Introduction

Registering Company Information in Admin

Registering in Vendor Management

Registering in Contract Management

Reporting

Import functionality

 

Introduction

ISPnext offers a feature to support financial organizations in adhering to DORA regulations. This feature is seamlessly integrated into the Vendor Management and Contract Management processes, allowing you to:

• Capture relevant information required for DORA compliance.
• Generate reports that align with DORA regulatory requirements.

How It Works: In short

1. Begin by registering your company details in the Admin section.
2. Ensure that in Vendor Management and Contract Management all necessary fields related to DORA compliance are filled in.
3. Use the reporting tool to generate DORA-compliant documentation as needed.

Please note: Due to ongoing improvements, some functionalities described below may be expanded or slightly modified.

 

Registering Company Information in Admin

To ensure accurate data for DORA reporting, you can register relevant company information in Admin → Tables under the sections Companies and DORA.

Companies

In the Companies section, you register details about your organization. By clicking on a company or by adding a new company the following two tabs will show:

• General Settings: For standard company information.
• DORA: For adding DORA-specific details required for compliance reporting.

In the Branches section, it is possible to record different branches.

 

DORA 

• The DORA table is located at Admin → Tables → DORA. In this section, you can create and view the Function Identifiers essential for DORA compliance.

  Important: Since the Companies field is required in the DORA tab, it is considered best practice to first complete the company information in the Companies tab before proceeding to the DORA table.

Import/update Function Identifiers in bulk

It is possible to upload Function Identifiers in bulk via ‘Admin’ -> ‘Import data 2’. By clicking on the menu item and then clicking on ‘Import DORA Function Identifiers’.

Once the screen is open, the ‘Template’ button can be used to download the template. After the template is filled with the correct data, it can be imported or updated via the ‘Upload data’ button .

Registering in Vendor Management

Details Tab: Vendor Information for DORA Reporting

In the Details tab, you can enter additional vendor information required for the DORA report. Below is an overview of the fields displayed on the details page:

1. Mandatory Fields (Grey):
   These fields are essential and cannot be hidden when manually registering a supplier in ISPnext.

2. Customizable Fields:
   All other fields can be renamed or hidden to suit your organization's needs.

3. DORA-Specific Fields (Blue):
   These fields are either specifically added or used to capture information necessary for the DORA report.

Fieldname	Field type	Comment / Explanation
Category	Select	When manually creating a supplier, you must link it to one or multiple categories
Reference	Automatic number	Supplier number from ERP, chosen by the application or entered manually
Name	Text	Supplier name from ERP or manually entered in the application. Important field for identification. Does not directly come back in the reporting for DORA.
Parent vendor	Select	Possibility to connect two suppliers. Consider mother-daughter relationships between companies. To link two suppliers in this field, both suppliers must be in the application.
Address	Text	Contains the street name of the supplier's main location
Number	Text	Contains the house number associated with the supplier's street name
Addition	Text	Contains any addition to the supplier's house number
Postal code	Text	Contains the postal code of the supplier's principal place of business
City	Text	Contains the city name of the supplier's main location
State	Text	Contains the state of the supplier's principal place of business
Country	Select	Contains the country of the supplier's headquarters
Postal adres street	Text	Contains the street name of the Postal address (if different from head office) of the supplier
Postal address number	Text	Contains the house number associated with the supplier's street name
Postal address addition	Text	Contains any addition to the supplier's house number
Postal address postal code	Text	Contains the zip code of the Postal address (if different from head office) of the supplier
Postal address city	Text	Contains the city name of the Postal address (if different from head office) of the supplier
Postal address state	Text	Contains the status of the Postal address (if different from head office) of the supplier
Postal address country	Select	Contains the country of the Postal address (if different from head office) of the supplier
Telephone	Text	Contains the supplier's general telephone number
Order e-mail	Text	Contains the email address for orders from the supplier
Website	Text	Contains the supplier's general website, which provides a clickable link in the 'Info' tab
Webshop url	Text	Contains the link to the supplier's webshop, this provides a clickable link in the 'Info' tab
General email	Text	Contains the general communication email address of the supplier
Domain name	Text	Contains the domain name (@...) of the supplier for the purpose of forwarding emails
Dun & Bradstreet number	Text	Contains the DUNS number of the supplier
Chamber of Commerce	Text	Contains the Chamber of Commerce number of the supplier. Possible identification number for DORA.
Bank account	Text	Contains the main Bank account number of the supplier. You can register multiple bank accounts on supplier level.
VAT	Text	Contains the VAT number of the supplier.
City of registration	Text	The city of registration according to the chamber of commerce
Comments	Text	Open comment section
Purchase risk	Numerical	If you use the Kraljic analysis to classify purchasing categories, the conclusion will also be at supplier level; you can also classify suppliers individually.
Business influence	Numerical	If you use the Kraljic analysis to classify purchasing categories, the conclusion will also be at supplier level; you can also classify suppliers individually.
Classification	Select	You can divide suppliers into different quadrants. This could be to link a conclusion in accordance with Kraljic to a supplier or a certain Tier rating. You can determine the selection list for this field yourself.
Type	Select	You can link suppliers to a specific type of supplier. Consider, for example, wholesaler, service provider, employment agency, consultancy work, etc. You can determine the selection list for this field yourself.
Global Location Number (GLN)	Text	Global location number of the supplier
Currency	Select	Currency used by the supplier. This field is linked to the ‘Total annual expense’ field.
Supplying Country	Select	Supplying country for the supplier
Global DUNS number	Text	Dun & Bradstreet number of the ultimate parent supplier. Possible identification number for DORA.
Global Parent Name	Text	Name of the ultimate parent supplier
Global Parent Country	Select	Country of the ultimate parent supplier
G-Bank account	Text	G-Bank account of the supplier
Payment method	Select	Applicable payment method
Payment term	Select	Applicable payment term
Discount code	Select	Applicable discount code
VAT Group	Select	VAT group connected to the supplier
LEI code	Text	LEI code of the supplier. Possible identification number for DORA.
Total annual expense	Numerical	Numerical field in which a total value can be added, created specifically for DORA but part of the standard fields

Relations Tab: Managing Vendor Relationships

The Relations tab allows you to record and manage a vendor’s relationships. This includes:

• Ultimate Parent Organizations: Link a vendor to its ultimate parent company.
• Sub-Vendors: Register multiple sub-vendors associated with the main vendor.
• Alternative Vendors: Add alternative suppliers for compliance or operational purposes.

These relationships are interconnected, offering valuable insights into the vendor's supply chain and organizational structure.

Important: Alternative suppliers registered in the Relations tab can be selected when creating or managing a contract. It is therefore recommended to register alternative suppliers first in the Relations tab before associating them with contracts.

 

 

Registering in Contract Management

Admin: Template Setup

To enable DORA compliance in Contract Management, the DORA tab must be activated in the contract templates. You can do this by navigating to Admin → Contract Settings → Tables → Contract Templates.

The DORA tab will only appear when a specific template with an active DORA functionality is used.

 

Activating the DORA Tab

1. Navigate to the desired template (e.g., IT Contracts).
2. Enable the DORA Assessment tab for the selected template.

Once activated, the DORA tab will be available when using the contract template with an active DORA functionality, allowing you to capture all relevant DORA-related information.

 

Contract Details tab: DORA Compliant Contracts

In Contract Management, it is possible to create contracts that are DORA compliant.

Below is a list of standard fields visible on the Contract Details page:

• Mandatory Fields (Grey): These fields cannot be hidden and are always required when registering a contract in ISPnext.
• Customizable Fields: All other fields can be renamed or hidden as needed.
• DORA-Specific Fields (Blue): These fields are used for or specifically added to capture information required for the DORA report.

By filling out these fields accurately, you ensure that your contract is in line with DORA compliance requirements.

Fieldname	Field type	Comment / Explanation
Ref.	Automatic	Automatically calculated number by the application, creating a unique number per contract. This is always only numerical, we can start or continue counting from a number of your choice. This number will be used in DORA reporting as a unique contract identification.
Supplier	Text	Comes from the supplier module that will be powered by AP automation/ERP/Manual. The data will include a number and a name that will be visible in the contract details
Contractname	Text	Short name for the contract, an extensive description can be given in the 'Contract description' field.
Contract description	Textarea	Description of the contract, text block where a more detailed explanation can be entered about what the contract is about.
Parent contract	Drop-down	Contracts from the same supplier can be linked together in a main- substructure, so that contracts that belong together are actually linked to each other.
Procedure	Drop-down	In this field you can distinguish between the notification period (often also the chosen new name for this field) that is linked to an individual contract. In the application you set a standard term that will apply to all contracts if this field is empty or will be hidden.
2nd supplier	Drop-down	This field once again shows the list of suppliers in the system so that a possible intermediary party/broker can be chosen for a tripartite agreement.
Mandator	Drop-down	List of users known in ISPnext, field is informative and can be used for searching or filtering. Notifications can also be activated for the user that is connected in this field.
Contractowner	Drop-down	List of users known in ISPnext, field is informative and can be used for searching or filtering. Notifications can also be activated for the user that is connected in this field.
Company	Drop-down	Selection list of the internal companies/departments. Possibly filled from ISP/ERP in combination with Spend Management. In Admin this is a shared list.
Contractnumber - 1	Text	Possibly an additional text field to link a number/text such as a supplier contract number, or a reference to another system/dimension.
Contractnumber - 2	Text	Possibly an additional text field to link a number/text such as a supplier contract number, or a reference to another system/dimension.
Contractnumber - 3	Text	Possibly an additional text field to link a number/text such as a supplier contract number, or a reference to another system/dimension.
Startdate	Date	Startdate of the contract
Enddate	Date	Current end date of the agreement. In the event of an extension, you will adjust this date and you can find the adjustments in the log.
Status	Drop-down	The application uses the statuses draft, active, expired and archive. In addition, this field can be used to indicate further underlying statuses such as pending, on hold or already cancelled.
Type	Drop-down	Field to distinguish between different types of contracts such as framework agreement, Processing Agreement, license or an addendum. This can also be used in combination with the field template if you want to fill in other fields per type.
Cost centre	Drop-down	Selection list of the internal cost centers. Possibly filled from ISP/ERP in combination with Spend Management. In Admin this is a shared list.
Project number	Text	Text field to indicate the number / name of the possible project in the contract.
Termination term number	Numerical	Numerical field in combination with the Termination term period' field to determine the full termination period
Termination term period	Drop-down	Drop-down menu with periods in combination with the Termination term number' field to determine the full termination period. Period selection is: Day, Week, Month, Quarter, Year.
Termination date	Date	Automatically calculated based on the end date, termination term number and termination term period. This date will also be used in combination with the notification period / procedure to determine when the contract stakeholders will receive a notification.
Contract terminated	Checkbox	If you use the 'Terminate contract' button in ISPnext, this checkbox will be selected to indicate that the contract has already been terminated but may still be active until the end date. Notifications will no longer be sent.
Silent renewal?	Drop-down	Informative check mark to indicate whether a contract will be silently renewed if no action is taken. The application will automatically renew the contract if the conditions allow for the renewal.
Extension term number	Numerical	Numerical field in combination with the 'Extension term period' field to determine the full extension period
Extension term period	Drop-down	Drop-down menu with periods in combination with the 'Extension term number' field to determine the full extension period. Period selection is: Day, Week, Month, Quarter, Year.
Number of possible renewals	Numerical	Numerical field to indicate how often the total extension period mentioned above can be contractually applied.
Ultimate enddate	Date	Automatically calculated date based on the end date, extension period number, extension term period and number of possible extensions.
Index	Text	Text field to explain the details of any agreed indexing. This field is for information purposes, the application does not use the entered information for calculations.
Remarks	Textarea	Text block to enter any additional comments about the contract.
Conditions accepted	Checkbox	Check mark to indicate whether the supplier has accepted the purchasing terms and conditions. This field can also be hidden and replaced with an additional field to possibly distinguish between the types of purchasing conditions or to indicate that it concerns the supplier's sales conditions.
Template	Drop-down	You can use templates in the application to distinguish between visible fields and tabs. For example, IT contracts may need to contain different fields and visible tabs than Facility contracts. Contract templates can also be provided with standard linked contract tasks and required supplier documents such as certifications.
Weight in rating	Text	Numerical field to give contracts a weighting compared to other contracts from the same supplier if they are used in the Vendor Rating module to assess suppliers based on individual contracts. Entered values ​​concern the mutual relationships between contracts. So 1 and 2 yield the same result as 50 and 100, both twice the other.
Exclude from compliance	Checkbox	If you also use Spend Management, contracts are automatically included in calculating contract compliance (how much spend is spent under contract). If a contract has nothing to do with the purchase itself, such as an NDA or a DPA, you can indicate by checking this box that the contract should not be included in Spend Management.
Country of the governing law of the contractual arrangement	Select	The field is created as a new contract field, this field is also part of the DORA reporting.

 

Dora tab: Details

The DORA tab contains specific fields that are relevant only for financials and the DORA report. These fields capture the necessary information to ensure compliance with DORA regulations.

It is also possible to upload this information in Bulk. Please see: Contract model

It is possible to add a combination of a function identifier and the type of ICT service by clicking 'Add'.

It is also possible to upload this information in Bulk. Please see: Contracts: Supplier data details

By entering the Function Identifier and the Type of ICT Service, and then clicking 'Save', the combination is created.

After the combination is created, the missing information can be filled in directly in the table. By clicking on a field the information edit pop-up appears. 

Dora tab: Supply Chain

In this tab, you can register information specific to the supply chain of the contract.

It is also possible to upload this information in Bulk. Please see: Supply chain

 

Reporting

Risk management DORA

Under Vendors → Risk Management → DORA, it is possible to export the DORA report.

 

Register of information tab B_99.01:

In this tab the information must be edited in the report screen. By clicking on the fields, it is possible to input the relevant information.

 

Import functionality

It is possible to upload Function Identifiers, Supplier data (contracts), supply chain information and contracts in bulk via ‘Admin’ -> ‘Import data 2’. By clicking on the menu item and then clicking on one of the templates.

Once the screen is opened, the ‘Template’ button can be used to download the template. After the template is filled with the correct data, it can be imported or updated via the ‘Upload data’ button .

 

Function identifiers

Location:

Admin -> Tabellen -> DORA -> Function Identifiers 

Column	Description	Requirements	Mandatory?
Function Identifier	Unique identifier for the function within the organization. Function identifier reference number (From admin table)	String	Yes
Licensed Activity	Type of licensed activity associated with the function.	String	Yes
Function Name	Name of the operational or business function.	String	Yes
Companies	List of companies/entities involved in or dependent on this function.	String/List	No
Criticality or Importance Assessment	Indicates whether the function is critical or important to business continuity.	Enum (Critical/Important/Non-Critical)	Yes
Reasons for Criticality or Importance	Justification for why the function is deemed critical or important.	Text	No
Date of the Last Assessment of Criticality or Importance	The last recorded date when the function's criticality or importance was assessed.	Date (DD-MM-YYYY)	Yes
Recovery Time Objective of the Function in Hours	Maximum acceptable downtime (in hours) before full recovery of the function.	Numeric, no decimals	Yes
Recovery Point Objective of the Function in Hours	Maximum allowable data loss (in hours) in the event of a disruption.	Numeric, no decimals	Yes
Impact of Discontinuing the Function	Potential consequences of the function being disrupted or discontinued.	Enum (Low/Medium/High)	Yes

 

 

Contracts: Supplier data details (supplier data context)

Location:

Contracts → Click on a contract → Select the DORA tab → Details tab → table at the bottom.

Column	Description	Requirements	Mandatory?
External Id	The external Id in ISPnext	String/ Numeric	Yes
Function Identifier	Unique identifier for the function within the organization. Function identifier reference number (From admin table)	String	Yes
Contract ref.	Contract ref number	String	Yes
Type of IT services	ICT service reference number (From admin table)	String	Yes
Country of provision of the ICT services	Country of provision of the ICT services	ISO country code, 2 or 3 digits	No
Storage of Data	Storage of data	Yes/No	No
Location of the Data at Rest (Storage)	Location of the data at rest	ISO country code, 2 or 3 digits	No
Location of Management of the Data (Processing)	Location of management of the data	ISO country code, 2 or 3 digits	No
Sensitiveness of the Data Stored by the ICT Third-Party Service Provider	Sensitiveness of the data	Enum (Low/Medium/High)	No
Level of Reliance on the ICT Service Supporting the Critical or Important Function	Level of reliance	Enum (Not significant/Low reliance/Material reliance/Full reliance)	No
Substitutability of the ICT Third-Party Service Provider	Substitutability	Enum (Not substitutable/Highly complex/Medium complexity/Easily substitutable)	No
Reason if the ICT Third-Party Service Provider is Considered Not Substitutable or Difficult to Be Substitutable	Reason for not or dificult substitutability	Enum (Lack of real alternatives/Difficulties in migrating or reintegrating/Lack of real alternatives and difficulties in migrating or reintegrating)	No
Date of the Last Audit on the ICT Third-Party Service Provider	Date of the last audit	Date (DD-MM-YYYY)	No
Existence of an Exit Plan	Exit plan existence	Enum (Yes/No)	No
Possibility of Reintegration of the Contracted ICT Service	Possibility of reintegration	Enum (Easy/Difficult/Highly complex)	No
Impact of Discontinuing the ICT Services	Impact of discontinuing	Enum (Low/Medium/High/Assessment not performed)	No
Are There Alternative ICT Third-Party Service Providers Identified?	Are there alternatives?	Enum (Yes/No/Assessment not performed)	No

 

Supply chain

External ID is only needed for the import process to connect the right recipeint of the contracted services to the right supplier. 

Location: Contracts → Click on a contract → Select the DORA tab → Supply chain tab

Column	Description	Requirements	Mandatory?
External Id	When a Rank 3 supplier is present, this field is required to ensure proper recognition and connection.	String	No
Contract ref.	Ref. field from the contract details.	String	Yes
Type of IT services	Ref. number of the IT service from the Admin table).	String	Yes
Rank	Rank number.	Numeric, no decimals	No
Recipient of the subcontracted ICT services	Recipient of sub contracted service rank number reference.	String	No
Third party service provider identifier	Third party service provider ref. number   *Ref. number from the vendors module data, this or the column 'Third party service provider name' should be filled, not both.	String	No
Third party service provider name	Third party service provider name if it needs to be a free text entry	Text	No
Type of code to identify the organisation	Type of code to identify the service provider	Choice (LEI/EUID/ VAT/CRN)	No
Identificationcode	When a Rank 3 supplier is present, this field is required to establish the connection. The External ID of the subcontracted services must be added in this field.	String	No
Country Of Origin	Country of origin	ISO country code, 2 or 3 digits	No
Type of code to identify the organisation (other)	Type of identification code (other)	String	No

 

Contract model

Location:

Contracts → Click on a contract → Select the DORA tab → Details tab (data fields, not the table)

Column	Description	Requirements	Mandatory?
Contract Reference	Contract reference number. Ref. field from the contract details.	String	Yes
Type of contractual arrangement	Type of contractual arrangement	Enum (Standalone arrangement/Overarching arrangement/Subsequent or associated arrangement)	No
Intra-group contractual arrangement	This is an Intra-group contractual arrangement.	Enum (True/False)	No
LEI of the entity making use of the ICT service(s)	The entities making use of the ICT services. One or more ref numbers (LEI) of companies from Admin table	String	No
LEI of the branches making use of the ICT service(s)	Branches using ICT services. One or more ref numbers of branches from Admin table.	String	No
Currency	Currency	ISO currency code	No
Annual Expense or Estimated Cost of the Contractual Arrangement for the Past Year	Annual expense	Numeric	No
Function Identifier	Unique identifier for the function within the organization. Function identifier reference number (From admin table) One or more ref numbers of Function identifiers from Admin table	String	No