2. Taking through the presentation
• Subscriber Contribution – an overview
• Utilities and their features
• Upload of Subscriber Contribution File (SCF)
• Correction file
• Views and Reports
• Exception Handling
®NSDL
3. Preparatory Steps ®NSDL
• Ensure that all Subscribers have got PRAN.
• Download the File Preparation and File Validation
Utility
• PAOs to upload the Subscriber contribution details
in the CRA system
• PAOs to transfer the funds to the Trustee Bank
• In case of legacy data, ensure that interest payable
to the Subscriber is apportioned into two equal parts
along with contribution
• On reconciliation of legacy data, upload the file to
the CRA system
4. Subscriber Contribution
FVUFPU
CRA
2. Digitization
6. Data Transfer
1. Consolidation of
Records
NPSCAN
3. Validate
File
4. File Upload
7. Submission of CSF
&
Transfer of funds
5. Generation & Printing of
CSF
8. Fund Receipt
Confirmation
Trustee Bank
PAO
®NSDL
5. Utilities
• 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.
®NSDL
6. FPU and Its Features
• 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.
®NSDL
7. FPU and Its Features Contd.
• 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
stages.
• 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
NCDDO wise SCF.
®NSDL
Forthcoming developments:
Online FPU template
download by PAO
8. Key Contents of FPU
• PAO Registration Number
• PRAN
• DDO Registration Number
• Contribution Details – Subscriber and Government
• Month & Year of specific Contribution record
• Type of contribution
®NSDL
15. Controls at FPU Level
• 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.
®NSDL
16. Is FPU mandatory?
• 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 – www.npscra.nsdl.co.in .
®NSDL
17. File Validation Utility -
Features
• Recheck of all FPU validations
• Generation of file for final upload to
NPSCAN
• Generation of error report in case of
discrepancy
• Appends digital lock to secure the file from
data tampering
It is mandatory to verify the SCF through
FVU before uploading to NPSCAN.
®NSDL
20. • Logon to NPSCAN at www.npscan-cra.com.
• Requirement of single I-Pin for SCF Upload
• FVU validated SCF to be uploaded
• Generation of File Reference Number (FRN)
Upload of SCF to NPSCAN
®NSDL
24. SCF processing at NPSCAN
• Checks at NPSCAN:
o Recheck of FPU & FVU validations
o Validation of active PAO Regn. No, DDO
Regn. No., PRAN
o Valid PAO-DDO mapping
o No record exists for regular contribution
for same PRAN and month
®NSDL
25. • Unique Transaction id (13 digits) on
successful upload
• System generated receipt – the CSF
• PAO to print the receipt for submission to
Bank
• Transfer of Funds (cheque /Electronic
transfer etc.) along with CSF
Post Upload Process ®NSDL
29. ®NSDL
The SCF uploaded can be of the following status’-
First status (immediate after uploading of SCF):
• Awaiting fund details – The SCF is accepted at CRA and
Transaction Id is successfully generated but fund confirmation
from Trustee Bank is pending. If the fund details are not
uploaded by the Trustee Bank for a period of seven days, the
status of the file shall be changed to “Not Matched & Booked”
• 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.
File status view…
Nodal office has to find out
the reasons and upload
SCF again
30. • Nodal office can transfer the funds to the Trustee
Bank through the following modes:
o Cheque transfer – cheque to be submitted to the
branch of the Trustee Bank along with the Contribution
Submission Form.
o 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.
Fund Transfer Process ®NSDL
31. Exceptions in Fund Transfer ®NSDL
• Control Points
o Uploading PAO office to ensure that funds are transferred only after
the contribution file is uploaded
o The funds transferred to the Trustee Bank should be equal to the
amount mentioned in the Contribution Submission Form
o In case of electronic transfer, the relevant transaction ids to be
mentioned at the time of transferring the amount
• Impact of wrong fund transfer details
o Matching & Booking happening at a later date
o Late credit effect in the Subscribers account
32. 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.
34. Possible Errors
• Old version of utilities
• Incorrect month of contribution
• Incorrect type for contribution
• Same DDO-Subscriber-month-type combination
• Error in contribution amount for the Subscriber
• Incorrect PRAN of the subscriber
®NSDL
35. Workshop for ICAR
Thank - You
Contact at:
Central Recordkeeping Agency, NSDL
Trade World, ‘A Wing’, 4th
Floor
Kamala Mills Compound, S. B. Marg
Lower Parel, Mumbai 400 013
Tel. No. 2499 4200
Fax No. 2499 4974
Email id : info.cra@nsdl.co.in
Website: www.npscra.nsdl.co.in
®NSDL
36. Workshop for ICAR
The FPU/FVU can be freely downloaded
from www.npscra.nsdl.co.in .
The Path for downloading the FPU/FVU
-Downloads
--Software Downloads
---Utilities
----Subscribers Contribution Upload
How to acquire the FPU and
FVU? ®NSDL
Editor's Notes
This presentation is intended for the personnel in the PAOs (similar entities in other accounting formations) who shall be uploading the Subscriber contribution information to NPSCAN. In this presentation we shall be describing the procedures to be followed by PAOs in preparation and upload of Subscriber Contribution File (SCF). This presentation also details the usage of tools like File Preparation Utility (FPU), File Validation Utility (FVU) and the functionalities to be followed by the PAOs while preparing and uploading the Subscriber Contribution File (SCF) to NPSCAN/CRA and submission of the contribution funds at the Trustee Bank.
Similar to quarterly upload of E-TDS by nodal offices. This is a statutory responsibility. However, there is fund flow in NPS and not book entry. 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.
Similar to Return Preparation Utility (RPU) used in TIN.
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.
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.
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).
The Subscriber Details Panel: In this panel, the user will enter the contribution details of the subscriber such as Subscriber PRAN, month of contribution, amount of contribution etc.
In case of any fields i.e DDO Reg No, PRAN, Govt Contribution not equal to Subscriber Contribution, Duplicate records, Arrear without remarks not being structurally correct, the FPU will give an error message
After entering the details in the Subscriber Details Panel, the PAO User will have to create a “.FPU” file on his local machine. The FPU will automatically save the file in “.TXT” format. It shall also create a intermediary file which can be used by the PAO User for preparing subsequent months contribution file. After the file is created successfully FPU will generate a unique Batch ID. This batch Id can be used by the PAO User for future references.
After entering the details in the Subscriber Details Panel, the PAO User will have to create a “.FPU” file on his local machine. The details can also be copied from excel and pasted in the FPU as shown above. The FPU will automatically save the file in “.TXT” format. It shall also create a intermediary file which can be used by the PAO User for preparing subsequent months contribution file.
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.
The Input File Name with Path PAO will specify the name (with the .txt extension) of the input file (including the path) i.e. the name of the Subscribers Contribution File and to be passed through FVU for validation. The Input file name should not contain any special characters e.g. :, \ / etc and should not exceed 12 characters. The file to be passed through FVU should be in “.txt” format only . PAO can enter the path or he can select the same by clicking the ‘Browse’ button on the extreme right of the Input File Name with Path . Error/Upload & Control Sheet Report File Path PAO User will have to specify the path where either an ‘error file’ or ‘upload file’ along with the control total sheet is to be generated and saved by the FVU on successful completion of validation of the file. It is advisable to use the same path as the input file path. For error file or upload file, PAO User shall only specify the path and should not specify any file name. FVU will provide the name for output file by default. PAO User can enter the path or can select the same by clicking the ‘Browse’ button on the extreme right of the ‘Error/Upload File Path’. In case of validation failure, an Error file will be generated at location specified in the field ‘Error/Upload & Control Sheet Report File Path”. It is mandatory for PAO to fill both ‘Input File Name with Path’ and Error/Upload File Path’. Once the PAO specifies both the fields, Validate button will remain disabled till both fields are not entered properly. While validating the Subscribers Contribution File, FVU will perform format and structural level validations. FVU will also perform additional validations as mentioned below: The contribution Month and Year mentioned is a valid year and month. FVU will check whether ‘Government Control Total’ is equal to the sum of government contributions for all the subscribers. FVU will check whether ‘Subscribers Control Total’ is equal to the sum of Subscribers contributions for all the subscribers. After selecting the input and output folder, PAO should click the ‘Validate’ button to validate the Subscribers Contribution File. If the file is successfully validated, FVU will create the upload file with extension ‘.fvu’.
If the file validation is successful, then FVU will also generate a “.html” file showing control totals as shown in the slid
The PAO User will have to login to NPSCAN using I-Pin. After successfully logging into the system, the PAO User will have to click on the “Contribution Details” menu and select the “Upload” Option.
Once the option is clicked, the system will display a window where the PAO User will have to attach the file passed through the FVU. In case the file is not passed FVU, NPSCAN will reject the file. More than 1 file can be uploaded using ADD FILE option. Different FRNs will be generated for each file uploaded.
On successful upload, NPSCAN will generate a unique File Reference Number which may used for future references.
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 e-mail 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.
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
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.
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”
Ensuring that correct PAO registration number and transaction id is mentioned in: Field – 7495 of RTGS Field – 7002 of NEFT The text information to be mentioned in these fields is : PAOFIN<PAO Reg No><Transaction ID> e.g. PAOFIN20012341002345100543
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.
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.
