No

Field name

Description

Type

Standard

Scope

1

CRA identifier

Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration or certification.

Mandatory.

Technical

2

Reporting CRA Global Legal Entity Identifier (LEI)

LEI code of the credit rating agency sending the file.

Mandatory.

ISO 17442

Public

3

CRA name

Name used to identify the credit rating agency. It shall correspond to the name used by the credit rating agency in the registration process and all other supervisory procedures within ESMA. Where one member of a group of credit rating agencies reports for the whole group it shall be the name referring to the group of credit rating agencies.

Mandatory.

Public

4

CRA Description

Brief description of the credit rating agency.

Mandatory.

Public

5

CRA Methodology

Description of the credit rating agency’s rating methodology. The credit rating agency can describe unique features of its rating methodology.

Mandatory.

Public

6

Link to CRA website methodology page

The link to the credit rating agency’s web page that contains all information related to the methodologies, and descriptions of models and key rating assumptions.

Mandatory.

Valid web page reference.

Public

7

Solicited and unsolicited ratings policies

Description of the credit rating agency’s policy on solicited and unsolicited with or without participation ratings. If more than one policy exists, the relevant rating types applicable to each policy shall be specified.

Mandatory.

Public

8

Subsidiary ratings policy

Description of policy regarding the reporting of the rating of subsidiaries.

Mandatory.

Applicable for credit rating agencies issuing corporate ratings.

Public

9

Geographical reporting scope

In the case of a credit rating agency part of a group, they should mention whether they report all the ratings issued by the group (global scope) or not (only the EU and endorsed ratings). Where the coverage is not global, the credit rating agency shall explain why not. For all other CRAs it should be reported as ‘global’ (‘Y’).

Mandatory.

Y — yes

N — no

Public

10

Reason for non-global scope

The reason why a credit rating agency which is part of a group, does not report all the ratings of the group.

Mandatory.

Applicable when ‘Geographical reporting scope’ = ‘N’

Public

11

Definition of default

Describes the definition of default used by the credit rating agency.

Mandatory.

Public

12

Website link

Link to the home page of credit rating agency’s public website.

Mandatory.

Valid web page reference.

Public

No

Field name

Description

Type

Standard

Scope

1

Issuer rating type identifier

Unique identifier for each issuer rating type that a rated entity can be assessed on.

Mandatory.

Applicable if the credit rating agency is issuing issuer ratings.

Technical

2

Issuer rating type name

Name of the issuer rating category.

Mandatory.

Technical

3

Issuer rating type description

Description of the rated debt category.

Mandatory.

Technical

4

Issuer rating type standard

This should distinguish the types of issuer ratings in: the main/global issuer credit rating, the debt rating type (the different categories will be described in Table 2, Part 2, Annex 1) and all other issuer debt ratings.

Mandatory.

IR — Main issuer rating

DT — Debt rating

OT — Other

Technical

No

Field name

Description

Type

Standard

Scope

1

Rated debt classification identifier

Unique identifier for each debt category used for classifying the corporate and sovereign issuer debt categories or debt issues.

Mandatory.

Applicable if the rating agency is rating corporate or sovereign debt categories

Technical

2

Rated debt classification name

Name of the rated debt category.

Mandatory.

Technical

3

Rated debt classification description

Description of the rated debt category.

Mandatory.

Technical

4

Seniority

Identifies the seniority of the debt class of the rated issuer or issue.

Optional.

SEU — in case the rated issuer debt or the issue belongs to the senior unsecured debt category

SEO — in case the rated issuer or the issue belongs to a senior debt category other than SEU

SB — in case the issuer debt or the issue belongs to a subordinated debt category.

Technical

No

Field name

Description

Type

Standard

Scope

1

Issue/programme type identifier

Unique identifier for each issue/programme used for classifying the issue ratings.

Mandatory.

Applicable if the credit rating agency is rating corporate or sovereign issues.

Technical

2

Issue/programme type name

Issue/programme name.

Mandatory.

Technical

3

Issue/programme type description

Issue/programme description.

Mandatory.

Technical

No

Field name

Description

Type

Standard

Scope

1

Lead analyst internal identifier

Internal unique identifiers of the staff member who is appointed in the analyst function by the credit rating agency.

Mandatory.

Supervision only

2

Lead analyst name

Lead analyst full name.

Mandatory.

Supervision only

3

Lead analyst start date

The start date of the staff member in the lead analyst function.

Mandatory.

ISO 8601 date format (YYYY-MM-DD)

Supervision only

4

Lead analyst end date

The end date of the staff member in the lead analyst function If the staff member is currently working in the lead analyst function, it should be reported as 9999-01-01.

Mandatory.

ISO 8601 date format (YYYY-MM-DD) or 9999-01-01

Supervision only

No

Field name

Description

Type

Standard

Scope

1

Rating scale identifier

Identifies uniquely a specific rating scale of the credit rating agency.

Mandatory.

Technical

2

Rating scale validity start date

The date at which the rating scale starts being valid.

Mandatory.

ISO 8601 date format (YYYY-MM-DD)

Public

3

Rating scale validity end date

The last date when a rating scale is valid. For the rating scale that re currently valid, it should be reported as 9999-01-01.

Mandatory.

ISO 8601 date format (YYYY-MM-DD) or 9999-01-01

Public

4

Description of the rating scale

Description of the type of ratings included in the scale, including the geographical scope where relevant.

Mandatory.

Public

5

Time horizon

Identifies the applicability of the rating scale based on the time horizon.

Mandatory.

L — where the rating scale is applicable to long-term ratings

S – where the rating scale is applicable to short-term ratings

Public

6

Rating type

Identifies the applicability of the rating scale based on the rating type.

Mandatory.

C — where the rating scale is applicable to corporate ratings

S — where the rating scale is applicable to sovereign & public finance ratings

T — where the rating scale is applicable to structured finance ratings

O – where the rating scale is applicable to other financial instruments

Public

7

Rating scale scope

Specifies if the rating scale is used for issuing preliminary ratings, final ratings or both.

Mandatory.

PR — rating scale is used for issuing preliminary ratings only

FR — rating scale is used for issuing final ratings only

BT — rating scale is used for issuing preliminary and final ratings

Public

8

Rating scale used for CEREP

Indicates if the rating is to be used by ESMA for the central repository (CEREP) statistics calculations.

For any given period, only one rating scale per combination of rating type and time horizon can be used.

Mandatory.

Y — yes

N — no

Technical

9

Categories

Rating category value

Order of the rating category in the rating scale (where 1 is correspondent to the category that represents the best creditworthiness).

Mandatory.

The ordinal is an integer value with minimum value 1 and a maximum value of 20. The declaration of the rating categories values must be consecutive. There must be as a minimum one rating category for each rating.

Public

10

Rating category label

Identifies a specific rating category within the rating scale.

Mandatory.

Public

11

Rating category description

Definition of the rating category in the rating scale.

Mandatory.

Public

12

Notches

Notch value

Order of the notch in the rating scale (where 1 is correspondent to the notch that represents the best creditworthiness).

Mandatory.

The notch value is an integer with minimum value 1 and a maximum value of 99. Values provided must be consecutive. There must be as a minimum one rating notch for each rating.

Public

13

Notch label

Identifies a specific notch within the rating scale. Notches provide additional detail to the rating category.

Mandatory.

Public

14

Notch description

Description of the notch in the rating scale.

Mandatory.

Public

No

Field name

Description

Type

Standard

Scope

1

CRA identifier

Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration or certification.

Mandatory.

Technical

2

Reporting CRA LEI

LEI code of the credit rating agency sending the file.

Mandatory.

ISO 17442

Public

3

Responsible CRA LEI

LEI code of the credit rating agency responsible for the rating, i.e. in case of:

Mandatory.

ISO 17442

Public

4

Issuer CRA LEI

LEI code of the credit rating agency that issued the rating, that is to say in case of:

Mandatory.

ISO 17442

Public

5

Rating identifier

Unique identifier of the rating, which shall be maintained unchanged over time. The rating identifier shall be unique in all reports to ESMA.

Mandatory.

Technical

6

Rating type

Identifies whether the rating is a corporate rating, a sovereign or public finance rating, a structured finance rating or other financial instrument rating. It shall be maintained unchanged over time.

Mandatory.

C — if the rating is applicable to corporate ratings

S — if the rating is applicable to sovereign ratings

T — if the rating is applicable to structured finance ratings

O — if the rating is applicable to other financial instruments.

Public

7

Other rating type

Describes the type of rated financial instrument that was reported in the ‘O’ rating type.

Mandatory.

Applicable for ‘Rating type’ = ‘O’.

Supervision only

8

Rated object

Specifies if the rating refers to an entity/issuer of debt or a debt issuance of a rated entity/financial instrument.

Mandatory.

ISR — the rating refers to an entity or issuer of debt

INT — the rating refers to a debt issuance/financial instrument.

Public

9

Time horizon

Identifies whether the rating is a short-term or a long-term rating. It shall be maintained unchanged over time.

Mandatory.

L — if the rating is a long-term rating

S — if the rating is a short-term rating.

Public

10

Country

Country code of the rated entity/instrument.

Mandatory.

ISO 3166-1 code.

The code ‘ZZ’ shall be used to identify the category ‘international’.

Public

11

Currency

Identifies whether the rating is expressed in respect of local or foreign currency.

Mandatory.

Applicable for ‘Rating type’ = ‘C’ or ‘S’

LC — in case of a local currency rating

FC — in case of a foreign currency rating.

Public

12

Legal entity/issuer LEI

LEI code of the legal entity/issuer. It shall be maintained unchanged over time.

Mandatory.

Applicable only if the rated entity is eligible for acquiring a LEI code.

ISO 17442

Public

13

Legal entity/issuer national fiscal code

Unique national fiscal code of the rated entity. It shall be maintained unchanged over time.

Optional.

If applicable.

Public

14

Legal entity/issuer value added tax (VAT) code

Unique national VAT code of the rated entity. It shall be maintained unchanged over time.

Optional.

If applicable.

Public

15

Legal entity/issuer Bank Identified Code (BIC)

Unique BIC of the rated entity. It shall be maintained unchanged over time.

Optional.

Applicable only for entities that represent financial institutions (‘Industry’ = ‘FI’ or ‘IN’).

ISO 9362

Public

16

Legal entity/issuer internal identifier

Unique internal identifier of the issuer. It shall be maintained unchanged over time.

Mandatory.

Supervision only

17

Legal entity/issuer name

It shall contain appropriate understandable reference to the legal name of the legal entity/issuer.

Mandatory.

Public

18

Parent legal entity/Issuer LEI

LEI code of the parent company. To be reported only in case the rated issuer is a subsidiary of another rated entity. It shall be maintained unchanged over time.

Mandatory.

Applicable if the rated entity/debt issuer is a subsidiary of another rated entity.

ISO 17442

Public

19

Parent legal entity/issuer internal identifier

Unique internal identifier of the parent entity/issuer. It shall be maintained unchanged over time.

Mandatory.

Applicable if the rated entity is a subsidiary of another rated entity.

Supervision only

20

Sub-sovereign Nomenclature of Territorial Units for Statistics (NUTS) code

Identifier of the city/region of the rated municipality/sub-sovereign.

Mandatory.

Applicable only for ‘Country’ is part of the Union and for ‘Rating type’ = ‘S’ and ‘Sector’ = ‘SM’

EUROSTAT nomenclature: NUTS 1 to 3

Public

21

ISIN

International Securities Identifying Number (ISIN) of the rated instrument. It shall be maintained unchanged over time.

Mandatory.

Applicable for ‘Rated object’ = ‘INT’ and if the rated instruments has an ISIN allocated.

ISO 6166

Public

22

Instrument unique identifier

A combination of instrument’s attributes that uniquely identifies the instrument.

Optional.

ESMA standard

Supervision only

23

Instrument internal identifier

Unique code to identify the financial instrument that is rated. It shall be maintained unchanged over time.

Mandatory.

Applicable for ‘Rated object’ = ‘INT’.

Supervision only

24

Issue/programme type

Indicates the issue/programme type of the rating.

Optional.

Applicable for ‘Rating type’ = ‘C’ or ‘S’ and ‘Rated object’ = ‘INT’.

Valid ‘Issue/programme type identifier’, previously reported in the ‘Issue/programme type list’.

Public

25

Issuer rating type

Specifies the issuer rating type.

Mandatory.

Applicable for ‘Rating type’ = ‘C’ and for ‘Rated object’ = ‘ISR’

Valid ‘Issuer rating type identifier’, previously reported in the ‘Issuer rating type list’.

Public

26

Debt category

Specifies the debt category for the rated issues or debts.

Mandatory.

Applicable for ‘Rating type’ = ‘C’ or ‘S’ and ‘Rated object’ = ‘ISR’ and ‘Issuer rating type’ = ‘DT’ or ‘Rated object’ = ‘INT’ if applies.

Valid ‘Rated debt classification identifier’, previously reported in the ‘Debt categories list’.

Public

27

Issuance date

Specifies the issuance date of the rated instrument or debt issuance. It shall be maintained unchanged over time.

Mandatory.

Applicable for ‘Rated object’ = ‘INT’.

ISO 8601 date format: (YYYY-MM-DD)

Supervision only

28

Maturity date

The maturity date of the rated instrument or debt issuance.

Mandatory.

Applicable for ‘Rated object’ = ‘INT’.

If perpetual: 9999-01-01.

ISO 8601 date format: (YYYY-MM-DD) or 9999-01-01

Supervision only

29

Outstanding issue volume

The outstanding issue volume at first rating issuance. The amount shall be reported in the currency of the issuance reported in ‘Outstanding issue volume currency code’.

Mandatory.

Applicable for ‘Rated object’ = ‘INT’.

Supervision only

30

Outstanding issue volume currency code

The code of the currency of the rated issue.

Mandatory.

Applicable for ‘Rated object’ = ‘INT’.

ISO 4217

Supervision only

31

Industry

Categorisation of the rated entity or debt issuances reported under the ‘corporate’ rating type in financial, insurance and non-financial corporates.

Mandatory.

Applicable for ‘Rating type’ = ‘C’.

FI — for financial institution rating including banks, brokers and dealers

IN — for insurance institution rating

CO — for corporate institution rating that is not included in ‘FI’ or ‘IN’

Public

32

Sector

Specifies subcategories for sovereign and public finance ratings.

Mandatory.

Applicable for ‘Rating type’ = ‘S’.

SV — for State rating

SM — for regional or local authority rating

IF — for international financial institution rating

SO — for supranational organisations rating other than ‘IF’

PE — for public entities rating.

Public

33

Asset class

Defines the main asset classes for structured finance ratings.

Mandatory.

Applicable for ‘Rating type’ = ‘T’.

ABS — for ABS rating

RMBS — for RMBS rating

CMBS — for CMBS rating

CDO — for CDO rating

ABCP — for ABCP rating

OTH — for other.

Public

34

Sub-asset

Defines the sub-asset classes for the structured finance ratings.

Mandatory.

Applicable for ‘Rating type’ = ‘T’.

CCS — if ABS: credit card receivable backed securities

ALB — if ABS: auto loan backed securities

CNS — if ABS: consumer loan backed security

SME — if ABS: small and medium-sized enterprises loan backed securities

LES — if ABS: leases to individual or business backed security

HEL — if RMBS: home equity loans

PRR — if RMBS: prime RMBS, NPR — if RMBS: non-prime RMBS

CFH — if CDO: cash flow and hybrid CDOs/CLOs

SDO — if CDO: synthetic CDOs/CLOs

MVO — if CDO: market value CDOs

SIV — if OTH: structured investment vehicles

ILS — if OTH: insurance-linked securities

DPC — if OTH: derivative product companies

SCB — if OTH: structured covered bonds

OTH — other.

Public

35

Other sub-asset class

Indicates the other asset or sub-asset class category.

Mandatory.

Applicable for ‘Rating-type’ = ‘T’ and ‘Sub-asset’ = ‘OTH’.

Supervision only

36

Corporate issues classifications

Classification of covered bonds.

Mandatory.

Applicable for ‘Rating type’ = ‘C’ and ‘Rated object’ = ‘INT’.

BND —bonds

CBR — covered bonds as referred to in Article 52(4) of Directive 2009/65/EC of the European Parliament and of the Council and that meet the eligibility requirements set out in Article 129 of Regulation (EU) No 575/2013

OCB — other types of covered bonds, for which the credit rating agency has used specific covered bonds methodologies, models or key rating assumptions for issuing the credit rating and which are not included in point (b) of Article 5(2) of this Regulation

OTH — other types of corporate issues which are not included in points (a), (b) and (c) of Article 5(2) of this Regulation..

Public

37

Other corporate issues

Describes the type of issue reported under the ‘other’ category of corporate issues.

Mandatory.

Applicable for ‘Corporate issues classifications’ = ‘OTH’.

Supervision only

38

Tranche class

Class of the tranche.

Mandatory.

Applicable for ‘Rating type’ = ‘T’.

Public

39

Series No/programme ID

In case the issue is part of a series of multiple issuances under the same programme, it shall specify the issue’s specific series number. Programme ID could be added, where this exists, to complement the ‘Programme/deal/issuance name’.

Optional.

Applicable for ‘Rating type’ = ‘T’ or ‘Rating type = ‘C’ and ‘Rated object’ = ‘INT’.

Public

40

Programme/deal/issuance name

Specifies the programme/deal/issuance name used in the public issuance documents

Optional.

Applicable for ‘Rated object’ = ‘INT’.

Public

41

Originators

Originator internal identifier

Unique internal code assigned by the credit rating agency to the originator.

Mandatory.

Applicable for ‘Rating type’ = ‘T’.

In case of multiple originators that cannot be individually identified, ‘MULTIPLE’ should be reported.

Supervision only

42

Originator LEI

LEI code of the originator.

Mandatory.

Applicable for ‘Rating type’ = ‘T’ and ‘Originator Internal Identifier ’ is not ‘MULTIPLE’.

ISO 17442

Supervision only

43

Originator BIC code

Unique BIC of the originator.

Optional.

Applicable for ‘Rating type’ = ‘T’ and ‘Originator Internal Identifier ’ is not ‘MULTIPLE’.

ISO 9362

Supervision only

44

Originator name

It shall contain appropriate understandable reference to the legal name of the originator (or the parent company of the issuer).

Mandatory.

Applicable for ‘Rating type’ = ‘T’ and ‘Originator internal identifier ’ is not ‘MULTIPLE’.

Supervision only

45

Preceding preliminary rating

For all the new ratings it specifies if the credit rating agency issued a preliminary rating or initial review before issuing the final rating.

Mandatory.

Applicable for ‘Action type’ = ‘NEW’ in Table 2 of Part 2

Y — yes

N — no

Supervision only

46

Preceding preliminary rating identifier

Indicates the rating identifier of the preceding issued preliminary rating or initial review. The ‘Preceding preliminary rating identifier’ should correspond to an already reported valid preliminary rating ‘Rating identifier’.

Mandatory.

Applicable for ‘Preceding preliminary rating’ = ‘Y’

Supervision only

47

Complexity indicator

Indicates the complexity grade assigned to a structured finance rating considering factors such as the number of originators, counterparties, countries, the need to develop new methodologies or new innovative features, credit enhancements, underlying documentation, complex collateral, different or new jurisdictions and/or existence of derivative components amongst other factors that may be considered relevant by the CRA when it is assessing the complexity of a rating service.

Mandatory.

Applicable for ‘Rating type’ = ‘T’.

S — standard complexity

C — additional complexity

Supervision only

48

Structured finance transaction type

Indication of whether the instrument refers to a stand-alone or master-trust.

Mandatory.

Applicable for ‘Rating type’ = ‘T’.

S — stand-alone transaction

M — master trust transaction

Supervision only

49

Type of rating for ERP

Identifies the credit ratings that fall under the scope of ERP, based on the requirements set out in Article 11a of the Regulation (EC) No 1060/2009.

Mandatory.

NXI — the rating is not exclusively produced for and disclosed to investors for a fee

EXI — the rating is exclusively produced for and disclosed to investors for a fee

Technical

50

Relevant for CEREP statistics calculation

Indicates if the rating shall be used for CEREP statistics calculation.

Mandatory.

Y — yes

N — no

Technical

No

Field name

Description

Type

Standard

Scope

1

Rating action identifier

Unique identifier of the rating action. Rating action identifier shall be unique per each reported rating.

Mandatory.

Technical

2

Rating identifier

Unique identifier of the rating.

Mandatory.

Should be a valid ‘Rating identifier’ reported in Table 1 of Part 2

Technical

3

Action validity date and time

The date and time of validity of the action. This shall coincide with the Coordinated Universal Time (UTC) of publication of the action or distribution by subscription.

Mandatory.

ISO 8601 extended date time format: YYYY-MM-DD (HH:MM:SS)

Public

4

Action communication date and time

The date and time of communication of the action to the rated entity.

It shall be expressed as Coordinated Universal Time (UTC). Should be reported only for the ratings issued in the Union.

Mandatory.

Applicable for ‘Location of the rating issuance ’ = ‘I’.

ISO 8601 extended date time format: YYYY-MM-DD (HH:MM:SS)

Supervision only

5

Action decision date

Identifies the date when the action is decided.

It shall be the date of preliminary approval (such as by the rating committee) of the action where this is then communicated to the rated entity before final approval.

Should be reported only for the ratings issued in the Union.

Mandatory.

Applicable for ‘Location of the rating issuance ’ = ‘I’.

ISO 8601 date format: (YYYY-MM-DD)

Supervision only

6

Action type

Identifies the type of action carried out by the credit rating agency with respect to a specific rating.

Mandatory.

OR — in case of outstanding rating (only for first time reporting)

PR — in case of preliminary rating

NW — in case the rating is issued for the first time

UP — in case the rating is upgraded

DG — in case the rating is downgraded

AF — in case the rating is affirmed

DF — in case a rated issuer or instrument is assigned to or removed from a default status and the default is not linked with another rating action

SP — in case the rating is suspended

WD — in case the rating is withdrawn

OT — in case the rating is placed to or removed from the outlook/trend status

WR — in case the rating is placed to or removed from the watch/review status

Public

7

Outlook/watch/default status

An outlook/watch/suspension/default status is assigned, kept or removed with respect to the rating,

Mandatory.

Applicable for ‘Action type’ = ‘OT’,’WR’, ‘DF’, ‘SP’ or ‘OR’

P — status is placed

M — status is maintained

R — status is removed

Public

8

Outlook

Identifies the outlook/trend assigned to a rating by the CRA according to its relevant policy.

Mandatory.

Applicable for ‘Action type’ = ‘OT’ and ‘OR’

POS — in case of a positive outlook

NEG — in case of a negative outlook

EVO — in case of an evolving or developing outlook

STA — in case of a stable outlook

Public

9

Watch/Review

Identifies the watch or review status assigned to a rating by the CRA according to its relevant policy.

Mandatory.

Applicable for ‘Action type’ = ‘WR’ and ‘OR’

POW — in case of a positive watch/review

NEW — in case of a negative watch/review

EVW — in case of an evolving or developing watch/review

UNW — in case of a watch/review with uncertain direction

Public

10

Watch/Review determinant

Identifies the reason for the watch/review status of a rating. Should be reported only for the ratings issued in the Union.

Mandatory.

Applicable for ‘Action type’ = ‘WR’ and ‘OR’ and ‘Location of the rating issuance ’ = ‘I’.

1 — where the watch/review status is due to changes in methodologies, models or key rating assumptions

2 — where the watch/review status is due to economic, financial or credit reasons

3 — where the watch or review status is due to other reasons (e.g. departure of analysts, occurrence of conflicts of interests)

Public

11

Withdrawal reason

Identifies the reason of a withdrawal action.

Mandatory.

Applicable for ‘Action Type’ = ‘WD’

1 — in case of incorrect or insufficient information on issuer/issue

2 — in case of bankruptcy of the rated entity or debt restructuring

3 — in case of reorganisation of rated entity (including the merger or acquisition of the rated entity)

4 — in case of the end of maturity of the debt obligation, or in case the debt is redeemed, called, prefunded, cancelled

5 — in case of automatic invalidity of rating due to business model of CRA (such as expiry of ratings valid for a predetermined period)

6 — in case of rating withdrawal due to other reasons

7 — in case the rating is affected by one of the points specified in Annex I, Section B, Point 3 of the Regulation (EC) No 1060/2009

8 — in case of client’s request

Public

12

Other withdrawal reason

Where the rating was withdrawn due to other reasons than the ones provided, please specify the reason

Mandatory.

Applicable for ‘Withdrawal reason’ = 6

Supervision only

13

Default flag

Where the rated entity or the financial instrument is defaulted or removed from default as a result of another rating action (i.e.: upgrade, downgrade)

Mandatory.

Applicable for ‘Action type’ = ‘AF’, ‘DG’, ‘UP’ or ‘OR’

Y — yes

N — no

Public

14

Suspension reason

Specifies the reason for a suspension action.

Mandatory.

Applicable for ‘Action type’ = ‘SP’

Public

15

Rating scale identifier

Identifies the rating scale used for issuing the rating action.

Mandatory.

Applicable for ‘Action type’ = ‘NW’ or ‘UP’ or ‘AF’ or ‘DG’ or ‘PR’ or ‘OR’

Valid ‘Rating scale identifier’, previously reported in the ‘Rating scale’ table.

Public

16

Rating value

Notch value assigned by the credit rating agency as a result of the rating action.

Mandatory.

Applicable for ‘Action type’ = ‘NW’ or ‘UP’ or ‘AF’ or ‘DG’ or ‘PR’ or ‘OR’

Valid ‘Notch value’, previously reported in the ‘Rating scale’ table.

Public

17

Location of the rating issuance

Specifies the location of the issuance of the credit ratings by: ratings issued in the Union by a registered credit rating agency, ratings issued by third country credit rating agency belonging to the same group of credit rating agencies and endorsed in the Union, ratings issued by certified credit rating agencies or ratings issued by third country credit rating agency belonging to the same group of credit rating agencies but not endorsed in the Union.

Mandatory.

I — issued in the Union

E — endorsed

T — issued in a third country by a certified CRA

O — other (not endorsed)

N — not available (only valid before 1.1.2011).

Public

18

Lead analyst identifier

Unique identifier of the lead analyst responsible for the rating. Should be reported only for the ratings issued in the Union.

Mandatory.

Applicable for ‘Location of the rating issuance ’ = ‘I’.

Valid ‘Lead analyst internal identifier’, previously reported in the ‘Lead analysts list’.

Supervision only

19

Country of the lead analyst

Identifies the country of the office where the responsible lead analyst was located when issuing the rating.

Mandatory.

Applicable for ‘Location of the rating issuance ’ = ‘I’.

ISO 3166-1 code.

Supervision only

20

Solicitation status

Solicitation status of the rated entity/instrument.

Mandatory.

S — if the rating is solicited,

U — if the rating is unsolicited without participation

P — if the rating is unsolicited with participation.

Public

21

Press release

Press release

Specifies if the rating action was accompanied by a press release.

Mandatory.

Applicable for ‘Type of rating for ERP’ = ‘NXI’.

Y — yes

N — no.

Public

22

Press release language

Indicates the language in which the press release was issued.

Mandatory.

Applicable for ‘Press release’ = ‘Y’.

ISO 639-1

Public

23

Press release file name

Indicates the file name under which the press release was reported.

Mandatory.

Applicable for ‘Press release’ = ‘Y’.

ESMA standard

Public

24

Link to press release

Where the rating action is accompanied by the same press release as another rating action, it should state the ‘Action identifier’ for the action for which the common press release was firstly submitted.

Mandatory.

Applicable for press releases that relate to more than one rating action.

Valid ‘Action identifier’

Technical

25

Research report

Research report

Specifies if the rating action was accompanied by a research report. Applicable only for sovereign ratings reported under the sector: ‘SV’ or ‘SM’ or ‘IF’

Mandatory.

Applicable for ‘Rating type’ = ‘S’ and ‘Sector’ = ‘SV’ or ‘SM’ or ‘IF’

Y — yes

N — no

Public

26

Research report language

Indicates the language under which the research report was issued.

Mandatory.

Applicable for ‘Sovereign Research Report’ = ‘Y’

ISO 639-1

Public

27

Research report file name

Indicates the file name under which the research report was reported.

Mandatory.

Applicable for ‘Sovereign Research Report’ = ‘Y’

ESMA standard

Public

28

Link to research report

Where the rating is accompanied by the same research report as another rating action, it should state the ‘Action identifier’ for the action for which the common research report was firstly submitted.

Optional.

Valid ‘Action identifier’

Technical