Central Recordkeeping Agency, NPS

Central Recordkeeping Agency, NPS
NSDL Preparation & Upload of Subscriber Contribution File (SCF) & Process of Fund Transfer Central Recordkeeping Agency, NPS

The Topic Unpacked NSDL Subscriber Contribution – Overview Utilities and their features Upload of Subscriber Contribution File (SCF) Fund Transfer Process Correction File Central Recordkeeping Agency, NPS 2

1. Consolidation of Records
An Overview NSDL 1. Consolidation of Records Nodal office FPU FVU 3. Validate File 2. Digitization 4. File Upload 5. Generation & Printing of CSF 7. Submission of CSF & Transfer of funds Steps 1 to 4 and 7 are to be performed by PAO Step 8 is to be performed by BANK The PAO shall consolidate the DDO wise Subscriber records and shall enter the details through the FPU in order to digitise the same. The FPU shall perform the basic format level validations and in case of any error shall throw certain related pop ups. If all format level validations are successful, FPU shall create a “.TXT” file. After entering the details in the FPU the User shall run the file created by the FPU through the FVU. PAO should take care at this stage that data is correct. As the FPU/FVU doesn’t have any database so errors can be found out only after uploading the files. FVU shall perform certain business level validations in addition to the format level validations performed by FPU. FVU on successful validation shall embed a certain digital lock in the file to make it tamper proof. The file containing the digital lock shall then be uploaded to NPSCAN using I-PIN. On successful upload NPSCAN shall generate a File Reference Number (FRN). User is required to recordr this number for further reference. NPSCAN shall perform all validations performed by FPU & FVU and in addition shall check for validity of PRAN, PAO & DDO Id. On validations being successful NPSCAN shall generate a unique 13 digit transaction Id. On successful acceptance of SCF, a contribution submission form will be generated for PAO to print. PAO shall print the CSF and submit the same to the Trustee bank along with the funds Trustee Bank shall upload the fund confirmation receipt to CRA. 8. Fund Receipt Confirmation 6. Data Transfer Trustee Bank CRA NPSCAN Central Recordkeeping Agency, NPS 3

Utilities NSDL What is a File Preparation Utility (FPU)? A utility provided by CRA that will assist in preparation of SCF as per the file formats of CRA. What is a File Validation Utility (FVU)? A Utility provided by CRA that will verify whether the SCF prepared is as per the file format of CRA. It is mandatory to verify the SCF through FVU before uploading to NPSCAN. Central Recordkeeping Agency, NPS

Pre-requisites for using the Utilities
NSDL Software Minimum Requirement Browser Internet Explorer 6.0 and above Java Run Time Environment JRE 1.5 downloadable freely from ( Operating Systems Windows 2000 Professional / Windows XP Hardware Minimum Requirement Processor Intel Pentium PV / Celeron (333 MHz or Higher CPU). Memory Minimum 256 MB RAM. Central Recordkeeping Agency, NPS

How to acquire the FPU/FVU?
NSDL The FPU / FVU can be freely downloaded from The Path for downloading the FPU / FVU -Downloads --Software Downloads ---Utilities ----Subscribers Contribution Upload Central Recordkeeping Agency, NPS

FPU and Its Features NSDL The FPU is a stand alone utility installed on a local machine. Connection to Internet is not required for using the FPU. FPU will generate the SCF as per the specified CRA file formats. FPU is easy to use with excel-type features. In FPU, ‘drop downs’ are available for standard inputs. File Preparation Utility - A utility provided by CRA that will assist the PAO in preparation of SCF as per the file formats of CRA which can be installed on a remote PC. You can actually download the utility before going live. Check the functionalities, you can contact us for any clarifications. Central Recordkeeping Agency, NPS 7

FPU and Its Features Contd.
NSDL FPU will perform all structural and format level validations in the file prepared. FPU will display error message prompts in case the file is structurally incorrect. FPU will allow saving of file at intermediate stage. Previous month’s file can be reused for future months. User can prepare consolidated SCF or DDO wise separate files. File merger utility can be used for consolidating DDO wise SCF. Central Recordkeeping Agency, NPS 8

Key Contents of FPU NSDL PAO Registration Number PRAN DDO Registration Number Contribution Details – Subscriber and Government Month & Year of specific Contribution record Type of contribution Every month PAO will digitise the contribution details of the subscribers pertaining to the various DDOs linked with PAOs as per specified format using FPU. The file format is specified in the System requirement specification (SRS) of the Contribution Upload module. For each month and for each type of contribution (regular contribution record), there will be one record for each DDO- subscriber combination. The format level validations performed by FPU is as mentioned below: Field validations will be done as per details mentioned in ‘Mandatory/Optional’, Description/Validations’ and 'Business Rules' columns of tables in the above ‘Fields’ section. For each pay month and type of contribution, there should be only one record for each DDO-subscriber combination within a file. Duplicate subscriber record for same pay month and type of contribution record will be rejected. FPU will check if the data types of the input fields are correct while data entry. FPU will check if the mandatory fields are present while generating the .txt file. FPU will perform structural validation of AIN while generating the .txt file. FPU will perform structural validation of TAN as and when TAN is entered. Blank file generation at FPU will not be allowed. Record of at least one subscriber record is mandatory in the file. Central Recordkeeping Agency, NPS 9

File Preparation Utility
NSDL On opening the FPU the “PAO & Contributions File Details” panel will be displayed by default. For preparing a new file, the Type of Contribution File should be ‘Original’. Nodal office should write the office name. The PAO & Contribution File Details In this panel, the user will enter details such as Type of contribution file, PAO Reg. No., PAO name & Transaction id (in case of a correction file upload). Nodal office should write its Reg. Number allotted by CRA at the time registration. Central Recordkeeping Agency, NPS 10

Enter Valid DDO Registration Number. FPU will structurally validate the number. Central Recordkeeping Agency, NPS

In case of error, it will show you an error prompt. Central Recordkeeping Agency, NPS

Enter Valid PRAN. FPU will structurally validate the number. Central Recordkeeping Agency, NPS

In case of error, it will show you an error prompt. Central Recordkeeping Agency, NPS

Enter Name of the Subscriber. There is no validation in the system based on name. Central Recordkeeping Agency, NPS

Enter the Government’s Contribution as per the Salary Bill. If the Government Contribution is entered, the Subscriber Contribution field will be populated automatically with an equal amount. Central Recordkeeping Agency, NPS

These are the standard drop-down menus available. You just have to select the month & year of Contribution. Central Recordkeeping Agency, NPS

This is the standard drop-down menu available. You have to select the type of the contribution either ‘Regular’ or ‘Arrears’. In case ‘Arrears’, the Remarks field will become Mandatory. Central Recordkeeping Agency, NPS

These are the Auto-Control Fields. Central Recordkeeping Agency, NPS

If the PAO wants to verify the DDO-wise control totals, PAO needs to select the DDO Reg. No. by clicking on this drop down menu. Central Recordkeeping Agency, NPS

On selection of a particular DDO Reg. number, the number of records, the total Government contribution and the total subscriber’s contribution will be displayed in these fields. Central Recordkeeping Agency, NPS

To save the intermediary file (.fpu) , select the option as shown. The saved intermediary file can be used by the Nodal office for preparation of the next month’s SCF. To create ‘.txt’ file, you have to click ‘Create File’ Central Recordkeeping Agency, NPS

Select the path where the output file is to be saved It is suggested that the file be named in the convention shown. i.e. the first three letters as the month and next two letters as the year. After naming the file, click on “Create”. Central Recordkeeping Agency, NPS

Once the file is successfully created FPU will generate a unique “Batch Id”. This window will also show the path where the file has been created. The file gets automatically saved on the local machine. If all details remain the same, the previous month’s file can be reopened, the month & year can be changed and the file can be saved as “Jul08” for upload. Once the “OK” button is clicked, the FPU will generate two files i.e. a .FPU file and .TXT file. The .FPU file is an intermediate file which can be reopened for making corrections or for uploading the next month’s SCF with the changed details. The .TXT file has to be passed through the File Validation Utility for upload to NPSCAN Central Recordkeeping Agency, NPS

Controls at FPU Level NSDL FPU will not accept any record having the same PRAN, DDO, month and ‘Regular’ contribution type. FPU will not accept any contribution carrying a negative value. FPU will not accept any record which is of type “Arrear” without remarks. The user, while processing the file in FVU, will have the option to browse and select the input file i.e. the text file with extension ‘.txt’ generated by FPU and output folder in which file will be saved after successful validation. The user will validate the file by selecting the “Validate” option in the FVU. On successful validation, FVU will generate an output file with extension .fvu in the output folder with the FVU version and hash. It will also generate a control total html file in the same output folder. This file will contain the control totals of data for the subscriber records present in the input file as well as the batch id of that particular file. The batch id generated may be used – after uploading the file to NPSCAN - to query on status of a file. In case of unsuccessful validation, FVU will generate an error file in the specified folder specifying the details of the error e.g. Format of PAO id is invalid. Central Recordkeeping Agency, NPS 25

Is FPU mandatory? NSDL No, FPU is not mandatory. The user may also use its own back-office software for preparation of SCF. The SCF should be as per the format specified by CRA. File format of SCF is available at CRA website – Central Recordkeeping Agency, NPS 26

File Validation Utility (FVU) features
NSDL FVU will recheck all the validations performed by the FPU. On successful validation, the FVU will generate one file with extension ‘.FVU’ for final upload to NPSCAN. In case of validation failure, the FVU will generate an error report. FVU will append a digital lock to secure the file from data tampering. FPU is optional in nature, PAO can use its own back-office. FPU has been prepared for the people who may not be comfortable with advance computer knowledge. PAO should use the back-office only when PAOs are confident that back-office will be dynamic back-office. In case of any validation failure, then FVU will generate an error file indicating the error, e.g., Format of PAO id is invalid. FVU will validate that Contribution Month and Year is mentioned and it is a valid Year and month. FVU will perform format level validations within the text file such as transaction type, total no. of fields, order of fields, mandatory fields, date fields and data format of the fields will be validated. FVU will validate that for one PRAN-DDO, month and ‘Regular’ contribution type combination, only one record is present within a file. There can be multiple contribution records related to different months pertaining to one PRAN in a single file. The contribution amount cannot be negative. FVU will check whether the Subscriber’s mandatory contribution is equal to the Government contribution. System will validate that the sum of individual subscriber’s mandatory contribution amount is equal to the Control Total for Government contribution amount. Central Recordkeeping Agency, NPS 27

Select the path of the desired output/error file. Select the path of file (*.TXT) which is to be validated. The “Validate” button will remain disabled till the time the details of the file and the path of the control sheet or error report is given as input. Once the required fields are entered, the “Validate” button will be enabled. This prompt will show the path where the validated file is saved. Central Recordkeeping Agency, NPS

This is the batch id generated at the time of preparation of SCF by FPU. These are the Auto control fields generated after validation is successfully carried out. You can verify the version of the FVU used to validate the file as CRA will accept only those files which are validated using latest version of FVU. Central Recordkeeping Agency, NPS

Upload of SCF to NPSCAN NSDL Logon to NPSCAN at SCF can be uploaded using the single I-Pin allotted at the time of registration. Only a SCF validated by FVU can be uploaded. On successful upload of the file, NPSCAN will generate a unique File Reference Number (FRN). FRN can be used to view the status of the SCF at NPSCAN. This I-Pin allotted will contain the User Id and the password. The system will prompt the User to change the password at the time of first login On successful validation, FVU will generate an output file with extension .fvu in the output folder with the FVU version and hash. It will also generate a control total html file in the same output folder. This file will contain the control totals of data for the subscriber records present in the input file as well as the batch id of that particular file. Transaction id along with Contribution Submission Form (Annexure- 1_) will be generated by NPSCAN on successful upload of the contribution file this file is downloadable. However, PAO will be able to save this file and can also take a print of the same. The Contribution Submission Form will have to be submitted by the PAO to the Trustee Bank while depositing the contribution amount. We will show how the screens will be displayed in front of you. Central Recordkeeping Agency, NPS 30

The site will be used by the Nodal Offices only. The user will have to click here to go to the login screen. Central Recordkeeping Agency, NPS

If the user forgot the password, he can click on this option to reset the password. Once this option is clicked, the system will prompt the user to enter the answer for a secret question. By answering them user can set new password. User will have to enter the password in this box. If the user is logging in for the first time, the system will prompt him to change the password. User will have to enter the user id given by CRA at the time of registration. Central Recordkeeping Agency, NPS

On successful login, the User will have to select the ‘Contribution Details’ menu and click on the ‘Upload’ option. This is the ‘WELCOME’ screen for the user. User can check his User id & System date. Central Recordkeeping Agency, NPS

This is the ‘UPLOAD’ screen for the user. To upload the file, user needs to click on ‘Add Files’. The user needs to select the ‘.fvu’ file from the defined path. After selecting the file, the system will display the details of the file to be uploaded .i.e. serial number of the file, path of the file etc. Click on the ‘Upload All’ button to upload the SCF to NPSCAN. Central Recordkeeping Agency, NPS

On successful upload, NPSCAN will generate a File Reference Number (FRN). This FRN can be used for viewing the status of the file at a later stage. Central Recordkeeping Agency, NPS

File status View NSDL The search criteria can be the FRN, Batch id generated by FPU, Transaction id generated by NPSCAN on acceptance, or the date range. In order to view the status of the file uploaded in NPSCAN, the PAO User will have to select the “Contribution Details” menu and click on the “File Status View” Option. On selecting this option, the system will display a screen where in the PAO User will have to enter any one of the fields displayed. The search fields are optional, you can enter any one to view the details. Batch id is mentioned on the control sheet which will be generated at the time of FVU validations. At least one of the search criteria mentioned has to be entered failing which NPSCAN will not generate an output. Once input has been given, ‘Submit’ button has to be clicked. Navigate to the ‘Contribution Details’ menu and click on the ‘File Status View’ option. Central Recordkeeping Agency, NPS 36

File status View NSDL The details displayed will be the FRN, file name, date of upload, type of file, Transaction id (13 digits), status, batch id, error response if the file is rejected, and hyperlink to generate Contribution Submission Form. On entering the search criteria mentioned above, NPSCAN will display the status of the file. If the file is accepted at CRA, the file will be displayed along with a unique 13 digit Transaction ID. In order to view the details of the file, the PAO User will have to click on the hyperlink provided under the head “Batch Id”. In order to view the Contribution Submission Form, the PAO User will have to click on the hyperlink provided under the head “Subscriber Contribution Submission Form” To view the details of the file uploaded, click on the batch id link. To generate the Contribution Submission Form, click on this link. Central Recordkeeping Agency, NPS 37

The Batch Id Hyperlink NSDL The status of the file will be updated to “Matched & Booked” when the details uploaded by the Trustee Bank and the PAO match. Central Recordkeeping Agency, NPS

The Contribution Submission Form Hyperlink
NSDL The details of the payment to be made to the Trustee Bank has to be filled by the respective Uploading Office. On receipt of the contribution amount, the Trustee Bank will hand over the counterfoil to the Uploading Office as a confirmation. This form has to be submitted by the Uploading Office to the Trustee Bank failing which the Trustee Bank will not accept the contribution amount. Central Recordkeeping Agency, NPS

File status view… NSDL The SCF uploaded can be of the following status’- First status (immediate after uploading of SCF): Accepted – The SCF is accepted at CRA and Transaction Id is successfully generated. Rejected – The SCF is rejected at CRA and error response file is generated giving the details of rejection. Second status (post acceptance of SCF by CRA): Matched & Booked – The SCF uploaded by the Nodal office and the fund receipt confirmation uploaded by the Trustee Bank matches and the Matching & Booking Process is successfully completed i.e., pension contribution fund has been allotted for investment. Match Failed – The SCF uploaded by the Nodal office and fund receipt confirmation uploaded by the Trustee Bank do not match. Nodal offices has to find out the reason for amount mismatch and solve the issue with the Trustee bank Central Recordkeeping Agency, NPS

SCF processing at NPSCAN
NSDL Checks at NPSCAN: NPSCAN shall recheck all the validations performed by FPU & FVU. In addition to the above mentioned validations NPSCAN will perform additional validations such as Active PAO Regn No, DDO Regn No, PRAN etc. Valid PAO-DDO mapping. Repetition of the record for regular contribution for same PRAN and month. After successful upload of the files, NPSCAN will perform format & business level validations. Depending on the size of the file, this process may take a few minutes. About mapping : In case of transfers, mapping may not be available as LPC may come after 2-3 months. But the process of contribution will not be stopped, PAO can still upload the contribution. If the file validation is successful, NPSCAN system will generate the Transaction id (unique receipt number generated by NPSCAN) along with the Contribution Submission Form which will be available for PAO to download and print. The Contribution Submission Form will contain PAO id, PAO address, contribution month, transaction id, amount to be deposited in the bank etc. This form is to be submitted by the PAO to the Trustee Bank while depositing the contribution amount. NPSCAN will check all format level validations as per FVU and will also check the FVU version and hash validation for the uploaded file. If the file validations fail, NPSCAN will update the status of the file as “Rejected” and will generate an error file which will be available to the user to download. An will also be sent to PAO providing the rejection reason. There will be ‘view” facility provided to the PAOs. PAO user can enquire about the status of a particular file by entering the upload period (from and to date) and batch id or Transaction id. Central Recordkeeping Agency, NPS 41

Fund Transfer Process NSDL Nodal office can transfer the funds to the Trustee Bank through the following modes: Cheque transfer – cheque to be submitted to the branch of the Trustee Bank along with the Contribution Submission Form. Electronic transfer (RTGS/NEFT) – instructions to be given to the bank of the Nodal office to transfer the funds to the Trustee Bank. In the RTGS/NEFT application, the Nodal office has to mention the following details: ‘City, Bank, Branch, PAO name, account type , Account Name & Number. In remark column – PAO Registration Number allotted by CRA and Transaction id generated on successful upload of SCF’ are to be entered mandatorily. Once the file has been successfully uploaded and the receipt generated (CSF shown in figure 30) from NPSCAN, the PAO user will take a print of the CSF. PAO shall submit the CSF at the Trustee Bank along with the Contribution amount as appearing in the CSF. PAO can also transfer the funds to the Trustee Bank using electronic fund transfer facility such as NEFT/RTGS. While transferring the funds, PAO should provide the following details to the Remitting Bank (which initiates the NEFT/RTGS transfer instruction): NPS Trust Account number PAO Reg. No. Transaction id Central Recordkeeping Agency, NPS 42

Correction File NSDL Why correction file is required to be uploaded? User wants to make any change in original file due to any incorrect data The original file is in “Match Failed” status When can the correction file be uploaded? User can upload a correction file for the original file till the latter is not in “Matched & Booked” status. The process of preparation and uploading of correction file is given in the next slide. The situations/conditions under which PAO will be allowed to upload a correction file are as follows: PAO wants to make any changes in original file. File has not matched or yet to be matched under Matching Process at CRA and is in Match Failed status/accepted status. No transaction id will be generated for the files rejected at NPSCAN due to unsuccessful database level validations (e.g. invalid PRAN, Invalid DDO id). Corrections to these files have to be uploaded as a fresh file and not as a correction file. For other cases, the correction file will be prepared and validated with similar process of preparing the regular file. In addition, PAO will have to mention the transaction type as ‘correction’ and provide the earlier Transaction id in the file. If the original Transaction id is not given, FVU will reject the file while validating the same. Central Recordkeeping Agency, NPS 43

Correction File NSDL To upload correction file, select the type of contribution file as ‘Correction’. While uploading a correction file, the PAO User will have to select the type of contribution file as “Correction” from the drop down list. The moment, this option is selected, FPU will enable a felid for entering the transaction ID. The transaction ID entered should be that of the file originally uploaded for which the correction file is being uploaded. On selection of correction file option, the transaction id field will be enabled. Enter the transaction id of the original SCF for which the correction file is to be uploaded. Central Recordkeeping Agency, NPS 44

Points to remember NSDL SCF can be prepared using the latest version of FPU or the user’s own system. In case the user is using his own system, the SCF should be as per the file format specified by CRA (file format is available in CRA website). SCF should be validated using latest version of FVU. The PAO, DDO and PRAN should be active in CRA system. SCF to be uploaded by hrs for consideration for next settlement. For transferring of funds to the Trustee Bank, CSF to be provided along with the cheque or in case for RTGS/NEFT transfer, CRA allotted registration number of the uploading office and Transaction id. should be mentioned in the instruction for electronic transfer. No supporting documents need to be forwarded to CRA. About the settlement Money will not be lying with NSDL also bank will not keep the money with them. The process is designed in such a way that if you upload the file today, investment will take place in next business day. But in case if you upload the file after 17.30, investment will take place after 1 day. Central Recordkeeping Agency, NPS 45

Contact at: Central Recordkeeping Agency, NSDL Trade World, ‘A Wing’, 4th Floor Kamala Mills Compound, S. B. Marg Lower Parel, Mumbai Tel. No Fax No id : Website: Central Recordkeeping Agency, NPS

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