Search and Maintain Upload Files

Functionality available on this page depends on whether you maintain a separate subscription to ALERT Plus. If you do not maintain a separate subscription to ALERT Plus, you can perform the ALERT Upload functionality for settlement instructions downloaded and corrected from SI Scan.

Standard ALERT Plus Upload Functionality

ALERT Upload functionality enables uploads of changed account data and model settlement instructions data in a Microsoft Excel (.xls or .xlsx) file. You can generate reports and change data that exists in multiple instances across account or model settlement instructions. ALERT upload functionality improves your data maintenance process.

You can upload the following data to :

Model information, including model-specific settlement instructions
Account-specific settlement instructions

Use the SI Scan (Account and Model SI Scan) and Data Search (Account SI Data and Model SI Data) utilities to generate Excel reports based on existing model settlement instruction data. Modify these reports in Excel and then upload the updated account and model settlement information on this page.

As you upload changed data and submit it to the database, ALERT validates it against a set of validation rules. After a successful data upload, the system generates alerts notifying the appropriate parties about the changes.

For full details on filling out the templates and for information about validation, see the SI Scan Upload Guide.

Creating and Updating Reports

Generate reports using the SI Scan (Account SI Scan, Model SI Scan), and Data Search (Account SI Data and Model SI Data) utilities.
Update the data you want to change.

Change the value in the action column to U.

Caution

Do not delete columns, remove headers, or modify the RefID or Status columns

Validating Data and Uploading Files

Prior to uploading a file with updated data, validate its contents. After you upload data, you can view and filter the results.

Click Upload New File.
Enter a file name in the File name field or browse to the upload file.
Select the type of data to upload from the Data type drop-down list.

The data types available for selection are based on your upload permissions.
Select a Category:
1. None
2. New—Using all capital letters, enter a textual category description.
3. Existing—Select from among the existing categories.
Click Validate.

ALERT validates the file format and performs a rules (business,syntax, and semantics) validation. The upload file appears in the Items in Queue list. The Status column indicates whether the file passed the format and rules validation.

Viewing the Results Grid

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

Upload ID	An ALERT-generated processing ID.
Status	ALERT's file processing status. All items that are Failed/Partial (in red) need further action from your institution.
File name	Contains links to copies of the original upload files.
Data 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 (ALERT user name) that initiated the upload.
Category	The name of the file upload category, or None if there was no associated category.

Filtering the List

ALERT displays 300 rows of data in the upload grid. To view specific upload files, select a filter. The available filters include:

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: 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 duringData Authentication The data approver or authorizer rejected the data. After viewing rejected data, upload a new file with the appropriate corrections. Failed to connect to the ALERT database, please try again There was a problem connecting to the database.

ALERT Plus Upload Functionality

ALERT Plus is an extension of ALERT. It is a subscription-based service that allows you to upload new or changed account data and settlement instructions in a Microsoft Excel (.xls or .xlsx) file. You can also quickly search for and change data that exists in multiple instances across accounts or settlement instructions. ALERT Plus improves your data maintenance process, and positively impacts broker/dealers who access the data.

You can upload the following data to ALERT:

Model information, including settlement instructions for each market
General account information, including the settlement data associated with the account
Settlement instructions specific to an account
Broker/dealer access by attaching broker lists or acronyms to specific accounts
Confirm delivery instructions (maximum of eight for each account)
Activation of markets
GC Direct Custodian account links

DTCC provides templates for each data type. You download the templates from this page, fill out details in Excel, and then upload data on this page.

As you upload new and changed data and submit it to the database, ALERT validates it against a set of validation rules. After a successful data upload, the system generates alerts notifying the appropriate parties about the changes.

For details on filling out the templates and for information about validation, see the ALERT Upload Guide.

Downloading the Templates

ALERT Plus provides the following templates in a .zip file:

Account and Model Settlement Instructions
Broker Access
Confirm Delivery
GC Direct Settlement Instructions
General Account
Market Activation
SI Controller and Model Owner

The templates are Microsoft Excel worksheets that include valid headers for each file type that you upload to ALERT. Headers for required fields are in bold.

Select Uploads from the Utilities menu.
Click Download Templates.
Click Save on the confirmation message that appears on the bottom your screen.

ALERT downloads the UploadTemplates.zip file with the templates to C:\Users\<<your Windows user name>>\Downloads\
Unzip the file and verify all templates are present.

Filling out the Templates

Fill out the templates per the instructions in the ALERT Plus Guide for Investment Managers.

Uploading Data from the Completed Templates

Prior to uploading a file, validate its contents.

Click Upload New File.
Enter a file name in the File Name field or browse to the upload file.
Select the type of data to upload from the Data type drop-down list.

The data types available for selection are based on your upload permissions.
Select a Category:
1. None
2. New—Enter a textual category description (you must use all capital letters).
3. Existing—Select a category from the drop-down list.
Click Validate.

ALERT validates the file format and performs a rules (business, syntax, and semantics) validation. The upload file appears in the Items in Queue list. The Status column indicates whether the file passed the format and rules validation.

Reviewing Uploads

The results grid displays information about each upload file.

Results Grid Columns

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

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.
Data Type	The type of data in the upload file, which can include: Model Settlement Instructions Account Settlement Instructions Confirm Delivery Market Activation General Account Broker Access SI Controller or Model Owner BIA Upload GCDirect Settlement Instruction
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 (ALERT user name) that initiated the upload.
Category	The name of the file upload category, or Blank if there was no associated category.

Filtering the List

ALERT displays 300 rows of data in the upload grid. Select a filter to view specific upload files. The available filters include:

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: 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.