ALERT Plus Uploads

ALERT Plus is an extension of standard upload functionality in the ALERT® service that improves your data management process. This functionality enables you to create and maintain your own settlement instructions. Once you upload your data, your investment managers can use it.

DTCC enables uploads of:

  • New and changed model information, including market-specific settlement instructions.
  • Changed account-specific settlement instructions.

After downloading a pre-formatted template from the Utilities page and filling out details in Microsoft Excel, you can then upload the data to ALERT from the Utilities page.

During the process of uploading and submitting new and changed data to the database, ALERT checks the data against a set of validations rules. After a successful data upload, the system generates alerts that notify the appropriate parties about the changes.

For details on filling out the templates and for information about validation, see the ALERT Plus Guide for Global and Regional Custodians.

An upload of changes to current settlement instructions does not apply to the future effective instructions for the same Country-Security-Method.

You cannot use the Upload utility to create an account settlement instruction, only to update an existing one.

ALERT Plus template, Account and Model Settlement Instructions, is a Microsoft Excel worksheet that includes valid headers for each file type that you upload to ALERT. The template file is provided within a .zip file when you download it from ALERT

  1. Select Uploads from the Utilities menu.
  2. Click Download Templates.

  3. Click Save on the confirmation message that appears on the bottom of your screen.

    ALERT saves the UploadTemplates.zip file that contains ALERT Plus template file to C:\Users\<<your Windows user name>>\Downloads\.

  4. Unzip the file to your desired location and verify that the Account and Model Settlement Instructions file is present.

Fill out the templates per the instructions in the ALERT Plus Guide for Global and Regional Custodians.

After filling out data on the template, you upload it to ALERT, which performs data validations during the during the upload process.

  1. Click Upload New File.
  2. Enter the file name in the File Name field or browse to the upload file.
  3. Select the type of data to upload from the Data type drop-down list:
    1. Account Settlement Instructions
    2. Model Settlement Instructions
  4. Select an option from the Category field:
    1. None:
    2. New: Enter a textual category description using all capital letters.
    3. Existing: Select a category from the drop-down list.

  5. Click Validate.

    ALERT performs a rules (business, syntax, and semantics) validation against its contents.

    The upload file appears in the Items in Queue list. The Status column indicates whether the file passed the format and rules validation.

The columns in the Results grid display information about each upload file.

Table 3  Results Grid
Column Name Description
Upload ID An ALERT-generated processing ID.
Status The ALERT file processing status. All items that are Failed/Partial (in red) require further action from your institution.
File name Contains links to copies of the original upload files.
Date Type

The type of data in the upload file:

  • Model Settlement Instructions
  • Account Settlement Instructions
Date/Time Submitted The date/time of file submission for validation.
Date/Time Created The in date/time when ALERT accepted (created) the file and put it in the queue pending validation.
Validation/Submission Errors Contains links to error files. These files contain a copy of the original upload file that includes original data submitted, as well as validation errors for each failing row.
User ID The User ID that (ALERT user name) that initiated the upload.
Category The name of the file upload category, or None if there was no associated category.

ALERT displays 300 rows of data in the upload grid. Select a filter to view specific upload files.

Table 4  Upload Grid Filters
Filter Name Description
All Displays all upload files.
Pending

Displays pending upload files.

  • If the status is Validating, data validation is in process.
  • If the status is Submitting, the file is currently uploading.

Click the link in the File Name column to open a copy of the original file.
Complete

Displays files that successfully uploaded.

Click the link in the File Name column to open a copy of the original file.
Failed/Partial

Displays files that did not upload successfully, or ones that only partially uploaded.

Click the respective links in the Validation Upload Errors column to open a copy of the original file and the error file.

The Status column indicates the nature of the problems encountered:

  • Validated with Errors, Ready to Submit: The validation is complete, but includes errors.
  • Validation Complete, Ready to Submit: The validation is complete and there are no errors. ALERT is awaiting user action before uploading the file.
  • Submission Pending Data Authentication: The submitted upload file is in the Data Authentication queue and is pending Data Authentication.
  • Failed/Partial, Submitted with Errors: The upload/submit process of a file with errors is complete.
  • Failed, Rejected during Data Authentication: The data approver and/or authorizer rejected the data. After viewing rejected data, upload a new file with the appropriate corrections.
  • Failed to connect to Omgeo database, please try again: There was a problem connecting to the database.