Public - GLEIF · 7/26/2019 · Appendix 06 - Service Level Agreement (SLA) 2.3. Upload LEI &...

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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



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.



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.).



Term Meaning

Validation Ensurescomplete,reasonable,sensibledatawithinacceptableboundaries.Tocheckdatathatisbeingentered.

Verification Entereddatamatchesexactlythevalidationsource.



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



• 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



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



• 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.



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*


TheLOUTasks • SenddatainCommonDataFileFormat

Availability 99,9%(Monday–Sunday00:00–24:00)

ProcessingTime Within1houruponarrival

*TheLOUtakesnote,understandsandacceptsthatincorporationoftheLEIandLE-RDasissuedandprovidedrespectivelybytheLOUintotheGlobalLEIRepository,andpublishingthose,entailsnoresponsibilityorliabilitywhatsoeverofGLEIFfortheLEIandtheLE-RDassuch,i.e.regardingtheirvalidity,completeness,accurateness,uniquenessandauthenticity.



2.4. CheckforDuplicates

Name CheckforDuplicates

TagLine TechnicalinterfacetoallowGLEIFandtheLOUtocheckforduplicateLEIandLE-RDdatapriortofinallyissuingaNewLEI.

Description Inordertosupportthelocaloperatingunits,GLEIFprovidestheappropriateandmandatoryprocessesandatechnicalinterfaceforlocaloperatingunitstochecktheLEIandLE-RDdataforduplicateentries.TheLOUfollowstherequiredstepspriortoassigningavalidLEIcodetoaLegalEntity.DetailswillbeclarifiedinanImplementationNote.

EssentialTasks • ProvidetechnicalinterfacetocheckforDuplicates• Automaticallyinformaboutcheckresult


TheLOUTasks • PerformcheckforDuplicates• Evaluatecheckresult


ProcessingTime Within1minute



2.5. TriggerLEImanagementtransfer

Name TriggerLEImanagementtransfer

TagLine TriggertheportingofallLEI&LE-RDfromonelocaloperatingunittoanotherlocaloperatingunitorGLEIFincertaincases.

Description GLEIFtriggersatransferofthemanagementauthorityforoneormoreLEIsfromtheLOUwhentheLOUiseitherunableorunauthorizedtoprovideservice,orattheexpiryoftheMasterAgreement.DetailswillbeclarifiedinanImplementationNote.InthecasethataLegalEntitytriggersthetransferofitsownLEI,GLEIFandthisservicearenotinvolved.

EssentialTasks • TriggerLEImanagementtransfer• Monitoropentransferinstances


TheLOUTasks • Cooperateintransfermanagement



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



• SLAwebinterfacetoincorporatedefinedserviceleveldata• AccesstoAnnualVerificationReports

AccessGroup(s) • Accreditedlocaloperatingunits• Candidatelocaloperatingunits

TheLOUTasks • Entervalidregistrationinformation• PeriodicallyreviewlistofAuthenticatedusersfortheLOUand

confirmtheAuthenticatedusers'accessandaccessroles• DeliverupcomingeventstoGLEIF• Subscribetolocaloperatingunitcalendarupdates• Unsubscribeincaselocaloperatingunitcalendarupdatesarenot

neededanymore• Subscribetonumberedmessages• Unsubscribetonumberedmessages• CollateLOUserviceleveldataandsubmititforSLAReport.• ReviewuploadedSLAreportandprovidefeedbackifapplicable• Provideusageattestation• CheckelectronicLOUinvoicesprovided


ProcessingTime GLEIF:• ResolvingqueriesraisedbyaLOUwithintwoGLEIFBusinessDays• ToregisteranaccountwithinoneGLEIFBusinessday• ToprovideelectronicLOUinvoices,10GLEIFBusinessDaysafter

receiptofusageattestationLOU:

• ToprovideLEIUsageAttestationbythe5thLOUBusinessdayaftereachquarter-end

UpdateFrequencyforelectronicLOUinvoices

Onceperquarter



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’)


ELFCorroborationCompliance

InadditiontotheISOofficialELFcodelist,GLEIFprovidestheminimumexpectedcorroborationlevelofanLEIdeclaringanELFasalegalform.Thisinformationismadeavailableviatheattribute“MinimumCorroborationLevel”oftheCorroborationComplianceList.Inthisinformation,GLEIFwillmakeclearforwhichlegalformsPARTIALLY_CORROBORATEDorFULLY_CORROBORATEDisrequired.



BreachisdefinedwhenanissuedLEIdeclaresalowercorroborationlevelthanexpected.Thescaleofcorroborationlevelisdefinedasfollows:ENTITY_SUPPLIED_ONLY<<PARTIALLY_CORROBORATED<<FULLY_CORROBORATED.IncasenospecificcorroborationlevelisprovidedintheCorroborationComplianceList,thennospecificrequirementshavetobeapplied.



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.



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



§ Contactanotherlocaloperatingunit

§ ContacttheapplicantfortheLEIorLegalEntity

§ ContactGLEIF

• IssuetheLEIincompliancewithISO17442:2012alongwiththepertainingLE-RD,andinaccordancewiththecurrentDataQualityRuleSetting.

• ProcessorreceivepaymentfortheNewLEI

• InformtheLEIapplicantoftheapplicationresult

• UploadtoGLEIFtheNewLEIandallLE-RDcollectedfromtheLegalEntityorcreatedbytheLOUbeforebulktransmissionorpublicationtoanotherthirdparty,wherehowevertransmissiontotheLegalEntityandnormalpublicationtotheLOUwebsite(asagreedinintheAccreditationDocumentationAppendix04)arepermitted

• AcceptandwithoutunduedelayprocessapplicationsforanLEI


RegistrationAgent

• PublishtoitswebsiteinformationhelpingaLegalEntityapplyforanLEIwiththeLOU

• CollectandtransmittotheLOUtheinformationrequiredtoverifytheexistenceoftheentityapplyingfortheLEI

• ContacttheapplicantfortheLEIortheLegalEntityrequestingitexplainwhythereisaDuplicate(ifapplicable)

• ProcessorreceivesecurepaymentfortheNewLEI

• InformtheLegalEntityofapplicationstatus

Others • ProvideaninterfaceormechanismfortheLegalEntitytoapplyincludingautomateddatachecksordataeditsinthecollectionofLegalEntityapplicationinformation

• VerifytheindividualsigningtheapplicationandanypertainingdocumentsisdulyempoweredtosubmitsuchapplicationinthenameandonbehalfoftheLegalEntity


• ProvidedatacollectionoraggregationservicesfromtheauthoritativesourcesagreeduponwiththeLOU

• VerifyviaanauthoritativesourcetheaccuracyoftheLE-RDsuppliedintheLEIrequest;Transliteratein



romancharacters(asapplicable)

• MakeuseofService2.4,andifDuplicateisreported

o Contactanotherlocaloperatingunit

o ContacttheapplicantfortheLEIorLegalEntity

o ContactGLEIF

• UploadtheNewLEIandassociatedLE-RDtoGLEIF

EssentialTasksexcludedfromThirdPartyServices

• EditorialaccesstoallLEIsandLE-RDwiththeLOUprefixatalltimes

• ProvideandexecuteacontractwiththeLegalEntityapplyingforandholdingtheLEI.ThiscontractmustcomplywiththerequirementsofAppendix05.

• MaintainproceduresforverifyingtheindividualsigningtheLEIapplicationisdulyempoweredtodoso

• MaintainaprocedureformonitoringandupdatingalistofreliablesourcestovalidateLE-RD,assubmittedintheAccreditationDocumentation(Appendix04)andapprovedbyGLEIF


• MaintainproceduresforverifyingviaanauthoritativesourcetheLE-RDsuppliedbytheLegalEntity

• InformtheLegalEntityontheapplicationresult

AccessGroup(s) LegalEntitiesviatheLOUTerms&Conditions


JurisdictionCompliance LEIinstatusISSUEDoutsideaccreditedjurisdiction=0

CheckforDuplicatesCompliance

Completeness:100%ofnewLEIsmustbesubjecttoCheckforDuplicates(bothforLevel1andLevel2data)



3.2. EnterCorporateActions

Name EnterCorporateActions

TagLine TheLOUmaintainstheLEIdataforCorporateActionsreportedbytheLegalEntity.

Description TheLOUprovidesaninterfaceoramechanismforLegalEntitiestoupdatetheirLE-RDmanagedbytheLOU.TheLOUverifiesallCorporateActionsupdatesrequestedbytheLegalEntityviaanauthoritativesource.ForthosechangesverifiedbytheLOU,theLOUensuresthechangesarepromptlyincorporatedintotheLE-RD.TheLOUuploadstheupdatedLEIrecordtoGLEIFbyusingService2.3.

EssentialTasks • ProvideaninterfaceormechanismfortheLegalEntitytoupdateLE-RDincludingmeansforautomateddatachecksordataedits

• Maintainproceduresforverifyingtheindividualrequestingthechangeisdulyempoweredtodoso

• VerifytheindividualrequestingthechangeisdulyempoweredtodosoonbehalfoftheLegalEntity

• MaintainproceduresforverifyingviaanauthoritativesourcetheaccuracyofthereportedCorporateAction



• ProcessorreceivepaymentforverifyingandupdatingLE-RD

• Verifyviatheapplicableauthoritativesource,assubmittedintheAccreditationDocumentation(Appendix04),theaccuracyoftheCorporateActionchange;Transliterateinromancharacters(asapplicable)

• InformtheLegalEntityoftheupdatedLE-RD

• UploadtoGLEIF,usingService2.3,theupdatedLE-RDcollectedfromtheLegalEntityorcreatedbytheLOUbeforebulktransmissionorpublicationtoanotherthirdpartyexcludingtheLegalEntityandnormalpublicationtotheLOUwebsiteasinformedinintheAccreditationDocumentation(Appendix04)

• AcceptandwithoutunduedelayinitiatetheprocesstoimplementupdatesprovidedbyaLegalEntityregardingitsLEImanagedbytheLOU




RegistrationAgent • None

Others • ProvideinterfaceormechanismforupdatingLEIdataincludingmeansforautomateddatachecksordataedits

• VerifytheindividualrequestingthechangeisdulyempoweredtodosoonbehalfoftheLegalEntity

• VerifyviaanauthoritativesourcetheaccuracyoftheCorporateActionchange;Transliterateinromancharacters(asapplicable)


• ProvidedatacollectionoraggregationservicesfromtheauthoritativesourcesagreeduponwiththeLOU

• UploadthechangedLE-RDtoGLEIF



• Maintainproceduresforverifyingtheindividualrequestingthechangeisdulyempoweredtodoso



• MaintainproceduresforverifyingviaanauthoritativesourcetheaccuracyofthereportedCorporateAction

• InformtheLegalEntityofupdatedLE-RD

AccessGroup(s) LegalEntitiesviatheLOUTerms&Conditions




3.3. ChallengeLEIData

Name ChallengeLEIData

TagLine TheLOUrespondstoLEIorLE-RDchallengesreceivedfromGLEIF.

Description TheLOUreviewsandrespondstoLEIorLE-RDchallengestransmittedtotheLOUbyGLEIF.SuchchallengesmaybetransmittedtotheLOUbyGLEIFonbehalfofathirdpartyoronbehalfofGLEIF.TheLOUresearchesthecontentofthechallengeandverifiesthechallengeviaanauthoritativedatasource.DetailswillbeclarifiedinanImplementationNote.

EssentialTasks • ReviewandrespondtoLEIorLE-RDchallengestransmittedbyGLEIF

• Researchthecontentofthechallengeandverifythechallengeviatheapplicableauthoritativesource,assubmittedintheAccreditationDocumentation(Appendix04);Transliterateinromancharacters(asapplicable)


• InformtheLegalEntityofverifiedchallengesandofchallengeswhichhavefailedVerification

• UploadtoGLEIFtheupdatedLE-RDcollectedfromtheLegalEntityorcreatedbytheLOU(ifapplicable)beforebulktransmissionorpublicationtoanotherthirdpartyexcludingtheLegalEntityandnormalpublicationtotheLOUwebsiteasinformedinintheAccreditationDocumentation(Appendix04)orinformGLEIFthatnochangeistobemade


RegistrationAgent

• None

Others • Researchthecontentofthechallengeandverifythechallengeviaanauthoritativedatasource;Transliterateinromancharacters(asapplicable)

• Providedatacollectionoraggregationservicesfromtheagreeduponauthoritativesources

• UploadtheadjustedLEIrecordtoGLEIF(ifapplicable)



• ReviewandrespondtoGLEIFrelativetoLEIorLE-RDchallenges





• InformtheLegalEntityofverifiedchallenges

AccessGroup(s) • GLEIF

ProcessingTime 10LOUBusinessDays



3.4. TransferofLEIsandLE-RD

Name TransferofLEIsandLE-RD

TagLine TheLOUparticipatesinandenablestransfersofLEIsandLE-RDfromortoanotherlocaloperatingunit.

Description TheLOUonbehalfofaLegalEntitycannotifyanotherlocaloperatingunitofarequesttotransferLEImanagement.Bothlocaloperatingunitsfollowtherequiredstepstocompletethetransfer.

EssentialTasks • ProvideandexecuteacontractwiththeLegalEntityforholdingtheLEI.ThiscontractmustcomplywiththerequirementsofAppendix05.

• MaintainproceduresforverifyingtheindividualrequestingtheLEItransferisdulyempoweredtodoso

• VerifytheindividualrequestingtransferisdulyempoweredtodosoonbehalfoftheLegalEntity


• Verifyviatheapplicableauthoritativesource,assubmittedintheAccreditationDocumentation(Appendix04),theaccuracyoftheLE-RD;Transliterateinromancharacters(asapplicable)


• KeeptheLegalEntityinformed(asapplicable)

• UploadtoGLEIF,usingService2.3,theLEIanditschangedLE-RDcollectedfromtheLegalEntityorcreatedbytheLOUbeforebulktransmissionorpublicationtoanotherthirdpartyexcludingthelegalentityandnormalpublicationtotheLOUwebsiteasinformedinintheAccreditationDocumentation(Appendix04)

• ParticipateinandenabletransfersofoneorseveralLEI(s)andLE-RDfromortoanotherlocaloperatingunitonrequestoftheLegalEntity,alocaloperatingunitonbehalfofaLegalEntity,ortheGLEIF


RegistrationAgent

• None

Others • VerifytheindividualrequestingtransferisdulyempoweredtodosoonbehalfoftheLegalEntity

• Providedatacollectionoraggregationservicesfromthe



agreeduponauthoritativesources


• VerifyviaanauthoritativesourcetheaccuracyoftheLE-RD;Transliterateinromancharacters(asapplicable)

• UploadtheadjustedLEIrecordtoGLEIF(ifapplicable)


• EditorialaccesstoallLEIandLE-RDwiththeLOUprefixatalltimes

• MaintainproceduresforverifyingtheindividualrequestingtheLEItransferisdulyempoweredtodoso



• KeeptheLegalEntityinformed(asapplicable)

AccessGroup(s) • LegalEntitiestothelocaloperatingunitwhichmanagestheirLEI• Accreditedlocaloperatingunits

ProcessingTime TransfertheLEIandLE-RDasSendingLOU:4LOUBusinessDays

TransfertheLEIandLE-RDasReceivingLOU:3LOUBusinessDays

SendingLOUtounpublishtheLEIandLE-RDoncetransferred:within1LOUBusinessDayfromwhenthetransferredLEIisdisplayedas“ISSUED”onGLEIFsearch.



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


• Verifyviatheapplicableauthoritativesource,assubmittedintheAccreditationDocumentation(Appendix04),theaccuracyoftheLE-RD;Transliterateinromancharacters(asapplicable)



• Performautomateddatachecksordataeditsofspecificfields






o ContacttheLegalEntity

o ContactGLEIF

o UploadthechangedLE-RDtoGLEIF(ifapplicable)

• Processorreceivepaymentfortherenewal

• AdjusttheLEIstatusasapplicabletorecognizerenewalornon-renewal

• InformtheLegalEntityofrenewalornon-renewalstatus

• UploadtoGLEIFthechangedLE-RDcollectedfromtheLegalEntityorcreatedbytheLOUbeforebulktransmissionorpublicationtoanotherthirdpartyexcludingthelegalentityandnormalpublicationtotheLOUwebsiteasinformedinintheAccreditationDocumentation(Appendix04)

• CollectandmaintainmetricsofdataqualitydemonstratingtheLOUnotifiestheLegalEntityofpendingrenewalrequirementsandacceptsandwithoutunduedelayprocessestherenewal


RegistrationAgent

• None

Others • NotifytheLegalEntityofupcomingrenewalrequirements

• VerifytheindividualrequestingrenewalisdulyempoweredtodosoonbehalfoftheLegalEntity

• ProvideaninterfaceormechanismfortheLegalEntitytorenewincludingautomateddatachecksordataeditsinthecollectionofupdatedLegalEntityinformation

• Providedatacollectionoraggregationservicesfromauthoritativesources


• VerifyviaanauthoritativesourcetheaccuracyoftheLE-RD;Transliterateinromancharacters(asapplicable)



o ContacttheLegalEntity

o ContactGLEIF

o UploadthechangedLE-RDtoGLEIF



• Processorreceivepaymentfortherenewal

• InformtheLegalEntityofrenewalornon-renewalstatus

• UploadthechangedLE-RDtoGLEIF

• CollectandmaintainmetricsofdataqualitydemonstratingtheLOUnotifiestheLegalEntityofpendingrenewalrequirementsandacceptsandwithoutunduedelayprocessestherenewal


• EditorialaccesstoallLEIandLE-RDwiththeLOUprefixatalltimes

• MaintainproceduresforverifyingtheindividualrequestingtheLEIrenewalisdulyempoweredtodoso




• AdjusttheLEIstatusasapplicabletorecognizerenewalornon-renewal

AccessGroup(s) • LegalEntitiestotheLOUwhichmanagestheirLEI

AgingRate =0%




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



ThefollowingtablesshowtheformulasonhowtocalculatetheservicelevelscommittedbyGLEIFandLOUservicesrespectively.GLEIFServiceLevelcalculations:ServiceLevel Formula Servicetransferpoint

Availability

GLEIFWebserver

ProcessingTimefor“CheckforDuplicates”

GLEIFCheckforDuplicatesfacility

ProcessingTimefor“LOUAnnualAccreditationVerification”

GLEIFCustomerPortal

ProcessingTimeforincidentspriority1

GLEIFCustomerPortal


GLEIFCustomerPortal


GLEIFCustomerPortal

ProcessingTimefor“LOUAccreditation–Accreditationplan”

GLEIFCustomerPortal

ProcessingTimefor“LOUAccreditation–Documentationphase”

GLEIFCustomerPortal

ProcessingTimefor“LOUCommunicationsPortal”withrespectto:

• ResolvingQueries• Registeranaccount

GLEIFCommunicationsPortal

ProcessingTimefor“ProvideelectronicLOUinvoice”

GLEIFCommunicationsPortal

ProcessingTimefor“UploadLEI&LE-RD”

GLEIFUploadFacility



LOUServiceLevelcalculations:ServiceLevel Formula Service

transferpointAgingRate

𝐿𝐸𝐼𝑠𝑖𝑛𝑠𝑡𝑎𝑡𝑢𝑠𝐼𝑆𝑆𝑈𝐸𝐷ℎ𝑎𝑣𝑖𝑛𝑔 𝑐𝑢𝑟𝑟𝑒𝑛𝑡𝑑𝑎𝑡𝑒−𝑟𝑒𝑛𝑒𝑤𝑎𝑙𝑑𝑎𝑡𝑒 >1

𝐿𝐸𝐼𝑠𝑖𝑠𝑠𝑢𝑒𝑑𝑖𝑛𝑡ℎ𝑒𝑚𝑜𝑛𝑡ℎ

GLEIFConcatenatedFile

AuthoritativeSourceChecks


AuthorizedChanges

LOUSystem

Availability

LOUSystem

CheckforDuplicatesCompliance

<=>?@@A=BCDE@F=G?H?=BF?IJK=LMHNGOAPQ?LIR=@

<=>?@@A=BCDE@


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=


ExcellentQualityRate


ExpectedQualityRate


JurisdictionCompliance


LEIUsageAttestation

DateofuploadingtheLEIusageattestationinPDF<=5thLOUbusinessdayofthemonthoneveryJanuary,April,JulyandOctober

GLEIFCommunicationPortal

NumberofNewDuplicates

𝐷𝑢𝑝𝑙𝑖𝑐𝑎𝑡𝑒𝑠∗


ProcessingTimefor“LOUAnnualAccreditationVerification,providedocumentation”

GLEIFCustomerPortal

ProcessingTimefor“LOUAnnualAccreditationVerification,

GLEIFCustomerPortal



ServiceLevel Formula Servicetransferpoint

Provideadditionaldocumentation”ProcessingTimefor“ChallengeLEIData”

GLEIFCustomerPortal

ProcessingTimefor“TransfertheLEIandLE-RDasSendingLOU”

LOUSystem

ProcessingTimefor“TransfertheLEIandLE-RDasReceivingLOU”

LOUSystem

ProcessingTimefor“SendingLOUtounpublishtheLEIandLE-RDoncetransferred”

LOUSystem

RequiredQualityRate


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



§ 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.



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.




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.


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.



4.2.2. Termination

Iftheauditfindingsarenoteffectivelyremediatedintherequestedtimeframe,GLEIFmayterminatetheAgreementpursuanttoChapterXII.CoftheMasterAgreement.

4.2.3. EscalationContacts

Please refer to Master Agreement – “Appendix 12 - Contact Details” – “SLA Escalation LevelResponsibilities”.



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



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.



6. SLAReportsGLEIFcollectsthedatatocreateamonthlySLAReportandprovidesthesemonthlyelectronicSLAReportstotheLOUbythe10thGLEIFBusinessDayofthefollowingmonth.TheLOUhastodeliveritsmeasurementstoGLEIFbythe5thGLEIFBusinessDayofthefollowingmonth.GLEIFprovidestheformatfortheLOUtoreporttheirmetricsaccordingtotheImplementationNoteforSLAReports.IncaseofServiceLevelbreachesGLEIFinitiatesescalationmanagement.ServiceReportsDefinition

Type Performance

Contents ReportparametersaccordingtoSLA

Reportingperiod Monthly

Reporting Onthewebviagleif.orgintheaccessrestrictedlocaloperatingunitarea

Obligation AccordingtoSLA

Language English

Filing 10years



7. ChangeofServiceLevels

ChapterXIIIoftheMasterAgreementapplies.

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