How to deal with Ultimate Beneficial Owner

[rkottmann]

Hi,

I have question about handling information on UltimateBeneficialOwners.

In the below example there is ones a UltimateBeneficialOwner within an Organisation.

                        <efac:Organization>
                            <efbc:ListedOnRegulatedMarketIndicator>false</efbc:ListedOnRegulatedMarketIndicator>
                            <efac:UltimateBeneficialOwner>
                                <cbc:ID schemeName="ubo">UBO-0001</cbc:ID>
                                <efac:Nationality>
                                    <cbc:NationalityID>DEU</cbc:NationalityID>
                                </efac:Nationality>
                            </efac:UltimateBeneficialOwner>

and ones outside Organsation as a child Element of Organisations.

I understood that the main purpose of UltimateBeneficialOwner within an Organisation is to reference the full description of UltimateBeneficialOwner outside an Organisation (as a child Element of Organisations) .

However, the example seems to validate against 1.5.1 although both have the redundant information on NationalityID.

hence, the question: Where to locate NationalityID? and wouldn't it be desirable to not allow such redundancies? Or am I overlooking something?

thx in advance.

Complete example

<ContractAwardNotice xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
 xmlns:ext="urn:oasis:names:specification:ubl:schema:xsd:CommonExtensionComponents-2"
 xmlns="urn:oasis:names:specification:ubl:schema:xsd:ContractAwardNotice-2"
 xmlns:cac="urn:oasis:names:specification:ubl:schema:xsd:CommonAggregateComponents-2"
 xmlns:cbc="urn:oasis:names:specification:ubl:schema:xsd:CommonBasicComponents-2"
 xmlns:efac="http://data.europa.eu/p27/eforms-ubl-extension-aggregate-components/1"
 xmlns:efbc="http://data.europa.eu/p27/eforms-ubl-extension-basic-components/1"
 xmlns:efext="http://data.europa.eu/p27/eforms-ubl-extensions/1">
    <ext:UBLExtensions>
        <ext:UBLExtension>
            <ext:ExtensionContent>
                <efext:EformsExtension>
                    <efac:NoticeResult>
                        <efac:LotResult>
                            <cbc:ID schemeName="result">RES-0001</cbc:ID>
                            <cbc:TenderResultCode listName="winner-selection-status"
                                >selec-w</cbc:TenderResultCode>
                            <efac:LotTender>
                                <cbc:ID schemeName="tender">TEN-0001</cbc:ID>
                            </efac:LotTender>
                            <efac:SettledContract>
                                <cbc:ID schemeName="contract">CON-0001</cbc:ID>
                            </efac:SettledContract>
                            <efac:TenderLot>
                                <cbc:ID schemeName="Lot">LOT-0001</cbc:ID>
                            </efac:TenderLot>
                        </efac:LotResult>
                        <efac:LotTender>
                            <cbc:ID schemeName="tender">TEN-0001</cbc:ID>
                            <cbc:RankCode>1</cbc:RankCode>
                            <efac:TenderingParty>
                                <cbc:ID schemeName="tendering-party">TPA-0001</cbc:ID>
                            </efac:TenderingParty>
                            <efac:TenderLot>
                                <cbc:ID schemeName="Lot">LOT-0001</cbc:ID>
                            </efac:TenderLot>
                            <efac:TenderReference>
                                <cbc:ID>SIHB-2022-0006 1</cbc:ID>
                            </efac:TenderReference>
                        </efac:LotTender>
                        <efac:SettledContract>
                            <cbc:ID schemeName="contract">CON-0001</cbc:ID>
                            <cbc:Title languageID="DEU">839_Estrich- und Bodenbelagsarbeiten, Neubau
                                einer Mensa Karl-Marx-Schule in Bremerhaven</cbc:Title>
                            <cac:SignatoryParty>
                                <cac:PartyIdentification>
                                    <cbc:ID schemeName="organization">ORG-0001</cbc:ID>
                                </cac:PartyIdentification>
                            </cac:SignatoryParty>
                            <efac:ContractReference>
                                <cbc:ID>SIHB-2022-0006 1</cbc:ID>
                            </efac:ContractReference>
                            <efac:LotTender>
                                <cbc:ID schemeName="tender">TEN-0001</cbc:ID>
                            </efac:LotTender>
                        </efac:SettledContract>
                        <efac:TenderingParty>
                            <cbc:ID schemeName="tendering-party">TPA-0001</cbc:ID>
                            <efac:Tenderer>
                                <cbc:ID schemeName="organization">ORG-0003</cbc:ID>
                            </efac:Tenderer>
                        </efac:TenderingParty>
                    </efac:NoticeResult>
                    <efac:NoticeSubType>
                        <cbc:SubTypeCode listName="notice-subtype">E4</cbc:SubTypeCode>
                    </efac:NoticeSubType>
                    <efac:Organizations>
                        <efac:Organization>
                            <efac:Company>
                                <cac:PartyIdentification>
                                    <cbc:ID schemeName="organization">ORG-0001</cbc:ID>
                                </cac:PartyIdentification>
                                <cac:PartyName>
                                    <cbc:Name languageID="DEU">Magistrat der Stadt Bremerhaven
                                        vertreten durch den Wirtschaftsbetrieb Seestadt
                                        Immobilien</cbc:Name>
                                </cac:PartyName>
                                <cac:PostalAddress>
                                    <cbc:StreetName>Hinrich-Schmalfeldt-Straße, Stadthaus
                                        4</cbc:StreetName>
                                    <cbc:CityName>Bremerhaven</cbc:CityName>
                                    <cbc:PostalZone>27576</cbc:PostalZone>
                                    <cbc:CountrySubentityCode listName="nuts"
                                        >DE501</cbc:CountrySubentityCode>
                                    <cac:Country>
                                        <cbc:IdentificationCode listName="country"
                                            >DEU</cbc:IdentificationCode>
                                    </cac:Country>
                                </cac:PostalAddress>
                                <cac:Contact>
                                    <cbc:Telephone>+49 471 5902607</cbc:Telephone>
                                    <cbc:Telefax>+49 471 5903400</cbc:Telefax>
                                    <cbc:ElectronicMail>[email protected]</cbc:ElectronicMail>
                                </cac:Contact>
                            </efac:Company>
                        </efac:Organization>
                        <efac:Organization>
                            <efbc:ListedOnRegulatedMarketIndicator>false</efbc:ListedOnRegulatedMarketIndicator>
                            <efac:UltimateBeneficialOwner>
                                <cbc:ID schemeName="ubo">UBO-0001</cbc:ID>
                                <efac:Nationality>
                                    <cbc:NationalityID>DEU</cbc:NationalityID>
                                </efac:Nationality>
                            </efac:UltimateBeneficialOwner>
                            <efac:Company>
                                <cac:PartyIdentification>
                                    <cbc:ID schemeName="organization">ORG-0003</cbc:ID>
                                </cac:PartyIdentification>
                                <cac:PartyName>
                                    <cbc:Name languageID="DEU">Gerba Estrich GmbH</cbc:Name>
                                </cac:PartyName>
                                <cac:PostalAddress>
                                    <cbc:StreetName>Im Gewerbepark</cbc:StreetName>
                                    <cbc:CityName>Schiffdorf</cbc:CityName>
                                    <cbc:PostalZone>27619</cbc:PostalZone>
                                    <cac:Country>
                                        <cbc:IdentificationCode listName="country"
                                            >DEU</cbc:IdentificationCode>
                                    </cac:Country>
                                </cac:PostalAddress>
                            </efac:Company>
                        </efac:Organization>
                        <efac:UltimateBeneficialOwner>
                            <cbc:ID schemeName="ubo">UBO-0001</cbc:ID>
                            <efac:Nationality>
                                <cbc:NationalityID>DEU</cbc:NationalityID>
                            </efac:Nationality>
                        </efac:UltimateBeneficialOwner>
                    </efac:Organizations>
                </efext:EformsExtension>
            </ext:ExtensionContent>
        </ext:UBLExtension>
    </ext:UBLExtensions>
    <cbc:UBLVersionID>2.3</cbc:UBLVersionID>
    <cbc:CustomizationID>eforms-sdk-1.5</cbc:CustomizationID>
    <cbc:ID schemeName="notice-id">7a349255-691f-4191-a6ef-016c16801a34</cbc:ID>
    <cbc:ContractFolderID>8747722f-8399-4ae4-a5c6-98dc4bb7ca95</cbc:ContractFolderID>
    <cbc:IssueDate>2022-04-06+02:00</cbc:IssueDate>
    <cbc:IssueTime>10:05:41+02:00</cbc:IssueTime>
    <cbc:VersionID>01</cbc:VersionID>
    <cbc:RegulatoryDomain>32014L0024</cbc:RegulatoryDomain>
    <cbc:NoticeTypeCode listName="result">can-standard</cbc:NoticeTypeCode>
    <cbc:NoticeLanguageCode>DEU</cbc:NoticeLanguageCode>
    <cac:ContractingParty>
        <cac:Party>
            <cac:PartyIdentification>
                <cbc:ID schemeName="organization">ORG-0001</cbc:ID>
            </cac:PartyIdentification>
        </cac:Party>
    </cac:ContractingParty>
    <cac:TenderingProcess>
        <cbc:ProcedureCode listName="procurement-procedure-type">oth-single</cbc:ProcedureCode>
    </cac:TenderingProcess>
    <cac:ProcurementProject>
        <cbc:Name languageID="DEU">839_Estrich- und Bodenbelagsarbeiten, Neubau einer Mensa
            Karl-Marx-Schule in Bremerhaven</cbc:Name>
        <cbc:Description languageID="DEU">Estrich- und Bodenbelagsarbeiten</cbc:Description>
        <cbc:ProcurementTypeCode listName="contract-nature">works</cbc:ProcurementTypeCode>
        <cac:MainCommodityClassification>
            <cbc:ItemClassificationCode listName="cpv">45000000</cbc:ItemClassificationCode>
        </cac:MainCommodityClassification>
    </cac:ProcurementProject>
    <cac:ProcurementProjectLot>
        <cbc:ID schemeName="Lot">LOT-0001</cbc:ID>
        <cac:ProcurementProject>
            <cbc:ID schemeName="InternalID">1</cbc:ID>
            <cbc:Name languageID="DEU">Lot 1</cbc:Name>
            <cbc:Description languageID="DEU">Estrich- und Bodenbelagsarbeiten</cbc:Description>
            <cbc:ProcurementTypeCode listName="contract-nature">works</cbc:ProcurementTypeCode>
            <cac:MainCommodityClassification>
                <cbc:ItemClassificationCode listName="cpv">45000000</cbc:ItemClassificationCode>
            </cac:MainCommodityClassification>
            <cac:RealizedLocation>
                <cac:Address>
                    <cac:Country>
                        <cbc:IdentificationCode listName="country">DEU</cbc:IdentificationCode>
                    </cac:Country>
                </cac:Address>
            </cac:RealizedLocation>
        </cac:ProcurementProject>
    </cac:ProcurementProjectLot>
    <cac:TenderResult>
        <cbc:AwardDate>2000-01-01Z</cbc:AwardDate>
    </cac:TenderResult>
</ContractAwardNotice>

[YvesJo]

Hi,
Your understanding is correct, the only UBO information expected inside an organization is the UBO technical identifier and is used to refer to the UBO object inside Organizations and which contains all information about the UBO (including nationalities).
Rules preventing the use of non-defined fields are not yet in place and should be implemented to prevent situations like the one you illustrate.

[rkottmann]

thx for confirming. then something like:

  <let name="ROOT-NODE"
    value="(/cn:ContractNotice | /pin:PriorInformationNotice | /can:ContractAwardNotice | /brin:BusinessRegistrationInformationNotice)" />

  <let name="EXTENSION-ORG-NODE"
    value="$ROOT-NODE/ext:UBLExtensions/ext:UBLExtension/ext:ExtensionContent/efext:EformsExtension/efac:Organizations/efac:Organization" />


    <rule
      context="$EXTENSION-ORG-NODE/efac:UltimateBeneficialOwner/*[not(local-name(.) = 'ID')]">
      <assert id="SR-EU" test="false()"
        >No child element except cbc:ID allowed here. Please give all information in own separate efac:Organizations/efac:UltimateBeneficialOwner </assert>

    </rule>

Should do.

I did first tests for eForms-DE (tailored rules in Germany). For details see here https://projekte.kosit.org/eforms/eforms-de-schematron/-/merge_requests/14/diffs

If you agree I would

1. Raise an issue here to request implementation of such a rule
2. Second in the meantime we will already implement it for eForms-DE until it is released in SDK. Reason: People already use it wrong.

[YvesJo]

You may raise your concern, either as an issue or as an idea. We are aware of it and also were discussing shortly another option which however requires a field definition for any allowed leaf.

[rkottmann]

I created an issue just because it was simpler to do with "Create issue from discussion" feature