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Appendix06-ServiceLevelAgreement(SLA)Version1.5of26July2019
Public Author:GLEIF|RevisionVersion:1.5|2019-07-26 | Page2of41
Appendix06-ServiceLevelAgreement(SLA)
Contents
1. ServiceLevelAgreementGlossary___________________________________________3
2. GLEIFServices-ServiceDescriptions_________________________________________62.1. LOUAccreditation_________________________________________________62.2. LOUAnnualAccreditationVerification_________________________________82.3. UploadLEI&LE-RDfiles ___________________________________________102.4. CheckforDuplicates ______________________________________________112.5. TriggerLEImanagementtransfer____________________________________122.6. LOUCommunicationsPortal________________________________________132.7. CodeLists_______________________________________________________15
3. TheLOUServices–ServiceDescriptions_____________________________________173.1. IssueNewLEI____________________________________________________183.2. EnterCorporateActions ___________________________________________213.3. ChallengeLEIData________________________________________________233.4. TransferofLEIsandLE-RD__________________________________________253.5. RenewalsofLEIs _________________________________________________27
4. MonitoringandServiceLevelBreaches______________________________________304.1. ServiceLevelcalculationandmonitoring______________________________30
4.1.1. MaintenancewindowsatGLEIF___________________________344.2. ServiceLevelBreaches ____________________________________________35
4.2.1. EscalationManagement_________________________________354.2.2. Termination___________________________________________374.2.3. EscalationContacts_____________________________________37
5. IncidentManagement ___________________________________________________385.1. MajorIncident___________________________________________________39
6. SLAReports____________________________________________________________40
7. ChangeofServiceLevels__________________________________________________41
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Appendix06-ServiceLevelAgreement(SLA)
1. ServiceLevelAgreementGlossary
Note:AlldefinitionsoftermsintheMasterAgreementarevalidalsofortheServiceLevelAgreementandprevail.
Term Meaning
AccessGroups Allowedcustomersoftheservice
AgingRate Showstherateofnot-timelyrenewedLEIs.TheAgingRateisneededforthemonitoringoftheyearlyLEIrecordrenewal.
AttendedServiceOperatingTime
TimeofreachabilityofGLEIFsupportonBusinessDays.
Authenticated LocaloperatingunitsthathavesubscribedtotherestrictedGLEIFsectionongleif.organdhavealoginnameandapassword.
AuthoritativeSourceChecks
TherateofverifiedLEIsagainstalocalauthoritativeorothersource.
AuthorizedChanges TherateofchangesmadebyauthorizedLegalEntitiespersons.
Availability Abilityofaservicetoperformitsagreedfunctionwhenrequired.
CustomerPortal PortalforLOUstoperformdefinedprocesses.
DataQualityCampaign Complete,plannedcourseofactionsformulatedtoachievedefineddataqualityobjectives.
DataQualityRuleSetting AsetofdefinedqualitycriteriatoestablishatransparentandobjectivebenchmarktoassessthelevelofdataqualitywithintheGlobalLEISystem.ThelatestversionisfoundonGLEIF’swebsiteat“GLEIF/LEIData/GLEIFDataQualityManagement/AbouttheDataQualityReports/SupportingDocuments”
DataRoom Virtualdataroomforuploadingdocuments.
Description Detaileddescriptionthatalsoidentifiestheserviceinterfaceanditsoutcomes.
Duplicate EitheroneLEIcodeexistsmorethanonceoroneLegalEntityhasmorethanoneLEI.
DuplicateRate ShowshowmanyDuplicatesexistattheendofamonthbasedontheGlobalLEIRepository.
EssentialTasks EssentialTasksthatarerequiredtobeperformedbytheserviceprovidertodelivertheagreedservice.
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Term Meaning
EssentialtasksexcludedfromThirdPartyServices
EssentialtasksthatmustnotbedelegatedtoaThirdPartyServiceprovider.
ExamplesofThirdPartyAssistance
TheLOUmayuseThirdPartyServicestoassistwithitsEssentialTasksbutremainsunrestrictedlyresponsibleandliablefortheexecutionofEssentialTasks.SubjecttoGLEIF’sapprovalwhichissetoutinAppendix14.
ExcellentQualityRate TherateofLEIrecordsthatfulfilltheexcellentqualitychecks=maturitylevel3checksasdefinedintheDataQualityRuleSetting.
ExpectedQualityRate TherateofLEIrecordsthatfulfilltheexpectedqualitychecks=maturitylevel2checksasdefinedintheDataQualityRuleSetting.
GLEIFBusinessDay BusinessDayinFrankfurtamMain,Germany(Monday–Friday).
GLEIFConcatenatedFile FilegenerateddailybyGLEIFwhichaggregatesallfilesfromallLOUs.ItcontainsallLEIissuestolegalentitiesandrelatedLEIreferencedata.
LOUBusinessDay BusinessDayaccordingtolocalLOUbusinesscalendar.
LOUTasks ActivitiesoftheLOUinaGLEIFservicetoassureservicedelivery.
Name Nameoftheservice,usingverbstoindicateactionableitems.
OtherServiceProviders ThisisanexampleofaThirdPartyServiceProvider.PleaseseeAppendix14.
ProcessingTime Timeofallinvolvedparties(ifnotstatedotherwise)tofulfillaservicerequest.
RegistrationAgent ThisisanexampleofaThirdPartyServiceprovider.PleaseseeAppendix14.
RequiredQualityRate TherateofLEIrecordsthatfulfillallrequiredqualitychecks=maturitylevel1checksasdefinedintheDataQualityRuleSetting.
ResponseTime Definesthemaximumtimetorespondtoaservicerequest.
ServiceLevel CommitmentbasedonServiceLevelrequirements.EnsuresthattheserviceisabletomeettheGLEISobjectives.
ServiceTransferPoint ThedefinitionofthesystemwheretheserviceisdeliveredtomeasuretheaccordantServiceLevel.
TagLine Ashortdescriptionthatsummarizestheservice.
UpdateFrequency Howoftenarequestforservicewilloccurinagivenperiodoftime.
UploadFailureRate TherateofLEIrecordsthatcouldnotbesuccessfullyuploaded(duetofalseformatsetc.).
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Term Meaning
Validation Ensurescomplete,reasonable,sensibledatawithinacceptableboundaries.Tocheckdatathatisbeingentered.
Verification Entereddatamatchesexactlythevalidationsource.
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2. GLEIFServices-ServiceDescriptions
ThefollowingserviceslistedbelowaredeliveredbyGLEIF,applyingGLEIF’sInformationSecurityPolicy. Forallofthem,theattendedserviceoperatingtimewillbefromMondaytoFridaybetween09.00–17.00GLEIFBusinessDays.
Alsoasageneralrule,responsetimetoservicerequestsissuedbycustomersinservicesdeliveredbyGLEIFwillbeansweredwithinoneGLEIFBusinessDayuponarrival.
2.1. LOUAccreditation
Name LOUAccreditation
TagLine EntitiesdesiringtobecomelocaloperatingunitsmustseekAccreditationbyGLEIF.
Description InordertosupporttheintegrityoftheGLEIS,anextensivevettingprocessisinplacetoensurethatlocaloperatingunitsreflectandincorporatethevisionandinternalcontrolrequirementsofGLEIFwithintheiroperations.TheAccreditationManualandAccreditationChecklist(Appendix02)canbedownloadedfromGLEIF’swebsite.
EssentialTasks • ProvideAccreditationManualandAccreditationChecklistandothersupportingmaterialsandforms
• Provideavirtualdataroomavailableforuploads• EvaluatereadinessofApplicantLOUbasedontheAccreditationPlan• SetupofNon-DisclosureAgreement/MasterAgreementcontract• Provideuptosupportcallsperphase• AssessAccreditationDocumentationfromCandidatesforcompliance
withexpectedstandards• ProvidetransactionalLEItestcasestotheCandidateLOUandassess
performance• Assessuseofauthoritativesources• EnsureintegrityandavailabilityofhistoricalLEIinformation• IssueAccreditationCertificate• PublishAccreditationCertificateonGLEIFwebsite• ProvideandmaintainonGLEIFwebsitethelistofallLOUscurrently
accredited
AccessGroup(s) • ApplicantLOU• CandidateLOU
TheApplicant/CandidateLOUTasks
• ReadAccreditationManual• DevelopAccreditationPlanandotherrequireddocumentationand
forms
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• SignNon-DisclosureAgreement/MasterAgreement• CompleteAccreditationChecklistwithsupportingdocuments• ParticipateinsupportcallswithGLEIF• DeliverAccreditationDocumentationanddatatestingresults• Remediateareasofnon-complianceasrequired• PublishAccreditationCertificateonownwebsite
Availability 97,7%(Monday–Sunday00:00–24:00)forCustomerPortalandDataRoom
ProcessingTime ApplicantMaterials:GLEIF:ReviewAccreditationPlansubmissionwithin45GLEIFBusinessDaysofreceiptoffullsetofmaterialsCandidateMaterials:LOU:ProvideallCandidatematerialsnolaterthan6monthsfromthedateoftheMasterAgreementexecutiondateGLEIF:ReviewCandidatesubmissionwithin3monthsofreceiptofcompletesetofmaterials
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2.2. LOUAnnualAccreditationVerification
Name LOUAnnualAccreditationVerification
TagLine GLEIF’sprocessofre-verificationoftheLOUcompliancewithexpectedinternalcontrolswithinitsLEIoperations.
Description GLEIFwillrequestfromtheLOUscertaindocumentationandevidenceofcompliancewithexpectedinternalcontrolswhichneedtobeinplaceforanaccreditedLOUtobeoperational.ThisexerciseisbaseduponthecurrentstatusofinternalcontrolsthatwereverifiedaspartoftheLOU’sinitialAccreditationandasamendedintheeventundertheAccreditationChangeProcess.TheLOUAnnualAccreditationVerificationprocessisexecutedonoraftertheanniversarydateoftheLOU’sdateofaccreditationasdocumentedontheiraccreditationcertificate.SeeAppendix10.
UsingatemplateprovidedbyGLEIF,theLOUverifiesthestatusofeachprocessingareaasmentionedintheAccreditationChecklist.Forareaswheresignificantchangeshaveoccurred,theLOUdocumentsthenatureandextentofthechangesandhowit/theyeffectedLEIprocessing.Supportingdocumentationmustbeprovidedasadditionalinformationregardingthechange(s).GLEIFreviewsthisinformationandassessestheoverallimpactofanychangesnotedintheinternalcontrols.GLEIFdeterminesifthechangedinternalcontrolsstillmeettherequiredcontrolstandardandadvisestheLOUastowhetheranyremediationactionisrequired.
EssentialTasks • ProvideLOUAnnualAccreditationVerificationquestionnaireandotherreviewmaterials
• Provideavirtualdataroomavailableforuploads• ReviewandevaluateLOUselfassessment• Confirmadequatelevelsofcompliancewithexpectedcontrolsexists
and/ordocumentrequiredremediationactivities• Ensurethatanyremediationactivitiesarecompletedinatimelyand
completemanner• MaintainonGLEIFwebsitethelistofallLOUscurrentlyaccredited
AccessGroup(s) Accreditedlocaloperatingunits
TheLOUTasks • Downloadthedesignatedannualverificationmaterialsfromgleif.orgwheninstructed
• ProvidecompletedAccreditationVerificationquestionnaire(selfassessment)notingallchangesinitsinternalcontrolswithinitsLEIoperations
• Providesupportingdocumentationforanyprocesschangesnoted
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• ReviewGLEIFevaluationresultswithGLEIF• Completeanyrequiredremediationactivitiesbaseduponamutually
agreedschedule
Availability 97,7%(Monday–Sunday00:00–24:00)forCustomerPortalandDataRoom
ProcessingTime LOU:• Provideallrequiredmaterialswithin30LOUBusinessDaysofGLEIF
requesttoinitiatetheAnnualVerificationProcess• Incasetheprovidedmaterialsneedtobeamended,theLOUmakes
availabletherequesteddocumentationwithin5LOUBusinessDaysGLEIF:
• ReviewLOUsubmissionwithin30GLEIFBusinessDaysofreceiptofacompletesetofmaterials
UpdateFrequency • Yearlybythefollowing3monthsaftertheanniversarydateofLOUaccreditation.ThescopeoftheLOUAnnualAccreditationVerificationwillbealwaysthelastoperationalyearfromtheanniversarydate.
• TheLOUshavingperformedatleasttheLOUAnnualAccreditationVerificationonceandhaving9cleanSLAreports(nobreaches)inthe13monthsbeforetheLOU’saccreditationanniversarydate,couldbeaskedtobesubjectedtotheLOUAnnualAccreditationVerificationwithareducedscope.ThedecisionistothesolediscretionofGLEIF.
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2.3. UploadLEI&LE-RDfiles
Name UploadLEI&LE-RDfile
TagLine InterfaceforlocaloperatingunitstouploadLEI&LE-RD.
Description ViaaninterfacetheLOUsarerequiredtouploadtheLEI&LE-RDfilestotheGlobalLEIRepositorydaily.DataisrepresentedintheCommonDataFileFormats.DetailswillbeclarifiedinImplementationNotes.Theinterfaceprovidesqualitygatesfortestingofthedata.Filesorrecordsnotpassingthequalitytestswillberejected.
EssentialTasks • Provideuploadinterface• ContacttheLOUincaseofrejections• Provideandprocessqualitychecks• IncorporatetheLEIandLE-RD,uploadedbytheLOU,afterpassingthe
qualitytests,intotheGlobalLEIRepositoryandpublishtheGoldenCopy,inparticularaccordingtoAppendix9a(GLEIF'sTermsofUse)
• EnsurethattheLEIandLE-RDuploadedbytheLOUandincorporatedintotheGLEIFConcatenatedFileisatrueandauthenticcopyoftheLEIasissuedandoftheLE-RDasprovidedbytheLOU*
AccessGroup(s) Accreditedlocaloperatingunits
TheLOUTasks • SenddatainCommonDataFileFormat
Availability 99,9%(Monday–Sunday00:00–24:00)
ProcessingTime Within1houruponarrival
*TheLOUtakesnote,understandsandacceptsthatincorporationoftheLEIandLE-RDasissuedandprovidedrespectivelybytheLOUintotheGlobalLEIRepository,andpublishingthose,entailsnoresponsibilityorliabilitywhatsoeverofGLEIFfortheLEIandtheLE-RDassuch,i.e.regardingtheirvalidity,completeness,accurateness,uniquenessandauthenticity.
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2.4. CheckforDuplicates
Name CheckforDuplicates
TagLine TechnicalinterfacetoallowGLEIFandtheLOUtocheckforduplicateLEIandLE-RDdatapriortofinallyissuingaNewLEI.
Description Inordertosupportthelocaloperatingunits,GLEIFprovidestheappropriateandmandatoryprocessesandatechnicalinterfaceforlocaloperatingunitstochecktheLEIandLE-RDdataforduplicateentries.TheLOUfollowstherequiredstepspriortoassigningavalidLEIcodetoaLegalEntity.DetailswillbeclarifiedinanImplementationNote.
EssentialTasks • ProvidetechnicalinterfacetocheckforDuplicates• Automaticallyinformaboutcheckresult
AccessGroup(s) Accreditedlocaloperatingunits
TheLOUTasks • PerformcheckforDuplicates• Evaluatecheckresult
Availability 99,9%(Monday–Sunday00:00–24:00)
ProcessingTime Within1minute
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2.5. TriggerLEImanagementtransfer
Name TriggerLEImanagementtransfer
TagLine TriggertheportingofallLEI&LE-RDfromonelocaloperatingunittoanotherlocaloperatingunitorGLEIFincertaincases.
Description GLEIFtriggersatransferofthemanagementauthorityforoneormoreLEIsfromtheLOUwhentheLOUiseitherunableorunauthorizedtoprovideservice,orattheexpiryoftheMasterAgreement.DetailswillbeclarifiedinanImplementationNote.InthecasethataLegalEntitytriggersthetransferofitsownLEI,GLEIFandthisservicearenotinvolved.
EssentialTasks • TriggerLEImanagementtransfer• Monitoropentransferinstances
AccessGroup(s) Accreditedlocaloperatingunits
TheLOUTasks • Cooperateintransfermanagement
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2.6. LOUCommunicationsPortal
Name LOUCommunicationsPortal
TagLine AcentralwebbasedcommunicationportalforallcommunicationsbetweenGLEIFandLOU.
Description ThisserviceprovidesacentrallocationforaccessingLOU-OnlyinformationwhereLOUscanshareinformationandexperienceamongthemselvesregardingLEIServices.ItalsoprovidesthemastersourceforalltheinformationrelatedtotheLOUs.ThefunctionalitiesprovidedwithinthisserviceareasharedcalendarforallLOUs,arepositoryofinformation,acommonplatformtoraisequestions/requestfeedback,andawebinterfaceforServiceLevelAgreement(SLA)reporting.
EssentialTasks RegisteranaccountfortheCommunicationPortal:
• ProvideregistrationtoPortal
• Verifyregistrationauthority
• Manageregistrationinformation
• Providepossibilitytochangepassword/getnewpassword
• Sendaccessinformation
• Verifyemailaddresses
• ArchiveregistrationinformationuntilderegistrationProvideCalendar&Events:
• CollectinternalGLEIF,localoperatingunitandGLEISevents
• Editandupdatethecalendar
• Provideandmaintainlocaloperatingunitcalendar&events
• Managesubscriptionstoprovidelocaloperatingunitcalendarupdates
• Providenumberedmessages
• ProvideaplatformforGLEIFtocommunicatetoLOUs
• ProvideaplatformforLOUstocommunicateamongthemselves• Provideameansforreceiptoffeedbackanddiscussionondifferent
topics
FortheaccreditedLOUsadditionalfunctionalitiesareavailablesuchas:
• AccesstoelectronicInvoices(seeAppendix07,Payments)
• AccesstoSLAreports
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• SLAwebinterfacetoincorporatedefinedserviceleveldata• AccesstoAnnualVerificationReports
AccessGroup(s) • Accreditedlocaloperatingunits• Candidatelocaloperatingunits
TheLOUTasks • Entervalidregistrationinformation• PeriodicallyreviewlistofAuthenticatedusersfortheLOUand
confirmtheAuthenticatedusers'accessandaccessroles• DeliverupcomingeventstoGLEIF• Subscribetolocaloperatingunitcalendarupdates• Unsubscribeincaselocaloperatingunitcalendarupdatesarenot
neededanymore• Subscribetonumberedmessages• Unsubscribetonumberedmessages• CollateLOUserviceleveldataandsubmititforSLAReport.• ReviewuploadedSLAreportandprovidefeedbackifapplicable• Provideusageattestation• CheckelectronicLOUinvoicesprovided
Availability 97,7%(Monday–Sunday00:00–24:00)
ProcessingTime GLEIF:• ResolvingqueriesraisedbyaLOUwithintwoGLEIFBusinessDays• ToregisteranaccountwithinoneGLEIFBusinessday• ToprovideelectronicLOUinvoices,10GLEIFBusinessDaysafter
receiptofusageattestationLOU:
• ToprovideLEIUsageAttestationbythe5thLOUBusinessdayaftereachquarter-end
UpdateFrequencyforelectronicLOUinvoices
Onceperquarter
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2.7. CodeLists
Name CodeLists
TagLine MaintaincodelistsreferencedinCommonDataFileFormats
Description ThisserviceprovidesastandardprocessforidentifyingandincorporatingupdatestocodelistsintheCommonDataFile(CDF)formats.ExamplesofcodelistsincludetheRegistrationAuthoritylistreferencedfortheRegistrationAuthorityandValidationAuthorityfieldsofLEICDFfileformatandtheEntityLegalFormcodelist(ISOStandard20275)referencedfortheLegalFormfieldofLEICDFfileformat.ItalsoincludestheCorroborationComplianceListcodelist,thatprovidesinformationabouttheminimumexpectedcorroborationlevelofanLEIcorrespondingtothedeclaredELFcodeasalegalform.Breachisdefined,whenanLEIdeclaresalowercorroborationlevelthanexpected.
EssentialTasksGLEIF • Collectfeedbackfromstakeholdersoncodelists(ifapplicable)• Decideifthechangeisappropriate(ifapplicable)• Assessdataqualityprogramtoensurechangestocodelistsare
incorporated• UpdateGLEIFdatabasesforcorrectrepresentationofcurrentand
pastcodelists• UpdatewebsiteandotherGLEIFcommunicationswithchangesin
codelists• Providecodelistsinon-linemasterdatasource
AccessGroup(s) Public
TheLOUTasks • AppropriateuseofthecodelistsintherelevantCDFfields(e.g.includingreservedcodes‘8888’and‘RA888888’,tobeusedonlyafterarequestforadditionhasbeensenttoGLEIF)
• Proposeupdatestothecodelists• Whereminimumcorroborationlevelisprovided,theexpectations
mustbemetforallLEIsdeclaringthecorrespondingELF(seedetailsbelow‘ELFCorroborationCompliance’)
Availability 99,9%(Monday–Sunday00:00–24:00)
ELFCorroborationCompliance
InadditiontotheISOofficialELFcodelist,GLEIFprovidestheminimumexpectedcorroborationlevelofanLEIdeclaringanELFasalegalform.Thisinformationismadeavailableviatheattribute“MinimumCorroborationLevel”oftheCorroborationComplianceList.Inthisinformation,GLEIFwillmakeclearforwhichlegalformsPARTIALLY_CORROBORATEDorFULLY_CORROBORATEDisrequired.
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BreachisdefinedwhenanissuedLEIdeclaresalowercorroborationlevelthanexpected.Thescaleofcorroborationlevelisdefinedasfollows:ENTITY_SUPPLIED_ONLY<<PARTIALLY_CORROBORATED<<FULLY_CORROBORATED.IncasenospecificcorroborationlevelisprovidedintheCorroborationComplianceList,thennospecificrequirementshavetobeapplied.
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3. TheLOUServices–ServiceDescriptions
TheservicesoftheLOUsetoutinthisServiceLevelAgreementareallrelatedtotheissuanceofNewLEIsandmaintenanceofLEIsandrelatedLE-RD,andtransmissionofallLEIandLE-RDtoGLEIF.ThecredibilityandtrustofthepublicintheGLEISisdeeplyanchoredtothecredibilityandtrustintheLEIsandLE-RDandthetransmissionofthisinformationtoGLEIF.
As agreed in Section 22 of theMaster Agreement, LEIs and related LE-RDmust be correct,complete, accurate, unique and true LEIs and LE-RD not only when they are issued, butthroughoutthe lifeof theLEI (e.g. in thecourseofenteringCorporateActionsandmanagingchallenges,transfers,andrenewals).
TheLEIandtherelatedLE-RDcollectedabout,orcollectedfrom,theLegalEntity,orcreatedbytheLOUinthecourseofissuance,transfer,andmaintenanceoftheLEI,mustbeuploadedtoGLEIFaccuratelyandreliably,andbyperformingtheLOUServicessetoutinthisChapter0.
To ensure compliance with its Core Duties, the LOU shall provide means and processes forimprovingoperationalqualityandperformance.TheLOUisresponsiblethatthethirdpartyhassuchprocessesaswell.
ThefollowingtableshowstheservicelevelsthatareapplicableforallLOUservices.
ServiceLevel Target
Authoritativesourcechecks >99,9%
AuthorizedChanges =100%
ELFCorroborationCompliance =100%
NumberofNewDuplicates =0
RequiredQualityRate =100%
ExpectedQualityRate >98%
ExcellentQualityRate >95%
UploadFailureRate =0%
TheLOUperformsthefollowingservicestocomplywithitsCoreDuties.
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3.1. IssueNewLEI
Name IssueNewLEI
TagLine TheLOUissuesNewLEIstoLegalEntities.
Description TheLOUprovidesthemeansforaLegalEntitytorequestanLEI.TheLOUvalidatesandverifiestheLE-RDandissuesaNewLEI.
EssentialTasks • VerifytheLegalEntityisfromaCountrytheLOUhasbeenaccreditedfor(jurisdictioncheck).
• ProvideandexecuteacontractwiththeLegalEntityapplyingforandholdingtheLEI.ThiscontractmustcomplywiththerequirementsofAppendix05.
• PublishtoitswebsiteinformationhelpingaLegalEntityapplyforanLEI(seeWebsiteRequirementsintheAccreditationChecklistreferencedintheAccreditationManual,Appendix02).
• ProvideaninterfaceormechanismfortheLegalEntitytoapplyforanLEI
• MaintainproceduresforverifyingviaanauthoritativesourcetheaccuracyoftheLE-RDsuppliedbytheLegalEntity
• MaintainproceduresforverifyingtheexistenceandeligibilityoftheentityapplyingfortheLEI
• VerifytheindividualsigningtheapplicationandanypertainingdocumentsisdulyempoweredtosubmitsuchapplicationinthenameandonbehalfoftheLegalEntity
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• VerifytheexistenceoftheentityapplyingfortheLEI
• ValidatetheLE-RD
• Verifyviatheapplicableauthoritativesource,assubmittedintheAccreditationDocumentation(Appendix04),theaccuracyoftheLE-RDsuppliedintheLEIrequest;Transliterateinromancharacters(asapplicable)
• PerformautomateddatachecksordataeditsofspecificfieldspertheCommonDataFileFormats
• InformtheLegalEntityaboutanymissingorwrongentries
• CheckforDuplicates
o MakeuseofService2.4,andifDuplicateisreported
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§ Contactanotherlocaloperatingunit
§ ContacttheapplicantfortheLEIorLegalEntity
§ ContactGLEIF
• IssuetheLEIincompliancewithISO17442:2012alongwiththepertainingLE-RD,andinaccordancewiththecurrentDataQualityRuleSetting.
• ProcessorreceivepaymentfortheNewLEI
• InformtheLEIapplicantoftheapplicationresult
• UploadtoGLEIFtheNewLEIandallLE-RDcollectedfromtheLegalEntityorcreatedbytheLOUbeforebulktransmissionorpublicationtoanotherthirdparty,wherehowevertransmissiontotheLegalEntityandnormalpublicationtotheLOUwebsite(asagreedinintheAccreditationDocumentationAppendix04)arepermitted
• AcceptandwithoutunduedelayprocessapplicationsforanLEI
ExamplesofThirdPartyAssistance
RegistrationAgent
• PublishtoitswebsiteinformationhelpingaLegalEntityapplyforanLEIwiththeLOU
• CollectandtransmittotheLOUtheinformationrequiredtoverifytheexistenceoftheentityapplyingfortheLEI
• ContacttheapplicantfortheLEIortheLegalEntityrequestingitexplainwhythereisaDuplicate(ifapplicable)
• ProcessorreceivesecurepaymentfortheNewLEI
• InformtheLegalEntityofapplicationstatus
Others • ProvideaninterfaceormechanismfortheLegalEntitytoapplyincludingautomateddatachecksordataeditsinthecollectionofLegalEntityapplicationinformation
• VerifytheindividualsigningtheapplicationandanypertainingdocumentsisdulyempoweredtosubmitsuchapplicationinthenameandonbehalfoftheLegalEntity
• ValidatetheLE-RD
• ProvidedatacollectionoraggregationservicesfromtheauthoritativesourcesagreeduponwiththeLOU
• VerifyviaanauthoritativesourcetheaccuracyoftheLE-RDsuppliedintheLEIrequest;Transliteratein
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romancharacters(asapplicable)
• MakeuseofService2.4,andifDuplicateisreported
o Contactanotherlocaloperatingunit
o ContacttheapplicantfortheLEIorLegalEntity
o ContactGLEIF
• UploadtheNewLEIandassociatedLE-RDtoGLEIF
EssentialTasksexcludedfromThirdPartyServices
• EditorialaccesstoallLEIsandLE-RDwiththeLOUprefixatalltimes
• ProvideandexecuteacontractwiththeLegalEntityapplyingforandholdingtheLEI.ThiscontractmustcomplywiththerequirementsofAppendix05.
• MaintainproceduresforverifyingtheindividualsigningtheLEIapplicationisdulyempoweredtodoso
• MaintainaprocedureformonitoringandupdatingalistofreliablesourcestovalidateLE-RD,assubmittedintheAccreditationDocumentation(Appendix04)andapprovedbyGLEIF
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• MaintainproceduresforverifyingviaanauthoritativesourcetheLE-RDsuppliedbytheLegalEntity
• InformtheLegalEntityontheapplicationresult
AccessGroup(s) LegalEntitiesviatheLOUTerms&Conditions
Availability 99,9%(Monday–Sunday00:00–24:00)
JurisdictionCompliance LEIinstatusISSUEDoutsideaccreditedjurisdiction=0
CheckforDuplicatesCompliance
Completeness:100%ofnewLEIsmustbesubjecttoCheckforDuplicates(bothforLevel1andLevel2data)
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3.2. EnterCorporateActions
Name EnterCorporateActions
TagLine TheLOUmaintainstheLEIdataforCorporateActionsreportedbytheLegalEntity.
Description TheLOUprovidesaninterfaceoramechanismforLegalEntitiestoupdatetheirLE-RDmanagedbytheLOU.TheLOUverifiesallCorporateActionsupdatesrequestedbytheLegalEntityviaanauthoritativesource.ForthosechangesverifiedbytheLOU,theLOUensuresthechangesarepromptlyincorporatedintotheLE-RD.TheLOUuploadstheupdatedLEIrecordtoGLEIFbyusingService2.3.
EssentialTasks • ProvideaninterfaceormechanismfortheLegalEntitytoupdateLE-RDincludingmeansforautomateddatachecksordataedits
• Maintainproceduresforverifyingtheindividualrequestingthechangeisdulyempoweredtodoso
• VerifytheindividualrequestingthechangeisdulyempoweredtodosoonbehalfoftheLegalEntity
• MaintainproceduresforverifyingviaanauthoritativesourcetheaccuracyofthereportedCorporateAction
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• ValidatetheLE-RD
• ProcessorreceivepaymentforverifyingandupdatingLE-RD
• Verifyviatheapplicableauthoritativesource,assubmittedintheAccreditationDocumentation(Appendix04),theaccuracyoftheCorporateActionchange;Transliterateinromancharacters(asapplicable)
• InformtheLegalEntityoftheupdatedLE-RD
• UploadtoGLEIF,usingService2.3,theupdatedLE-RDcollectedfromtheLegalEntityorcreatedbytheLOUbeforebulktransmissionorpublicationtoanotherthirdpartyexcludingtheLegalEntityandnormalpublicationtotheLOUwebsiteasinformedinintheAccreditationDocumentation(Appendix04)
• AcceptandwithoutunduedelayinitiatetheprocesstoimplementupdatesprovidedbyaLegalEntityregardingitsLEImanagedbytheLOU
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ExamplesofThirdPartyAssistance
RegistrationAgent • None
Others • ProvideinterfaceormechanismforupdatingLEIdataincludingmeansforautomateddatachecksordataedits
• VerifytheindividualrequestingthechangeisdulyempoweredtodosoonbehalfoftheLegalEntity
• VerifyviaanauthoritativesourcetheaccuracyoftheCorporateActionchange;Transliterateinromancharacters(asapplicable)
• ValidatetheLE-RD
• ProvidedatacollectionoraggregationservicesfromtheauthoritativesourcesagreeduponwiththeLOU
• UploadthechangedLE-RDtoGLEIF
EssentialTasksexcludedfromThirdPartyServices
• EditorialaccesstoallLEIsandLE-RDwiththeLOUprefixatalltimes
• Maintainproceduresforverifyingtheindividualrequestingthechangeisdulyempoweredtodoso
• MaintainaprocedureformonitoringandupdatingalistofreliablesourcestovalidateLE-RD,assubmittedintheAccreditationDocumentation(Appendix04)andapprovedbyGLEIF
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• MaintainproceduresforverifyingviaanauthoritativesourcetheaccuracyofthereportedCorporateAction
• InformtheLegalEntityofupdatedLE-RD
AccessGroup(s) LegalEntitiesviatheLOUTerms&Conditions
Availability 99,9%(Monday–Sunday00:00–24:00)
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3.3. ChallengeLEIData
Name ChallengeLEIData
TagLine TheLOUrespondstoLEIorLE-RDchallengesreceivedfromGLEIF.
Description TheLOUreviewsandrespondstoLEIorLE-RDchallengestransmittedtotheLOUbyGLEIF.SuchchallengesmaybetransmittedtotheLOUbyGLEIFonbehalfofathirdpartyoronbehalfofGLEIF.TheLOUresearchesthecontentofthechallengeandverifiesthechallengeviaanauthoritativedatasource.DetailswillbeclarifiedinanImplementationNote.
EssentialTasks • ReviewandrespondtoLEIorLE-RDchallengestransmittedbyGLEIF
• Researchthecontentofthechallengeandverifythechallengeviatheapplicableauthoritativesource,assubmittedintheAccreditationDocumentation(Appendix04);Transliterateinromancharacters(asapplicable)
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• InformtheLegalEntityofverifiedchallengesandofchallengeswhichhavefailedVerification
• UploadtoGLEIFtheupdatedLE-RDcollectedfromtheLegalEntityorcreatedbytheLOU(ifapplicable)beforebulktransmissionorpublicationtoanotherthirdpartyexcludingtheLegalEntityandnormalpublicationtotheLOUwebsiteasinformedinintheAccreditationDocumentation(Appendix04)orinformGLEIFthatnochangeistobemade
ExamplesofThirdPartyAssistance
RegistrationAgent
• None
Others • Researchthecontentofthechallengeandverifythechallengeviaanauthoritativedatasource;Transliterateinromancharacters(asapplicable)
• Providedatacollectionoraggregationservicesfromtheagreeduponauthoritativesources
• UploadtheadjustedLEIrecordtoGLEIF(ifapplicable)
EssentialTasksexcludedfromThirdPartyServices
• EditorialaccesstoallLEIsandLE-RDwiththeLOUprefixatalltimes
• ReviewandrespondtoGLEIFrelativetoLEIorLE-RDchallenges
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• MaintainaprocedureformonitoringandupdatingalistofreliablesourcestovalidateLE-RD,assubmittedintheAccreditationDocumentation(Appendix04)andapprovedbyGLEIF
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• InformtheLegalEntityofverifiedchallenges
AccessGroup(s) • GLEIF
ProcessingTime 10LOUBusinessDays
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3.4. TransferofLEIsandLE-RD
Name TransferofLEIsandLE-RD
TagLine TheLOUparticipatesinandenablestransfersofLEIsandLE-RDfromortoanotherlocaloperatingunit.
Description TheLOUonbehalfofaLegalEntitycannotifyanotherlocaloperatingunitofarequesttotransferLEImanagement.Bothlocaloperatingunitsfollowtherequiredstepstocompletethetransfer.
EssentialTasks • ProvideandexecuteacontractwiththeLegalEntityforholdingtheLEI.ThiscontractmustcomplywiththerequirementsofAppendix05.
• MaintainproceduresforverifyingtheindividualrequestingtheLEItransferisdulyempoweredtodoso
• VerifytheindividualrequestingtransferisdulyempoweredtodosoonbehalfoftheLegalEntity
• ValidatetheLE-RD
• Verifyviatheapplicableauthoritativesource,assubmittedintheAccreditationDocumentation(Appendix04),theaccuracyoftheLE-RD;Transliterateinromancharacters(asapplicable)
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• KeeptheLegalEntityinformed(asapplicable)
• UploadtoGLEIF,usingService2.3,theLEIanditschangedLE-RDcollectedfromtheLegalEntityorcreatedbytheLOUbeforebulktransmissionorpublicationtoanotherthirdpartyexcludingthelegalentityandnormalpublicationtotheLOUwebsiteasinformedinintheAccreditationDocumentation(Appendix04)
• ParticipateinandenabletransfersofoneorseveralLEI(s)andLE-RDfromortoanotherlocaloperatingunitonrequestoftheLegalEntity,alocaloperatingunitonbehalfofaLegalEntity,ortheGLEIF
ExamplesofThirdPartyAssistance
RegistrationAgent
• None
Others • VerifytheindividualrequestingtransferisdulyempoweredtodosoonbehalfoftheLegalEntity
• Providedatacollectionoraggregationservicesfromthe
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agreeduponauthoritativesources
• ValidatetheLE-RD
• VerifyviaanauthoritativesourcetheaccuracyoftheLE-RD;Transliterateinromancharacters(asapplicable)
• UploadtheadjustedLEIrecordtoGLEIF(ifapplicable)
EssentialTasksexcludedfromThirdPartyServices
• EditorialaccesstoallLEIandLE-RDwiththeLOUprefixatalltimes
• MaintainproceduresforverifyingtheindividualrequestingtheLEItransferisdulyempoweredtodoso
• MaintainaprocedureformonitoringandupdatingalistofreliablesourcestovalidateLE-RD,assubmittedintheAccreditationDocumentation(Appendix04)andapprovedbyGLEIF
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• KeeptheLegalEntityinformed(asapplicable)
AccessGroup(s) • LegalEntitiestothelocaloperatingunitwhichmanagestheirLEI• Accreditedlocaloperatingunits
ProcessingTime TransfertheLEIandLE-RDasSendingLOU:4LOUBusinessDays
TransfertheLEIandLE-RDasReceivingLOU:3LOUBusinessDays
SendingLOUtounpublishtheLEIandLE-RDoncetransferred:within1LOUBusinessDayfromwhenthetransferredLEIisdisplayedas“ISSUED”onGLEIFsearch.
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3.5. RenewalsofLEIs
Name RenewalsofLEIs
TagLine TheLOUfacilitates,atleastannually,therenewaloftheLEIandareconfirmationofitsLE-RDbytheLegalEntity.
Description TheLOUprovidesaninterfaceoramechanismfortheLegalEntitytorenewatleastannually.TheLegalEntitymustformallyapplyforrenewal.TheLOUensuresnotificationtotheLegalEntityatleast6weekspriortotherenewal.GiventheLegalEntityhasnotsuccessfullycompletedtherenewalprocessattherenewaldate,theLOUensuresthestatusoftheLEIisadjustedtoindicatetheLEIislapsed(asdefinedintheCommonDataFileFormat)onthenextcalendarday.TheLOUrequirestheLegalEntitytoconfirmthatanyandalldataprovidedintheprecedingyeararestillvalidortosupplychangeddata.
EssentialTasks • AscertainthecontractwiththeLegalEntityholdingtheLEI.ThiscontractmustcomplywiththerequirementsofAppendix05.
• NotifyLegalEntityofupcomingrenewalrequirements
• ProvideaninterfaceormechanismfortheLegalEntitytorenew
• MaintainproceduresforverifyingtheindividualrequestingtheLEIrenewalisdulyempoweredtodoso
• VerifytheindividualrequestingrenewalisdulyempoweredtodosoonbehalfoftheLegalEntity
• ValidatetheLE-RD
• Verifyviatheapplicableauthoritativesource,assubmittedintheAccreditationDocumentation(Appendix04),theaccuracyoftheLE-RD;Transliterateinromancharacters(asapplicable)
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• MaintainproceduresforverifyingviaanauthoritativesourcetheLE-RDsuppliedbytheLegalEntity
• Performautomateddatachecksordataeditsofspecificfields
• InformtheLegalEntityaboutanymissingorwrongentries
• MakeuseofService2.4,andifDuplicateisreported
o Contactanotherlocaloperatingunit
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o ContacttheLegalEntity
o ContactGLEIF
o UploadthechangedLE-RDtoGLEIF(ifapplicable)
• Processorreceivepaymentfortherenewal
• AdjusttheLEIstatusasapplicabletorecognizerenewalornon-renewal
• InformtheLegalEntityofrenewalornon-renewalstatus
• UploadtoGLEIFthechangedLE-RDcollectedfromtheLegalEntityorcreatedbytheLOUbeforebulktransmissionorpublicationtoanotherthirdpartyexcludingthelegalentityandnormalpublicationtotheLOUwebsiteasinformedinintheAccreditationDocumentation(Appendix04)
• CollectandmaintainmetricsofdataqualitydemonstratingtheLOUnotifiestheLegalEntityofpendingrenewalrequirementsandacceptsandwithoutunduedelayprocessestherenewal
ExamplesofThirdPartyAssistance
RegistrationAgent
• None
Others • NotifytheLegalEntityofupcomingrenewalrequirements
• VerifytheindividualrequestingrenewalisdulyempoweredtodosoonbehalfoftheLegalEntity
• ProvideaninterfaceormechanismfortheLegalEntitytorenewincludingautomateddatachecksordataeditsinthecollectionofupdatedLegalEntityinformation
• Providedatacollectionoraggregationservicesfromauthoritativesources
• ValidatetheLE-RD
• VerifyviaanauthoritativesourcetheaccuracyoftheLE-RD;Transliterateinromancharacters(asapplicable)
• MakeuseofService2.4,andifDuplicateisreported
o Contactanotherlocaloperatingunit
o ContacttheLegalEntity
o ContactGLEIF
o UploadthechangedLE-RDtoGLEIF
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• Processorreceivepaymentfortherenewal
• InformtheLegalEntityofrenewalornon-renewalstatus
• UploadthechangedLE-RDtoGLEIF
• CollectandmaintainmetricsofdataqualitydemonstratingtheLOUnotifiestheLegalEntityofpendingrenewalrequirementsandacceptsandwithoutunduedelayprocessestherenewal
EssentialTasksexcludedfromThirdPartyServices
• EditorialaccesstoallLEIandLE-RDwiththeLOUprefixatalltimes
• MaintainproceduresforverifyingtheindividualrequestingtheLEIrenewalisdulyempoweredtodoso
• Ensureanup-to-datelistofauthoritativesourcesusedforVerificationismaintained,accessibleandusableatalltimeswithnorestrictions
• MaintainproceduresforverifyingviaanauthoritativesourcetheLE-RDsuppliedbytheLegalEntity
• InformtheLegalEntityaboutanymissingorwrongentries
• AdjusttheLEIstatusasapplicabletorecognizerenewalornon-renewal
AccessGroup(s) • LegalEntitiestotheLOUwhichmanagestheirLEI
AgingRate =0%
Availability 99,9%(Monday–Sunday00:00–24:00)
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4. MonitoringandServiceLevelBreaches
TheServiceLevelsensuretherequiredhighqualityoftheGLEIS.Itisthereforeessentialtocloselymonitorthe achievementof theagreed Service Levels.Dependenton the service, the LOUandGLEIFhave tomonitorandreporttheServiceLevelmetrics.
4.1. ServiceLevelcalculationandmonitoring
GLEIFmonitorsallServiceLevelsonamonthlybasisexceptfortheonesinthetablebelowwhicharesubjectedtobemonitoredbytheLOUs.TheLOUmustcollectandmaintainmetricstothefollowingServiceLevelsfortheagreedservicesonamonthlybasis.TheLOUmustprovidemeansandprocessesforimprovingqualityandperformancesassetoutintheintroductionofChapter0.ServiceLevel ServicesAuthorizedChanges
• IssueNewLEI
• EnterCorporateActions
• ChallengeLEIData
• TransferofLEIsandLE-RD
• RenewalsofLEIs
Availability
• IssueNewLEI
• EnterCorporateActions• RenewalsofLEIs
ProcessingTimes • TransferofLEIsandLE-RDassendingLOU• TransferofLEIsandLE-RDasreceivingLOU
• SendingLOUtounpublishtheLEIandLE-RDoncetransferred
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ThefollowingtablesshowtheformulasonhowtocalculatetheservicelevelscommittedbyGLEIFandLOUservicesrespectively.GLEIFServiceLevelcalculations:ServiceLevel Formula Servicetransferpoint
Availability
GLEIFWebserver
ProcessingTimefor“CheckforDuplicates”
GLEIFCheckforDuplicatesfacility
ProcessingTimefor“LOUAnnualAccreditationVerification”
GLEIFCustomerPortal
ProcessingTimeforincidentspriority1
GLEIFCustomerPortal
ProcessingTimeforincidentspriority2
GLEIFCustomerPortal
ProcessingTimeforincidentspriority3
GLEIFCustomerPortal
ProcessingTimefor“LOUAccreditation–Accreditationplan”
GLEIFCustomerPortal
ProcessingTimefor“LOUAccreditation–Documentationphase”
GLEIFCustomerPortal
ProcessingTimefor“LOUCommunicationsPortal”withrespectto:
• ResolvingQueries• Registeranaccount
GLEIFCommunicationsPortal
ProcessingTimefor“ProvideelectronicLOUinvoice”
GLEIFCommunicationsPortal
ProcessingTimefor“UploadLEI&LE-RD”
GLEIFUploadFacility
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LOUServiceLevelcalculations:ServiceLevel Formula Service
transferpointAgingRate
𝐿𝐸𝐼𝑠𝑖𝑛𝑠𝑡𝑎𝑡𝑢𝑠𝐼𝑆𝑆𝑈𝐸𝐷ℎ𝑎𝑣𝑖𝑛𝑔 𝑐𝑢𝑟𝑟𝑒𝑛𝑡𝑑𝑎𝑡𝑒−𝑟𝑒𝑛𝑒𝑤𝑎𝑙𝑑𝑎𝑡𝑒 >1
𝐿𝐸𝐼𝑠𝑖𝑠𝑠𝑢𝑒𝑑𝑖𝑛𝑡ℎ𝑒𝑚𝑜𝑛𝑡ℎ
GLEIFConcatenatedFile
AuthoritativeSourceChecks
GLEIFConcatenatedFile
AuthorizedChanges
LOUSystem
Availability
LOUSystem
CheckforDuplicatesCompliance
<=>?@@A=BCDE@F=G?H?=BF?IJK=LMHNGOAPQ?LIR=@
<=>?@@A=BCDE@
GLEIFConcatenatedFile
ELFCorroborationCompliance*****
E@@A=BCDE@KIF?<SDCTLNB=>?RKI<=UP=LR=BLNGGNVNGIR?N<Q=F=Q
−
E@@A=BCDE@B=LQIG=B>?RKLNGGNVNGIR?N<Q=F=QWRK=N<=IRJNGGNVNGIR?N<JNXPQ?I<L=IRRG?VAR=
GLEIFConcatenatedFile
ExcellentQualityRate
GLEIFConcatenatedFile
ExpectedQualityRate
GLEIFConcatenatedFile
JurisdictionCompliance
GLEIFConcatenatedFile
LEIUsageAttestation
DateofuploadingtheLEIusageattestationinPDF<=5thLOUbusinessdayofthemonthoneveryJanuary,April,JulyandOctober
GLEIFCommunicationPortal
NumberofNewDuplicates
𝐷𝑢𝑝𝑙𝑖𝑐𝑎𝑡𝑒𝑠∗
GLEIFConcatenatedFile
ProcessingTimefor“LOUAnnualAccreditationVerification,providedocumentation”
GLEIFCustomerPortal
ProcessingTimefor“LOUAnnualAccreditationVerification,
GLEIFCustomerPortal
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ServiceLevel Formula Servicetransferpoint
Provideadditionaldocumentation”ProcessingTimefor“ChallengeLEIData”
GLEIFCustomerPortal
ProcessingTimefor“TransfertheLEIandLE-RDasSendingLOU”
LOUSystem
ProcessingTimefor“TransfertheLEIandLE-RDasReceivingLOU”
LOUSystem
ProcessingTimefor“SendingLOUtounpublishtheLEIandLE-RDoncetransferred”
LOUSystem
RequiredQualityRate
GLEIFConcatenatedFile
UploadFailureRate(CDFformatcompliance)
GLEIFUploadFacility
(*a) Where ValidationSources is FULLY_CORROBORATED or PARTIALLY_CORROBORATED andRegistrationStatus = ISSUED, the RegistrationAuthorityEntityID entity identification code must bepublished.Exception:Funds,RegistrationAuthorityID=RA999999.(*b)ForeachPNIboththeregistryandtherelatedidentificationcodemustbeprovided(i.e.the“BusinessRegisterEntityIDandBusinessRegisterEntityID@register”shouldnotbeempty).Examples:
<BusinessRegisterEntityIDregister="REGISTRY">IdentificationCode</BusinessRegisterEntityID>
AsREGISTRY,eithertherelatedRAcodeorthenameoftheregistrycouldbereported.Exception:
§ word“FUND”inthe“LegalName”or
§ AssociatedEntitytype="FUND_FAMILY"or
§ BusinessRegisterEntityID@registerisempty(i.e.<BusinessRegisterEntityIDregister="">.*</BusinessRegisterEntityID>)or
§ BusinessRegisterEntityIDempty(i.e.<BusinessRegisterEntityID></BusinessRegisterEntityID>)or
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§ BusinessRegisterEntityID@register=RA999999(i.e.<BusinessRegisterEntityIDregister="RA999999">.*</BusinessRegisterEntityID>)
Pleasenotethat“.*”ismeantasregularexpression:“anysetofchars”,anythingcouldbereportedthere(orleftemptytoo).**Tmonth=AvailabilityofamonthinminutesTnonavailability=Timeframe,inwhichtheservicewasunplannednotavailable.Sumequalssumofeachsingleoutage***ER=EndofResponsereferstothetimestampwhenanswerhasbeengiven***SR=StartofResponsereferstothetimestampwhenrequesthasbeenreceived****OnlyLEIshavingRegistrationStatusequaltoISSUEDwillbetakenintoaccount.ForeachLEI,theLEICDFfieldLegalJurisdictioniscomparedtothelistofjurisdictionsforwhichtheLOUisaccredited.Duplicates* = Number of introduced duplicates in the referring month. Of the LEIs involved in aduplication,thebreach isascribedtothenewly issuedLEI iftheduplicationoccurredwithin2monthsfrom the initial registrationdate of the newer issued LEI and theCheck forDuplicates listedpossibleduplicatesfortheLEI.*****TheELFCorroborationCompliancewillbeeffectiveonlyafterthe“EffectiveDate”reportedintheELFCorroborationCompliancelist.
4.1.1. MaintenancewindowsatGLEIF
GLEIF’swebsiteandGlobalLEIRepositoryoperate24/7/365withoutregularmaintenancewindows. IncaseofexceptionalmaintenancewindowsGLEIFwillannouncethem,wheneverpossibleandonabesteffortsbasis,twoweeksaheadviaemail,onGLEIF’swebsiteandonthelocaloperatingunitcalendar.
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4.2. ServiceLevelBreaches
In case of Service Level breaches the timely finding of a sustainable remediation is of predominantimportanceforGLEIFandtheLOU.BasedontheresultsofthemonthlySLAReports,whicharecreatedanddistributedbyGLEIF,whenServiceLevelbreachesoccurthestepsasfor“4.2.1EscalationManagement”mustbefollowed.
4.2.1. EscalationManagement
4.2.1.1. EscalationLevel1
Whenever a breach is detected, an escalation is opened and the GLEIF Business Relations Managercontacts the relevant Escalation Level 1 counterpart to notify them about the occurred Service Levelbreach(es).TheLOUanalysestheascribedServiceLevelBreach(es)and,ifnototherwisegranted,withinthreeLOUbusinessdaysprovidesGLEIFwiththebreachrootcauseandaneffectiveremediationplan.TheLOUmustdemonstratetheremediationlatestbythesecondavailableSLAreportaftertheescalationnotification.If both, the target SLA report and the following one, show that the remediationwas successful, theEscalationLevel1isclosed.EscalationLevel2willbetriggered:
§ IncasetheLOUhasnotprovidedGLEIFwiththebreachrootcauseandaneffectiveremediationplanwithin3LOUbusinessdays.
§ IftheEscalationLevel1hasbeennotremediatedasrequired.§ Whenabreach,thathasbeenalreadymanagedviaanEscalationLevel2orhigher,occursagain
withinthefollowing2monthsaftertheescalationclosure.Inthiscasetheescalationisopeneddirectlyaslevel2,andtheLOUmustdemonstratetheremediationbythesecondavailableSLAreportaftertheescalationnotification.GLEIFcanexceptionallyextendtheremediationtime in itssolebutreasonablediscretionuponrequest,andhavingreceivedacompleteandthoroughexplanation.
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4.2.1.2. EscalationLevel2
WheneveranEscalationLevel2 istriggered,GLEIF’sEscalationLevel2contact(ordeputy)notifiestheEscalationLevel2counterpartthatEscalationLevel2hasbeentriggered.In case the Escalation Level 2 is triggered from an exhausted level 1 (i.e. not because of a recurrentbreach),theLOUmustdemonstratetheremediationbythenextavailableSLAreportaftertheescalationnotification.GLEIFcanexceptionallyextendtheremediationtimeinitssolebutreasonablediscretionuponrequest,andhavingreceivedacompleteandthoroughexplanation.IfboththetargetSLAreportandthefollowingoneshowthattheremediationwassuccessful,EscalationLevel2isclosed.EscalationLevel3willbetriggeredincaseEscalationLevel2isnotremediatedasrequired.
4.2.1.3. EscalationLevel3
WheneveranEscalationLevel3istriggered,GLEIF’sEscalationLevel3contactnotifiestheEscalationLevel3counterpartrequestingthebreachrootcauseisunderstoodandafinaleffectiveremediationplan.ThecounterpartimplementsasustainableremediationandGLEIF’sEscalationLevel3contact(ordeputy)closestheEscalationwhenboththetargetSLAreportandthefollowingoneshowthattheremediationwassuccessful.If the remediation has not occurred within the expected timeframe and stability, or an effectiveremediation plan is not submitted, GLEIF may verify the LOU Internal Controls pursuant MasterAgreement– chapterXI (on-siteaudit).GLEIFwillmakeeverypossibleeffort toprovideat least fourweeks’noticetotheLOU.Asaresultoftheon-siteaudit,GLEIFprovidestheLOUwithalistoffindingsthatmustberemediatedintheagreedtimeframeand,inanycase,withinnomorethan90calendardays.GLEIFreservestherighttoproceedwithafurtherauditinordertoverifytheeffectiveremediationofthelistedfindings.IncasetheLOUfailedtoremediatetheascribedauditfindingsbytherequestedtimeframeorthesamebreachoccursinthenexttworeportsfromtheauditconclusion,GLEIFinitssolebutreasonablediscretionreservestherighttosuspendtheLOU’saccreditationasawholeorinparts,thatmightimplytheLOUnotto be able to issue new LEIs in any or all accredited jurisdictions until further notice. It is the LOU’sobligationtoprovideimmediatelyanoticetotheircustomerontheirwebsiteonthesuspendedrightstoissueLEIs.Also,afurtheron-siteauditorthetriggerofsection4.2.2“Termination”canbeinitiatedbyGLEIF.Wheneveranon-siteauditistriggered,LOUbearstherelatedcosts.
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4.2.2. Termination
Iftheauditfindingsarenoteffectivelyremediatedintherequestedtimeframe,GLEIFmayterminatetheAgreementpursuanttoChapterXII.CoftheMasterAgreement.
4.2.3. EscalationContacts
Please refer to Master Agreement – “Appendix 12 - Contact Details” – “SLA Escalation LevelResponsibilities”.
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5. IncidentManagement
GLEIFhas implementedthe incidentmanagementprocessbasedon ISO20000standardtobeable torestoredisruptedservicesbacktonormaloperationstomeetservicelevels.The disrupted service is required to be back to normal operation as quickly as possiblewithminimalimpactonbusinessoperations.IntheeventthatanincidentonanyGLEIFserviceoccurs,theincidentsareprocessedbyGLEIF’sservicedesk, and specialists areassigned to restoreagreed services.When the service is fully recovered, theincidentisclosed.Incidentsaretobereportedviaanemailtoservicedesk@gleif.orgbyLOUs.Incidents are prioritized based on the Impact-Urgency Matrix depending on the service affected.Processingtimeistargetedasservicelevelforthefollowingpriorities:
• Priority1:24hours(duringGLEIFBusinessDays)• Priority2:2GLEIFBusinessDays• Priority3:3GLEIFBusinessDays
AttendedserviceoperatingtimeisMo-Fr:09.00–17.00CETGLEIFBusinessDays.Impact-UrgencyMatrixTheImpact-UrgencyMatrixshowswhichservicesaretreatedwithwhichPriority.Impact–measurestheeffectofanincidentbasedonthefunctionalityoftheservice.Urgency-measuresthecriticality,whichindicatesthespeedofresolvinganincident.Priority-isderivedfromImpactandUrgency.
Urgency
3–Low
SupportingServices
2–Medium
EnhancingServices
1–High
CoreServices
Impa
ct
3-Low
Specificfunctionalityunavailable
3-Low 3-Low 2-Medium
2-M
edium
PartialServiceunavailable 3-Low 2-Medium 1-High
1-H
igh
FullServiceunavailable 2-Medium 2-Medium 1-High
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Urgencyclassification
CoreServices EnhancingServices SupportingServices
LOUAccreditation LOUAnnualAccreditationVerification
ProvideCustomerPortal
ChallengeLEIData CheckforDuplicates ProvideDataRoom
CodeLists LOUCommunicationsPortal
UploadLEI&LE-RDfiles TriggerLEIManagementTransfer
PriorityLevelDefinitionThefollowingtableshowsthepriorityleveldefinitionforanincident.AresolutiontargetissetforeachPriority.Priority Name Description Resolution=
ProcessingTime1 High CoreServicesareinaccessible,interruptedor
unusable.24hours(duringGLEIFBusinessDays)
2 Medium EnhancingServicesareunusableorhardtouse. 2GLEIFBusinessDays3 Low SupportServicesareunusableorhardtouse. 3GLEIFBusinessDays
5.1. MajorIncident
A“MajorIncident”isatypeofincident,thatoccurswhenallormajorpartsofthecoreservicesareaffectedbydisruption.Theresolutiontimeincaseofamajorincidentis1hourduringGLEIFBusinessDays.
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6. SLAReportsGLEIFcollectsthedatatocreateamonthlySLAReportandprovidesthesemonthlyelectronicSLAReportstotheLOUbythe10thGLEIFBusinessDayofthefollowingmonth.TheLOUhastodeliveritsmeasurementstoGLEIFbythe5thGLEIFBusinessDayofthefollowingmonth.GLEIFprovidestheformatfortheLOUtoreporttheirmetricsaccordingtotheImplementationNoteforSLAReports.IncaseofServiceLevelbreachesGLEIFinitiatesescalationmanagement.ServiceReportsDefinition
Type Performance
Contents ReportparametersaccordingtoSLA
Reportingperiod Monthly
Reporting Onthewebviagleif.orgintheaccessrestrictedlocaloperatingunitarea
Obligation AccordingtoSLA
Language English
Filing 10years
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7. ChangeofServiceLevels
ChapterXIIIoftheMasterAgreementapplies.