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CommonDataFileFormats–QuestionsandAnswersFINALV2.2,2017-05-04
CommonDataFileFormats–QuestionsandAnswers
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TableofContents
1.Generaltopics..........................................................................................................................................5
1.1.WhataretheGLEIFdataformats?....................................................................................................5
1.2.HowaretheGLEIFdataformatsapplied?........................................................................................5
2.LEI-CDFTopics..........................................................................................................................................6
2.1.WhatisanLEIdatafile?....................................................................................................................6
2.2.WhatisthestructureoftheLEI-CDF?...............................................................................................7
2.2.1.LEIHeaderType...........................................................................................................................7
2.2.2.LEIRecordsType..........................................................................................................................8
2.2.3.LEIRecordType...........................................................................................................................8
2.2.4.EntityType..................................................................................................................................9
2.2.5.RegistrationType......................................................................................................................12
2.3.WhatinformationisfoundintheLEIdatafileheader?..................................................................14
2.4.WhatareLEIdatarecords?.............................................................................................................14
2.5.WhatisavalidLEIcode?.................................................................................................................14
2.6.WhatistheLEIcodeprefix?............................................................................................................14
2.7.HowistheLEIcodegenerated?......................................................................................................15
2.8.HowaretheLEIcode’scheckdigitscalculatedandchecked?........................................................15
2.9.WhatinformationaboutalegalentityisrequiredbytheLEI-CDF?...............................................15
2.10.WhatadditionalinformationcanbeprovidedinLEIdatarecords?.............................................16
2.11.WhichstatusfieldsareusedinanLEIdatarecord?.....................................................................16
2.12.WhichothercodesandstandardsareincludedintheLEI-CDF?..................................................16
2.13.HowdoestheLEI-CDFhandleinternationallanguagesandscripts?............................................17
2.14.Whichspecialcharacters,stringlengthsandcharacterencodingcanbeexpectedwhenworkingwithLEI-CDFformatteddata?................................................................................................................17
2.15.WhatkindofdatabasestructureissuitableforimportingLEI-CDFdata?....................................18
2.16.CancustomfieldsbeincludedinLEI-CDFfiles?............................................................................18
2.17.HowdoLEIIssuersdealwithchanges,correctionsandupdatestotheLEI-CDFdatatheydelivertoGLEIF?................................................................................................................................................18
2.18.HowdoesGLEIFprocesstheLEI-CDFdataitreceives?.................................................................19
3.RR-CDFTopics.........................................................................................................................................20
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3.1.WhatareRR-CDFFiles?...................................................................................................................20
3.2.WhatisthestructureoftheRR-CDF?.............................................................................................20
3.2.1.RelationshipDataType..............................................................................................................20
3.2.2.RRHeaderType.........................................................................................................................21
3.2.3.RelationshipRecordsType........................................................................................................22
3.2.4.RelationshipRecordType..........................................................................................................22
3.2.5.RelationshipContainerType.....................................................................................................23
3.2.6.NodeType................................................................................................................................24
3.2.7.RelationshipPeriodsType.........................................................................................................25
3.2.8.RelationshipPeriodType...........................................................................................................25
3.2.9.RelationshipQualifiersType......................................................................................................26
3.2.10.RelationshipQualifierType.....................................................................................................26
3.2.11.RelationshipQuantifiersType.................................................................................................26
3.2.12.RelationshipQuantifierType...................................................................................................27
3.2.13.RegistrationContainerType....................................................................................................27
3.3.Whatisarelationshipdatafile?.....................................................................................................29
3.4.Whatinformationisfoundintherelationshipdatafileheader?...................................................29
3.5.Whatarerelationshiprecords?......................................................................................................29
3.6.DorelationshiprecordshaveauniqueID?.....................................................................................29
3.7.WhatinformationaboutarelationshipisrequiredbytheRR-CDF?..............................................29
3.8.Whatifrelationshipinformationisnotavailableforalegalentity?..............................................30
3.9.Whatarethestatusfieldsusedinarelationshiprecord?..............................................................30
3.10.Whichspecialcharacters,stringlengthsandcharacterencodingcanbeexpectedwhenworkingwithRR-CDFformatteddata?................................................................................................................30
3.11.WhatkindofdatabasestructureissuitableforimportingLEI-CDFdata?....................................31
4.WherecanIfindfurtherinformation?...................................................................................................32
4.1.Technicalsupport............................................................................................................................32
4.1.1.GLEIFFiles................................................................................................................................32
4.1.2.LEIIssuerfiles..........................................................................................................................32
4.1.3.WhomshouldIcontactforfurtherquestions?.......................................................................32
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Version FINALV2.2Dateofversion 2017-05-04Createdby GLEIFConfidentialitylevel PublicApprovedby GLEIFHeadofITOperations&Development
AboutthisDocument
ThisdocumentprovidesanswerstocommonquestionsontheCommonDataFileformatsdevelopedbytheLegalEntityIdentifierRegulatoryOversightCommittee(LEIROC)andfurtherdevelopedandmaintainedbyGLEIF.
ChangeHistory
Date Version Descriptionofchange Author2017-05-04 FINAL,2.2 NewLevel2version,
majorupdates:LEI-CDFV2.1,RR-CDF
GLEIF
2016-11-11 FINAL,1.0 Finalversion GLEIF
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1. Generaltopics
1.1. WhataretheGLEIFdataformats?
TheGLEIFdataformatsinclude
§ LEI-CDF,§ RR-CDF,§ ReportingExceptions,and§ ParentReferenceData.
TheyaretechnicalspecificationssupportingtheISO17442LegalEntityIdentifier(LEI)standard.
TheGLEIFstandardsareproposedanddevelopedbytheLegalEntityIdentifierRegulatoryOversightCommittee(LEI-ROC),andfurtherdevelopedandmaintainedbyGLEIFastheoperationalarmoftheGlobalLEISystem,alwaysunderLEI-ROCoversight.
1.2. HowaretheGLEIFdataformatsapplied?
TheLEI-andRR-CDF,ReportingExceptions,andcodelistssuchastheRAL,specifydataelementsandvaluesthatcanbechecked(“validated”)automatically.GLEIFappliesthisvalidationtoalltheLEIandrelationshipdatathatLEIIssuerssubmittoGLEIF,sothatabasiclevelofdataqualityisenforcedacrossallthedata.
Althoughthisvalidationisautomated,GLEIFmonitorstheLEIIssuers’datauploadsanddataqualityreportsonadailybasis.Inaddition,thedataformatsareflexibleenoughforLEIIssuerstoincludeadditionalvalue-addedinformationinareliableway,andchangesorcorrectionstothedatastructurescanbeproposedtoGLEIFatanytime.
PleaseaddressanyfurtherquestionsorfeedbackontheLEI-andRR-CDFformatstoleidata@gleif.org.
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2. LEI-CDFTopics
2.1. WhatisanLEIdatafile?
LEIdatafiles,suchasthoseproducedbytheLEIIssuers,ortheGLEIFConcatenatedFile,aretextfilescontainingLEIdatarecords,structuredusingXML.Theycannotbedirectlyopenedwithaspreadsheetordatabaseapplication,e.g.ExcelorAccess,althoughLEIdataintheseformatsisavailablethroughGLEIF’sLEISearchtool,availableatwww.gleif.org.
TheXMLfilescanbeviewedwithanysimpletexteditor,butforlargenumbersofLEIrecordsthisisimpracticalandaspecializedtoolisneeded.GLEIFdoesnotprovidetoolsupport;insteadwerecommendconsultingyourITteamforanycomplextasks.
TheXMLformatdefinesacontainerthatholdsafileheaderandaseriesofLEIdatarecords.
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2.2. WhatisthestructureoftheLEI-CDF?
PleaseseethetablesbelowforanoverviewoftheLEI-CDFelements.
Some“Type”columnvaluesrefertolatertables;theserefertodataelementsthatarecontainedwithinthereferringelement.
FurtherdetailscanbefoundintheLEICommonDataFileFormatspecificationPDFdocumentandcorrespondingXMLSchemaDefinition(XSD)availableatwww.gleif.org.
2.2.1. LEIHeaderType
Name Type Cardinality Description
ContentDate lei:LEIDateTimeProfile {1,1} Thedateandtimeasofwhichthedatacontainedinthefileisvalid.
Originator lei:LEIType {0,1} TheLEIoftheentitythatcreatedthecontentofthisfile.
FileContent lei:FileContentEnum {1,1} AcodedescribingthecontentofthisLEIdatafile.
DeltaStart lei:LEIDateTimeProfile {0,1} ThedateandtimeofthebaselinerelativetowhichthisfilecontainsneworchangedLEIdatarecords.
RecordCount xs:nonNegativeInteger {1,1} ThenumberofLEIdatarecordsinthefile.Canbeapositivewhole(integer)number,orzero(0).
NextVersion lei:HeaderNextVersionType {0,1} AstructureforaddingfurtherelementsintotheLEIdatafileheaderinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.
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Name Type Cardinality Description
Extension lei:ExtensionType {0,1} Thislei:ExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheLEIHeader.
2.2.2. LEIRecordsType
Name Type Cardinality Description
LEIRecord lei:LEIRecordType {0,unbounded} ContainsallLEIreferencedataincludingdetailsoftheLEI'sregistrationwiththeManagingLOU.
Extension lei:ExtensionType {0,1} Thislei:ExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheLEIRecordscontainer.
2.2.3. LEIRecordType
Name Type Cardinality Description
LEI lei:LEIType {1,1} TheISO17442compatibleidentifierforthelegalentitydescribedintheEntitysection.
Entity lei:EntityType {1,1} TheEntitycontainerelementcontainsthelegalentity'sreferencedata,enablingidentification.
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Name Type Cardinality Description
Registration lei:RegistrationType {1,1} TheRegistrationcontainerelementcontainsallinformationonthelegalentity'sLEIregistrationwiththeManagingLOU.
NextVersion lei:LEIRecordNextVersionType {0,1} AstructureforaddingfurtherelementsintotheLEIDataRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.
Extension lei:ExtensionType {0,1} Thislei:ExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheLEIRecord.
2.2.4. EntityType
Name Type Cardinality Description
LegalName lei:NameType {1,1} Thelegalnameoftheentity.
OtherEntityNames lei:OtherEntityNamesType {0,1} Anoptionallistofothernames(excludingtransliterations)forthelegalentity.
TransliteratedOtherEntityNames lei:TransliteratedOtherEntityNamesType {0,1} AnoptionallistofASCII-transliterated(i.e.Latin-orRomanized)representationsofnamesforthelegalentity.
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Name Type Cardinality Description
LegalAddress lei:AddressType {1,1} Theaddressoftheentityasrecordedintheregistrationoftheentityinitslegaljurisdiction.
HeadquartersAddress lei:AddressType {1,1} TheaddressoftheheadquartersoftheEntity.
OtherAddresses lei:OtherAddressesType {0,1} Anoptionallistofotheraddressesforthelegalentity,excludingtransliterations.
TransliteratedOtherAddresses lei:TransliteratedOtherAddressesType {0,1} Anoptionallistoftransliteratedaddressesforthelegalentity.
RegistrationAuthority lei:RegistrationAuthorityType {0,1} Anidentifierforthelegalentityinabusinessregistryinthejurisdictionoflegalregistration,orintheappropriateregistrationauthority.
LegalJurisdiction lei:JurisdictionCodeType {0,1} Thejurisdictionoflegalformationandregistrationoftheentity(anduponwhichtheLegalFormdataelementisalsodependent).PleasenotethattheXMLschemavalidatestheformatofLegalJurisdictioncodesbutnotthespecificcodesconformingtotheISOstandardsitreequires.
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Name Type Cardinality Description
EntityCategory lei:EntityCategoryTypeEnum {0,1} Indicates(whereapplicable)thecategoryofentityidentifiedbythisLEIdatarecord,asamorespecificcategorywithinthebroaddefinitiongiveninISO17442.ThesecategoriesarebasedonusecasesspecifiedinLEI-ROCpolicies,foundathttp://www.leiroc.org/list/leiroc_gls/index.htm
LegalForm lei:LegalFormType {0,1} Thelegalformoftheentity,takenfromtheISOEntityLegalForm(ELF)codelistmaintainedbyGLEIF.PleasenotethattheXMLschemavalidatestheformatofLegalFormcodesbutnotthespecificcodesconformingtotheISOstandarditreequires.
AssociatedEntity lei:AssociatedEntityType {0,1} Anotherentityassociatedwiththisentityifneededtofullyidentifythisentityortoplaceitinanappropriatecontext.
EntityStatus lei:EntityStatusEnum {1,1} Theoperationaland/orlegalregistrationstatusoftheentity(maybeACTIVEorINACTIVE).
EntityExpirationDate lei:LEIDateTimeProfile {0,1} Thedatethatthelegalentityceasedtooperate,whetherduetodissolution,mergeroracquisition.
EntityExpirationReason lei:EntityExpirationReasonEnum {0,1} Thereasonthatalegalentityceasedtoexistand/oroperate.
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Name Type Cardinality Description
SuccessorEntity lei:SuccessorEntityType {0,1} Thesurviving/newlegalentitywhichcontinues/replacesthisregistration.
NextVersion lei:EntityNextVersionType {0,1} AstructureforaddingfurtherelementsintotheEntitysectionoftheLEIdatarecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.
2.2.5. RegistrationType
Name Type Cardinality Description
InitialRegistrationDate lei:LEIDateTimeProfile {1,1} Date/timetheLEIrecordwascreated.
LastUpdateDate lei:LEIDateTimeProfile {1,1} Date/timetheLEIrecordwasmostrecentlyupdated.
RegistrationStatus lei:RegistrationStatusEnum {1,1} Thestatusofthelegalentity'sLEIregistrationwiththeManagingLOU.
NextRenewalDate lei:LEIDateTimeProfile {1,1} ThenextdatebywhichtheLEIregistrationshouldberenewedandre-certifiedbythelegalentity.
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Name Type Cardinality Description
ManagingLOU lei:LEIType {1,1} TheLEIoftheLOUthatisresponsibleforadministeringthisLEIregistration.
ValidationSources lei:ValidationSourcesEnum {0,1} Thelevelofvalidationofthereferencedataprovidedbytheregistrant.
ValidationAuthority lei:ValidationAuthorityType {0,1} The(primary)registrationauthorityusedbytheLOUtovalidatetheentitydata.
OtherValidationAuthorities lei:OtherValidationAuthoritiesType {0,1} AnoptionallistofadditionalregistrationauthoritiesusedbytheLEIIssuertovalidatetheentitydata.
NextVersion lei:RegistrationNextVersionType {0,1} AstructureforaddingfurtherelementsintotheRegistrationsectionoftheLEIDataRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.
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2.3. WhatinformationisfoundintheLEIdatafileheader?
TheheadercontainsthefileuploadinformationforanLEIdatafile.TheGLEIFConcatenated
FileheadercontainsadditionalExtensionfieldssupplyinginformationontheLEIIssuersthat
suppliedtheLEIdatarecordsthefilecontains.
2.4. WhatareLEIdatarecords?
AnLEIdatarecordcontainsallLEIreferencedataforonelegalentityincludingtheessential
minimumreferencedataneededtotellonelegalentityapartfromanother,supplemental
information,anddetailsoftheLEI'sregistrationwiththeLEIIssuerwhomanagesthelegal
entity’sLEIregistration.
ThroughtheLEIcode,theycanbereferredtorelationshipsbetweenlegalentities,reported
usingtheRR-CDFformat.
2.5. WhatisavalidLEIcode?
AllLEIcodesmustcontainonlycombinationsofthedigits0to9andtheupper-caselettersAto
Z.Lowercaselettersarenotallowed.Thefinal2digits(thecheckdigits)mustbenumericonly.
ThisisrequiredbytheLEIstandard,ISO17442,andtheruleisenforcedbytheLEICommon
DataFileformat.
AvalidLEIcodemustalsohavecorrectcheckdigits.
2.6. WhatistheLEIcodeprefix?
Thefirst4digitsofanLEI(its“prefix”)arereservedtoanLEIIssuertoensurethatLEIcodesare
uniqueatthepointofissuance;thisisanadditionaloperationalprinciplewhichisnotexplicitly
requiredbyISO17442.ThisisnotcheckedautomaticallybytheLEI-CDFXMLschema.
PleasenotethattheprefixofanyLEIcodeisaddedattheinitialregistrationofalegalentity,
solelytopreventduplicationofcodesacrosstwoormoreLEIIssuers.Ithasnointrinsicmeaning
andnootheruse.
SomeLEIcodeswereissuedbeforetheLEIROC'soperationalstandardscameintoeffect.These
codesmayhaveprefixesthatdonotmatchanyLEIIssuer.
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2.7. HowistheLEIcodegenerated?
Characters5-18oftheLEIcodearetheentity-specificsection,generatedandassignedbyLOUs
accordingtotransparent,soundandrobustallocationpolicies.AsrequiredbyISO17442,it
containsnoembeddedintelligence.
2.8. HowaretheLEIcode’scheckdigitscalculatedandchecked?
The2checkdigitsofanLEIarecalculatedfromthefirst18charactersoftheLEI,accordingto
theISOStandard17442,whichitselfreferstoISOStandard7064.Bothstandardsareavailable
fromwww.iso.orgatacost.
Pleasenotethatthecheckdigitsareonlyatechnical,statisticalprotectionagainstmanual
transcriptionerrors(e.g.charactertranspositionduringdataentryorautomatedcharacter
recognition).
Incorrectcheckdigitsindicatetheprobablepresenceofanerrorintheother18characters.
Correctdigitsindicatetheabsenceofsucherrors.Thecheckdigitsarenoindicationofany
othertypeofdefectbeyondthisprobability,andtheydonotrelateinanywaytotheLEI
referencedata.
2.9. WhatinformationaboutalegalentityisrequiredbytheLEI-CDF?
TheminimumreferencedataforanLEIdatarecordasdefinedbyISO17442andenforcedby
theLEI-CDFisasfollows:
§ Theofficialnameofthelegalentityasrecordedinthebusinessregistry,orwiththefund
managerforcollectiveinvestmentvehicles,orotherwiseintheentity’sconstituting
documents.
§ Whereapplicable:
§ Thenameofthebusinessregistryinwhichtheentitywasformed.
§ Theidentifieroftheentityinthebusinessregistry.
§ Theaddressoftheheadquartersofthelegalentityortheaddressofthefundmanager.
§ TheaddressandthecountryoflegalformationasrepresentedinISO3166.
§ ThedateofthefirstLEIassignment.
§ ThedateoflastupdateoftheLEIsetofinformation.
§ Thedateofexpiry,whereapplicable.
§ Thereasonforexpiry,ifapplicable.
§ Forentitieswithadateofexpiry,whereapplicable,theLEIoftheentityorentitiesthat
acquiredtheexpiredentity.
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InadditiontoLEI-CDFinformation,alegalentitymustreportitsrelationshipinformation,per
currentLEI-ROCpolicy,tokeepitsLEIingoodstanding(issued).ThisisreportedtoGLEIFbythe
LEIIssuer,usingtheRR-CDFformat(andtheReportingExceptionsformat,whereapplicable).
2.10. WhatadditionalinformationcanbeprovidedinLEIdatarecords?
§ Thelegalformoftheentity.
§ Othernamesorrepresentationsofnamesforthelegalentity.
§ Alegalorheadquartersaddressindifferentlanguages.
Customfieldsmay(optionally)alsobeadded.
2.11. WhichstatusfieldsareusedinanLEIdatarecord?
TheLegalEntityReferenceData(LE-RD)providedwitheachLEIcode,containstwostatusfields:
§ EntityStatus-Thestatusofthelegalentity(activeorinactive).§ RegistrationStatus-ThestatusoftheLEIregistrationwiththeLEIIssuer.
ForafulllistofEntityStatusandRegistrationStatusvalues,includingdescriptions,pleaseseethedetailedspecificationoftheLEICommonDataFileformatspecificationPDF.
AnoverviewofthecurrentLEIdatapool,brokendownbyRegistrationStatusandEntityStatus,canbefoundatGLEIF'sStatisticspage.
2.12. WhichothercodesandstandardsareincludedintheLEI-CDF?
ThefollowingcodelistsaremanagedbyGLEIF:
LEI-CDFElement CodeList Description
LegalForm EntityLegalForm(ELF)Code;
ISOStandard20275
Resolvesvariantnamesforeachvalid
legalformwithinajurisdictiontoasingle
codeperlegalform,perjurisdiction.
RegistrationAuthority
RegistrationAuthorityList
(RAL)
Identifiesabusinessregistryinthe
jurisdictionoflegalregistration,or
appropriateregistrationauthority(e.g.
oneofthevarietiesoffundsregistered
insteadwithfinancialregulators).
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OthercodesmanagedbythirdpartiesincludedintheLEI-CDFareusedtoensuredataquality:
LEI-CDFElement Description
Country The2-characterISO3166-1countrycodeofthecountry.
Region The4-to6-characterISO3166-2regioncodeoftheregion.
Legal Jurisdiction EitheranISO3166-1countrycodeoranISO3166-2regioncode.
xml:lang AnIETFLanguageCodeconformingtoRFC4646.
ContentDate, DeltaStart, EntityExpirationDate, InitialRegistrationDate, LastUpdateDate, NextRenewalDate
AsubsetoftheISO8601-compliantXMLSchemadateTimeformat.
IETFstandardscanbefoundontheWorldWideWebforfree.ISOstandardscanbeobtained
fromwww.iso.orgatacost.
2.13. HowdoestheLEI-CDFhandleinternationallanguagesandscripts?
AnLEIdatarecordcancontain:
§ Othernamesorrepresentationsofnamesforthelegalentity.
§ Alegalorheadquartersaddressindifferentlanguages.
TheOtherEntityNameandOtherAddressfields,mayhavexml:langlanguagecodes:
"EachOtherEntityNameelementincludesanoptionallanguagecode,permitting
OtherEntityNametoberepeatedasmanytimesasnecessarytoexpressthesamenametype
inmultiplelanguages.
Whenthetypeattribute’svalueisPREFERRED_ASCII_TRANSLITERATED_LEGALorAUTO_ASCII_TRANSLITERATED_LEGAL,thelanguagecodespecifiesthelanguageofthename
priortotransliteration."
2.14. Whichspecialcharacters,stringlengthsandcharacterencodingcanbe
expectedwhenworkingwithLEI-CDFformatteddata?
AnyUTF-8charactercanbefoundinanLEIdatafile.
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However,fortransliteratednameandaddresselements,thevalueofthefreetextfieldsmust
consistonlyofnon-controlcharactersdrawnfromthe“invariantsubset”ofISO646(ASCII).
Mostfree-textfieldsarelimitedtoamaximumof500characters.
ForfulltechnicaldetailspleaserefertotheLEI-CDFXMLschemaavailableatwww.gleif.org.
2.15. WhatkindofdatabasestructureissuitableforimportingLEI-CDFdata?
ThedailyGLEIFConcatenatedFiledownloadisnotadatabaseandsothereisnodocumentation
detailingtables,relationshipsbetweentablesordatabasevalidationrules.
TheGLEIFConcatenatedFileandtheLEICDFformatarealsonotintendedasdatabasedesign
guidance,thoughtheycouldbeusedtoinformsuchaprocess.
Asecure,scheduledGLEIFConcatenatedFiletransfercanbesetupusingHTTPS,asdescribedin
theGLEIFConcatenatedFileSpecificationandUserManualavailableatwww.gleif.org.
AnotheroptionistodownloadacompleteorpartialsetofrecordsinExcel,CSVorJSONformat
fromtheLEISearchtool.
2.16. CancustomfieldsbeincludedinLEI-CDFfiles?
LEIIssuersareabletoaddanyextradatatheyconsiderappropriateusingthelei:Extensionfields,buttheextradatathemselvesarenotexplicitlydefinedbythestandard.
2.17. HowdoLEIIssuersdealwithchanges,correctionsandupdatestotheLEI-
CDFdatatheydelivertoGLEIF?
LEIIssuersareresponsibleforthecontentsoftheirLEIdatarecords.GLEIFsimplypassesonthe
LEIdatarecordswereceivefromtheLEIIssuer,withoutchanges.
PleaseaddressanyspecificqueriesabouttheLEIIssuers'datatotheLEIIssuersthemselves.
GLEIFprovidescontactdetailsforallLEIIssuersatwww.gleif.org.
AnLEIdatarecordmayalsobechallengeddirectly:
GotothepageforyourLEIusingtheURLpatternbelow.
https://www.gleif.org/lei/<your LEI>
Example:https://www.gleif.org/lei/549300Q82NZ9NYNMZT63
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Clickthe“ChallengeThisRecord”buttonatthefootofthepagetosendaproposedupdate
directlytotheLEIIssuerthroughGLEIF’scentralChallengeService.
2.18. HowdoesGLEIFprocesstheLEI-CDFdataitreceives?
GLEIFrecievesonedailydatafileperformat,perLEIIssuer(alsoknownasaLocalOperating
UnitorLOU),directlyfromtheLEIIssuer.
IfaninvalidLEIIssuerfileisfound,i.e.onethatdoesnotmeettechnicalvalidationcriteria
againsttherelevantCommonDataFile(CDF)format,thenthemostrecentvaliddatafilefrom
thatLEIIssuerissubstitutedforitinthatday'sConcatenatedFile.
However,informationabouttheoriginalLEIIssuerfilewillstillbeavailable,evenifthefileis
notCDFvalid.
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3. RR-CDFTopics
3.1. WhatareRR-CDFFiles?
Relationshipdatafiles,suchasthoseproducedbytheLEIIssuers,ortheGLEIFConcatenatedFile,aretextfilescontainingrelationshipdatarecords,structuredusingXML.Theycannotbedirectlyopenedwithaspreadsheetordatabaseapplication,e.g.ExcelorAccess.
TheXMLfilescanbeviewedwithanysimpletexteditor,butforlargenumbersofrelationshiprecordsthisisimpracticalandaspecializedtoolisneeded.GLEIFdoesnotprovidetoolsupport;insteadwerecommendconsultingyourITteamforanycomplextasks.
TheXMLformatdefinesacontainerthatholdsafileheaderandaseriesofrelationshipdatarecords.
3.2. WhatisthestructureoftheRR-CDF?
PleaseseethetablesbelowforanoverviewoftheRR-CDFelements.
Some“Type”columnvaluesrefertolatertables;theserefertodataelementsthatarecontainedwithinthereferringelement.
FurtherdetailscanbefoundinthetechnicalspecificationdocumentPDFandcorrespondingXMLSchemaDefinition(XSD),availableatwww.gleif.org.
3.2.1. RelationshipDataType
Name Type Cardinality Description
Header rr:RRHeaderType {1,1} ContainsthefileuploadinformationforthisRelationshipDatafile.
RelationshipRecords rr:RelationshipRecordsType {1,1} ContainerforalloftheRelationshipRecordcontainerelementssubmittedwiththisfile.
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3.2.2. RRHeaderType
Name Type Cardinality Description
ContentDate rr:LEIDateTimeProfile {1,1} Thedateandtimeasofwhichthedatacontainedinthefileisvalid.
Originator rr:LEIType {0,1} TheLEIoftheentitythatcreatedthecontentofthisfile.
FileContent rr:FileContentEnum {1,1} Acodedescribingthecontentofthisrelationshiprecordfile.
DeltaStart rr:LEIDateTimeProfile {0,1} ThedateandtimeofthebaselinerelativetowhichthisfilecontainsneworchangedRelationshipRecords.
RecordCount xs:nonNegativeInteger {1,1} Thenumberofrelationshiprecordsinthefile.
NextVersion rr:HeaderNextVersionType {0,1} AstructureforaddingfurtherelementsintotheLEIdatafileheaderinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.
Extension rr:ExtensionType {0,1} ThisExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheHeadercontainerelement.
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3.2.3. RelationshipRecordsType
Name Type Cardinality Description
RelationshipRecord rr:RelationshipRecordType {0,unbounded} Containsallrelationshipinformationincludingidentifiersreferringtotherelatedentities,thespecifictypeandotherattributesoftherelationshipitself,anddetailsoftherelationship'sregistrationwiththeManagingLOU.
3.2.4. RelationshipRecordType
Name Type Cardinality Description
Relationship rr:RelationshipContainerType {1,1} TheRelationshipcontainerelementcontainstheidentifiersofthetwoentitiesrelatedbythereportedrelationship,aswellasthetypeofrelationship,datesrelatedtotherelationshipandotherrelationshipquantifiersandqualifiers.
Registration rr:RegistrationContainerType {1,1} TheRegistrationcontainerelementcontainsinformationspecifyingtheLOU'sadministrationoftherelationshipreport.
NextVersion rr:RelationshipRecordNextVersionType {0,1} AstructureforaddingfurtherelementsintotheRegistrationsectionoftheRelationshipRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.
Extension rr:ExtensionType {0,1} ThisExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheRelationshipRecord.
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3.2.5. RelationshipContainerType
Name Type Cardinality Description
StartNode rr:NodeType {1,1} AnLEIorISO17442-compatibleIDfortheentityatthe"start"ofadirectionalrelationship.
EndNode rr:NodeType {1,1} AnLEIorISO17442-compatibleIDfortheentityatthe"end"ofadirectionalrelationship.
RelationshipType rr:RelationshipTypeEnum {1,1} Auniquecodedesignatingthespecificcategoryofadirectionalrelationshipbetweentwolegalentities.
RelationshipPeriods rr:RelationshipPeriodsType {0,1} Acollectionofpairedbeginningandenddatesrelatingto:therelationshipitself,periods(e.g.accountingcycles)coveredbydocumentsdemonstratingtherelationship,orthefilingdate(s)ofthosedocuments.
RelationshipStatus rr:RelationshipStatusEnum {1,1} Thestatusofthelegalentities'relationshipitself:ACTIVEorINACTIVE.
RelationshipQualifiers rr:RelationshipQualifiersType {0,unbounded} Anyadditionalqualitativeattributesthathelptocategorizetherelationship.
RelationshipQuantifiers rr:RelationshipQuantifiersType {0,unbounded} Anyadditionalquantitativeattributesthathelptocategorizetherelationship.
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Name Type Cardinality Description
NextVersion rr:RelationshipNextVersionType {0,1} AstructureforaddingfurtherelementsintotheRegistrationsectionoftheRelationshipRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.
Extension rr:ExtensionType {0,1} ThisExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheRelationshipcontainerelement.
3.2.6. NodeType
Name Type Cardinality Description
NodeID rr:LEIType {1,1} Theidentifierfortheentitydesignatedbythisnode.
NodeIDType rr:NodeIDTypeEnum {1,1} Thetypeofidentifierusedtodesignatethisnode'sentity.
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3.2.7. RelationshipPeriodsType
Name Type Cardinality Description
RelationshipPeriod rr:RelationshipPeriodType {1,unbounded} Containsonesetofstartandenddatesforaparticulartypeofperiod,forexample,thedurationoftherelationshipitself,thefilingorvalidityperiodofanydocumentsdemonstratingtherelationship,ortheaccountingperiodtheyreferto.
3.2.8. RelationshipPeriodType
Name Type Cardinality Description
StartDate rr:LEIDateTimeProfile {0,1} Thestartdateforaparticularperiodrelevanttotherelationship.
EndDate rr:LEIDateTimeProfile {0,1} Theenddateforaparticularperiodrelevanttotherelationship.
PeriodType rr:PeriodTypeEnum {1,1} Theparticulartypeofperiod,forexample,thedurationoftherelationshipitself,thefilingorvalidityperiodofanydocumentsdemonstratingtherelationship,ortheaccountingperiodtheyreferto.
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3.2.9. RelationshipQualifiersType
Name Type Cardinality Description
RelationshipQualifier rr:RelationshipQualifierType {0,unbounded} Containerforallsetsofrelationshipqualifierinformation.
3.2.10. RelationshipQualifierType
Name Type Cardinality Description
QualifierDimension rr:QualifierDimensionEnum {1,1} Designatestheoptionallistofadditionalqualitativeattributesthathelptocategorizetherelationship.
QualifierCategory rr:QualifierCategoryTypeEnum {0,1} Specifiestheadditionalqualitativeattributesthathelptocategorizetherelationship.
3.2.11. RelationshipQuantifiersType
Name Type Cardinality Description
RelationshipQuantifier rr:RelationshipQuantifierType {0,unbounded} Specifiesoneadditionalquantitativeattributeoftherelationship,accordingtoaparticularmeasurementmethod.
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3.2.12. RelationshipQuantifierType
Name Type Cardinality Description
MeasurementMethod rr:MeasurementMethodTypeEnum {1,1} Specifiesthemethodofmeasurement(orsetofrules)usedtoquantitativelycategorizetherelationship.
QuantifierAmount xs:decimal {1,1} Specifiesthequantitymeasuredasadecimal(positiveornegative)number,usinga.asthedecimalpoint,withnospaces,andwithoutthousanddelimiters(e.g.,).
QuantifierUnits rr:QuantifierUnitsTypeEnum {0,1} Specifiestheunits,whereapplicable,ofameasurementmadeonarelationship.
3.2.13. RegistrationContainerType
Name Type Cardinality Description
InitialRegistrationDate rr:LEIDateTimeProfile {1,1} ThedateatwhichtherelationshipinformationwasfirstcollectedbytheManagingLOU.
LastUpdateDate rr:LEIDateTimeProfile {1,1} ThedateatwhichtheinformationwasmostrecentlyupdatedbytheManagingLOU.
RegistrationStatus rr:RegistrationStatusEnum {1,1} Thestatusofthelegalentity'srelationshiprecordregistrationwiththeManagingLOU.
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Name Type Cardinality Description
NextRenewalDate rr:LEIDateTimeProfile {0,1} Thenextdatebywhichtherelationshipinformationmustberenewedandre-certifiedbythelegalentity.
ManagingLOU rr:LEIType {1,1} TheLEIoftheLOUthatisresponsibleforadministeringthisrelationshiprecord.
ValidationSources rr:ValidationSourcesTypeEnum {1,1} Levelofrelationshipvalidation.
ValidationDocuments rr:ValidationDocumentsTypeEnum {1,1} Typeofsourcedocument(s)usedforvalidatingtherelationship.
ValidationReference rr:Tokenized500Type {0,1} Areferencetoaspecficdocumentorothersourceusedasthebasisofrelationshipvalidationforthisrelationshiprecord.
NextVersion rr:RegistrationNextVersionType {0,1} AstructureforaddingfurtherelementsintotheRegistrationsectionoftheRelationshipRecordinanticipationofanewversion,bynestingaseriesofXMLelementswiththiscontentmodelwithintheNextVersionelement,oneforeachnewminorversionoftheschema,postpendingaserialnumber(1,2,3...)totheelementnameuponeachiteration.
Extension rr:ExtensionType {0,1} ThisExtensionelementmaycontainanyadditionalelementsrequiredtoextendtheRegistrationcontainerelement.
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3.3. Whatisarelationshipdatafile?
Relationshipdatafiles,suchasthoseproducedbytheLEIIssuers,ortheGLEIFrelationshipConcatenatedFile,aretextfilescontainingrelationshiprecords,structuredusingXML.Theycannotbedirectlyopenedwithaspreadsheetordatabaseapplication,e.g.ExcelorAccess.
TheXMLfilescanbeviewedwithanysimpletexteditor,butforlargenumbersofrelationshiprecordsthisisimpracticalandaspecializedtoolisneeded.GLEIFdoesnotprovidetoolsupport;insteadwerecommendconsultingyourITteamforanycomplextasks.
TheXMLformatdefinesacontainerthatholdsafileheaderandaseriesofrelationshiprecords.
3.4. Whatinformationisfoundintherelationshipdatafileheader?
Theheadercontainsthefileuploadinformationforarelationshipdatafile.
3.5. Whatarerelationshiprecords?
Arelationshiprecordcontainsallmandatoryandadditionalinformationononerelationshipbetweentwolegalentities.
3.6. DorelationshiprecordshaveauniqueID?
RelationshiprecordsthemselvesdonothaveanIDcode,as,althoughtheyarereportedinatechnicallyseparatewayfromLEI-CDFfiles,theyfunctionaspartoftheLEIreferencedataandalwayscontainatleastoneLEI.Sometypesofrelationship,suchasultimateaccountingconsolidation,maybeunique,whileothersmayberepeatableforagivenlegalentity.
3.7. WhatinformationaboutarelationshipisrequiredbytheRR-CDF?
AllmandatoryrelationshiptypesmustbereportedbyentitieswithanLEI.Eachrelationshiptypehasitsownsetofrequirementsforvalidreporting.PleaseseetheStateTransitionRulesandValidationRulesdocumentsforfurtherdetails,availableatwww.gleif.org.
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3.8. Whatifrelationshipinformationisnotavailableforalegalentity?
ToreceiveandkeepanLEIingoodstanding,legalentitiesmustprovideandupdatealltherelationshipinformationrequiredbyLEI-ROCpolicy.ThelatestLEI-ROCrequirementscanbefoundatwww.leiroc.org.
Anyacceptablereasons,perLEI-ROCpolicy,fornon-reportingofrelationshipinformationaresuppliedtoGLEIFusingtheReportingExceptionsformat.Thesemightinclude,forexample:
§ Norelationship–thelegalentitydoesnotpossesstherequiredtypeofrelationship(e.g.forownershiprelationships,thelegalentityisnotownedinthewaythatmustbereported).
§ NoLEI–allpublishedrelationshipsmustbereportedusingLEI-to-LEIassertions.Forsomerelationshiptypesinternalrelationshipdatawillbecollectedwherethe2ndlegalentityhasnoLEI.ThesecondentityisdescribedinternallytotheGLEISusingtheParentReferenceDataformat.
§ OtherreasonsasdeterminedbyLEI-ROCpolicy.
DetailsoftheReportingExceptionsformatandParentReferenceDataformatcanbefoundatwww.gleif.org,althoughthereporteddataintheseformatsissharedonlywiththeLEI-ROCforevaluationpurposes.
3.9. Whatarethestatusfieldsusedinarelationshiprecord?
Therelationshipdataprovidedinarelationshiprecordcontainstwostatusfields:
RelationshipStatus-Thestatusoftherelationshipitself(activeorinactive).
RegistrationStatus-ThestatusoftherelationshipreportingdatarecordmaintainedbytheLEIIssuer.
ForafulllistofRelationshipStatusandRegistrationStatusvalues,includingdescriptions,pleaseseethedetailedspecificationoftheRelationshipRecordCommonDataFileformat,foundatwww.gleif.org.
3.10. Whichspecialcharacters,stringlengthsandcharacterencodingcanbe
expectedwhenworkingwithRR-CDFformatteddata?
ForfulltechnicaldetailspleaserefertotheRR-CDFXMLschema.
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3.11. WhatkindofdatabasestructureissuitableforimportingLEI-CDFdata?
TheRR-CDFformatarealsonotintendedasdatabasedesignguidance,thoughitcouldbeusedtoinformsuchaprocess.
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4. WherecanIfindfurtherinformation?
4.1. Technicalsupport
4.1.1. GLEIFFiles
ForadescriptionoftheGLEIFConcatenatedFilesandinstructionsonhowtoobtainandusethem,pleaseseetheGLEIFConcatenatedFileSpecificationandUserManual,availablefromwww.gleif.org.
4.1.2. LEIIssuerfiles
Ifyouhaveanyquestionsregardingtheoriginalsourcefiles,pleasecontacttherespectiveLEIIssuerviaitswebsite.
ContactdetailsforallLEIIssuerscanbefoundatwww.gleif.org.
4.1.3. WhomshouldIcontactforfurtherquestions?
PleaseaddressanyfurtherquestionsorfeedbackontheLEI-andRR-CDFformatstoleidata@gleif.org.