1. technology and computing
2. software
3. databases

 Version 1.1 July 2012
Version
Technical Reference Document
Dealing
Learner
Enquiries,
How to with
prepare
an LRB
batch
Complaints
& Appeals
(Learner
Registration
Bodies)
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Contents
1. Introduction
2. Interface Overview
3. Data Formats
4. Validation Requirements
5. Return codes and what they mean
6. Appendix A – Nationality codes
7. Appendix B – Validation rules for postcode
8. Appendix C – Validation rules for email
9. Appendix D – Restrictions on learner data
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1.
Introduction
a. Important note for all versions of Batch Registration Files
This document should be read by users of all Batch Registration Interface versions as it
contains important information on the most up-to-date Batch Registration logic.
Users wishing to continue with previous versions must adhere to the file structure and format as
stated in the version-related Interface Specifications whilst adhering to the validation outlined in
this latest Interface Specification.
b. Background
The Learning Records Service (LRS) system will provide services to the education sector to
uniquely identify Learners and to allocate Unique Learner Numbers (ULNs) to them so that,
over time, a lifelong record of their learning participation and achievement can be maintained.
The use of the ULN is intended to simplify all system to system interfaces within the sector. The
ability to make available the personal learning record will facilitate the provision of further
Learning Aims and reduce the administrative burden of registration of Learners.
The Organisation Portal is the new name for the Learner Registration Service (LRS).
Note that it is possible for two or more Learners to be part of a ‘merged’ relationship (where
Learners have been identified as duplicates within the LRS Organisation Portal but relate to a
single person). In this case, these Learners are termed Linked and are associated with a single
Master record. (Note that a Learner with no Linked Learners is also termed a Master).
This document is intended to define the interface formats for the batch submission and return of
ULN requests and allocations.
c. Audience
The audience for this document is those responsible for the amendment of MIS systems and
those repairing the interface files (Batch Registration files).
d. Purpose
The purpose of this document is to describe how to create interface files that will be accepted
by the Learning Records Service, how to submit them to the LRS Organisation Portal and what
to expect in return.
e. Scope
This document defines the technical interface to the LRS Organisation Portal. This covers data
definitions and file transfer protocols. This document covers the interface for batch registration
only.
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f. Changes in this Version
Release 8 implements a small change to the meaning of Return Code RC003 which is now
‘ULN Confirmed’ (previously ULN Confirmed – No changes) due to the way the LRS now
updates ULN records. Release 8 also enhances the matching algorithm and uses improved
postcode matching which upon an exact match will update the LRS accordingly.
g. Reference of Documents
 Learner Registration Body (LRB) User Guide
 CSV file template
 A quick guide to data quality
 Working with the LRS – Data quality and the Unique Learner Number (ULN)
 Data Quality Framework
 Data Governance
 Service Charter
 Upload/Download XML Schema Definition – for batches submitted using XML
language only:
i.
LearnerRegistrationRequest(XSD) 2A.xsd
ii. LearnerRegistrationResponse(XSD) 2A.xsd
All the above documentation can be found on the LRS website.
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2.
Interface Overview
This section describes at a high level the different interfaces available and an approach to
deciding which is appropriate.
The Batch Registration interface behaves differently depending on whether or not a ULN is
provided for the Learner in the input file:

For Learners whose details are supplied including a ULN, we will attempt to find the
Learner and update the details already held in the LRS Organisation Portal with any new
information supplied.

For Learner details supplied without ULNs, we will perform a search to identify a
matching Learner and return a response which indicates whether this was successful
(including the Learner details found in the case of an Exact Match).
To perform updates to existing Learners:
1. Create a registration batch file containing details of Learners (including their ULN) in order
that they can by found and their details updated within the Organisation Portal.
2. Submit the batch file to the Learning Records Service through the batch registration
mechanism.
3. Download an output file containing the details held for each Learner following any updates.
4. Check the details returned to determine whether all data items were updated (details of the
rules applied to certain fields are described later in this section).
To register new Learners for ULNs:
1. Create a registration batch file containing details of the Learners
2. Submit the batch file to the Learning Records Service through the batch registration
mechanism.
3. Download an output file which (for each Learner) will either indicate that one or more
matching Learners was found within the LRS Organisation Portal, or will contain details of
new ULN Register Records for those that could not be found.
4. Update the MIS system with new ULNs, and investigate any exceptions with a view to
resolving these.
Note that a single batch file may contain a combination of Learners both with and without ULNs,
as the LRS Organisation Portal processes each Learner individually.
There are two types of batch submissions – Verification Only (CHK) and Full (FUL)
Submission. If a batch file is being submitted in Verification Only mode, then no data within the
LRS Organisation Portal will be updated, and no data held within the LRS Organisation Portal
will be returned unless a match was found from the supplied details in the submitted batch file.
We will process the data and return an output file of results, providing a return code for each
Learner, stating what happened during processing. The outcome may be a success, an
exception or an error and these can be viewed and acted upon from the LRS Organisation
Portal. Exceptions can only be viewed through the portal for FULL submissions.
The Learner Registration Body (LRB) can then process the returned output file against the MIS
system. Where exceptions or errors have been raised the LRB can either correct them with a
manual update of the LRS Organisation Portal using the facilities offered by the Learning
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Records Service or correct them within the MIS system and resubmit details to the Learning
Records Service through the submission of further batch files.
It is recognised that Learners’ details change over time and that LRBs may be in possession of
the most up-to-date details on Learners. The Learning Records Service encourages LRBs to
supply the most up-to-date details about Learners in order to maintain and improve the quality
of the information shared with appropriate partners. It is for this reason that the following rules
apply to how the Learning Records Service will process the data that is supplied within the
batch updates:

Updates will be performed if the submitted Learner is supplied with or without a ULN.
Learners submitted without a ULN will be searched for to identify a Matching Learner (or
Possible Matches) held on the LRS Organisation Portal, or to register a new Learner if
no match can be found.

If the LRS Organisation Portal identifies exactly one Learner, the data held on the LRS
Organisation Portal will be returned.

If the LRS Organisation Portal identifies exactly one Learner and updates the details,
data held on the LRS Organisation Portal after the update will be returned.

All non demographic fields can be updated.

If the Learner has previously set the Ability to Share preference themselves, further
changes to Ability to Share by an organisation will not be allowed which will result in an
RC011 being returned. Note that if the Learner has set their preference then this
field will be ignored during processing but this will not affect whether an update
occurs to any other fields.

The Nationality code can be provided in any of three formats as documented in
Appendix A (but the LRS Organisation Portal will return them in 3 Alpha character
format only.

Any of the five demographic fields (Given Name, Family Name, Date of Birth, Gender,
Postcode) can be updated if the provided Verification Type is other than “None
Provided” (0) and the updated Learner details do not create a Duplicate of any Learner
held on the LRS Organisation Portal. In case of a duplicate check failure, where the
supplied five demographic fields exactly match those of another Learner held, RC011:
Incorrect Format is returned.

Processing updates to the address fields will only occur when

A new postcode is supplied
or

The same post code as held in the LRS Organisation Portal is supplied and at
least one of the following fields is provided by the LRB in the batch file:
1. Last Known Address Line 1
2. Last Known Address Line 2
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3. Last Known Address Town
4. Last Known Address County or City
Example address updates may include:
1. No value other than Postcode is supplied (by the LRB) and held (by the LRS Organisation
Portal) and they differ.
The LRS Organisation Portal will be updated to the supplied Postcode.
Address
Line 1
Line 2
Town
County
or City
Postcode
Supplied
Held
Updated
to
NW1
2PL
LS16
7RT
NW1
2PL
2. A full address is held, the supplied Postcode is different from that held in the LRS
Organisation Portal and there are no other supplied address details.
The LRS Organisation Portal will be updated to the supplied Postcode. The Service
will only hold the supplied Postcode and no other address details will now be held.
Address
Supplied
Line 1
Line 2
Town
County
or City
Postcode
Held
Updated
to
1
Thacker
Street
NW1
2PL
Leeds
West
Yorkshire
LS16
7RT
NW1
2PL
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3. The Postcode supplied is the same as the Postcode held but the address details differ.
The LRS Organisation Portal will be updated to the supplied address details and the
Postcode held will remain the same.
Address
Supplied
Held
Line 1
1
William
Road
87 Gore
Street
Line 2
Town
County
or City
Postcode
London
NW1
2PL
Updated
to
1
William
Road
South Bank
Wandsworth
London
London
NW1 2PL
NW1
2PL
4. The Postcode supplied is the same as the Postcode held but no address details are supplied.
No change is made to either the Postcode or address details held by the Learning Records Service.
Address
Supplied
Line 1
Line 2
Town
County
or City
Postcode
NW1
2PL
Held
1
William
Road
Updated
to
1
William
Road
London
London
NW1
2PL
NW1
2PL
5. Both the Postcode and address details supplied differ from those held by the Learning
Records Service.
The LRS Organisation Portal will be updated to the supplied Postcode and address
details.
Address
Supplied
Held
Line 1
1
William
Road
1
Thacker
Street
Line 2
Town
County
or City
Postcode
London
NW1
2PL
Leeds
West
Yorkshire
LS16
7RT
Updated
to
1
William
Road
London
NW1
2PL
Please note that the above rules and examples outline the level of stringency required
to ensure the integrity of Learners’ addresses.
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When the address is updated, the 'Date of Address Capture' field will be updated with the
value supplied in the batch file (if this is not supplied then the current system date will be used
to populate this field).
When an update occurs the provided postcode will be updated in the LRS Organisation Portal
and will be returned.
The ‘Verification Type’ and ‘Verification Other Description’ fields will be updated if supplied in
the batch file, even where values are already held by the LRS Organisation Portal. These two
fields will be updated as a group rather than individually (if either of the fields is updated, then
the other will also be updated at the same time).
The following validation rules apply to these two fields:
1. Verification Type must be one of the values recognised by the system.
2. If Verification Type is Other, Other Verification Description must be populated.
3. If Verification Type is not Other, Other Verification Description must be blank.

Restrictions apply on the data that may be registered or updated on the LRS Organisation
Portal. Please see Appendix F for these restrictions.
h. Interface Types
The batch interface allows a LRB to upload a set of registrations via the LRS Organisation
Portal in an XML or CSV format file, and the LRS Organisation Portal allows the subsequent
download of the results.
The downloaded results are in XML or CSV format depending on the format of the incoming file.
i. Transfer Mechanisms
This section describes the physical methods for submitting an upload (input) file to the LRS
Organisation Portal environment and receiving a download (results) file.

Portal – for batch submissions

Web Service API - for batch submissions
i. Portal … Data files of batch submissions are uploaded through the LRS Organisation Portal once a
suitably formatted file is available from the MIS.
Results files are downloaded through the LRS Organisation Portal.
ii. Web Service
Please refer to the Web Services Interface Specification which is available from the
Developers’ Team Site. You will need to register as a Developer.
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3.
Data Formats
Summary
This section covers:

Filenames

Upload (input) file formats

Download (results) file formats.
a.
Filename formats
LRB Batch Files:
LRB batch upload (input) filenames will have the following convention:
 LRB_XXXXXXXX_DDMMYYYYHHMM.XML or
 LRB_XXXXXXXX_DDMMYYYYHHMM.CSV
Where:
 The filename is case sensitive and must be in Uppercase including the extension.

XXXXXXXX is the UKPRN (which must be 8 characters) that is unique to the
organisation.

DDMMYYYY is the date

HH is the hour (24 hour clock i.e. 00 - 23)

MM is the minutes (i.e. 00 to 59)

“XML” is the extension if the file contains data in an XML format

“CSV” is the extension if the file contains data in a CSV format.
LRB batch download (results) filenames will have the following convention, according to the
upload file type:
LRB_XXXXXXXX_DDMMYYYYHHMM_OUTPUT.XML or
LRB_XXXXXXXX_DDMMYYYYHHMM_OUTPUT.CSV
b.
Upload file formats
There are two upload (input) file formats described in this section, both applicable to batch
submissions:

CSV file

XML file
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Please see Appendix D for the restrictions on data that may be submitted to the Learning
Records Service.
i.
CSV File
The following is an example LRB Batch CSV file
The file should contain exactly one row containing Column Titles. The row should contain
exactly the following, on one line: (Please do not cut and paste from this page.)
“FileVersion”,“FileName”,“UKPRN”,“LearnerRecordCount”,“ULN”,“MISIdentifier”,“Title”,“Giv
enName”,“PreferredGivenName”,“MiddleOtherName”,“FamilyName”,“PreviousFamilyName
”,“FamilyNameAt16”,“SchoolAtAge16”,“LastKnownAddressLine1”,“LastKnownAddressLine2
”,“LastKnownAddressTown”,“LastKnownAddressCountyorCity”,“LastKnownPostCode”,“Dat
eOfAddressCapture”,“DateOfBirth”,“PlaceOfBirth”,“EmailAddress”,“Gender”,“Nationality”,“S
cottishCandidateNumber”,“AbilityToShare”,“VerificationType”,“OtherVerificationDescription”
,“Notes”
The First Data Row contains:


The File Header (any Header validation errors will be related to these values)
comprising four fields:
o
FileVersion
o
FileName
o
UKPRN
o
LearnerRecordCount
The first learner record in the remaining columns.
The Second (and subsequent) Data Row(s) contain:

Empty values for the File Header columns

The subsequent learner records in the remaining columns.
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All fields in a CSV file need to abide by the following rules:

All data items are double quoted e.g. a Given Name should be “George”

Where a column is optional and no value exists it should be provided as a null value by
using “”

Some columns are mandatory as described in the table below. This is to ensure that
searching to see if the submitted record already exists can take place. There are two
set of fields that are used for searching for existing Learner record, and the existence of
either set is mandatory:
o
ULN, Given Name and Family Name
o
Given Name, Family Name, Gender, Date of Birth, Postcode
Any record submitted without either of these sets of information will be rejected, as it will not
contain sufficient data to search.
The following table provides further details on each column:
Column
Example
Data
Description
Validation Rules
FileVersion
2A
Version of the file being
submitted. Relates to
the LRS Organisation
Portal software version,
although the value is
only changed when the
file format changes.
Mandatory. Must be ‘2A’. In the
case of CSV files it should not
appear in any data row other than
the first data row.
FileName
UCL_File23
Organisation’s file
reference. Can be used
for internal purposes by
the submitting
Organisation.
Mandatory. Length must not be
more than 512 characters. In the
case of CSV files it should not
appear in any data row other than
the first data row.
Does not have to be the same as
the physical file name.
UKPRN
8
The UK Provider
Reference Number of
the Learning provider.
Mandatory. Length must be 8
characters. In the case of CSV
files it should not appear in any
data row other than the first data
row.
Must match the UKPRN held
within the LRS for the submitting
organisation
LearnerRecordCount
10
The number of learner
records in the file.
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Mandatory. Integer. In the case of
CSV files it should not appear in
any data row other than the first
data row.
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Column
Example
Data
Description
Validation Rules
This must be the number of data
rows present in the file.
In the case of CSV files it would
always be the total number of
lines in the file minus one.
In the case of XML files it is the
number of <Learner> elements.
ULN
1234567899
Unique Learner
Number
Optional. 10 digit number starting
with 1..9
MISIdentifier
ABC123
An internal ID used by
the LRB. Note that this
is not stored within the
LRS Organisation
Portal but is returned in
the output file.
Optional. Maximum length 128
characters
Title
Ms
Title
Optional. Maximum length 35
characters
GivenName
Anne
GivenName
Mandatory. Maximum length 35
characters
PreferredGivenNam
e
Annie
PreferredGivenName
Optional. Maximum length 35
characters. If not provided will be
populated by value provided in
GivenName.
MiddleOtherName
Jane
MiddleOtherName
Optional. Maximum length 35
characters
FamilyName
Jones
FamilyName
Mandatory. Maximum length 35
characters
PreviousFamilyNam
e
Smith
PreviousFamilyName
Optional. Maximum length 35
characters
FamilyNameAt16
Evans
FamilyNameAt16
Optional. Maximum length 35
characters
SchoolAtAge16
Myton
School
Free text. name of
school the learner was
attending when he / she
turned 16
Optional. Maximum length 254
characters
LastKnownAddressL
ine1
51 The
Avenue
First line of address
Optional. Maximum length 50
characters
LastKnownAddressL
ine2
First Floor
Flat
Second line of address
Optional. Maximum length 50
characters
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Column
Example
Data
Description
Validation Rules
LastKnownAddressT
own
Bedford
Town
Optional. Maximum length 50
characters
LastKnownAddressC
ountyorCity
Bedfordshire
County of City
Optional. Maximum length 50
characters
LastKnownPostCode
N17 6EE
LastKnownPostCode
Optional if ULN present else
Mandatory. Please refer to
Appendix B for Valid Postcode
Rules
DateOfAddressCapt
ure
2008-12-20
DateOfAddressCapture
Optional. YYYY- MM-DD format.
If not provided will be defaulted to
the system date
DateOfBirth
2008-12-20
DateOfBirth
Optional if ULN present else
Mandatory. YYYY-MM-DD format
Learner’s age must be between
11 and 110 years.
PlaceOfBirth
Guildford
Place of birth
Optional. Maximum 35 characters
EmailAddress
[email protected]
m
EmailAddress
Optional. Please refer to
Appendix E for valid email rules.
Gender
1
Gender
Optional if ULN present else
Mandatory. Must be 0,1,2 or 9,
where:
0 = Not Known. The gender of the
person has not been recorded.
1 = Male
2 = Female
9 = Not Specified. Unable to be
classified as either male or
female.
Nationality
GBR or GB
or 826
Nationality
Optional. Two or three
characters or 3 digits CDD
compliant code Maximum 3
characters. The full list of valid
values is shown in Appendix A
ScottishCandidateN
umber
123456789
ScottishCandidateNum
ber
Optional. Maximum 9 characters
AbilityToShare
0
Ability to share
information provided to
the Learning Records
Service
Optional. (However, if the LRS
attempts to create a new ULN
then this value will be required).
Must be 0, 1 or 2, where
0 = ‘FPN not seen’
1 = ‘FPN Seen and able to share
data’
2 = ‘FPN Seen and unable to
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Column
Example
Data
Description
Validation Rules
share data’
If this value is set to any thing
other than 0, it can not be reset to
0. If it has been set by the
Learner themselves it can not be
changed by LRBs.
VerificationType
1
Verification Type
Optional. (However, if the LRS
attempts to create a new ULN
then this value will be required).
Must be 0, 1, 2, 3,4,5,6,7 or 999,
where:
0=None provided
1=Relationship with school
2=Passport
3=Driving licence
4=ID Card or other form of
national identification
5=National Insurance Card
6=Certificate of Entitlement to
Funding
7=Bank/Credit/Debit Card
999=Other
OtherVerificationDes
cription
Notes
Visa
Free text description
This field should only be present
if Verification Type= 999 (Other)
Otherwise it should always be
empty. Maximum length 255
characters
Any extra information
about the learner.
Optional. Maximum 4000
characters.
Please note that only
the LRS system
administrators have the
ability to maintain this
field within the LRS
Organisation Portal.
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ii.
XML File
For an example XML file, see below:
UTF
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An incoming LRB batch XML file must be consistent with the XML schema definition. For more
details on how to construct a file of this type, please refer to the XML schema definition file
which can be found on the LRS website as part of the batch toolkit.
Validation rules for individual attributes within an XML file are the same as those described for
CSV files.
For null values the following XML convention should be used:
<ScottishCandidateNumber></ScottishCandidateNumber>
Or
<ScottishCandidateNumber/>
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c.
Download results return file formats
There are two download (results) file formats described in this section:

XML file

CSV file
i.
XML File
An XML file of results will be consistent with the [Download XML schema definition]. This is
identical to the XML format of the uploaded XML file with ReturnCode added at the end. See
[Download XML Schema Definition]. The ReturnCode attribute will additionally include a
timestamp. ReturnCode with timestamp is one XML tag. For an example, see below:
UTF
ii.
CSV File
The format of the Results File is identical to the uploaded CSV file except a ReturnCode is
added at the end of each data row as an extra column. The ReturnCode attribute will
additionally include a timestamp. ReturnCode with timestamp is one CSV column. For an
example, see below:
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d.
Nationality Code in the output file
Even though the input file may contain any of the three valid formats for the Nationality code,
the output file will always contain 3 Alpha character format.
e.
Escape Sequences
In order for XML files to be considered valid, they must not include ampersand, angle bracket,
quote or apostrophe characters in their literal form within the data. Instead, the following escape
sequences should be used:
Character
XML Escape Sequence
<
&lt;
>
&gt;
&
&amp;
"
&quot;
‘
&apos;
f.
File Encoding
All files submitted to the system must be created using utf-8 file encoding. This is because ANSI
files (the default for many Windows applications) containing 'special' characters such as pound
signs are not interpreted correctly in Unix.
In the case of XML files, the XML declaration should also state this, ie
<?xml version="1.0" encoding="UTF-8" ?>
<RegistrationFile xmlns:xsi=http://www.w3.org/2001/XMLSchema-instance
xsi:noNamespaceSchemaLocation="file:///lrb.xsd">
It is important to note that including the above declaration alone is not sufficient - the file must
actually be saved in the correct format.
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4.
Validation Requirements
This section describes the rules applied to a submitted file that will automatically cause the
rejection of either the whole file, or individual rows.
There are two validation levels:

File level validation

Row (record) level validation.
a.
File Level Validation
File level validation is carried out when batch files are submitted via the Submit Batch LRB
Registrations web page on the LRS Organisation Portal.
If file level validation fails then the file will not be uploaded, and an error message will be
displayed to the user via the web page.
The only file level validation preformed at processing is checking the LearnerRecordCount, if
this wrong this will be classed as a file failure.
The following table contains the validation scenarios and the messages used in each. The last
column explains whether the message is displayed in the output file, or on the Portal.
Validation
Message displayed on the Portal or
written in Output file
The file type is invalid. Please check that the format is
either CSV or XML (AL120)
On Portal or In
Output file
On Portal page
Filename
validation
You have entered an invalid file name. Please change the
filename (AL121)
On Portal page
Header validation
The file contains no header. Please correct the file and resubmit. (AL122)
On Portal page
Header validation
The file contains an invalid header. Please correct the file
and re-submit. (AL123)
On Portal page
First record
validation
The first record in the file is in an incorrect format. Please
check the file format. (AL124)
On Portal page
Record count
validation
The file contains non matching record count. Please
correct the file and re-submit.
On View Job Portal
screen when the job
is marked as failed
XML file validation
The File submitted is not a valid XML Document. (AL142)
In the output file
File version
validation
This file version is not supported. Please correct the file
and re-submit. (AL146)
On Portal page
File type validation
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i.
Invalid File Type
The extension part of the file name (i.e. after the “.”) must be of the form defined in Section 2
The Batch file is rejected with error message AL120.
ii.
Invalid File Name
The main part of the file name (i.e. before the “.”) must be of the form defined in Section 2.
The Batch file is rejected with error message AL121.
iii.
No Header
There must be a “Header (see 0) ” part in the first data row of the CSV file as specified in the file
formats above.
The Batch file is rejected with error message AL122
iv.
Invalid Header
The “Header (see 0)” part of first data row of the CSV file has incorrect format, column order, or
number of columns.
The Batch the file is rejected with error message AL 123.
v.
First Record Invalid
The first record is checked for the validity of the data as per 0 and if it is invalid the file is
rejected.
The Batch file is rejected with error message AL124
vi.
Unmatched Record count
The number submitted as LearnerRecordCount should match the total number of learner
records submitted.
If the Batch file fails the above validation, the error is visible through the View Batch
Registrations screen on the Portal (and is reported as a Failed Job on this screen).
vii.
Not a Valid XML Document
XML files must contain an XML Declaration, i.e.:
<?xml version="1.0" encoding="UTF-8" ?>
<RegistrationFile xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
xsi:noNamespaceSchemaLocation="file:///lrb.xsd">
The XML declaration should comply with above format and the version and encoding must also
be present. Any deviation from this format will cause the validation to fail.
The Batch file is rejected with error AL142.
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viii.
File Version Validation
There is a data item called “FileVersion” which appears as a column in the CSV file format, and
an element in the XML file format. The only value which can currently be provided for this field
is “2A”. Any other value will result in to this validation failure.
(The File Version data item does not appear in the Release 1A file formats).
The Batch file is rejected with error AL146.
ix.
Row (Record) Level Validation
Record level validation errors only apply to the Learner data in the batch files. Record level
validation does not cause the Submit Batch LRB Registrations web page to fail to upload the
batch file.
Record level validation errors do, however, cause Exception result codes to be reported against
the relevant Learner records in the output file rather than the normal Information result codes
associated with the normal learner registration processing.
The Information and Exception result codes are shown in the following table, together with an
indication of whether they can be returned when a ULN is provided.
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Return Codes and what they mean
5.
Learner supplied
with
without
ULN
ULN


Code
Description
Information or
Exception
RC001
Linked Master ULN returned
Information
RC002
ULN Confirmed and
Updated
Information

RC003
ULN Confirmed
Information

RC004
No Match - New ULN
Created
Note: newly created ULN is
returned in the ULN data
column
Information

RC005
No Match - No ULN
Created*
Information

RC006
Insufficient Data to create
new ULN
Exception

RC007
Possible Match
Exception

RC008
Too Many Matches
Exception

RC009
No ULN Match - Serious
Error
Exception
RC010
Null Values
Exception
RC011
Incorrect Format
Exception





*Verification (CHK mode) only.
The following is a detailed description of the result codes in the order that they are processed.
For brevity, the following terms are used:

<ULNIdentifying fields> are the set of fields {ULN, GivenName, FamilyName}which allow
a ULN search to be performed for the Learner

<DemographicIdentifying fields> are the set of fields{GivenName,
FamilyName, Gender, Date of Birth, Postcode}which allow a Demographic search to be
performed for the Learner.
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a.
RC001 Linked Master ULN
Full Submission (FUL): When <ULNIdentifying fields> or <DemographicIdentifying fields>
identify exactly one Learner, but that Learner has a Master associated with it.
Verification only (CHK): as above.
Notes: Returned ULN and all other details are those of the "Master" Learner.
No update to the record held in the LRS Organisation Portal takes place. If the LRB wishes to
perform updates to this Learner, they must resubmit the details using the Master ULN.
b.
RC002 ULN Confirmed & Updated
Full Submission (FUL): When <ULNIdentifying fields> identify exactly one Learner and the
incoming record has updated information on the identified Learner. Please note:

Regardless of whether Verification Type is supplied, all the non-demographic fields
(excluding Verification Type and Verification Other Description) can be updated.
N.B.If the Learner has previously set the Ability to Share themselves, Ability To
Share will not be updated.

If the supplied Verification Type is anything other than None Provided, any of the five
demographic fields (Given Name, Family Name, Postcode, Date of Birth and
Gender) may be updated. The updated Learner details must not represent a
potential duplicate of another Learner already held in the LRS Organisation Portal.

The Nationality code can be supplied in any of three formats but the Learning
Records Service will return them in a 3 Alpha character format only.

Updates to any of the address fields held by the LRS Organisation Portal will only
occur when:
o
a Postcode is supplied which is different to that held in the LRS Organisation
Portal or the Postcode supplied is the same as that held in the LRS
Organisation Portal;
o
and at least one of the four address line fields supplied is not blank. In either
case the LRS Organisation Portal held Postcode and 4 address line fields are all
set to the supplied values.
The Address fields in full are:
1.
2.
3.
4.
5.
Last Known Address Line 1
Last Known Address Line 2
Last Known Address Town
Last Known Address County or City
Last Known Postcode
When the address is updated, the 'Date of Address Capture' field will be updated
with the value supplied in the batch file (if this is not supplied then the current
system date will be used to populate this field).
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
The ‘Verification Type’ and ‘Verification Other Description’ fields will be updated if
supplied in the batch file, even where values are already held by the LRS
Organisation Portal. These two fields will be updated as a group rather than
individually (if either of the fields is updated, then the other will also be updated at
the same time).
The following validation rules apply to these two fields:
1.
2.
3.
Verification Type must be one of the values recognized by the system.
If Verification Type is Other, Other Verification Description must be populated.
If Verification Type is not Other, Other Verification Description must be blank.
Verification only (CHK): N/A
c.
RC003 ULN Confirmed
Full Submission (FUL): When <ULNIdentifying fields> or <DemographicIdentifying fields>
identify exactly one Learner and the incoming record does not have any more information than
that of the identified Learner.

Updates to any of the address fields held by the LRS Organisation Portal may occur
when:
o
a Postcode is supplied which is different to that held in the LRS Organisation
Portal or the Postcode supplied is the same as that held in the LRS
Organisation Portal;
o
and at least one of the four address line fields supplied is not blank. In either
case the LRS Organisation Portal held Postcode and 4 address line fields are all
set to the supplied values.
The Address fields in full are:
6.
7.
8.
9.
10.
Last Known Address Line 1
Last Known Address Line 2
Last Known Address Town
Last Known Address County or City
Last Known Postcode
When the address is updated, the 'Date of Address Capture' field will be updated
with the value supplied in the batch file (if this is not supplied then the current
system date will be used to populate this field).
Verification only (CHK): When <ULNIdentifying fields> or <DemographicIdentifying fields>
identify exactly one Learner and even if the incoming record has more information than that of
the identified Learner, the Learner is not updated.
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d.
RC004 No Match – New ULN Created
Full Submission (FUL): <DemographicIdentifying fields> identify no Learners.
Verification only (CHK): N/A
Notes: New ULN Register record is created if there is minimum required information available
to create.
e.
RC005 No Match – No ULN Created
Full Submission (FUL): N/A
Verification only (CHK): <DemographicIdentifying fields> identify no Learners.
Notes: None
f.
RC006 Insufficient Data to create New ULN
Full Submission (FUL): When an existing Learner has not been found, and the incoming
record does not contain the minimum required values to create a new ULN Register Record.
The search will have been carried out successfully but Verification Type and/or Ability to Share
is missing.
Verification only (CHK): N/A
Notes: Minimum Required values to create a Learner are:







Family Name
Given Name
Gender
Date of Birth
Postcode
Verification Type - if Verification Type is set to indicate “Other”, then Other Verification
Description is also required.
Ability to Share
g.
RC007 Possible match
Full Submission (FUL): When <DemographicIdentifying fields> identifies 1 to 10 learners but
none of the matches are strong enough to guarantee an exact match
Verification only (CHK): Same as the Full submission
Notes: None
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h.
RC008 Too Many Matches
Full Submission (FUL): When <DemographicIdentifying fields> identifies more than 10
Learners.
Verification only (CHK): Same as the Full submission
Notes: None
i.
RC009 No ULN Match – Serious Error
Full Submission: When <ULNIdentifying fields> are present but do not identify a Learner
Verification only: Same as Full Submission
Notes: None
j.
RC010 Null Values
Full Submission (FUL): When ULN is not present and one or more fields
<DemographicIdentifying fields> (Other than GivenName and FamilyName) are null.
Verification only (CHK): Same as Full Submission
Notes: Indicates that there is not enough data to use <ULNIdentifying fields> or <
DemographicIdentifying fields> to identify learners.
k.
RC011 Incorrect Format
Full Submission (FUL): When incoming record does not comply with common data definition
or any of the Mandatory fields (GivenName and FamilyName) is missing.
OR
If either of the Given Name or Family Name fields contain an invalid name (see Appendix F.2
for further details).
OR
If prohibited text has been entered into any of the following fields: Title, Given Name, Preferred
Given Name, Middle Other Name, Family Name, Previous Family Name, Family Name At 16,
School at Age 16, Last Known Address Line 1, Last Known Address Line 2, Last Known
Address Town, Last Known Address County or City, Last Known Postcode, Place of Birth,
Email Address, Gender, Scottish Candidate Number, Other Verification Description, Notes
OR
If a Learner is found and the incoming details supplied will lead to an update of the Verification
Type, but VerificationType and OtherVerificationDescription do not comply with the validation
rule mentioned in validation table at 3.3 Upload file format
OR
If the incoming record has a DateOfBirth value which would mean that the Learner is less than
11 years old or more than 110 years old
OR
If the incoming record is trying to update the Ability to Share where the Learner has previously
set the Ability to Share themselves or revert the value back to “FPN Not Seen” when it has
previously been one of the “FPN Seen…” values.
OR
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If updates to the five demographic fields would result in a potential duplicate of an existing
Learner, where the supplied five demographic fields exactly match those of another Learner
held.
Verification only (CHK): When incoming record does not comply with common data definition
or any of the Mandatory fields (GivenName and FamilyName) is missing.
Notes: Common Data Definition checking validates the length and valid values of the incoming
records. If this validation is failed no further action is taken and the error is written in the output
file as an RC011.
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Appendix A – Nationality Codes
The following list is of the valid nationality codes:
00
AF
AX
AL
DZ
AS
AD
AO
AI
AQ
AG
AR
AM
AW
AU
AT
AZ
BS
BH
BD
BB
BY
BE
BZ
BJ
BM
BT
BO
BA
BW
BV
BR
BQ
IO
BN
BG
BF
BU
BI
BY
KH
CM
CA
CT
CV
KY
CF
Codes
000
AFG
ALA
ALB
DZA
ASM
AND
AGO
AIA
ATA
ATG
ARG
ARM
ABW
AUS
AUT
AZE
BHS
BHR
BGD
BRB
BLR
BEL
BLZ
BEN
BMU
BTN
BOL
BIH
BWA
BVT
BRA
ATB
IOT
BRN
BGR
BFA
BUR
BDI
BYS
KHM
CMR
CAN
CTE
CPV
CYM
CAF
000
004
248
008
012
016
020
024
660
010
028
032
051
533
036
040
031
044
048
050
052
112
056
084
204
060
064
068
070
072
074
076
???
092
096
100
854
104
108
112
116
120
124
128
132
136
140
Country
Not known
Afghanistan
Aland Islands
Albania
Algeria
American Samoa
Andorra
Angola
Anguilla
Antarctica
Antigua and Barbuda
Argentina
Armenia
Aruba
Australia
Austria
Azerbaijan
Bahamas
Bahrain
Bangladesh
Barbados
Belarus
Belgium
Belize
Benin
Bermuda
Bhutan
Bolivia
Bosnia and Herzegovina
Botswana
Bouvet Island
Brazil
British Antarctic Territory
British Indian Ocean Territory
Brunei
Bulgaria
Burkina Faso
Burma
Burundi
Byelorussian SSR
Cambodia
Cameroon
Canada
Canton and Enderbury Islands
Cape Verde
Cayman Islands
Central African Republic
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TD
CL
CN
CX
CC
CO
KM
CG
CD
CK
CR
HR
CU
CY
CZ
CS
DY
YD
DK
DJ
DM
DO
NQ
TP
EC
EG
SV
GQ
ER
EE
ET
ET
FK
FO
DE
FJ
FI
FI
FR
GF
PF
TF
AI
GA
GM
GE
DD
DE
GH
GI
GE
GE
TCD
CHL
CHN
CXR
CCK
COL
COM
COG
COD
COK
CRI
HRV
CUB
CYP
CZE
CSK
DHY
YMD
DNK
DJI
DMA
DOM
ATN
TMP
ECU
EGY
SLV
GNQ
ERI
EST
ETH
ETH
FLK
FRO
DEU
FJI
FIN
FIN
FRA
GUF
PYF
ATF
AFI
GAB
GMB
GEO
DDR
DEU
GHA
GIB
GEL
GEL
148
152
156
162
166
170
174
178
180
184
188
191
192
196
203
200
204
720
208
262
212
214
216
626
218
818
222
226
232
233
231
230
238
234
280
242
246
246
250
254
258
260
262
266
270
268
278
276
288
292
???
296
Chad
Chile
China
Christmas Island
Cocos (Keeling) Islands
Colombia
Comoros
Congo
Congo Democratic Republic
Cook Islands
Costa Rica
Croatia
Cuba,
Cyprus
Czech Republic
Czechoslovakia
Dahomey
Democratic Yemen
Denmark
Djibouti
Dominica
Dominican Republic
Dronning Maud Land
East Timor
Ecuador
Egypt
El Salvador
Equatorial Guinea
Eritrea
Estonia
Ethiopia
Ethiopia
Falkland Islands
Faroe Islands
Federal Republic of Germany
Fiji
Finland
Finland
France
French Guiana
French Polynesia
French Southern Territories
French Territory of Afars and Issas
Gabon
Gambia The
Georgia
German Democratic Republic
Germany
Ghana
Gibraltar
Gilbert and Ellice Islands
Gilbert Islands
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GR
GL
GD
GP
GU
GT
GG
GN
GW
GY
HT
HM
VA
HN
HK
HU
IS
IN
ID
IR
IQ
IE
IM
IL
IT
CI
JM
JP
JE
JT
JO
KH
KZ
KE
KI
KP
KR
KW
KG
LA
LV
LB
LS
LR
LY
LI
LT
LU
MO
MK
MG
MW
GRC
GRL
GRD
GLP
GUM
GTM
GGY
GIN
GNB
GUY
HTI
HMD
VAT
HND
HKG
HUN
ISL
IND
IDN
IRN
IRQ
IRL
IMN
ISR
ITA
CIV
JAM
JPN
JEY
JTN
JOR
KHM
KAZ
KEN
KIR
PRK
KOR
KWT
KGZ
LAO
LVA
LBN
LSO
LBR
LBY
LIE
LTU
LUX
MAC
MKD
MDG
MWI
300
304
308
312
316
320
831
324
624
328
332
334
336
340
344
348
352
356
360
364
368
372
833
376
380
384
388
392
832
396
400
116
398
404
296
408
410
414
417
418
428
422
426
430
434
438
440
442
446
807
450
454
Greece
Greenland
Grenada
Guadeloupe
Guam
Guatemala
Guernsey
Guinea
Guinea-Bissau
Guyana
Haiti
Heard Island and McDonald Islands
Holy See
Honduras
Hong Kong
Hungary
Iceland
India
Indonesia
Iran
Iraq
Ireland
Isle of Man
Israel
Italy
Ivory Coast
Jamaica
Japan
Jersey
Johnston Atoll
Jordan
Kampuchea
Kazakhstan
Kenya
Kiribati
Korea North
Korea South
Kuwait
Kyrgyzstan
Laos
Latvia
Lebanon
Lesotho
Liberia
Libya
Liechtenstein
Lithuania
Luxembourg
Macao
Macedonia
Madagascar
Malawi
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MY
MV
ML
MT
MH
MQ
MR
MU
YT
MX
FM
MI
MD
MC
MN
ME
MS
MA
MZ
MM
NA
NR
NP
NL
AN
AN
NC
NH
NZ
NI
NE
NG
NU
NF
MP
NO
OM
PK
PW
PS
PA
PZ
PG
PY
PE
PH
PN
PL
PT
PR
QA
RE
MYS
MDV
MLI
MLT
MHL
MTQ
MRT
MUS
MYT
MEX
FSM
MID
MDA
MCO
MNG
MNE
MSR
MAR
MOZ
MMR
NAM
NRU
NPL
NLD
ANT
ANT
NCL
NHB
NZL
NIC
NER
NGA
NIU
NFK
MNP
NOR
OMN
PAK
PLW
PSE
PAN
PCZ
PNG
PRY
PER
PHL
PCN
POL
PRT
PRI
QAT
REU
458
462
466
470
584
474
478
480
175
484
583
488
498
492
496
499
500
504
508
104
516
520
524
528
530
532
540
548
554
558
562
566
570
574
580
578
512
586
585
275
591
???
598
600
604
608
612
616
620
630
634
638
Malaysia
Maldives
Mali
Malta
Marshall Islands
Martinique
Mauritania
Mauritius
Mayotte
Mexico
Micronesia
Midway Islands
Moldova
Monaco
Mongolia
Montenegro
Montserrat
Morocco
Mozambique
Myanmar
Namibia
Nauru
Nepal
Netherlands
Netherlands Antilles
Netherlands Antilles
New Caledonia
New Hebrides
New Zealand
Nicaragua
Niger
Nigeria
Niue
Norfolk Island
Northern Mariana Islands
Norway
Oman
Pakistan
Palau
Palestine
Panama
Panama Canal Zone
Papua New Guinea
Paraguay
Peru
Philippines
Pitcairn
Poland
Portugal
Puerto Rico
Qatar
Reunion
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RO
RU
RW
SH
KN
KN
LC
PM
VC
WS
SM
ST
SA
SN
RS
CS
SC
SL
SK
SG
SK
SI
SB
SO
ZA
GS
VD
RH
ES
EH
LK
SD
SR
SJ
SZ
SE
CH
SY
TW
TJ
TZ
TH
TL
TG
TK
TO
TT
PC
TN
TR
TM
TC
ROU
RUS
RWA
SHN
KNA
KNA
LCA
SPM
VCT
WSM
SMR
STP
SAU
SEN
SRB
SCG
SYC
SLE
SKM
SGP
SVK
SVN
SLB
SOM
ZAF
SGS
VDR
RHO
ESP
ESH
LKA
SDN
SUR
SJM
SWZ
SWE
CHE
SYR
TWN
TJK
TZA
THA
TLS
TGO
TKL
TON
TTO
PCI
TUN
TUR
TKM
TCA
642
643
646
654
659
658
662
666
670
882
674
678
682
686
688
891
690
694
???
702
703
705
090
706
710
239
???
'716
724
732
144
736
740
744
748
752
756
760
158
762
834
764
626
768
772
776
780
582
788
792
795
796
Romania
Russia
Rwanda
Saint Helena
Saint Kitts and Nevis
Saint Kitts-Nevis-Anguilla
Saint Lucia
Saint Pierre and Miquelon
Saint Vincent and the Grenadines
Samoa
San Marino
Sao Tome and Principe
Saudi Arabia
Senegal
Serbia
Serbia and Montenegro
Seychelles
Sierra Leone
Sikkim
Singapore
Slovakia
Slovenia
Solomon Islands
Somalia
South Africa
South Georgia
South Vietnam
Southern Rhodesia
Spain
Spanish Sahara
Sri Lanka
Sudan
Suriname
Svalbard and Jan Mayen
Swaziland
Sweden
Switzerland
Syria
Taiwan
Tajikistan
Tanzania
Thailand
Timor-Leste
Togo
Tokelau
Tonga
Trinidad and Tobago
Trust Territory of the Pacific Islands
Tunisia
Turkey
Turkmenistan
Turks and Caicos Islands
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TV
UG
UA
UA
SU
AE
GB
US
UM
PU
HV
UY
UZ
VU
VA
VE
VN
VG
VI
WK
WF
EH
YE
YE
YU
ZR
ZM
ZW
TUV
UGA
UKR
UKR
SUN
ARE
GBR
USA
UMI
PUS
HVO
URY
UZB
VUT
VAT
VEN
VNM
VGB
VIR
WAK
WLF
ESH
YEM
YEM
YUG
ZAR
ZMB
ZWE
798
800
804
804
810
784
826
840
581
849
854
858
860
548
336
862
704
092
850
872
876
732
887
886
891
180
894
716
Tuvalu
Uganda
Ukraine
Ukrainian SSR
Union of Soviet Socialist Republics
United Arab Emirates
United Kingdom
United States
United States Minor Outlying Islands
United States Miscellaneous Pacific Islands
Upper Volta
Uruguay
Uzbekistan
Vanuatu
Vatican City State
Venezuela
Vietnam
Virgin Islands British
Virgin Islands U.S
Wake Island
Wallis and Futuna
Western Sahara
Yemen
Yemen
Yugoslavia
Zaire
Zambia
Zimbabwe
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,,,,,,,,,,,Appendix,B,–,Validation,Rules,for,Postcode
Postcode,Validation,Rules
The,postcode,validation,is,based,on,BS7666.,The,postcode,validation,implementation,is,not,ca
se,sensitive.,The,validation,is,implemented,by,evaluating,the,postcode,string,against,2,regular,
expressions.,
^[A-Z]{1,2}[0-9R][0-9A-Z]?,?[0-9][ABDEFGHJLNPQRSTUWXYZ]{2}$
and
^BFPO,?[0-9]{1,4}$,
Post,code,must,satisfy,either,of,these,regular,expressions.
Expressions,explained,in,plain,English.
Expression,1
1. Starts,with,1,or,,2,letters,that,are,in,the,range,A,to,Z.,
2. Followed,by,a,number,in,the,range,0,to,9,or,the,letter,R.,
3. Followed,by,an,optional,number,in,the,range,0,to,9,or,an,optional,letter,in,the,range,A,t
o,Z.,
4. Followed,by,an,optional,space.,
5. Followed,by,a,number,in,the,range,0,to,9.,
6. Followed,by,2,letters,from,the,set,ABDEFGHJLNPQRSTUWXYZ.,
7. END
Expression,2
1. Starts,with,the,letters,BFPO.,
2. Followed,by,an,optional,space.,
3. Followed,by,1,to,4,numbers,in,the,range,0,to,9.
4. END
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Appendix,C,–,Validation,Rules,for,Email
Email,Addresses,must,satisfy,the,following,regular,expression,and,should,not,be,more,than,2
54,characters,in,length.
^[a-zA-Z0-9!#$%'\*\+\-/=\?\^_`\{\|\}~]+(\.[a-zA-Z0-9!#$%'\*\+\-/=\?\^_`\{\|\}~]+)*@[a-zA-Z09][a-zA-Z0-9\-]{0,61}[a-zA-Z0-9](\.[a-zA-Z0-9][a-zA-Z0-9\-]{0,61}[a-zA-Z0-9])*\.[a-zAZ]{2,6}$
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Appendix,D,–,Restrictions,on,Learner,Data
The,following,restrictions,apply,during,the,registration,and,updating,of,learners,and,must,be,use
d,in,conjunction,with,the,[Data,Quality,Guidance],documentation:
a. Valid,Date,of,Birth
The,age,of,the,learner,as,derived,from,the,Date,of,Birth,provided,must,fall,within,parameters,de
fined,within,the,LRS,Organisation,Portal.,These,are,currently,as,follows:


Minimum,age,=,11
Maximum,age,=,110
If,the,age,of,the,learner,falls,outside,these,parameters,,then,RC011,,Incorrect,Format,will,be,returned.,,,,
b. Valid,Names Valid,names,must,always,contain,at,least,one,upper,case,character,(AZ),or,one,lower,case,character,(az).,That,these,values,are,subject,to,change,,any,change,will,be,clearly,noted.,The,following,cha
racters,are,permissible,in,a,Valid,Name:







space
the,upper,case,characters,A-Z,
the,lower,case,characters,a-z
',(normal,apostrophe)
`,(backwards,apostrophe)
(hyphen)
.,(dot)
The,name,must,not,contain,(in,upper,or,lower,case):




















<space>KNOWN<space>',
'<space>KNOWNAS<space>',
'<space>KNOWN<space>AS<space>',
'<space>AKA<space>',
'<space>KA<space>',
'<space>K<space>AS<space>',
'<space>KWN,AS<space>'
'<space>A<space>K<space>A<space>'
'<space>K<space>A<space>'
'<space>KN<space>AS<space>',
'<space>WAS<space>'
'<space>USED<space>',
'<space>PREVIOUSLY<space>',
'<space>PREV<space>'
'<space>PRE<space>'
'<space>THEN<space>'
'<space>FORMERLEY<space>'
'<space>FORMERLY<space>'
'<space>PREFERRED<space>',
'<space>NEE<space>'
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















'<space>VEL<space>'
'<space>CHANGE<space>',
'<space>LEGAL<space>'
'<space>BIRTH<space>'
'<space>CHANGE<space>'
'<space>CONTACT<space>'
'<space>PRONOUNCE<space>'
'<space>PRONOUNCED<space>'
'<space>OR<space>'
'<space>DUPLICATE<space>'
'<space>DO,NOT<space>'
'UNKNOWN'
'NOT<space>KNOWN'
'NOTKNOWN'
'DO<space>NOT<space>USE'
'DUPLICATE'
No,text,other,than,the,Name,itself,(such,as,text,relating,to,the,status,of,the,Name),should,be,inc
luded,as,part,of,the,Name.
This,restriction,is,applied,to,the,Given,Name,,Preferred,Given,Name,,Middle,Other,Name,,Famil
y,Name,,Previous,Family,Name,and,Family,Name,at,16,fields.,
RC011,-,Incorrect,Format,is,used,to,indicate,that,this,restriction,has,been,violated.
c. Prohibited,Postcodes
Postcodes,distinctly,associated,with,prisons,and,offender,institutions,will,be,rejected,during,regi
stration,or,updating.,
This,restriction,is,applied,to,the,Postcode,field.,
RC011,-,Incorrect,Format,is,used,to,indicate,that,this,prohibition,has,been,violated.
d. Prohibited,Text
The,Learning,Records,Service,has,the,ability,to,restrict,inappropriate,words,or,phrases,during,r
egistration,and,updating,of,Learner,details,so,as,to,prevent,entry,of,data,which,may,subsequent
ly,cause,the,learner,to,be,discriminated,against.,Active,backend,analysis,is,undertaken,and,active,steps,are,taken,to,prevent,the,entry,of,and,correct,inappr
opriate,or,discriminatory,data.,
This,restriction,is,applied,to,the,Title,,Given,Name,,Preferred,Given,Name,,Middle,Other,Name,,
Family,Name,,Previous,Family,Name,,Family,Name,At,16,,School,at,Age,16,,Last,Known,Addr
ess,1,,Last,Known,Address,2,,Last,Known,Town,,Last,Known,County,or,City,,Place,of,Birth,,Em
ail,Address,,Scottish,Candidate,Number,,Other,Verification,Description,and,Notes,fields.,
RC011,-,Incorrect,Format,is,used,to,indicate,that,this,prohibition,has,been,violated.,
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