ANNEX I U.K.

Table 1

Reporting of pricing policies per rating class in force and subsequent material updates

No.	Field name	Description	Type	Standard
1	CRA identifier	Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration.	Mandatory
2	CRA scope	Identification of the CRAs applying the pricing policy.	Mandatory	ISO 17442
3	Pricing policy identifier	Unique identifier of the pricing policy that shall be maintained. All changes other than the scope of the rating types covered by the pricing policy should maintain the same unique identifier. Changes in the scope require a new pricing policy identifier.	Mandatory	Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
4	Pricing policy validity date	The date from which the pricing policy is valid.	Mandatory	ISO 8601 date format (YYYY-MM-DD)
5	Pricing policy end date	The end validity date of the pricing policy.	Mandatory	ISO 8601 date dormat (YYYY-MM-DD) or 9999-01-01
6	Indication of model	Indication of whether the pricing policy relates to issuer-pays ratings or investor-pays or subscriber-pays model. ESMA understands that CRAs may operate services under more than one model and therefore it is possible that a pricing policy may be used for both types of models. In such cases I and S may both be chosen.	Mandatory	‘I’ for issuer-pays model, and/or ‘S’ for investor-pays or subscriber-pays model
7	Scope of the pricing policy	Description of the type of ratings or ancillary services included or covered by the pricing policy.	Mandatory	Indication whether the pricing policy applies to one or more of: ‘All’, ‘C’ for corporate ratings (excluding covered bonds), ‘S’ for sovereign and public finance ratings, ‘T’ for structured finance ratings, ‘B’ for covered bond ratings, ‘O’ other types of ratings, ‘A’ for ancillary services.
8	Industry segment of the pricing policy	When reporting corporate ratings indication whether the pricing policy applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.	Mandatory Applicable only if ‘C’ in field 7 ‘Scope of the pricing policy’	Indication whether the pricing policy applies to one or more of: ‘All’, FI — for financial institutions including banks, brokers and dealers, IN — for insurance rating type, CO — for corporate issuers that do not belong to FI or IN classes.
9	Asset class of the pricing policy	When reporting structured finance ratings indication whether the pricing policy applies to ratings within one of these segments: (i) RMBS; (ii) ABS; (iii) CMBS; (iv) CDO; (v) ABCP; (vi) other.	Mandatory Applicable only if ‘T’ in field 7 ‘Scope of the pricing policy’	Indication whether the pricing policy applies to one or more of: ‘All’, ‘RMBS’ for RMBS ratings, ‘ABS’ for ABS ratings, ‘CMBS’ for CMBS ratings, ‘CDO’ for CDO ratings, ‘ABCP’ for ABCP ratings, ‘OTH’ other.
10	Sector	When reporting sovereign and public finance ratings indication whether the pricing policy applies to ratings within one of these segments: (i) State rating; (ii) regional or local authority rating; (iii) supranational organisations (other than international financial institutions); (iv) public entities; (v) international financial institutions.	Mandatory Applicable only if ‘S’ in field 7 ‘Scope of the pricing policy’	Indication whether the pricing policy applies to one or more of: ‘All’, ‘SV’ — State rating, ‘SM’ — regional or local authority rating, ‘SO’ — supranational organisations rating other than ‘IF’, ‘PE’ — public entities rating, ‘IF’ — international financial institutions.
11	Previous pricing policy	The identification of the prior pricing policy which the current policy replaces.	Mandatory Applicable if the current pricing policy changes the scope of application of a previous pricing policy	Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
12	Pricing policy file name	Pricing policy file name. Shall be reported in a zip format	Mandatory

Table 2

Reporting of fee schedules per rating class in force and subsequent material updates

No.	Field name	Description	Type	Standard
1	CRA identifier	Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration.	Mandatory
2	CRA scope	Identification of the CRAs applying the fee schedule.	Mandatory	ISO 17442
3	Fee schedule identifier	Unique identifier of the fee schedule that shall be maintained over time. All changes other than the scope of the rating types covered by the fee schedule should maintain the same unique identifier. Changes in the scope require a new fee schedule identifier.	Mandatory	Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
4	Pricing policy identifier	Identification of the pricing policy which the fee schedule is meant to implement. This pricing policy identifier must correspond to the identifier(s) set out under Table 1 of Annex I.	Mandatory	Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5	Fee schedule validity date	The date from which the fee schedule is valid.	Mandatory	ISO 8601 date format (YYYY-MM-DD)
6	Fee schedule end date	The end validity date of the fee schedule.	Mandatory	ISO 8601 date format (YYYY-MM-DD) or 9999-01-01
7	Indication of model	Indication of whether fee schedule relates to issuer-pays ratings or investor-pays model.	Mandatory	‘I’ for issuer-pays model, ‘S’ for investor-pays or subscriber-pays model.
8	Rating type scope of the fee schedule	Description of the type of ratings or ancillary services included in the fee schedule.	Mandatory	Indication whether the fee schedule applies to one or more of: ‘All’, ‘C’ for corporate ratings (excluding covered bonds), ‘S’ for sovereign and public finance ratings, ‘T’ for structured finance ratings, ‘B’ for covered bond ratings, ‘O’ other types of ratings, ‘A’ for ancillary services.
9	Industry segment of the fee schedule	When reporting corporate ratings indication whether the fee schedule applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.	Mandatory. Applicable only if ‘C’ in field 8 ‘Rating type scope of the fee schedule’	Indication whether the fee schedule applies to one or more of: ‘All’ ‘FI’ — for financial institutions including banks, brokers and dealers, ‘IN’ — for insurance rating type, ‘CO’ — for corporate issuers that do not belong to FI or IN classes.
10	Asset class of the fee schedule	When reporting structured finance ratings indication whether the fee schedule applies to ratings within one of these segments: (i) RMBS; (ii) ABS; (iii) CMBS; (iv) CDO; (v) ABCP; (vi) other.	Mandatory. Applicable only if ‘T’ in field 8 ‘Rating type scope of the fee schedules’	Indication whether the fee schedule applies to one or more of: ‘All’, ‘RMBS’ for RMBS ratings, ‘ABS’ for ABS ratings, ‘CMBS’ for CMBS ratings, ‘CDO’ for CDO ratings, ‘ABCP’ for ABCP ratings, ‘OTH’ other.
11	Sector of the fee schedule	When reporting sovereign and public finance ratings indication whether the fee schedule applies to ratings within one of these segments: (i) State rating; (ii) regional or local authority rating; (iii) supranational organisations (other than international financial institutions); (iv) public entities; (v) international financial institutions.	Mandatory. Applicable only if ‘S’ in field 8 ‘Rating type scope of the fee schedules’	Indication whether the fee schedule applies to one or more of: ‘All’, SV — State rating, SM — regional or local authority rating, SO — supranational organisations rating other than ‘IF’, PE — public entities rating, IF — international financial institutions.
12	Sub-asset of the fee schedule	Defines the sub-asset classes for structured finance ratings.	Mandatory. Applicable only if ‘T’ in field 8 and ‘Asset class’ = ‘ABS’ or ‘RMBS’ or ‘CDO’ or ‘OTH’.	Indication whether the fee schedule applies to one or more of: ‘All’, 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.
13	Previous fee schedule	The identification of the prior fee schedule which the current fee schedule replaces.	Applicable if the current fee schedule changes the scope of application of a previous fee schedule	Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
14	Fee schedule file name	Fee schedule file name. Shall be reported in a zip format	Mandatory

Table 3

Reporting of fee programmes per rating class in force and subsequent material updates

No.	Field name	Description	Type	Standard
1	CRA identifier	Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration.	Mandatory
2	CRA scope	Identification of the CRAs applying the fee programme.	Mandatory	ISO 17442
3	Fee programme identifier	Unique identifier of the fee programme that shall be maintained over time. All changes other than the scope of the rating types or type of programme covered by the fee programme should maintain the same unique identifier. Changes in the scope require a new fee programme identifier.	Mandatory	Fee programme identifier in format ‘FP_[internal fee programme identifier]’
4	Pricing policy identifier	Identification of the pricing policy which the fee programme is meant to implement. This pricing policy identifier must correspond to the identifier(s) set out under Table 1 of Annex I.	Mandatory	Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5	Fee programme validity date	The date from which the fee programme is valid.	Mandatory	ISO 8601 date format (YYYY-MM-DD)
6	Fee programme end date	The end validity date of the fee programme.	Mandatory	— ISO 8601 date format (YYYY-MM-DD) or 9999-01-01
7	Indication of model	Indication of whether fee programme relates to issuer-pays ratings or investor-pays or subscriber-pays model.	Mandatory	‘I’ for issuer-pays model, and/or ‘S’ for investor-pays or subscriber-pays model.
8	Rating type scope of the fee programme	Description of the type of ratings or ancillary services included in the fee programme.	Mandatory	Indication whether the fee programme applies to one or more of: ‘All’, ‘C’ for corporate ratings (excluding covered bonds), ‘S’ for sovereign and public finance ratings, ‘T’ for structured finance ratings, ‘B’ for covered bond ratings, ‘O’ other types of ratings, ‘A’ for ancillary services.
9	Industry segment of the fee programme	When reporting corporate ratings indication whether the fee programme applies to ratings within one of these industry segments: (i) financial; (ii) insurance; (iii) other corporates.	Mandatory Applicable only if ‘C’ in field 8 ‘Scope of the fee programme’	Indication whether the fee programme applies to one or more of: ‘All’, FI — for financial institutions including banks, brokers and dealers, IN — for insurance rating type, CO — for corporate issuers that do not belong to FI or IN classes.
10	Asset class of the fee programme	When reporting structured finance ratings indication whether the fee programme applies to ratings within one of these segments: (i) RMBS; (ii) ABS; (iii) CMBS; (iv) CDO; (v) ABCP; (vi) other.	Mandatory Applicable only if ‘T’ in field 8 ‘Rating scope of the fee programme’	Indication whether the fee programme applies to one or more of: ‘All’, ‘RMBS’ for RMBS ratings, ‘ABS’ for ABS ratings, ‘CMBS’ for CMBS ratings, ‘CDO’ for CDO ratings, ‘ABCP’ for ABCP ratings, ‘OTH’ other.
11	Sector of the fee programme	When reporting sovereign and public finance ratings indication whether the fee programme applies to ratings within one of these segments: (i) State rating; (ii) regional or local authority rating; (iii) supranational organisations (other than international financial institutions); (iv) public entities; (v) international financial institutions.	Mandatory Applicable only if ‘S’ in field 8 ‘Rating type scope of the fee programme’	Indication whether the fee programme applies to one or more of: ‘All’, SV — State rating, SM — regional or local authority rating, SO — supranational organisations rating other than ‘IF’, PE — public entities rating, IF — international financial institutions
12	Sub-asset of the fee programme	Defines the sub-asset classes for structured finance ratings.	Mandatory. Applicable only if ‘T’ in field 8 and ‘Asset class’ = ‘ABS’ or ‘RMBS’ or ‘CDO’ or ‘OTH’.	Indication whether the fee programme applies to one or more of: ‘All’, 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.
13	Type of programme included	Description of the type of programme included in the fee programme, such as whether it relates to and/or includes a frequency of use programme, loyalty programme, multi-issuance programmes, purchase of a package of credit ratings or other types of programmes.		Indication whether the fee programme applies to one or more of: ‘All’, ‘F’ frequency of use, ‘L’ loyalty programme, ‘M’ multi-issuance programmes, ‘B’ for package purchase of a preset number of credit ratings, ‘OTH’ other types of fee programme.
14	Previous fee programme	The identification of the prior fee programme which the current fee programme replaces.	Mandatory Applicable if the current fee programme changes the scope of application of a previous fee programme.	Fee programme identifier in format ‘FP_[internal fee programme identifier]’
15	Fee schedule(s)	Unique identification number of any fee schedule(s) applicable or linked to the fee programme. This fee schedule identifier must correspond to the identifier(s) set out under Table 2 of Annex I.	Mandatory if applicable	Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
16	Fee programme file name	Fee programme policy file name. Shall be reported in a zip format	Mandatory

Table 4

Reporting of pricing procedures in force and subsequent material updates

No.	Field name	Description	Type	Standard
1	CRA identifier	Code used to identify the reporting credit rating agency. It is provided by ESMA upon registration.	Mandatory.
2	CRA scope	Identification of the CRAs applying the pricing procedure.	Mandatory.	ISO 17442
3	Procedure identifier	Unique identifier of the pricing procedure that shall be maintained over time.	Mandatory.
4	Pricing policy identifier	Identification of the pricing policy or policies which the pricing procedure is meant to implement. This pricing policy identifier must correspond to the identifier(s) set out under Table 2 of Annex I.	Mandatory.	Pricing policy identifier in format ‘PP_[internal pricing policy identifier]’
5	Fee schedule identifier	Identification of the schedule(s) which the pricing procedure is meant to implement. This fee schedule identifier must correspond to the identifier(s) set out under Table 2 of Annex I.	Mandatory. If applicable.	Fee schedule identifier in format ‘FS_[internal fee schedule identifier]’
6	Fee programme identifier	Identification of the fee programme(s) which the pricing procedure is meant to implement. This fee programme identifier must correspond to the identifier(s) set out under Table 3 of Annex I.	Mandatory. If applicable.	Fee programme identifier in format ‘FP_[internal fee programme identifier]’
7	Pricing procedure validity date	The date from which the pricing procedure is valid.	Mandatory.	ISO 8601 date format (YYYY-MM-DD)
8	Pricing procedure end date	End date of validity of the pricing procedure	Mandatory.	ISO 8601 date format (YYYY-MM-DD) or 9999-01-01
9	Pricing procedure file name	Pricing procedure file name. Shall be reported in a zip format	Mandatory.