Surveys in the EHP
Types of survey
We distinguish between different types of survey:
- Form-based surveys
- XML-based surveys
- Excel-based surveys
- Chart of accounts-based surveys (for insurance companies only)
It is possible for form-based surveys in certain cases for the form to be downloaded, e.g. in XML or Excel format, completed and subsequently uploaded again. FINMA configures these functions for each individual survey and they are not possible in every case.
Status model for surveys
A survey passes through various statuses during its life cycle that are explained in detail below.
| Status | Description |
| Open | Once published by FINMA, the status of the survey is “open”.
As long as the individual survey has the status “open”, it is not visible to FINMA. If FINMA is to view the individual survey, the FI or AF/SO must activate the support mode. |
| Validated | The FI or AF/SO has validated the individual survey. This status can be used to indicate to the persons involved that the individual survey is ready for submission. However, the individual survey can still be processed.
As long as the individual survey has the status “validated”, it is not visible to FINMA. |
| Checking by AF/SO | Some surveys require or facilitate interaction with third parties. Surveys forwarded for “checking by AF/SO” enable the AF or SO to view the survey in question and to certify (approve) or reject it.
|
| Submitted to FINMA | The individual survey has been submitted to FINMA. It can no longer be edited. |
| Undergoing correction | The individual survey has been sent back by FINMA for correction.
An individual survey with the status “undergoing correction” must be resubmitted prior to further processing by FINMA as FINMA is unable to view the individual survey in this status. |
| Completed | The individual survey has been completed by FINMA. |
| Stopped | FINMA may stop the individual survey at any time if required. If an individual survey is stopped by FINMA, it is removed from the list of surveys of the FI or AF/SO. The survey is reallocated to the FI or AF/SO upon republication. This has been deliberately implemented in this way among other things to enable a survey to be withdrawn and republished following correction of the master data. |
Important:
Once a survey or submission reaches final completed status, the survey will be deleted after five years and the submission after three years. It will then no longer be visible in the EHP either to FINMA or to the institution.
Form-based surveys
For form-based surveys, the FI or AF/SO enters the data in a special form configured for this purpose. The forms are self-explanatory and can be validated (completeness check) and submitted to FINMA following completion (see illustration below).
XML-based surveys
In the case of XML-based surveys, FINMA provides an XML schema, a so-called XSD (XML Schema Definition). This type of survey is frequently combined with an Excel-based survey. There is no form provided for XML surveys, but simply an XML or Excel file. The FI or AF/SO can download this file (an XML or Excel file depending on the configuration), complete it and subsequently upload it again. Advanced knowledge in the field of XML data is required to complete an XML file.
Excel-based surveys
Depending on the template configuration, it is possible in the case of form-based and XML-based surveys or submissions to download the form or XML file as an Excel file, complete it and subsequently upload it again.
