this rule leads to the rejection of the submitted register. 8/24 3.2.2.2 FilingIndicators.csv Please refer also to the Top Error #4 described on page 16 and the additional information related to the FilingIndicators.csv file on page 26 in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. • Content of the ‘FilingIndicators.csv’ file: • The content of the ‘FilingIndicators.csv’ file shall not be modified. • Name of the file is case sensitive. • All lines except the header contain the Boolean ‘true’ even if the financial entity will not report a given template (for instance in case the financial entity has no branches, file b_01.03.csv is not required). A non-compliance with this rule leads to the rejection of the submitted register. 3.2.2.2 parameters.csv Please refer also to the Top Error #8 described on page 21 and the additional information related to the parameters.csv file on page 26 in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. • Content of the ‘parameters.csv’ file: • The order of the header of the parameters.csv file is important - name first, value after • The second row shall start with ‘entityID,rs:’ followed by the LEI of the entity submitting the register and ‘.CON’ or ‘.IND’. In other words, the string shall be followed by the 24 first characters of the zip name. • The reference period specified in line 3 shall be the same that the one specified in the filename of the .zip file. For the 2025 submission, the reference date is set to ‘2025-03-31’. 9/24 3.3 UTF-8 encoding • All .csv and .json files shall be encoded in UTF-8 format. Files encoded in a different format (for instance ASCI) will be rejected. • In order to check whether a given .csv file is encoded in UTF-8 under Microsoft Windows, please open the file via notepad.exe. The following file has been encoded in UTF-8 format and will be accepted: The following file has been encoded in ANSI format and will be rejected: 4. Content of a .csv file 4.1 Composition of a .csv file • A .csv is composed of a header (first row) and the rows containing the value of the different data fields specified by the ITS on Register of information. 4.1.1 Header of a .csv file Please refer also to the Top Error #11 described on page 21 and the additional information related to the parameters.csv file on page 24 in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. • The header of a .csv file contains a list of the different columns c0010, c0020, … • All columns in the header are separated via the comma symbol ‘,’ • All column names in the header are in lower cases and start with the letter “c” followed by 4 digits • No additional columns shall be added • The header of a .csv file does not contain an empty value 10/24 • The columns contained in a header are incremented by 10 (c0010, c0020, c0030, …) The Data Model for DORA RoI (Link) enumerates all the data fields defined in the ITS on register of information. Example: Template B.01.01 is composed of 6 different data fields: The header of the file b_01.01.csv will be: c0010,c0020,c0030,c0040,c0050,c0060 Examples of headers that will be rejected for file b_01.01.csv: Header Justification C0010,C0020,C0030,C0040,C0050,C0060 Columns shall start with the lowercase letter ‘c’ c0010,c0020,c0030,c0050,c0060 Missing column c0040 c0010,c0020,c0030,c0040,c0050,c0060,c0070 Column c0070 is impermissible, it does not exist in the data point model (DPM) c0010;c0020;c0030;c0040;c0050;c0060 Wrong separator, only a comma is accepted as separator b_01.01.c0010, b_01.01.c0020, b_01.01.c0030, Naming convention of the columns not b_01.01.c0040, b_01.01.c0050, b_01.01.c0060 respected 4.1.1.1 Special case: Table B_03.03 The file b_03.03.csv is the only template which contains a column ‘c0031’. The column name ‘c0031’ in table b_03.03 is not an error and should not be corrected. A ‘b_03.01.csv’ file containing header c0010,c0020,c0030 will be rejected. 4.1.1.2 Special case: Table B_02.03 and B_03.01 The Data Model for DORA RoI specifies that templates B.02.02 and B.03.01 have only two columns. 11/24 In the annotated table for DORA published by the ESA a third column was added to both templates so that files b_02.03.csv and b_03.01.csv shall both have the following header: c0010,c0020,c0030 4.1.1.3 Special case : Table B_06.01 The ESA noted in FAQ#46(U) that there is a numbering error in the numbering of the column codes in Template B_06.01 in the ITS published in the EU Official Journal. In particular, data field B_06.01.0050 is missing in the column codes, resulting in the data fields being assigned erroneous column codes. The ESA further noted that for reporting purposes, the data points included in the reporting technical package v4.0 for the ITS on the Registers of information should be considered. The data point model contains consecutive numbers of the data fields. Following the renumbering of the columns, the header of file b_06.01.csv shall be: c0010,c0020,c0030,c0040,c0050,c0060,c0070,c0080,c0090,c0100 4.3 Order of the columns Financial entities have to ensure that the number of columns contained in a .csv header corresponds to the ESA’s specification. The order of the columns however may vary e.g. they can come in any order. In this case, the financial entities have to ensure that the corresponding values follow the same order than the columns in the header. Example of two different b.01.01.csv files that are accepted: Example1: Example2: In both examples, column c0010 for instance contains the LEI of the financial entity and column c0020 its name. Example of a b.01.01.csv file that is rejected: 12/24 In this example column c0010 contains the LEI of the financial entity but column c0020 the value ‘2025-03-31’ instead of the financial entity’s name. 5. .csv files 5.1 Data Field types The “Data Model for DORA RoI” document (Link) published by the ESA lists the different types of the data fields contained in the register of information. For certain of those types, certain requirements shall be respected which are described hereunder: 5.1.1 String (varchar) In case the string value contains a separator ‘,’ then this string value must be quoted with double quotes “”. Example: “Bank, branch of Germany” 5.1.2 Date All dates must be specified in the format yyyy-mm-dd The following values do not respect the date format and will be rejected: Data field Justification 31-12-2025 Date format yyyy-mm-dd not respected 2025-31-12 Rejected as date is provided in yyyy-dd-mm format 2025/12/31 Separator ‘/’ not allowed 2025-01-31 00:00:00 Time must not be added to the date 5.1.3 Boolean • A Boolean type must be either true, false, 1 or 0. • The values ‘true’ or ‘false’ must be in lower case. Value Justification TRUE Rejected as not in lower case True Rejected as not in lower case 13/24 5.2 Enumerated type (Close set of options) • For certain data fields, the ITS on register of information (Link) provides a list of specific values that financial entities shall use and the type of those data fields is specified as ‘Closed of options’. Q&A#25 (Link) specifies that “The values to be reported in the drop-down data fields are explained in the ITS and these are the actual values in a human-readable format. However, for reporting purposes the values should be replaced by the codes provided in the data point model (DPM) preceding with prefix ‘eba_’ according to the filling rules. To help navigate all the codes associated with the values in the drop-down data fields, the ESAs prepared a mapping file providing all the values and their codes”. • Financial entities shall ensure that they chose a value from the corresponding drop-down list. Figure below shows the possible values for data field B.01.02.0040 in template B_01.02: • • Values from the drop-down list are prefixed by ‘eba_’. Financial entities shall ensure that they pick a value from a drop-down list associated to a given data field. In the above example, only the values ‘eba_CT:xxx’ from the above list are accepted for data field B.01.02.0040. An error message will automatically be raised in case a financial entity uses a value which is no contained in the drop-down list or uses a value from a different drop-down list. • Financial entities shall enter the complete value (for instance ‘eba_CT:x318’ and not only the value ‘x318’) 5.3 Mandatory data fields The ITS specify in column ‘Fill-In Option’ whether a given data field is mandatory or optional. 14/24 The fact whether a given data field is mandatory is also specified in the document ‘Data Model for DORA RoI’ (Link). Example from Template B_01.01 based on the Data Model document: For all data fields in template B_01.01, the value of the column ‘Nullable’ is set to ‘No’ meaning that all those data fields are mandatory. 5.4 Key fields 5.4.1 Identification of Key Fields The document ‘Data Model for DORA RoI’ (Link) specifies in column ‘PrimaryKey’ or ‘ForeignKey’ whether a given data field is a key field or not. Example from Template B_01.01 based on the Data Model document : Key fields cannot be empty. A non-compliance with this rule leads to the rejection of the submitted register. 5.4.2 Identical Key values on open tables Please refer also to the Top Error#7 described on page 20 in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. As noted in the previous section 5.5.1, certain columns are defined as Key columns. In case a financial entity reports the same key twice, an error message will be raised and the submitted RoI will be rejected. 15/24 5.5 Missing data for Mandatory / Key fields Please refer also to the Top Error#2 (pages 11-13) and Top Error#3 (pages 14-15) in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. • The ESA specified in FAQ#26(U) that “If financial entities are not able to fill some data fields that are mandatory, they can leave these data fields blank (report empty values), unless the instructions to the data fields or responses to Q&A specify otherwise (please refer to responses to DORA Q&A 140, 141, 142, 143, 144, 145, 146, 147). “ • The answers to DORA Q&A 140-147 can be found in the Joint Q&A Register (Link). • Empty mandatory fields will generate a Warning message during the data quality feedback. The submitted register however will not be rejected. 5.5.1 Missing or unknown LEI FAQ#40 notes that “in case the LEI is not available for the ICT third-party provider (or its ultimate parent undertakings) registered in third countries, the financial entity should populate the data filed with any relevant value to avoid the file being rejected as failing the referential integrity check. In practice this could mean that the financial entity could use other identifiers available. The use of such identifiers will be highlighted as a data quality issue, but the files will not be rejected”. 5.5.2 Country key fields As the data fields B_02.02.0130, B_02.02.0150 and B_02.02.0160 are considered as key fields, they cannot be empty. The ESA have defined for those 3 data fields a drop-down list so that all 3 fields should contain as value a code with prefix ‘eba_’. Example 1: In case the Country of provision of the services is the country of Ireland, financial entities shall not enter ‘Ireland’ but the code ‘eba_GA:IE’ in fata field B_02.02.0130. Example 2: In case the mandatory key value is not known by the financial entities for one of those three fields, they shall specify the code ‘eba_GA:qx2007’ representing the value ‘Not applicable’. 16/24 In case the three key fields do not contain a value from the corresponding drop-down list, an error message will be issued and the submitted register rejected. 6. Foreign Key Violations Please refer also to the Top Error#1 described on pages 6-10 of the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. A data field is a foreign key meaning that the value of that data field shall be defined in a data field in the same or in another template. Is this not the case, an error message of type “Foreign Key Violation” will be issued leading to the rejection of the submitted register. The ESA distinguish between two types of Foreign Key violation : 6.1 Foreign Key Violation - across tables A Foreign Key Violation refers to a situation where a given data field contains a value which has not been defined in a primary key of another table. Example: - Table B_02.01 contains all the contractual arrangements signed with an Intra-Group entity or with an external TPPs. Each of those contractual arrangements are identified by a Contractual arrangement reference number. - Table B.02.03 contains all Intra-Group entity contractual arrangements. Each contract in table B.02.02 shall be defined in table B_02.01. Is this not the case, an error message of type ‘Foreign Key Violation - across tables‘ is displayed. The dependency between the tables B_02.01 and B_02.03 or precisely between the data fields B.02.01.0010 and B_02.02.0010 are represented in the Data Model for DORA RoI document as follows: 6.2 Foreign Key Violation - self reference Dependencies may also exist inside a single table. 17/24 Example: Table B.02.01 contains all the contractual arrangements of the financial entity. - Column c0020 of table B_02.01 specifies the type of the contract : standalone arrangement, overarching / master contractual arrangement or subsequent or associated arrangement. - In case column c0020 contains the value ‘subsequent or associated arrangement’, then column c0030 shall contain the contractual reference number of the overarching / master contractual arrangement. In the above example, Column 0030 contains a reference to a contract which has to be specified in table B.02.01. Is this not the case, a Foreign Key Violation error message will be raised and the submitted register will be rejected. 7. Validation Rules Please refer also to the Top Error#2 described on pages 11-13 in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. The ESA have regrouped all the technical validation checks in the document ‘Overview of the RoI reporting technical checks and validation rules (updated 10 March 2025)’ (Link). A non-compliance with these rules will trigger a warning message; the submitted register will however not be rejected. 7.1 DPM Business Validation Rules DPM rules for Table B_01.01 Code e23677_e Description All columns shall contain a value i.e. cannot be empty v8872_m In case column c0030 or c0040 or c0050 or c0060 contains a value then column c0020 shall not be empty. v8873_m In case column c0020 or c0040 or c0050 or c0060 contains a value then column c0030 shall not be empty. v8874_m In case column c0020 or c0030 or c0050 or c0060 contains a value then column c0040 shall not be empty. 18/24 v8875_m In case column c0020 or c0030 or c0040 or c0050 contains a value then column c0050 shall not be empty. v8876_m In case column c0020 or c0030 or c0040 or c0050 contains a value then column c0060 shall not be empty. v8890_m The LEI provided in column c0010 shall have a length of 20. DPM rules for Table B_01.02 Code e23676_e Description Columns c0020-0090 cannot be empty v22913_s Value of column shall be >= 0 v8803_m In case column c0110 is not empty, then column c0100 shall not be empty v8804_m In case the value of column c0040 is not ‘eba_CT:x318’ or ‘eba_CT:x317’ then column c0110 shall not be empty. v8826_m The LEI provided in column c0060 shall have a length of 20. v8858_m If the value of one of the columns c0030 or c0040 or c0050 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0020 shall not be empty. v8859_m If the value of one of the columns c0020 or c0040 or c0050 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0030 shall not be empty. v8860_m If the value of one of the columns c0020 or c0030 or c0050 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0040 shall not be empty. v8861_m If the value of one of the columns c0020 or c0030 or c0040 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0050 shall not be empty. v8862_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0060 shall not be empty. v8863_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0060 or c0080 or c0090 or c0100 or c0110 contains a value then column c0070 shall not be empty. v8864_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0060 or c0070 or c0090 or c0100 or c0110 contains a value then column c0080 shall not be empty. v8865_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0060 or c0070 or c0080 or c0100 or c0110 contains a value then column c0090 shall not be empty. v8891_m The LEI provided in column c0010 shall have a length of 20. 19/24 DPM rules for Table B_01.03 Code e23675_e Description Columns cannot be empty v8856_m If columns c0030 is not empty then column c0040 shall not be empty. v8857_m If columns c0040 is not empty then column c0030 shall not be empty. v8892_m The LEI provided in column c0020 shall have a length of 20. DPM rules for Table B_02.01 Code e23792_e Description Columns c0020, c0040, c0050 cannot be empty v22912_m In case column c0020 contains ‘eba_CO:x3’ then column c0030 shall not be empty. v23716_s The value of column c0050 shall be >= 0 v8805_m In case column c0020 contains ‘eba_CO:x3’ then column c0030 shall not be empty. v8866_m If one of the columns c0020, c0030 or c0040 is not empty then column c0050 shall not be empty. v8867_m If one of the columns c0020, c0030 or c0050 is not empty then column c0040 shall not be empty. v8868_m If one of the columns c0030, c0040 or c0050 is not empty then column c0020 shall not be empty. DPM rules for Table B_02.02 Code e23680_e Description Columns c004 to c0080 cannot be empty v8816_m Value of column c0080 shall be > then the value of column c0070 v8869_m In case of the columns c0070, c0080, c0090, c0100, c0110, c0120, c0140, c0170 or c0180 contains a value then column c0040 shall not be empty. v8870_m In case of the columns c0040, c0080, c0090, c0100, c0110, c0120, c0140, c0170 or c0180 contains a value then column c0070 shall not be empty. v8871_m In case of the columns c0040, c0070, c0090, c0100, c0110, c0120, c0140, c0170 or c0180 contains a value then column c0080 shall not be empty. v8893_m The LEI provided in column c0020 shall have a length of 20. 20/24 DPM rules for Table B_03.01 Code v8894_m Description The LEI provided in column c0020 shall have a length of 20. DPM rules for Table B_03.03 Code v8895_m Description The LEI provided in column c0020 shall have a length of 20. DPM rules for Table B_04.01 Code e23683_e Description Column c0030 shall not be empty. v8896_m The LEI provided in column c0020 shall have a length of 20. DPM rules for Table B_05.01 Code e23674_e Description Columns c0020, c0050, c0060, c0070, c0080 and c0110 shall not be empty. v8817_m In case column c0070 contains ‘eba_CT:x212’ then column c0020 shall contain ‘eba_qCO:qx2000’ or ‘eba_qCO:qx2002’ v8818_m In case column c0070 contains ‘eba_CT:x212’ then column c0040 shall contain ‘eba_qCO:qx2000’ or ‘eba_qCO:qx2002’ v8821_m If column c0020 contains ‘eba_qCO:qx2000’ then column c0010 shall contain a valid LEI v8823_m If column c0030 contains a value then column c0040 shall not be empty. v8824_m If column c0100 contains a value then column c0090 shall not be empty. v8850_m In case of the columns c0030, c0040, c0050, c0060, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0020 shall not be empty. v8851_m In case of the columns c0020, c0030, c0040, c0060, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0050 shall not be empty. v8852_m In case of the columns c0020, c0030, c0040, c0050, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0060 shall not be empty. v8853_m In case of the columns c0020, c0030, c0040, c0050, c0060, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0070 shall not be empty. 21/24 v8854_m In case of the columns c0020, c0030, c0040, c0050, c0060, c0070, c0090, c0100, c0110 or c0120 contains a value then column c0080 shall not be empty. v8855_m In case of the columns c0020, c0030, c0040, c0050, c0060, c0070, c0080, c0090, c0100 or c0120 contains a value then column c0110 shall not be empty. DPM rules for Table B_06.01 Code e23682_e Description Columns c0020, c0030, c0050, c0070, c0080, c0090, c0100 shall not be empty. v8877_m In case of the columns c0030, c0050, c0060, c0070, c0080, c0090 or c0100 contains a value then column c0020 shall not be empty. v8878_m In case of the columns c0020, c0050, c0060, c0070, c0080, c0090 or c0100 contains a value then column c0030 shall not be empty. v8879_m In case of the columns c0020, c0030, c0060, c0070, c0080, c0090 or c0100 contains a value then column c0050 shall not be empty. v8880_m In case of the columns c0020, c0030, c0050, c0060, c0080, c0090 or c0100 contains a value then column c0070 shall not be empty. v8881_m In case of the columns c0020, c0030, c0050, c0060, c0070, c0090 or c0100 contains a value then column c0080 shall not be empty. v8882_m In case of the columns c0020, c0030, c0050, c0060, c0070, c0080 or c0100 contains a value then column c0090 shall not be empty. v8883_m In case of the columns c0020, c0030, c0050, c0060, c0070, c0080 or c0100 contains a value then column shall not be empty. v8897_m The LEI provided in column c0040 shall have a length of 20. DPM rules for Table B_07.01 Code e23681_e Description Columns c0050, c0070, c0080, c0090, c0100 and c0110 shall not be empty. v8825_m In case column c0050 contains the ‘eba_ZZ:x959’ or ‘eba_ZZ:x960’ then column c0060 shall not be empty. v8884_m If one of the columns c0030, c0060, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0050 shall not be empty. v8885_m If one of the columns c0030, c0050, c0060, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0070 shall not be empty. v8886_m If one of the columns c0030, c0050, c0060, c0070, c0090, c0100, c0110 or c0120 contains a value then column c0080 shall not be empty. 22/24 v8887_m If one of the columns c0030, c0050, c0060, c0070, c0080, c0100, c0110 or c0120 contains a value then column c0090 shall not be empty. v88889_m If one of the columns c0030, c0050, c0060, c0070, c0080, c0090, c0100 or c0120 contains a value then column c0110 shall not be empty. v8888_m If one of the columns c0030, c0050, c0060, c0070, c0080, c0090, c0110 or c0120 contains a value then column c0100 shall not be empty. 7.2 Validation Rules related to LEI / EUID Please refer also to the Top Error#5, Top Error#9, Top Error#12 described in the ‘Observations from testing of RoI reporting to the ESAs – key common issues’ document published by the ESA. The identification of financial entities and their third-party service provider have been described in Section 2.1 of this document. Some of the rules specified in the previous section only check whether the LEI code is a valid LEI based on its composition (a string of 18 followed by 2 check digits) and its length. The ESA noted in their FAQ#44 (Link) that “the ITS on the registers of information requires LEI to be active. As part of the validation rules, LEIs are checked against an external database (GLEIF). This check will ensure that the LEI is a valid one in GLEIF. During the initial stages of the reporting of the registers of information and in particular in 2025, the ESAs will not be enforcing strict checks of the LEI status (e.g., active, lapsed, etc.)”. 8 additional validation checks are performed by the ESA related to LEI and EUIDs. Code Description Template / Column VR_2 LEI code validity : LEI code needs to be a valid one according b_01_01 / c0010 to the GLEIF database VR_12 LEI code validity: LEI code needs to be a valid one according b_01_02 / c0010 to the GLEIF database VR_16 Country Code validity: Code needs to be a valid one according b_01_02 / c0030 to the GLEIF database VR_23 LEI code validity: LEI code needs to be a valid one according b_01_02 / c0060 to the GLEIF database VR_71 LEI code validity: LEI code needs to be a valid one according b_05_01 / c0010 to the GLEIF database. Rule will only be checked in case b_05_01_c0020 = 'LEI' VR_72 EUID code validity: EUID code needs to be a valid one b_05_01 / c0010 according to the BRIS. Rule will only be checked in case b_05_01_c0020 = 'EUID' VR_77 LEI code validity: LEI code needs to be a valid one according b_05_01 / c0030 to the GLEIF database. Rule will only be checked in case b_05_01_c0040 = 'LEI' 23/24 VR_78 EUID code validity: EUID code needs to be a valid one b_05_01 / c0030 according to the BRIS. Rule will only be checked in case b_05_01_c0040 = 'EUID’ In case a non-compliance with these rules are identified, a warning message will be displayed but the submitted register will not be rejected. 24/24 Guidance for interpretation and resolution of ESA error messages related to the DORA register Version 1.0 – 15/05/2025 TABLE OF CONTENTS 1. Introduction ............................................................................................................... 3 2. Description of the error/warning messages issued by the ESAs......................................... 4 Rule code 103 ............................................................................................................ 4 Rule code 305 ............................................................................................................ 5 Rule code 306 ............................................................................................................ 5 Rule code 330 ............................................................................................................ 6 Rule code 331 ............................................................................................................ 6 Rule code 503 ............................................................................................................ 7 Rule code 702 ............................................................................................................ 8 Rule code 703 ............................................................................................................ 9 Rule code 704 .......................................................................................................... 10 Rule code 714 .......................................................................................................... 11 Rule code 720 .......................................................................................................... 12 Rule code 723 .......................................................................................................... 13 Rule code 801 .......................................................................................................... 13 Rule code 805 .......................................................................................................... 16 Rule code 806 .......................................................................................................... 17 Rule code 807 .......................................................................................................... 19 Rule code 808 .......................................................................................................... 21 Rule code 809 .......................................................................................................... 22 Rule code v88xx_m / v8888x_m ................................................................................ 23 Rule code VR_2 / VR_12 / VR_23 / VR_71 / VR_77 ..................................................... 28 Rule code VR_72 / VR_78.......................................................................................... 28 2/29 Guidance for interpretation and resolution of ESA error messages related to the DORA register Version 1.0 – 15/05/2025 1. Introduction The CSSF is issuing the present guide following the request from the market to receive more detailed information related to the error and warning messages raised by the ESAs as a result of the validation checks they perform on the submitted registers of information. As a reminder, the list of validation checks performed by the ESAs (last updated on 28 April 2025) is available under this Link: • Error messages are described in the tab ‘Technical checks’ and result in the rejection of the submitted register; • Warning messages are described in the tabs ‘DPM Business Validation Rules’ and ‘LEI-EUID checks’. Although they do not lead to the rejection of the submitted register, financial entities are expected to fix the raised issues and re-submit their register. To note that the list of validation checks performed by the ESAs may vary over time. The CSSF invites financial entities to always consult the latest version published by the ESAs. The present guide provides, for the most frequently failed validation checks, i.e. for the most frequent ESA error/warning messages received by financial entities, a description of the issues and instructions on how to solve them. This guide is not intended to be exhaustive and shall be read in conjunction with: - the ‘CSSF guide concerning the submission of DORA Register of information’ issued on 23 April (Link) and; - any other related document published by the ESAs under Link. 3/29 2. Description of the error/warning messages issued by the ESAs Rule Code: 103 Rule Invalid ZIP file description: Displayed Failed reception check 103: Invalid ZIP file, instance filename [filename] not Error: matching zip filename [name of zip file] or Failed reception check 103: Invalid ZIP file root folder [name of root folder] is not found in ZIP file [name of zip file] or Failed reception check 103: Invalid ZIP file, instance file extension is missing in zip file [name of zip file] Type of Error message leading to the rejection of the submitted register. Message Error Description: Instructions: Different issues may lead to the different error messages: - The root folder does not have the same name than the zip file - The root folder or sub-folders are missing - The file extension of the zip is missing - The required structure of the zip file is not respected Financial entities shall ensure that : • The root folder exists inside the zip file • The root folder has the same name as the zip file but without the .zip extension • The name of the folder is in uppercase • The main folder contains two sub-folders ‘reports’ and ‘META-INF’ • The name of those two sub-folders are case-sensitive. The presence of a sub-folder ‘Reports’ for instance will lead to the rejection of the submitted register. 4/29 Special N/A case(s): Example(s): - Rule Code: 305 Rule Numeric fact must not be reported with a string value description: Displayed [table],[row],[column],305, Numeric fact must not be reported with a string Error: value, Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error A numeric value shall be provided in data field [table],[row],[column]. The Description: financial entity has either provided a non-numeric value or has left the data field empty. Instructions: Financial entities shall provide the mandatory value in data field [table],[row],[column]. Special N/A case(s): Example: Data field b_05.01.0100 shall contain a numeric value in case the ICT thirdparty service provider in b_05.01.0010 is a direct ICT third-party service provider (direct TPP). In case the financial entity has signed a contract with a direct TPP and has left data field b_05.01.0100 empty, a warning message of type 305 will be raised. Rule Code: 306 Rule XBRL instance documents must use UTF-8 encoding description: Displayed [table filename],,,306, XBRL instance documents must use UTF-8 encoding Error: Type of Error message leading to the rejection of the submitted register. Message Error Description: File [table file name] has not been encoded in the requested ‘UTF-8’ format. To note that .csv table files not encoded in UTF-8 will not be read correctly and thus may generate during the analysis of the submitted register a high number of other error messages (like for instance the error message of type 807). Instructions: Financial entities shall ensure that all files contained in the .zip file are encoded in ‘UTF-8’ format. 5/29 Special N/A case(s): Example(s): The table file b_01.01.csv has been encoded in ANSI format and will not be accepted. Rule Code: 330 Rule Date type metric must be reported with format 'yyyy-mm-dd' description: Displayed [table],[row],[column],330, Date type metric must be reported with format Error: 'yyyy-mm-dd' Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error The data field [table],[row],[column] shall contain a date and the value shall Description: respect the format 'yyyy-mm-dd'. Instructions: Financial entities shall ensure that dates are encoded in the requested format. Special N/A case(s): Example(s): The following values do not respect the date format thus warning messages will be raised. Data field Justification 31-12-2025 Date format yyyy-mm-dd not respected 2025-31-12 Rejected as date is provided in yyyy-dd-mm format 2025/12/31 Separator ‘/’ not allowed 2025-01-31 00:00:00 Time must not be added to the date Rule Code: 331 Rule Integer type metric must be reported with an integer description: Displayed [table],[row],[column],331, Integer type metric must be reported with an integer Error: 6/29 Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error An integer value shall be provided in data field [table],[row],[column]. The Description: financial entity has either not provided such an integer value or has left the data field empty. To note that for example the value ‘100.5’ is in floating point format and not an integer value as the latter shall not contain a decimal place. Instructions: Financial entities shall ensure that an integer value is provided for data field [table],[row],[column]. Special N/A case(s): Example(s): Data field b.02.02.0100 in line 12 of the b.02.02 table file contains the string ‘Not applicable’ instead of an integer value. Rule Code: 503 Rule Extensible main property and explicit key dimension must only be reported with description: one of the restricted value of a hierarchy Displayed [table],[row],[column],503, Extensible main property and explicit key dimension Error: must only be reported with one of the restricted value of a hierarchy Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error The value contained in data field [table],[row],[column] shall be a value from Description: the associated drop-down list (link) Instructions: The data field [table],[row],[column] can only contain values from an associated drop-down list or shall be left empty. Under no circumstances financial entities may modify the value from a drop-down list. Figure below shows the possible values for data field B.01.02.0040 in template B_01.02: 7/29 In the above example, only the values ‘eba_CT:XXX’ from the list are accepted for data field B.01.02.0040. A warning message will automatically be raised in case a financial entity uses a value which is no contained in the drop-down list or uses a value from a different drop-down list. Financial entities shall enter the complete value (for instance ‘eba_CT:x318’ and not only the value ‘x318’). Special case(s): Country key fields The data fields b_02.02.0130, b_02.02.0150 and b_02.02.0160 are key fields and thus cannot be left empty. The ESAs have defined for those 3 data fields a drop-down list from which financial entities shall choose a value. Example 1: In case the country of provision of the services would be Ireland, financial entity shall not enter ‘Ireland’ but the code ‘eba_GA:IE’ in data field b_02.02.0130. Example 2: In case the mandatory key value is not known by the financial entity for one of those three above mentioned data fields, it shall specify the code ‘eba_GA:qx2007’ representing the value ‘Not applicable’. Example(s): The values ‘UK_CRN’ or ‘LU_VAT’ for data field b.02.02.0040 are not accepted as the value for that data field shall be of type ‘eba_qCO:qx200x (with x a value between 0 and 5)’. Rule Code: 702 Rule Invalid declarations in FilingIndicators.csv - wrong number of columns reported description: Displayed [filename],,,702,Column names do not match the expected format Error: Type of Error message leading to the rejection of the submitted register Message 8/29 Error The column names of file [filename] do not respect the requirements of the Data Description: Point Model (“DPM”) Instructions: The header of the file FilingIndicators.csv shall be : templateID,reported Special N/A case(s): Example(s): Example of a filingindicators.csv file containing spaces between the header names which does not respect the requirements of the ESAs leading to the rejection of the submitted register. Rule Code: 703 Rule Each template can be declared only once in FilingIndicators.csv description: Displayed FilingIndicators.csv,,,703, Each templateID must be unique Error: Type of Error message leading to the rejection of the submitted register. Message Error The different names of the table files in the FilingIndicators.csv must be unique. Description: Instructions: Financial entities shall ensure that lines with .csv filenames are not duplicated. Special - case(s): Example(s): Example of rejected file with duplicated lines. 9/29 Rule Code: 704 Rule Only boolean values (true, false, 1, 0) are allowed for any template code in description: FilingIndicators.csv Displayed FilingIndicators.csv,,,704,"Each reported value must be true, false, 1, or 0" Error: Type of Error message leading to the rejection of the submitted register. Message Error Description: The FilingIndicators.csv file does not match the requirements defined in the DPM. To note that: - the error message 704 may be triggered in case the FilingIndicators.csv file - the error message ‘808 All filing indicators have to be sent as true’ may also is not encoded in ‘UTF-8’. be raised. Instructions: • Content of a correct ‘FilingIndicators.csv’ file: • The content of the above ‘FilingIndicators.csv’ file shall not be modified. 10/29 • The name of the .csv file is case sensitive. The value “true” and “false” must be in lowercase, “True” and “False” will be rejected. • All lines except the header contain the Boolean value ‘true’ even if the financial entity will not report a given template (for instance in case the financial entity has no branches, file b_01.03.csv is not required). • The Boolean value ‘true’ must be expressed in English. Values in other languages are rejected. Examples leading to the rejection of the submitted register: B_01.01,wahr B_01.01,vrai Special N/A case(s): Example(s): Example of a rejected FilingIndicators.csv file Reasons for this rejection: • Some lines contain the value ‘false’ • The value ‘true’ is not in lower case. • The name of the .csv table B_05.01 does not start with a capital letter. Rule Code: 714 Rule The 'entityID' parameter must exist and its value must match filename description: Displayed parameters.csv,,,714, The 'entityID' parameter must exist and its value must Error: match filename Type of Error message leading to the rejection of the submitted register. Message 11/29 Error The parameters.csv file does not respect the requirements defined by the ESAs. Description: • Content of the ‘parameters.csv’ file: • The order of the header of the parameters.csv file is important – it needs to be “name” first followed by “value” • The second row shall start with ‘entityID,rs:’ followed by the LEI of the entity submitting the register and ‘.CON’ or ‘.IND’. In other words, the string shall be followed by the 24 first characters of the zip file name. • The reference period specified in line 3 shall be the same as the one specified in the filename of the .zip file. For the 2025 submission, the reference date is set to ‘2025-03-31’ • The header line shall not end with ‘,’ Instructions: Financial entities shall review the content of the parameters.csv file. Special N/A case(s): Example(s): - Rule Code: 720 Rule Valid table names must be used as .csv filenames description: Displayed [LEI].[IND/CON],,,720, Extra files found in the submission: [filename] Error: Type of Error message leading to the rejection of the submitted register. Message Error Financial entity has added additional files in the sub-folder ‘reports’ or the name Description: of a .csv table file has been misspelled. Instructions: Financial entity shall ensure that only the requested files are included in the .zip file. 12/29 Special N/A case(s): Example(s): The financial entity has added an .xls or xlsx file in the sub-folder ‘reports’ The financial entity has not provided .csv table files but only .xls or .xlsx files in the sub-folder ‘reports’. Rule Code: 723 Rule The header row in parameters.csv must consist only of the values name and description: value, in the first and second columns, respectively Displayed parameters.csv,,,723, The header row in parameters.csv must consist only of Error: the values name and value, in the first and second columns, respectively Type of Error message leading to the rejection of the submitted register. Message Error Description: Instructions: The first line in the parameters.csv shall be ‘name,value’ Example: Financial entities shall ensure that the first line of the file is ‘name,value’. Financial entities shall not replace ‘value’ by the name of their financial entity. Special N/A case(s): Example(s): - Rule Code: 801 13/29 Rule All the header column codes must be defined in the taxonomy json files (as description: described in the Data Point Model (“DPM”) Displayed [table filename],,,801, All header column codes must be defined in the schema Error: Type of Error message leading to the rejection of the submitted register. Message Error The financial entity has specified a header in table file [table filename] which is Description: not compliant with the DPM. Instructions: • The header of a .csv file contains a list of the different columns c0010, c0020, … • All columns in the header are separated via the comma character ‘,’ • All column names in the header are in lower cases and start with the letter • No additional columns shall be added • The header of a .csv file shall not contain an empty value • The columns contained in a header are incremented by 10 (c0010, c0020, “c” followed by 4 digits c0030, …) • The header line shall not end with ‘,’ The Data Model for DORA RoI (Link) enumerates all the data fields defined in the ITS on register of information. Example: Template B.01.01 is composed of 6 different data fields: The header of the file b_01.01.csv shall be: c0010,c0020,c0030,c0040,c0050,c0060 Order of the columns Financial entities have to ensure that the number of columns contained in a .csv header corresponds to the ESA’s specification. The order of the columns however may vary e.g. they can come in any order. In this case, the financial entities have to ensure that the corresponding values follow the same order than the columns in the header. Example of two different b.01.01.csv files that will be accepted: Example1: 14/29 Example2: In both examples, column c0010 for instance contains the LEI of the financial entity and column c0020 its name. Example of a b.01.01.csv file that will be rejected: In this example column c0010 contains the LEI of the financial entity but column c0020 contains the incorrect value ‘2025-03-31’ instead of the financial entity’s name. Special case(s): Table B_03.03 The file b_03.03.csv is the only template which contains a column ‘c0031’. The column name ‘c0031’ in table b_03.03 is not an error and should not be corrected. A ‘b_03.01.csv’ file containing header c0010,c0020,c0030 will be rejected. Tables B_02.03 and B_03.01 The Data Point Model for DORA RoI specifies that templates B.02.02 and B.03.01 have only two columns. However, in the annotated table for DORA published by the ESAs a third column was added to both templates so that the table files b_02.03.csv and b_03.01.csv shall both have the following header: c0010,c0020,c0030 Table B_06.01 The ESAs noted in FAQ#46(U) that there is a numbering error in the numbering of the column codes in Template B_06.01 in the ITS published in the EU Official Journal. In particular, data field B_06.01.0050 is missing in the column codes, resulting in the data fields being assigned erroneous column codes. The ESAs further noted that for reporting purposes, the data points included in the reporting technical package v4.0 for the ITS on the Registers of information should be considered. The data point model contains consecutive numbers of the data fields. Following the renumbering of the columns, the header of the table file b_06.01.csv shall be: c0010,c0020,c0030,c0040,c0050,c0060,c0070,c0080,c0090,c0100 15/29 Example(s): Examples of headers that will be rejected for file b_01.01.csv: Header Justification C0010,C0020,C0030,C0040,C0050,C0060 Columns shall start with the lowercase letter ‘c’ c0010,c0020,c0030,c0050,c0060 Missing column c0040 c0010,c0020,c0030,c0040,c0050,c0060,c0070 Column c0070 is impermissible, it does not exist in the data point model (DPM) c0010;c0020;c0030;c0040;c0050;c0060 Wrong separator, only a comma is accepted as separator b_01.01.c0010, b_01.01.c0020, b_01.01.c0030, Naming convention b_01.01.c0040, b_01.01.c0050, b_01.01.c0060 columns not respected c0010,c0020,c0030,c0040,c0050,c0060, The header ends with ‘,’ Rule Code: 805 Rule For open tables, the key columns values cannot be empty of the description: Displayed [table],[row],[column],805, For open tables, the key columns values cannot be Error: empty, None Type of Error message leading to the rejection of the submitted register. Message Error A data field defined as a key field is empty e.g. contains no value. Description: Instructions: The document ‘Data Model for DORA RoI’ specifies in column ‘PrimaryKey’ or ‘ForeignKey’ whether a given data field is a key field or not. In case a data field is a key, it cannot be empty e.g. shall contain a value. Example: 16/29 In the above example, data fields b.01.01.0010, b.01.02.0010 and b.01.02.0060 are defined as keys and cannot be empty. Special case(s): FAQ#40 : Unknown or missing LEI In case a key data field contains a LEI of an ICT third-party provider (or its ultimate parent undertakings) registered in third countries, financial entities should populate the data filed with any relevant value to avoid the file being rejected as failing the referential integrity check. In practice this could mean that the financial entity could use other identifiers available. The use of such identifiers will be highlighted as a data quality issue (e.g. a warning message will be displayed), but the submitted register will not be rejected. The data fields b_02.02.0130, b_02.02.0150 and b_02.02.0160 are key fields. In order to populate those fields, financial entities have to choose a value from a drop-down list (Link). All those values start with the prefix ‘eba_’. Example 1: In case the Country of provision of the services is Ireland, financial entities shall not enter ‘Ireland’ but use the code ‘eba_GA:IE’ for data field B_02.02.0130. Example 2: In case the mandatory key value is not known by the financial entities for one of the above data fields, they shall specify the code ‘eba_GA:qx2007’ representing the value ‘Not applicable’. Example(
5. s)- Rule Code: 806 Rule For open tables, you cannot have multiple rows with identical key values. description: 17/29 Displayed [table],[line],[column],806, For open tables, you cannot have multiple rows with Error: identical key values,[value] and [table],[line],[column],806, For open tables, you cannot have multiple rows with identical key values,[value] Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Error Each table in the DORA data model has a primary key composed of a single Description: column or a combination of several columns. All columns of a table which are part of the table’s key are represented in bold in the Data Model for DORA RoI. Examples: The primary key for table B.05.01 is a single column: c0010 The primary key for table B.01.03 is a combination of the two columns: [c0010, c0020] For a given table, the value of a key cannot be duplicated. Instructions: Financial entities shall ensure that a given .csv table file has no duplicated keys. Special N/A case(s): Example(s): The below message indicates that for the table file b.05.01, the financial entity has specified in lines 2 and 37 the same LEI. As field b.05.01.0010 is the only primary key of that table, the value cannot be duplicated. 18/29 Rule Code: 807 Rule The reported data must follow the key-foreign key constraints defined in the DPM. description: Displayed [table],[row],[column],807,The reported data must follow the key-foreign key Error: constraints defined in the DPM,[value] Type of Error message leading to the rejection of the submitted register. Message Error The Data Model for DORA RoI specifies in column ‘ForeignKey’ whether a given Description: data field is a foreign key field or not. Example: In the above example, data fields B_02.02.0010, B_02.02.0020, B_02.02.0030 and B_02.02.0050 are Foreign Keys. This means that the value contained in those 3 data fields shall be defined in the same or in another table. Is this not the case, an error message of type 807 will be issued leading to the rejection of the submitted register. The ESAs distinguish between two types of Foreign Key violation : a. Foreign Key Violation - across tables A Foreign Key Violation refers to a situation where a given data field contains a value which has not been defined in a primary key data field of another table. Example: - Table B_02.01 contains all the contractual arrangements signed with an Intra-Group entity or with an external TPPs. Each of those contractual arrangements are identified by a Contractual arrangement reference number as a primary key. - Table B.02.03 contains all Intra-Group entity contractual arrangements. Each contract in table B.02.02 shall be defined in table B_02.01. Is this not the case, an error message of type ‘Foreign Key Violation - across tables‘ is displayed. 19/29 The dependency between the tables B_02.01 and B_02.03 or precisely between the data fields B.02.01.0010 and B_02.02.0010 are represented in the Data Model for DORA RoI document as follows: b. Foreign Key Violation - self reference A Foreign Key Violation refers to a situation where a given data field contains a value which has not been defined in the same table. Example: Table B.02.01 contains all the contractual arrangements of the financial entity. - Column c0020 of table B_02.01 specifies the type of the contract : standalone arrangement, overarching / master contractual arrangement or subsequent or associated arrangement. - In case column c0020 contains the value ‘subsequent or associated arrangement’, then column c0030 (foreign key) shall contain the contractual reference number (primary key) of the overarching / master contractual arrangement. In case column 0030 contains the value of a contractual reference number of the overarching / master contractual arrangement contract then the latter has to be specified in table B.02.01. Is this not the case, a message of type 807 will be raised and the submitted register will be rejected. Instructions: The error message indicates the source data field [table], [row], [column] and its value for which the foreign-key violation has been identified. Based on the Data Model for DORA RoI, financial entities shall identify the table and data field which is linked to the source data field [table], [row], [column] in order to ensure that its value is contained in that table or in the data field. To note that a high number of 807 messages may be triggered in case the .csv table files are not encoded in UTF-8 format. 20/29 Special - case(s): Example(s): The table below specifies the source tables / columns which most frequently trigger the error message 807: Source Table b.03.01 b.02.02 b.02.03 b.05.02 b.04.01 b.05.01 Source Column c0020 c0020 c0010 c0030 c0020 c0110 Destination Table b.01.02 b.06.01 b.02.01 b.05.01 b.01.02 b.05.01 Destination Column c0010 c0040 c0010 c0010 c0010 c0010 How to read the above table: For each value contained in b.03.01.20 (source table / column) the corresponding value shall exist in b.01.02.10 (destination table / column). Is this not the case, then an error message is raised by the ESAs. Graphically, the link between both tables respectively between both columns are represented by an arrow in the Data Model for DORA RoI (Link). Rule Code: 808 Rule All filing indicators have to be set as true - and the templates reported empty if description: no data is present. Displayed FilingIndicators.csv,,,808, All filing indicators have to be sent as true Error: Type of Error message leading to the rejection of the submitted register. Message Error Description: The FilingIndicators.csv file does not match the requirements defined in the DPM. To note that: - the error message 808 may be triggered in case the FilingIndicators.csv is not encoded in ‘UTF-8’. - the error message ‘704 Each reported value must be true, false, 1, or 0’ may also be raised. Instructions: • Content of the ‘FilingIndicators.csv’ file: 21/29 • The content of the ‘FilingIndicators.csv’ file shall not be modified. • All lines except the header contain the Boolean ‘true’ even if the financial entity will not report a given template (for instance in case the financial entity has no branches, file b_01.03.csv is not required). Special N/A case(s): Example(s): - Rule Code: 809 Rule CSV formatting problem detected description: Displayed [filename],,,809, CSV formatting problem detected.,'utf-8' codec can't decode Error: byte [value] in position [value] invalid start byte or Unexpected number of columns in row [value] Type of Error message leading to the rejection of the submitted register. Message Error An issue has been detected inside a .csv table file: Description: • The file [filename] is not encoded in ‘UTF-8’. To note that the error ‘306 XBRL instance documents must use UTF-8 encoding’ may also be raised in this case. • The header does not match the columns in row [value] Instructions: Financial entities shall review the encoding of the file [filename]. Special N/A case(s): Example(s): • Table b.05.01 has not been encoded in UTF-8 format. • The number of columns in the header does not match the columns in the lines 22/29 • Rule Code: v88xx_m / v8888x_m Rule Value should not be missing description: Displayed v88xx_m [row] Value should not be missing [table] [column] None Error Type of Warning message not leading to the rejection of the submitted register Message Error A given data field is empty but shall contain a value Description: Instructions: The ESAs have defined for all tables (except for B_02.03,B_02.03,B_03.02) Data Point Model (DPM) Business Validation Rules. DPM Business Validation rules v88xx_m / v8888x_m check that a given data field is not empty under a predefined condition. The structure of each of those validation rules is [in case a certain condition is met] then [a given data field cannot be empty e.g. must contain a value]. Special N/A case(s): Example(s): DPM rules for Table B_01.01 Code v8872_m Descrip�on In case column c0030 or c0040 or c0050 or c0060 contains a value then column c0020 shall not be empty. v8873_m In case column c0020 or c0040 or c0050 or c0060 contains a value then column c0030 shall not be empty. v8874_m In case column c0020 or c0030 or c0050 or c0060 contains a value then column c0040 shall not be empty. v8875_m In case column c0020 or c0030 or c0040 or c0050 contains a value then column c0050 shall not be empty. v8876_m In case column c0020 or c0030 or c0040 or c0050 contains a value then column c0060 shall not be empty. v8890_m The LEI provided in column c0010 shall have a length of 20. DPM rules for Table B_01.02 Code Descrip�on 23/29 v8803_m In case column c0110 is not empty, then column c0100 shall not be empty v8804_m In case the value of column c0040 is not ‘eba_CT:x318’ or ‘eba_CT:x317’ then column c0110 shall not be empty. v8826_m The LEI provided in column c0060 shall have a length of 20. v8858_m If the value of one of the columns c0030 or c0040 or c0050 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0020 shall not be empty. v8859_m If the value of one of the columns c0020 or c0040 or c0050 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0030 shall not be empty. v8860_m If the value of one of the columns c0020 or c0030 or c0050 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0040 shall not be empty. v8861_m If the value of one of the columns c0020 or c0030 or c0040 or c0060 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0050 shall not be empty. v8862_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0070 or c0080 or c0090 or c0100 or c0110 contains a value then column c0060 shall not be empty. v8863_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0060 or c0080 or c0090 or c0100 or c0110 contains a value then column c0070 shall not be empty. v8864_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0060 or c0070 or c0090 or c0100 or c0110 contains a value then column c0080 shall not be empty. v8865_m If the value of one of the columns c0020 or c0030 or c0040 or c0050 or c0060 or c0070 or c0080 or c0100 or c0110 contains a value then column c0090 shall not be empty. v8891_m The LEI provided in column c0010 shall have a length of 20. DPM rules for Table B_01.03 Code v8856_m Descrip�on If columns c0030 is not empty then column c0040 shall not be empty. v8857_m If columns c0040 is not empty then column c0030 shall not be empty. 24/29 v8892_m The LEI provided in column c0020 shall have a length of 20. DPM rules for Table B_02.01 Code v8805_m Descrip�on In case column c0020 contains ‘eba_CO:x3’ then column c0030 shall not be empty. v8866_m If one of the columns c0020, c0030 or c0040 is not empty then column c0050 shall not be empty. v8867_m If one of the columns c0020, c0030 or c0050 is not empty then column c0040 shall not be empty. v8868_m If one of the columns c0030, c0040 or c0050 is not empty then column c0020 shall not be empty. DPM rules for Table B_02.02 Code v8816_m Descrip�on Value of column c0080 shall be > then the value of column c0070 v8869_m In case of the columns c0070, c0080, c0090, c0100, c0110, c0120, c0140, c0170 or c0180 contains a value then column c0040 shall not be empty. v8870_m In case of the columns c0040, c0080, c0090, c0100, c0110, c0120, c0140, c0170 or c0180 contains a value then column c0070 shall not be empty. v8871_m In case of the columns c0040, c0070, c0090, c0100, c0110, c0120, c0140, c0170 or c0180 contains a value then column c0080 shall not be empty. v8893_m The LEI provided in column c0020 shall have a length of 20. DPM rules for Table B_03.01 Code v8894_m Descrip�on The LEI provided in column c0020 shall have a length of 20. DPM rules for Table B_03.03 Code v8895_m Descrip�on The LEI provided in column c0020 shall have a length of 20. 25/29 DPM rules for Table B_04.01 Code v8896_m Descrip�on The LEI provided in column c0020 shall have a length of 20. DPM rules for Table B_05.01 Code v8817_m Descrip�on In case column c0070 contains ‘eba_CT:x212’ then column c0020 shall contain ‘eba_qCO:qx2000’ or ‘eba_qCO:qx2002’ v8818_m In case column c0070 contains ‘eba_CT:x212’ then column c0040 shall contain ‘eba_qCO:qx2000’ or ‘eba_qCO:qx2002’ v8821_m If column c0020 contains ‘eba_qCO:qx2000’ then column c0010 shall contain a valid LEI v8823_m If column c0030 contains a value then column c0040 shall not be empty. v8824_m If column c0100 contains a value then column c0090 shall not be empty. v8850_m In case of the columns c0030, c0040, c0050, c0060, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0020 shall not be empty. v8851_m In case of the columns c0020, c0030, c0040, c0060, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0050 shall not be empty. v8852_m In case of the columns c0020, c0030, c0040, c0050, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0060 shall not be empty. v8853_m In case of the columns c0020, c0030, c0040, c0050, c0060, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0070 shall not be empty. v8854_m In case of the columns c0020, c0030, c0040, c0050, c0060, c0070, c0090, c0100, c0110 or c0120 contains a value then column c0080 shall not be empty. v8855_m In case of the columns c0020, c0030, c0040, c0050, c0060, c0070, c0080, c0090, c0100 or c0120 contains a value then column c0110 shall not be empty. DPM rules for Table B_06.01 26/29 Code v8877_m Descrip�on In case of the columns c0030, c0050, c0060, c0070, c0080, c0090 or c0100 contains a value then column c0020 shall not be empty. v8878_m In case of the columns c0020, c0050, c0060, c0070, c0080, c0090 or c0100 contains a value then column c0030 shall not be empty. v8879_m In case of the columns c0020, c0030, c0060, c0070, c0080, c0090 or c0100 contains a value then column c0050 shall not be empty. v8880_m In case of the columns c0020, c0030, c0050, c0060, c0080, c0090 or c0100 contains a value then column c0070 shall not be empty. v8881_m In case of the columns c0020, c0030, c0050, c0060, c0070, c0090 or c0100 contains a value then column c0080 shall not be empty. v8882_m In case of the columns c0020, c0030, c0050, c0060, c0070, c0080 or c0100 contains a value then column c0090 shall not be empty. v8883_m In case of the columns c0020, c0030, c0050, c0060, c0070, c0080 or c0100 contains a value then column shall not be empty. v8897_m The LEI provided in column c0040 shall have a length of 20. DPM rules for Table B_07.01 Code v8825_m Descrip�on In case column c0050 contains the ‘eba_ZZ:x959’ or ‘eba_ZZ:x960’ then column c0060 shall not be empty. v8884_m If one of the columns c0030, c0060, c0070, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0050 shall not be empty. v8885_m If one of the columns c0030, c0050, c0060, c0080, c0090, c0100, c0110 or c0120 contains a value then column c0070 shall not be empty. v8886_m If one of the columns c0030, c0050, c0060, c0070, c0090, c0100, c0110 or c0120 contains a value then column c0080 shall not be empty. v8887_m If one of the columns c0030, c0050, c0060, c0070, c0080, c0100, c0110 or c0120 contains a value then column c0090 shall not be empty. 27/29 v88889_m If one of the columns c0030, c0050, c0060, c0070, c0080, c0090, c0100 or c0120 contains a value then column c0110 shall not be empty. v8888_m If one of the columns c0030, c0050, c0060, c0070, c0080, c0090, c0110 or c0120 contains a value then column c0100 shall not be empty. Rule Code: VR_2 / VR_12 / VR_23 / VR_71 / VR_77 Rule LEI code needs to be a valid one according to the GLEIF database description: Displayed • Error: • • • • [table],[row],[column],VR_2,LEI code needs to be a valid one according to the GLEIF database,[value] [table],[row],[column],VR_12,LEI code needs to be a valid one according to the GLEIF database,[value] [table],[row],[column],VR_23,LEI code needs to be a valid one according to the GLEIF database,[value] [table],[row],[column],VR_71,LEI code needs to be a valid one according to the GLEIF database,[value] [table],[row],[column],VR_77,LEI code needs to be a valid one according to the GLEIF database,[value] Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Instructions: Financial entities shall provide a valid LEI code in data field [table],[row],[column] e.g. which exists in the GLEIF database. The GLEIF search engine (Link) can be used to search for a given LEI in the GLEIF database. Special FAQ#40 notes that “in case the LEI is not available for the ICT third-party provider case(s): (or its ultimate parent undertakings) registered in third countries, the financial entity should populate the data filed with any relevant value to avoid the file being rejected as failing the referential integrity check. In practice this could mean that the financial entity could use other identifiers available. The use of such identifiers will be highlighted as a data quality issue, but the files will not be rejected”. Example(s): - Rule Code: VR_72 / VR_78 Rule EUID code needs to be a valid one according to the BRIS description: Displayed Error: 28/29 Type of Warning message not leading to the rejection of the submitted register. Financial Message entities are however requested to fix the raised issues and re-submit their register. Instructions: Financial entities shall check the composition of the EUID code: and ensure that the EUID code is recorded in the BRIS database Special N/A case(s): Example(s): - 29/29 Guidance for interpretation and resolution of CSSF error messages related to the submission of the DORA register Version 1.0 – 10/02/2026 TABLE OF CONTENTS Guidance for interpretation and resolution of CSSF error messages related to the submission of the DORA register .................................................................................................................... 4 1. Introduction ............................................................................................................... 4 2. Types of raised messages ............................................................................................ 5 3. Dimension under DORA ............................................................................................... 6 4. Feedback message provided by the CSSF ...................................................................... 6 5. Location of the detected issue ...................................................................................... 7 6. Description of the different error/warning messages ....................................................... 7 6.1. Messages displayed during the upload of the RoI via eDesk........................................... 7  ICTO001 The filename is not compliant with the naming convention ............................... 7  ICTO002 Invalid files cannot be submitted. ................................................................. 8  ICTO003 The filetype is not supported. File type should be ZIP. ..................................... 8  ICTO004 The file does not respect the authorised limit size. File size should ......................  ICTO005 A file has already been submitted with the same filename. .............................. 8  ICTO006 Reference date of the report must be 31/12/2025. ......................................... 8  ICTO007 No valid or existing LEI has been found for this entity. .................................... 8  ICTO008 A technical error occurred while uploading the report. ..................................... 9  ICTO009 The report cannot be decompressed. ............................................................ 9  ICTO010 Folder name does not match ZIP file name. ................................................... 9  ICTO011 ZIP file must contain one single report folder. ................................................ 9  ICTO012 Folder should contain exactly two subfolders named "META-INF" and "reports". . 9 not exceed 20MB. .................................................................................................... 8 6.2. Messages displayed during the analysis of the uploaded RoI.......................................... 9 arelleOIMloader:error..................................................................................................... 9 CSSF_1 ...................................................................................................................... 11 EBA.1.6.b / EBA.1.6.e .................................................................................................. 11 EBA.1.7.1 ................................................................................................................... 12 EBA.2.16 .................................................................................................................... 13 EBA.2.7b .................................................................................................................... 14 EBA.3.11 .................................................................................................................... 14 EBA.724 ..................................................................................................................... 15 EBA.805 ..................................................................................................................... 15 EBA.807 ..................................................................................................................... 16 EBA.808 ..................................................................................................................... 17 EBA.809 ..................................................................................................................... 17 EBA ........................................................................................................................... 18 EBA.InvalidIdentifier806-804-703.................................................................................. 18 err:FORG0001............................................................................................................. 19 InvalidFactValue .......................................................................................................... 19 oimce:invalidUnitStringRepresentation ........................................................................... 20 oime:disallowedDuplicateFacts ...................................................................................... 21 oime:missingPeriodDimension ....................................................................................... 22 v88xx_m or v88xxx_m ................................................................................................ 23 VR_2 ......................................................................................................................... 23 GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 2/31 VR_12 ........................................................................................................................ 24 VR_16 ........................................................................................................................ 24 VR_23 ........................................................................................................................ 25 VR_71 ........................................................................................................................ 25 VR_77 ........................................................................................................................ 25 xbrlce:unmappedCellValue ........................................................................................... 26 xbrlce:invalidDecimalsValue .......................................................................................... 26 xbrlce:invalidDimensionValue........................................................................................ 27 xbrlce:invalidPeriodRepresentation ................................................................................ 28 xbrldie:PrimaryItemDimensionallyInvalidError................................................................. 28 xbrlce:unreferencedParameter ...................................................................................... 29 warning...................................................................................................................... 29 xmlSchema:valueError ................................................................................................. 30 GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 3/31 Guidance for interpretation and resolution of CSSF error messages related to the submission of the DORA register Last update : 10/02/2026 1. Introduction In accordance with Article 28

(3)of Regulation (EU) 2022/2554 (DORA), financial entities subject to DORA shall maintain and update at entity level, and at sub-consolidated and consolidated levels, a Register of Information (RoI) in relation to all contractual arrangements on the use of ICT services provided by ICT third-party service providers. As requested in Circular CSSF 25/882, financial entities are required to submit annually their RoI to the CSSF, at individual or consolidated level as relevant (see guidance table and Article 3 of the Joint ESA decision). For the 2026 submission of the RoI, the validation checks defined by the ESA and last updated in April 2025 have not changed but will be applied to more data fields in order to increase the quality of the received data. To be able to submit a RoI via the eDesk platform, financial entities shall ensure that: - they have communicated beforehand their LEI code to the CSSF - the role “DORA Reporting” has been assigned to at least one dedicated employee Financial entities shall transmit their RoI to the CSSF, which will provide feedback to financial entities based on the performed validation checks. RoIs accepted by the CSSF may then be forwarded on request to the ESA. Following the request of the market to receive further information related to the error and warning messages raised by the European Supervisory Authorities (ESA) during their validation process of the transmitted RoIs, the CSSF published in 2025 a specific guidance. The aim of this guidance is to provide a description of the various error and warning messages raised during the analysis of the received RoIs by the CSSF. This guidance is not intended to be exhaustive nor to replace the official DORA documents published by the ESA. It covers the issues most commonly encountered during last year’s RoI validation process. It shall be read in conjunction with the ‘CSSF guide concerning the submission of DORA Register of information’ published on 23 April 2025. This guidance will be updated regularly and will evolve over time. The CSSF advises financial entities to consult the latest version of this guidance before contacting our helpdesks. In case of any question, please feel free to contact by mail the different helpdesks of the CSSF: • Any technical issues, for instance with the on-boarding to the CSSF eDesk platform or the upload of the RoI via the eDesk platform shall be addressed to edesk@cssf.lu • Any question related to the content of the RoI and the validation checks performed by the CSSF shall be addressed to GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 4/31 ICTRiskSupervision@cssf.lu In case the question is related to a register of information that has already been submitted, financial entities shall provide the corresponding eDesk Tracing Code when contacting the helpdesk of the CSSF. 2. Types of raised messages During the upload process or the analysis of the received RoIs, issues may be detected and error messages raised. All messages raised by the CSSF will be published in the ‘Validation rules’ section in eDesk. The column ‘Severity’ specifies the type of the detected issue. An error message relates to a blocking point resulting in the rejection of the submitted RoI. A warning message informs of identified issues but does not lead to the rejection of the submitted RoI. Financial entities are expected to fix the raised issues and re-submit their RoI if possible. The CSSF will apply the ESA reporting framework 4.0 when analysing the submitted RoIs. In certain cases, this framework foresees different error messages for the same issue. For instance, in case a duplicated key has been detected, the error messages EBA2.16, EBA.2.7b and ‘oime:disallowedDuplicateFacts’ will be raised for the same issue. Raising different error messages for a same issue may be seen as reducing the readability of the provided error logs. However, those messages also provide financial entities with as many details as possible, giving them all the elements they need to identify and correct the source of the issue. GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 5/31 3. Dimension under DORA The concept of dimension is widely used by the ESA reporting framework and allows to express multidimensional information. A dimension can be seen as a set of data fields that are linked together. Those data fields can be located in a given table or spread over several tables. From a technical perspective, the fact that fields composing a dimension can be spread over different tables differentiates a dimension from a table key (index). Error/warning messages can be related to the content of a specific data field of the RoI or to a dimension. Data fields belonging to a given dimension are specified in the annoted tables published by the ESA. Example: The Dimension ‘qCDF Name of entity’ regroups the name of financial entities from tables B.01.01, B.01.02, B.01.03 and the name of service providers from table B.05.01 as shown on the below figures. In case an error/warning message related to a dimension has been issued, the name of the dimension will be displayed in the message. The raised error message specifies that an issue at dimension level has been detected and not necessarily at the level of the displayed data field. Financial entities are invited to validate all the data fields being part of the displayed dimension in order to identify the source of the issue. 4. Feedback message provided by the CSSF The results of the RoI analysis performed by the CSSF can be downloaded via the button ‘Download feedback’ located in the ‘Validation rules’ section of eDesk. GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 6/31 The downloaded file is provided in .xlsx (Excel) format and is composed of different tabs. The tab ‘Validation’ specifies all the error and warning messages raised during the analysis of the submitted register. The other tabs of the feedback file can be ignored. They contain the values that the XBRL parser of the CSSF was able to interpret correctly without error. The number of issues listed in the ‘Validation’ tab of the .xlsx file may be higher than the number of issues displayed in the ‘Validation rules’ section. This is due to the fact that eDesk regroups certain messages (mostly warning messages of type v88xx) for a better legibility. 5. Location of the detected issue The error messages displayed in the eDesk ‘Validation Rules’ section or in the feedback file provide detailed information related to the detected issues. For instance, the error message "[xmlSchema:valueError] Element eba_met_3.5:ei1426 type QName value error: TextString, [factReference=eba_met_3.5:ei1426~c-06~1] tB_01- 02.r_2.c0040" specifies that an issue with the data field c0040 in table B.01.02 has been identified. The issue has been detected in data row 2 (‘r_2’) and contains the value ‘TextString’. In case the corresponding B_01.02 table is opened for instance with Notepad under Windows 11, the identified issue is located in line 3. 6. Description of the different error/warning messages The displayed error and warning messages can be classified as follows: - Messages displayed during the upload of the RoI via the eDesk solution. These messages are detailed in section 6.1 here below. - Messages displayed during the analysis of the content of the uploaded RoI. These messages are detailed in section 6.2 here below. 6.1. Messages displayed during the upload of the RoI via eDesk All RoIs have to be uploaded via the eDesk platform. In case an error is detected during the upload of the RoI, one of the following messages will be displayed:  ICTO001 The filename is not compliant with the naming convention. Explanation: The filename of the uploaded .zip file does not respect the naming convention defined by the ESA. GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 7/31 Problem solving: The rejected RoI has to be renamed following the naming convention defined by the ESA. For additional information, please consult Section 3.1 of the ‘CSSF guide concerning the submission of DORA Register of information’.  ICTO002 Invalid files cannot be submitted. Explanation: The uploaded file is not a compressed .zip file. Problem solving: Financial entities shall ensure that the uploaded file is a compressed .zip file as specified by the ESA.  ICTO003 The filetype is not supported. File type should be ZIP. Explanation: The file type of the uploaded file is incorrect. Problem solving: The file type of the uploaded file must be ‘.zip’. Other compressed file types like for instance ‘.rar’ or ‘.7z’ are not accepted by the CSSF.  ICTO004 The file does not respect the authorised limit size. File size should not exceed 20MB. Explanation: The size of the uploaded file exceeds the defined limit of 20 MB. Problem solving: Financial entities have to ensure that the size of the .zip file does not exceed 20 MB. In case the size of the RoI exceeds this limit, financial entities shall contact the eDesk helpdesk of the CSSF.  ICTO005 A file has already been submitted with the same filename. Explanation: A file with the same name has already been uploaded previously. Problem solving: Financial entities uploading the register have to ensure that the name of each uploaded .zip file is unique i.e. have to ensure that the timestamp of the submitted RoI has not been used in a RoI previously submitted to the CSSF.  ICTO006 Reference date of the report must be 31/12/2025. Explanation: The name of the uploaded file does not contain the correct reference date, which for the 2026 RoI submission exercise is set to ‘2025-12-31’. Problem solving: Financial entities uploading the register have to ensure that the reference date contained in the name of the RoI is specified accordingly.  ICTO007 No valid or existing LEI has been found for this entity. Explanation: The submitted register has been refused as the financial entity has not communicated previously its LEI code to the CSSF. Problem solving: Financial entities have to communicate their LEI code before the first submission of their register to their line supervisors at the CSSF who will then update the database of the CSSF. To note that an upload of a .zip file is only possible after GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 8/31 the synchronisation of the internal database with eDesk which is performed on a daily basis during the night.  ICTO008 A technical error occurred while uploading the report. Explanation: A technical error (communication line problem, reset of the transmission,…) occurred during the transfer of the file. Problem solving: The file must be uploaded again once the technical issue has been resolved.  ICTO009 The report cannot be decompressed. Explanation: The transferred .zip file is corrupted and cannot be decompressed. Problem solving: The issue has to be fixed and the file uploaded again.  ICTO010 Folder name does not match ZIP file name. Explanation: The name of the main folder contained in the .zip file does not match the name of the .zip file. Problem solving: The requirements related to the content of the .zip file are described in Section 3.2 of the ‘CSSF guide concerning the submission of DORA Register of information’.  ICTO011 ZIP file must contain one single report folder. Explanation: The content of the uploaded .zip file does not respect the folder structure defined by the ESA. Problem solving: The requirements related to the content of the .zip file are described in Section 3.2 of the ‘CSSF guide concerning the submission of DORA Register of information’.  ICTO012 Folder should contain exactly two subfolders named "META-INF" and "reports". Explanation: The content of the uploaded .zip file does not respect the folder structure defined by the ESA. Problem solving: The requirements related to the content of the .zip file are described in Section 3.2 of the ‘CSSF guide concerning the submission of DORA Register of information’. 6.2. Messages displayed during the analysis of the uploaded RoI Error Code arelleOIMloader:error Displayed "[arelleOIMloader:error] Failed to read value from [file name] for col [column], Error row [row]" GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 9/31 Type of Error message message Error The value for the specified data field cannot be read due to a missing data field Description or an incorrect file content. Instructions Financial entities are invited to review the value contained in the data field [file name].[row].[column]. Special - case(

1. s)Example(
2. s)Example Displayed error message: "[arelleOIMloader:error] Failed to read value from b_04.01.csv for col c0040, row 2" Explanation The file b_04.01.csv contains one header and 2 data rows. The error message specifies that the value from column c0040 of the second data row could not be read. This is due to the fact that the requested value is missing. Error Code CSSF_0 Displayed “[CSSF_0] XBRL file is not parsable” Error Type “[CSSF_0] Zip file does not contain any taxonomy file” of Error message Error Incorrect content of the reportPackage.json file located in folder ‘META-INF’ and/or Description incorrect content of the report.json file located in folder ‘reports’. Instructions Please refer to Sections 3.2.1 and 3.2.2.1 of the document ‘CSSF guide concerning the submission of DORA Register of information’ Special - case(
3. s)Example(
4. s)Example Incorrect content of the .json file raising error CSSF_0 GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 10/31 Error Code CSSF_1 Displayed “[CSSF_1] EntryPoint is not compatible with Reporting Type and Reporting Error period, value found is [value], expected value is : [http://www.eba.europa.eu/eu/fr/xbrl/crr/fws/dora/4.0/mod/dora.json]” Type of Error message message Error The URL [value] specified in the report.json file located in folder ‘reports’ is not Description correct. Instructions Financial entities are invited to review the report.json file and resubmit their RoI. For additional information related to the report.json file, please refer to Section 3.2.2.1 of the document ‘CSSF guide concerning the submission of DORA Register of information’. Special - case(
5. s)Example(
6. s)Example Displayed error message: “[CSSF_1] EntryPoint is not compatible with Reporting Type and Reporting period, value found is [http://www.eba.europa.eu/ xbrl/dora.json], expected value is : [http://www.eba.europa.eu/eu/fr/xbrl/crr/fws/dora/4.0/mod/dora.json]” Explanation The report.json file refers to ‘http://www.eba.europa.eu/ xbrl/dora.json’. This link is incorrect and should be exactly ‘http://www.eba.europa.eu/eu/fr/xbrl/crr/fws/dora/4.0/mod/dora.json’ Error Code EBA.1.6.b / EBA.1.6.e Displayed "[EBA.1.6.b] XBRL reports MUST include appropriate negative (i.e. with Error @find:filed=”false”) filing indicator elements to express which reporting units (“templates”) are intended NOT to be reported. (missing=[values])" "[EBA.1.6.e] Missing filing indicators. Reported XBRL instances MUST include appropriate (positive or negative) filing indicator elements" Type of Error message message Error An error related to the content of file FilingIndicators.csv has been detected. Description GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 11/31 Please note that the error message may be displayed in case an issue is detected with line ‘refPeriod,2025-12-31’ in the file parameters.csv. Instructions For additional information related to the content of the FilingIndicators.csv and the parameters.csv files, please refer to section 3.2.2.2 of the document ‘CSSF guide concerning the submission of DORA Register of information’. Special - case(
7. s)Example(
8. s)Example The file FilingIndicators.csv contains for a given table the value ‘TRUE’. Explanation The content of the FilingIndicators.csv file is case sensitive. All lines except the header shall contain the text string ‘true’ in lowercase. Error Code EBA.1.7.1 Displayed "[EBA.1.7.1] Reported XBRL instances MUST NOT include business facts which Error are not contained in any of the reporting units indicated by filing indicators. One of these reporting units should be marked as filed: [table name] (fact=eba_met:[dimension], context=[context], value=[value]. [factReference=eba_met:[dimension]~[context])" Type of Error message message Error The error message is displayed in case one of the following issue is detected : Description - an error has been detected inside the FilingIndicators.csv file (for instance not all values are set to ‘true’) - the FilingIndicators.csv file refers to an empty B_xx.xx table file i.e. the file b_xx.xx.csv exists but contains no header. Instructions Financial entities are invited to review the content of the FilingIndicators.csv file respectively have to ensure that all B_xx.xx table files have a correct header. For additional information related to the FilingIndicators.csv file, please refer to Section 3.2.2.2 of the document ‘CSSF guide concerning the submission of DORA Register of information’. For additional information related to the headers of the .csv files, please refer to Section 4.1.1 of the document ‘CSSF guide concerning the submission of DORA Register of information’. Special - case(
9. s)GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 12/31 Example(
10. s)Example 1 The FilingIndicators.csv does not contain information related to table B_01.01 or contains a value different than the text string ‘true’. Explanation The FilingIndicators.csv file shall contain a line for each of the 15 tables (B_xx.
11. xx)followed by the text string ‘true’ in lowercase. Example 2 The content of the FilingIndicators.csv file is correct (all 15 tables (B_xx.
12. xx)are listed and have all the value ‘true’ in lowercase). The file refers to table B_01.03 which is empty i.e. has no header. Explanation The FilingIndicators.csv refers to B_01.03.csv cannot be read as it does not contain a header. The xbrl parser of the CSSF cannot interpret an empty file and concludes that the table B_01.03 is missing. Error Code EBA.2.16 Displayed “[EBA.2.16] Facts are duplicates eba_met:[dimension] contexts [context] table: Error [table name] col: [column] row [row] [factReference=eba_met: [dimension] ~[context]." Type of Error message message Error The error message is raised as a duplicated key inside table [table name] has Description been identified. To note that the values of the columns and rows displayed in the message can be ignored. They are displayed as the issue has been detected while analysing the dimension [dimension]. Instructions Financial entities shall identify in a first step the data fields composing the key of table [table name]. In a second step, financial entities shall identify the duplicated keys and rectify the issue. For additional information related to key data fields, please consult Section 5.4 of document ‘CSSF guide concerning the submission of DORA Register of information’. Special - case(
13. s)Example(
14. s)- GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 13/31 Error Code EBA.2.7b Displayed "[EBA.2.7.b] Duplicate contexts SHOULD NOT be reported, contexts [context] Error (facts: [table name].[row].[column]) and [context] (facts: [table name].[row].[column]) are equivalent.'" Type of Error message message Error The error message is raised as a duplicated key inside table [table name] has Description been identified. Instructions Financial entities shall identify in a first step the data fields composing the key of table [table name]. In a second step, financial entities shall identify the duplicated keys and rectify the issue. For additional information related to key data fields, please consult Section 5.4 of document ‘CSSF guide concerning the submission of DORA Register of information’. Special - case(
15. s)Example(
16. s)Example "[EBA.2.7.b] Duplicate contexts SHOULD NOT be reported, contexts c-254 (facts: tB_05-01.r_7.c0020, tB_05-01.r_7.c0050, tB_05-01.r_7.c0060, tB_0501.r_7.c0070, tB_05-01.r_7.c0100, tB_05-01.r_7.c0090 ) and c-371 (facts: tB_05-01.r_10.c0070, tB_05-01.r_10.c0050, tB_05-01.r_10.c0020, tB_0501.r_10.c0060 ) are equivalent.'" Explanation Line 7 and line 10 of table B_05.01 contain the same key in column c0010. Error Code EBA.3.11 Displayed "[EBA.3.11] Fact eba_met: [dimension] of context [context] SHOULD not start Error or end with space characters: [value] table: [table name] col: [column] row: factReference=[dimension]~[context]" Type of Warning message Error The displayed value of data field [table name].[column] starts or ends with a Description space. Instructions Financial entities are invited to remove the identified space from the specified data field. Special - case(
17. s)Example(
18. s)Example GUIDANCE FOR INTERPRETATION AND RESOLUTION OF CSSF ERROR MESSAGES RELATED TO THE SUBMISSION OF THE DORA REGISTER 14/31 Explanation Data field B_01.01.20 contains a space at the end (‘Financial Entity Name ‘). Error Code EBA.724 Displayed "[EBA.724] No data was integratable - integrated" Error Type of Error message Error The validation check has been introduced by the ESA following the simplification Description of the validation check #720. The me