CIS09-2234

Source language: English 15/12/2009

Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1
Mairy BEAM (ASCAP), Edward OSHANANI (BMI), Santiago MORENA (SGAE)

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

Approval Process Version 1.1 (Document CIS09-2234)

Revision Date Comment

Version 1.0 (Document ISMWI0040)

Revision ISMWI0040 Date 15 Jun 2001 Comment CIS Steering Committee, Distribution Technical Committee

Table of Revisions Version 1.1 (Document CIS09-2234)

Revision Version 1.1 Date October 2009 Main modifications Remove reference to the WRN transaction Add new business workflow. Add edits for CIS character Set Change reference to the ISO language codes to CIS language code. Changes to Reference Documents Section Use of EDI version 2.1 mandated File naming convention for 3 types of UP files

Version 1.0 (Document ISMWI0040)

Revision 0 1 Date April 1999 Feb 2000 Main modifications Use TIS for territory Use Distribution Category table from Royalty Distribution Format Type "E4" Performing Rights in place of the Performance Source Table Allow for ranges in monetary amount Refer to new fields in group header and trailer Format to be used for any circulation of unidentified performances Add ability to request director and scriptwriter info Allow ARN record to be used when supplying AV info UPI required for UPA transaction only if no unique identifier for AV performance on the UPA Only ARN to be used when supplying AV info Remove AV transactions (now part of AVI032) Change type of right to be length 2 in PIP Change IPI name # to be length 11 Appendix with file skeleton added Add WRN transaction to reply to UPW transaction Remove reference to version 2 of the WIA transaction Expand file skeleton in appendix to include WRN transaction Note approval of document In PIP record the IP role is now validated against the Work Interested Party Role Table

March 2000

3 4 5

May 2000 July 2000 Dec 2000

April 2001

March 2004

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

Table of contents

12-

Introduction ..................................................................................................... 4 Recommended Work Flows ........................................................................... 5

2.1 2.2 2.3 2.4 2.5 Steps for the identification processes ................................................................ 5 Identification before the Distribution (Pre-Distribution) ...................................... 5 Recommendation for Pre-Distribution scenario ................................................. 6 Identification after the distribution (Post-Distribution) ........................................ 6 Recommended Workflow for the Post-Distribution scenario .............................. 7

345-

Electronic Data Interchange......................................................................... 10

3.1 - File structure ....................................................................................................10 3.2 - File naming convention ....................................................................................10

Transaction Header Records ....................................................................... 12

4.1 - UPW: Unidentified Performance/Use of a Musical Work ..................................12

Detail Records ............................................................................................... 15

5.1 - UPI: Unidentified Performance Information ......................................................15 5.2 - PIP: Interested Party for Performance..............................................................17

Reference Documents CTR09-0530: UP Format Working Group Recommendations to the Distribution Technical Committee CISNET08-3826: UP Matching Batch Service Business Requirements AG/02/459: Distribution Technical Committee Report CIS07-1563: CIS-Net Consolidated Business Rules CISNET08-3833: UP Matching Batch Services Functional Specifications CISNET09-2251: Batch Services, Unidentified Performances: Technical Specifications CISNET09-2246: User Guide Batch Services Systems CRD09-1005R1: CRD Format EDI Specifications

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

1 - Introduction
The Unidentified Performances format outlined in this paper will facilitate the circulation of data regarding unidentified performances and/or uses of musical works. This format was approved by the CIS Steering Co and the Distribution Technical Committee. On the basis of the proposition formulated during the Technical Committee meeting in Nice, in December 2001, CISACs Administrative Council adopted a resolution recommending the implementation of this format by all author societies between December 2002 and December 2003. [Ref. AG/02/459 Distribution Technical Committee Report] This format should be used for international circulation of enquiries of works for which the society does not possess sufficient documentation to distribute royalties. This format can be used in the following scenarios: a. To send data to the CIS-Net Matching Batch Services facility b. To send data directly to a sister society c. If a society has a policy of sending unidentified lists to its members, it is recommended that this format be used for that purpose also. Some manual effort will be required to identify performances/uses that the system failed to match. In order to spend these resources in a judicious manner, it is necessary to have an estimate of the worth of the performance or use. For this reason, there is an estimated monetary value associated with each performance or use. It is understood that this value is only an estimate. If a society cannot supply an estimate, it is possible to give a range of values. The currency for the monetary value is indicated in the group trailer record. The file may be restricted to those works having a certain total minimum sum for distribution that is fixed by the distributing society. See the CIS-Net Consolidated Business rules (CISNET071563). The format for the circulation of unidentified performances/uses of audio-visual works can be found in the document, AVI06-0213R2 (AVR Format Version 1.1 Revision 2). The format used for audio-visual works has the same structure as the format for musical works. The Distribution Technical Committee has specified: i. It is only allowed Full UP files ii. Societies must generate and send minimum one UP file per year

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

2 - Recommended Work Flows

2.1 - Steps for the identification processes
The identification processes can be performed before and after the distribution, according to the following diagram: Diagram #1 Timescale for Distribution processes

2.2 - Identification before the Distribution (Pre-Distribution)

The remitting society identification process starts once the music usage reports have been received in the Society, the musical licence was issued, and the royalties were invoiced. The identification process is first performed internally against the own Society systems, and then the not matched usages must be performed against the CIS-Net. Once the remitting society has received potential matches from the CIS-Net, the work documentation for the usages that have been matched must be integrated in the society database, and finally the society will distribute the royalties according to the documentation in its proprietary systems. Unfortunately, there will be still a high number of unidentified usages. Some of the reasons are: The proprietary database does not contain the work registrations, as it is possible that the work registration has not been registered by its affiliated members. CIS-Net includes only active repertoire (it is required a minimum set of data in order to populate the CIS-Net); therefore, there are works that have not been sent to the CIS-Net node, so any matching process will not produce any positive result. Many usage reports have wrong information (misspelled titles, lack of information about writers, etc.), so the identification process will be very complex. It will require a deeper research at the receiving society level, as any data in the usage report could be a clue in order to perform a positive identification.

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

2.3 - Recommendation for Pre-Distribution scenario

As it has been explained before, Pre-Distribution timeframes are usually very short, mainly because: The own society internal distribution processes The need for the remitting society to register the work documentation, and to include it in the distribution.

Therefore, any society, under its own responsibility / discretion, will be able to send PreDistribution UP files to the CIS-Net UP Matching batch services, which current SLA (Service Level Agreement) about processing times is 4 hours for High priority files (less that 250 records UP files), and 10 business days for normal UP files (10.000 records UP files). For each matched UP sent to the CIS-Net UP Matching batch services, the remitting societies could get more than 1 result, as it will depend on the matching parameter that needs to be set before requesting the service. The response to Pre-Distribution UP files needs to be processed, as well as works documentation needs to be registered in the societys database. Due to timeframes before the distribution, there is no sense in sending Pre-Distribution UP files to societies. Therefore, use of CIS-Net UP Matching batch services for Pre-Distribution depends on the criteria / discretion of each society. The naming structure of the file will be according to the CIS guidelines for Electronic Data Interchange1. The Pre-Distribution file would be identified by the prefix of UPP.

2.4 - Identification after the distribution (Post-Distribution)

After the distribution, the remitting Society will have a number of new unidentified usages. Some of them will be completely new; some of them will have the same information (title, authors, performers, etc.) than other unidentified usages from previous distributions, which will have surely been sent in previous UP files.

CIS Guidelines for EDI can be found in document, SR09-0081(CIS guidelines for Electronic Data Interchange Version 2.1).

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

2.5 - Recommended Workflow for the Post-Distribution scenario

The DTC UP Format working group has agreed the following diagram as the recommended post-distribution workflow for UP files: Diagram #2 Post-Distribution Workflow

Workflow description: 1. After the distribution, or at regular intervals (but not less that once per year), remitting societies will generate an UP file (UP File #1) which will contain the unidentified usages, including UPs Reference Numbers for each unidentified usage. 2. Remitting Societies will only create and send Full UP files which: a. Will update the previous UP file of the same society b. Will include both first time unidentified usages, as well as old unidentified usages that were already included in previous UP files. 3. Remitting Societies will send their UP files #1 to the CIS-Net batch services for matching purposes. The remitting society will set the matching parameters for the batch service. These parameters will be logged for future actions.

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

The Remitting Society will run the UP Matching batch service. Remitting Societies will have 15 business days to run the UP Matching Batch Service. In case the service is not launched in 15 days, the batch services will generate an UP file which will be available to all CISAC societies as UP File #2. 4. Once the CIS-Net UP Matching batch services returns the potential matches, review of potential matches will be responsibility of the Remitting Society. These societies will have 30 business days to confirm the matches. In case that the confirmation process have not been ended after 30 business days, all the NonConfirmed potential matches will not be considered, and the related Unidentified Performances will be included in the UP file #2, which is available to all CISAC societies. 5. The Remitting Society will be able to obtain under its own criteria the confirmed results manually, or by electronic file, in either CISML or CWR formats. The confirmed results will include the work documentation for those works matched and confirmed, as well as the UPs Reference Numbers that will allow to automatically link the usage to the work. 6. Remitting Societies will upload the work documentation in its internal systems; they will link the work to the usage, and will include the credited royalties in the next / subsequent distribution. 7. After the batch services matching process, the tool will generate automatically a cleared UP format file (UP File #2), which will be available to all CISAC societies (receiving societies) under demand. The naming structure of the file will be according to the CIS guidelines for Electronic Data Interchange2. UP Files #1 will have the abbreviated form UP1, whereas UP Files #2 will be marked with the abbreviated UP2. 8. Once the file is retrieved from the batch services, Receiving Societies will follow their own identification processes. 9. Receiving Societies will populate the CIS-Net with the works documentation for those Unidentified Performances that have been matched to, and afterwards will push the works or generate an UP Response file in CWR format. The responses will include the Reference Numbers used by the Remitting Societies to identify each of the unidentified performances. 10. Receiving Societies will be able to review each Full UP files till next Full UP File has been created, as the new one will be an update of the previous one. 11. After receiving the works documentation, the Remitting Society will confirm the matches, and a. If they are appropriated, will register the works and link them to their related unidentified usages, including the credited royalties in the next / subsequent distribution.

At the time of writing, the latest CIS Guidelines for EDI can be found in document, SR09-0081(CIS guidelines for Electronic Data Interchange Version 2.1).

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

b. If the matches failed confirmation, the Remitting Society will notify the Receiving Society indicating the Reference Number of the Non-Confirmed match. 12. CRD statement files will add the identified royalties from the UP processes as normal payment, ideally including the Reference Number3. This would allow receiving societies to know that the identified usage has been properly paid.

Details on fields to include Reference Numbers in the CRD records are being discussed with the CRD MC.

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

3 - Electronic Data Interchange

This format follows the CIS guidelines for electronic data interchange. The version of the EDI Guidelines to be used with this format is SR09-0081 CIS guidelines for Electronic Data Interchange Version 2.1.

3.1 - File structure

The guidelines specify a header record which identifies the sending society, transmission date, etc., and a trailer record which contains group, record, and transaction counts. It is possible to send different types of transactions within one file. Transactions of one type are grouped together with a group header and group trailer. The group header alerts the receiving society that the transactions to follow are unidentified performances/uses. The group trailer provides not only the record and transaction count but also a total monetary value for all performances and uses, and the currency used for the monetary value. The EDI guidelines also describe standards for a record prefix. The format of the record prefix is the same for each record, no matter what the transaction type is. The record prefix contains the record type and sequence numbers to safeguard the integrity of the file. The Version Number in the Group Header (GRH) must be "01.10".

3.2 - File naming convention

The file naming convention of the EDI Guidelines allows for the type of UP files to be distinguished as follows: UPP pre-distribution UP file UP1 UP file generated by a society UP2 UP file generated by CIS-Net, containing all performances/uses not yet identified from the corresponding UP1 file. Example of the EDI file naming convention as it applies to a UP2 file: UP2 20091201 131200 ALL 072 . txt

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

Positions 1-3 4-17

Contents An abbreviated form of the sub-system name. In this case, UP2 identifies that the file has been automatically generated by the batch services. A date-and-time stamp indicating when the file was created; this is in the format YYYYMMDDhhmmss where YYYY is the year MM is the month, always 2 digits with leading zero: 01-12 DD is the day-of-month, 2 digits with leading zero: 01-31 hh is the hour (24-hour format); two digits with lead zero: 00-24 mm is the minutes, 2 digits with leading zero: 00-59 ss is the seconds, 2 digits with leading zero: 00-59 The CISAC code of the receiving society or tool. If the file is intended for all societies (e.g. daily transactions from a CIS tool), use ALL. The CISAC code of the sending society or tool. A period to separate the file name from the file extension. An extension, the value of which may be decided by the management committee of the appropriate standard or tool. For instance, this may contain the version number of the standard to which the file complies. N.B. The extension cannot contain a period.

18-20 21-23 24-24 25-27

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

4 - Transaction Header Records

Within the Unidentified Performance format, a transaction is described as all the information required to describe a performance or use of a musical work. The following type of transaction is defined: UPW: Unidentified Performance/Use of a Musical Work When the distributing society is circulating their unidentified performances or uses, these transaction headers will be followed by the detail records, Unidentified Performance Information (UPI) and Interested Party for Performance (PIP), described in this document.

4.1 - UPW: Unidentified Performance/Use of a Musical Work

Transaction Description This transaction will allow societies to circulate information pertaining to performances or uses of a musical work. Transaction Format
Record Type UPW UPI PIP Name Unidentified Performance of a Musical Work Unidentified Performance Information Interested Party for Performance Req. M M M Max Use 1 M M Comments Data regarding the musical work Performance or usage information Interested party information

Record Description The UPW record contains information specific to a musical work that has received a performance or use. Record Format
Field Record Type Transaction Sequence # Start 1 4 Size 3 8 Fmt L N Req M M Field Description Set to UPW (Unidentified Performance of a Musical Work) If this is the first transaction within a group, the Transaction Sequence # must be equal to 00000000. Otherwise, the Transaction Sequence # must be equal to the previous transaction headers Transaction Sequence # incremented by 1. For transaction headers, always set to 00000000. The title of the musical work left justified. Rule A B

Record Sequence # Work Title

12 20

8 60

N A

M M

B 1, 9

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1 Field CIS Language Code Filler Society Work # Local Work Title Local Title Language Code Filler Musical Work Distribution Category ISRC Label Start 80 Size 2 Fmt L Req O Field Description The language of the title of the musical work. Rule 3

82 83 97 157

1 14 60 2

A A A L

O O O O

Set to space The number attached to this work by the society circulating the unidentified list. The local title of the musical work left justified. The language of the local title.

4 2 9 5

159 160

1 3

A L

O O

Set to space. The category of music as it applies to special distributions rules (serious, jazz,).

6 7

163 173

10 15

A A

O O

The International Standard Record Code (ISRC) assigned to this musical work. This field will contain either the manufacturers name or the mark under which the record is sold. This field will contain the title of the album.

Album Title

188

30

10

Transaction Level Validation

A. There must be at least one valid UPI and PIP record for a UPW transaction. (TR)

Version 1.1 Edits B. See Numbering Rules for Transaction and Record Sequence Numbers in the EDI Guidelines document. (TR)

Field Level Validation

1. 2. 3. 4. 5. 6. 7. 8. Work Title must be entered. This is the title of the musical work. (TR) The Society Work #, if entered, must be unique for the society circulating the unidentified list. (FR) The Language Code, if entered, must be a valid entry in the "CIS Language Code" table. (FR) Reserved. The Local Title Language Code, if entered, must be a valid entry in the "CIS Language Code" table. (FR) Reserved. The Musical Work Distribution Category, if entered, must be a valid entry in the "Musical Work Distribution Category" table. (FR) The ISRC, if entered, must be a valid ISRC. (FR)

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

Version 1.1 Edits 9. Work Title must contain only valid ASCII characters from within the Titles section of the allowed CIS character set. (TR)

10. Album Title must contain only valid ASCII characters from within the Titles section of the allowed CIS character set. (FR).

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

5 - Detail Records
Detail Records contain the information required to define each transaction. The following record types are defined in this section: UPI: Unidentified Performance Information PIP: Interested Party for Performance

5.1 - UPI: Unidentified Performance Information

Record Description The UPI transaction will be used to report information regarding the performance or use of a musical work. Record Format
Field Record Type Transaction Sequence # Record Sequence # Reference Number Performance Start Date Performance End Date Type of Right Start 1 4 Size 3 8 Fmt L N Req M M Field Description Set to UPI (Unidentified Performance Information). For detail records, the Transaction Sequence # must be equal to the Transaction Sequence # of the previous transaction header. For detail records, set this field to the Record Sequence # of the previous record written to the file incremented by 1. This is a sequential number assigned by the remitting society that identifies each unidentified performance. This identifies the earliest date of performance. This identifies the latest date of performance. This identifies the type of right for which royalties are earned (for example, Mechanical Rights, Performing Rights, Sync Rights) Reserved for future use This identifies the source of performance royalties (e.g. Radio, TV, Cinema). This identifies an estimate of the amount of royalties earned as a result of the work or AV work performance. There is no decimal place -- earnings should be rounded to the nearest unit. This identifies number of times the work was performed. 5 6, 7 A Rule

12

20

29 37 45

8 8 2

D D L

O O M

2 3 4

Filler Distribution Category Estimated Earnings

47 48 50

1 2 10

A L N

O O C

Performance Count

60

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1 Field Performance Duration Start 69 Size 6 Fmt T Req O Field Description This identifies the duration of the performance. If the performance count is greater than 1, the duration specified is for each performance. This field specifies the classification of the broadcaster. For example, for a TV broadcaster, is it Local, Network or Cable. This is a free form field. This field specifies the actual broadcaster or venue of the performance (e.g. BBC, SkyTV, Rogers). The territory code of the region within a societys given territory where the performance occurred (e.g. Wales, Luxembourg). If this is an enquiry list generated prior to the distribution, indicate Y. The default is No for UP1 and UP2 files. The default is Yes for UPP files. This identifies an estimate of the lower range of the amount of royalties earned as a result of the work or AV work performance. There is no decimal place -- earnings should be rounded to the nearest unit. This identifies an estimate of the upper range of the amount of royalties earned as a result of the work or AV work performance. There is no decimal place -- earnings should be rounded to the nearest unit. Rule 9

Performance Source Type

75

20

Performance Source Detail Performance Region

95

20

115

10

Pre- Dist?

119

11

Earnings Range From

120

10

6, 12

Earnings Range To

130

10

6, 13

Record Level Validation

A. See Numbering Rules for Transaction and Record Sequence Numbers in the EDI Guidelines document. (TR)

Field Level Validation

1. The Reference Number assigned by the society circulating the unidentified list must be entered and must be unique within the society. (TR) 2. Performance Start Date, if entered, must be a valid date. (FR) 3. Performance End Date, if entered, must be a valid date. (FR) 4. The Type of Right must be a valid code in the "Type of Rights" table. (TR) 5. The Distribution Category, if entered, must be a valid code in the "Distribution Category" table . (FR) 6. Either the Estimated Earnings, or the Earnings Range From and Earnings Range To must be entered. (TR)
4

Distribution Category table can be found in CRD09-1005R1 CRD EDI format Specifications.

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1 7. Estimated Earnings must be an integer value. (TR) 8. Performance Count must be an integer value. (FR) 9. Performance Duration, if entered, must be a valid duration. It must represent the duration of a single performance. (TR) 10. The Performance Region, if entered, must be a valid code from the Territory Information System database. (FR) 11. Pre-Dist must be either 'Y'es or 'N'o. Default is 'N'o for UP1 and UP2 files. Default is 'Yes for UPP files. (FR) 12. Earnings Range From must be an integer value. (TR) 13. Earnings Range To must be an integer value. (TR)

5.2 - PIP: Interested Party for Performance

Record Description The PIP record is used to document the information known about the interested parties for an unidentified performance or use. For example, the interested party could be the performing artist or composer of a musical work. The purpose of this record is to provide an aid for identification of the performance or use. Record Format
Field Record Type Transaction Sequence # Record Sequence # IP Name IP First Name IP Number IPI Name Number IP Role Performing Society Mechanical Society Start 1 4 Size 3 8 Fmt A N Req M M Field Description Set to PIP (Interested Party for Performance) For detail records, the Transaction Sequence # must be equal to the Transaction Sequence # of the previous transaction header. For detail records, set this field to the Record Sequence # of the previous record written to the file incremented by 1. The company name or the last name of an individual. The first name of an individual. Remitting societys unique identifier for the interested party (IP) The IPI name number of the interested party The code defining the role of the IP in this musical work. The possible society of the IP for performing rights. The possible society of the IP for mechanical rights. A Rule

12

20 65 95 104 115 117 120

45 30 9 11 2 3 3

A A A A L L L

M O O O O O O

1, 7 8 2 3 4 5 6

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

Record Level Validation

A. See Numbering Rules for Transaction and Record Sequence Numbers in the EDI Guidelines document. (TR)

Field Level Validation

1. The IP Name must be entered. (TR) 2. The IP Number, if entered, must uniquely identify an interested party within the database of the society which is circulating the unidentified list. (FR) 3. The IPI Name Number, if entered, must be a valid entry in the IPI database. (FR) 4. The IP Role, if entered, must be a valid entry in the "Work Interested Party Role" table. (TR) 5. The Performing Society, if entered, must be a valid entry in the "CISAC Society" table. (FR) 6. The Mechanical society, if entered, must be a valid entry in the "CISAC Society" table. (FR) Version 1.1 Edits 7. IP Name must contain only valid ASCII characters from within the Names section of the allowed CIS character set. (RR). 8. IP First Name must contain only valid ASCII characters from within the Names section of the allowed CIS character set. (RR).

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Guidelines for the Circulation of Unidentified Performances Usage Data of Musical Works Specifications: UP Format Version 1.1

Appendix Sample File Skeletons Society A circulates unidentified musical works performances/uses
HDR GRH UPW UPI UPI PIP PIP UPW UPI PIP UPW UPI PIP GRT TRL Transmission Header from society A to many societies Group Header for circulation of unidentified music uses Data regarding the musical work Data for unidentified musical performance/use Data for unidentified musical performance/use Composer Author Data regarding the musical work Data for unidentified musical performance/use Performer Data regarding the musical work Data for unidentified musical performance/use Composer/Author Group Trailer contains currency and total estimated amt Transmission Trailer

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