Division II.8.2 Instructions concerning specific positions

United Kingdom

Columns	Instructions
0005	Identifier
0010	Service type The service type shall be one of the service types listed below. Where possible, the sub-category shall be reported (two digit identification). Where no sub-category exists or no sub-category properly describes the service provided by the institution, the main category (one digit identification) shall be reported. 1.. Human resources support 1.1. staff administration, including administration of contracts and remuneration 1.2. internal communication 2.. Information technology 2.1. IT and communication hardware 2.2. data storage and processing 2.3. other IT infrastructure, workstations, telecommunications, servers, data centres and related services 2.4. administration of software licenses and application software 2.5. access to external providers, in particular data and infrastructure providers 2.6. application maintenance, including software application maintenance and related data flows 2.7. report generation, internal information flows and data bases 2.8. user support 2.9. emergency and disaster recovery 3.. Transaction processing, including legal transactional issues, in particular anti-money laundering. 4.. Real estate and facility provision or management and associated facilities 4.1. office premises and storage 4.2. internal facilities management 4.3. security and access control 4.4. real estate portfolio management 4.5. other, please specify 5.. Legal services and compliance functions: 5.1. corporate legal support 5.2. business and transactional legal services 5.3. compliance support 6.. Treasury-related services 6.1. coordination, administration and management of the treasury activity 6.2. coordination, administration and management of entity refinancing, including collateral management 6.3. reporting function, in particular with respect to regulatory liquidity ratios 6.4. coordination, administration and management of medium and long-term funding programs, and refinancing of group entities 6.5. coordination, administration and management of refinancing, in particular short-term issues 7.. Trading/asset management 7.1. operations processing: trade capture, design, realisation, servicing of trading products 7.2. confirmation, settlement, payment 7.3. position and counterparty management, with respect to data reporting and counterparty relationships 7.4. position management (risk and reconciliation) 8.. Risk management and valuation 8.1. central or business line or risk type-related risk management 8.2. risk report generation 9.. Accounting 9.1. statutory and regulatory reporting 9.2. valuation, in particular of market positions 9.3. management reporting 10.. Cash handling
0020-0030	Service recipient The Entity of the group which receives the critical service reported in column 0010 from another group entity or the external provider reported in columns 0040-0050.
0020	Entity name Must be different from the name listed in column 0040.
0030	Code Unique identifier of the legal entity in column 0020 as reported in template Z 01.00 (ORG) Must be different from the identifier reported in column 0050.
0040-0050	Service provider The legal entity (internal or external) which provides the critical service reported in column 0010 to a group entity
0040	Entity name Must be different from the name listed in column 0020.
0050	Code Unique identifier of the legal entity in column 0020.Must be different from the identifier listed in column 0030. Where the service provider is a group entity, the code shall be the same as reported in n template Z 01.00 (ORG). Where the service provider is not a group entity, the code of that entity shall be: for institutions the 20-digit, alphanumeric LEI code; for other entities the code shall be the 20-digit, alphanumeric LEI code, or if not available a code under a uniform codification applicable in the Union, or if not available a national code. The code shall be unique and used consistently across the templates.
0060	Part of the group ‘Yes’ – if the service is provided by an entity of the group (‘Internal’) ‘No’ – if the service is provided by an entity outside of the group (‘external’)
0070-0080	Critical function The critical function the performance of which would suffer a serious impediment or be completely prevented in case of disruption of the critical service. It is one of the functions assessed as critical in template Z 07.01 (FUNC 1).
0070	Country Member State for which the function is critical, as reported in Z 07.01 (FUNC 1)
0080	ID ID of the critical functions as defined in chapter 2.7.1.4 above and referred to in template Z 07.01 (FUNC 1)
0090	Estimated time for substitutability Estimated time necessary to substitute a provider with another one to a comparable extent as regards object, quality and cost of the service received. Report one of the following values: ‘1 day - 1 week’ where the substitution time is no longer than a week; ‘1 week – 1 month’ where the substitution time is longer than a week but no longer than a month; ‘1 - 6 months’ where the substitution time is longer than a month but no longer than 6 months; ‘6 - 12 months’ where the substitution time is longer than 6 months but no longer than a year; ‘more than 1 year’ where the substitution time is longer than a year.
0100	Estimated time for access to contracts Estimated time necessary to retrieve the following information on the contract regulating the service following a request by the resolution authority: duration of the contract parties to the contract (authoring party and supplier, contact persons) and their jurisdiction nature of the service (i.e. short description of the nature of the transaction between the parties, including prices) whether the same service can be offered by any other internal/external provider (and identify potential candidates) jurisdiction of the contract department responsible of dealing with the main operations covered by the contract main penalties included in the contract in case of suspension or delay on the payments trigger for early termination and timing allowed for termination operational support following termination relevance for which critical functions and business lines Report one of the following values: 1 day 1 day - 1 week more than 1 week no contract regulating the service
0110	Governing law ISO code of the country code the law of which governs the contract.
0120	Resolution-proof contract Reflects the assessment whether the contract could be continued and transferred in resolution. The assessment shall take into account, among other factors: any clause that would entitle a counterparty to terminate the contract solely as a result of resolution, early intervention measures or cross-default scenarios in spite of substantive obligations continuing to be performed; any clause that would entitle a counterparty to alter the terms of service or pricing solely as a result of resolution, early intervention or cross-default scenarios in spite of substantive obligations continuing to be performed; the recognition, in the contract, of the suspension rights of resolution authorities. Report one of the following values: ‘Yes’ – if the contract is assessed as resolution-proof ‘No’ – if the contract is not assessed as resolution-proof ‘Not assessed’ – if no assessment has been made