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Combined Pension StatementsTechnical guide

32 Combined Pension Statements

Contents

3 Introduction

5 The file delivery process

6 Types of delivery medium

8 How to send and receive files

13 Running the data test

15 Where to send your files

16 Combined Pension Statement Bulk Request File

22 Combined Pension Statement Bulk Reply File

30 Notifying you of our reply

33 Validation and exception handling

35 Data protection registration

36 Combined Pension Statement technical guide checklist

39 Glossary


IntroductionPurpose of this guideThis guide is for you if you are:• Anemployer• Apensionprovider,e.g.acompanythatprovidesapersonalorstakeholder

scheme• Atrusteeadministrator,or• Anagentforapensionprovider.

It gives you the technical information you will need to manage the interface betweenyouandDWP’sCombinedPensionStatementscheme.Itexplainswhatyou need to do in order to:

• putinplacethesystemsandproceduresrequiredtotakepartintheCombinedPension Statement scheme

• deliverfilestouscontainingdetailsofyouremployeesorschememembers,and

• receivefilesfromuscontainingtheStatePensionstatementinformation.

What is a Combined Pension Statement?ACombinedPensionStatement(CPS)consistsofusgivingyouanestimateof:• theStatePensionthatyourschememembermaygetatStatePensionage,

based on their National Insurance contribution record so far• theearliestagethattheymaygettheirStatePension.

Youcanincludeitintheannualbenefitstatementsyoucurrentlysendout.Wewillprovidethisinformationtoyoufreeofcharge.

Preservingtheprivacyandsecurityofthisdataisasimportanttousasitistoyou.Wehavedesignedtheservicewiththisinmind.

How does the scheme work?Yousendusadatafilecontainingthenames,datesofbirth,sexandNationalInsurance numbers of your employees or scheme members so that we can send you an estimate of their State Pension based on their National Insurance contributionrecordsofar.YouincludetheStatePensioninformationwesendyouinthestakeholder,personaloroccupationalstatementsthatyousendtoyourschememembers.

How to contact usYourfirstpointofcontactforadditionalsupport,ortoansweranytechnicalqueries,isyourCustomerAccountManager.

Phone 0191 218 2201


AssumptionsThe assumption has been made in this document that you will negotiate a RegistrationAgreementwiththeCPSservicecoveringthepracticalaspectsof:• consentprocedures• dataexchangeandtest• volumesandtiming• handlingrejections• statements,communicationsandenquiries• productionschedules,and• qualitystandards.

Further informationFor further information on Combined Pension Statements and the benefits they canprovide,pleasesee‘AguidetoCombinedPensionStatements’(CPS2)availablefromourCustomerAccountManagers

Phone 0191 218 2201

Contents of this guideThis guide contains the following topics:• Section 1 - The file delivery process gives an overview of the interface betweenyouandtheCPSservice.

• Section 2 - Types of delivery medium describes the three ways in which you cansendusdatafiles,togetherwiththeirtechnicalrequirements,advantagesanddisadvantages.

• Section 3 - How to send and receive files explains the file naming conventions weuse,andtheprocessesinvolvedinusingeachmedium.

• Section 4 - Running the data test outlines the tests that you will need to carry outtoconfirmthatyoucansendandreceivefilessuccessfully.

• Section 5 - Where to send your files provides the addresses to be used for eachmedium.

• Section 6 - CPS Bulk Request File lists the formats in which we require you to sendyourdatafilestous.

• Section 7 - CPS Bulk Reply File lists the format of the reply file that you will receivefromtheCPSservice.

• Section 8 - Notifying you of our reply describes how you will know when we havesentaBulkReplyFiletoyou.

• Section 9 - Validation and exception handling describes the validation checks that we run on your BulkRequestFilesandhowexceptionsarehandled.

• Section 10 - Data protection registration explains what you need to do to conformtotherulesofdataprotectionregistration.

• Section 11 - CPS Technical guide checklist.• Section 12 - Glossary-termsandacronymsusedinthisguide.


1 The file delivery processIntroductionThis section gives an overview of the process used to exchange data files between you(thepensionprovider/employer)andtheCPSservice.

The processTheprocessinvolvesatwo-waytransferofdatafiles.

1.Yousendusarequestfile(referredtoasaCPSBulkRequestFile)containinganumberofindividualrecords(RequestFileDetailRecords),eachrecordrepresentingarequestforanestimateofcurrentStatePensionamount.

2.Inresponse,wesendyouareplyfile(CPSBulkReplyFile)containingreplyrecords(ReplyFileDetailRecords),eachonecorrespondingtoarequestrecordinyouroriginalCPSBulkRequestFile.EachReplyFileDetailRecordcontainsanestimateofthecurrentStatePensionamount.Section7explainswhathappenswhenareplyrecordfails.

Figure 1 The file delivery process

Mandatory details

It is essential that you supply us with the following details about your scheme members/employees:• surnameorfamilyname• forename(s)orinitial(s)• sex• dateofbirth,and• NationalInsurancenumber.

CPS Bulk Request File

CPS Bulk Reply File

Pensionprovider/employer

Combined Pension Statement service


2 Types of delivery mediumIntroductionYoucansendusyourdataviathreemediatypes.Thissectiondescribesthetechnicalrequirementsofeachtype,togetherwithitsadvantagesanddisadvantages.

Three media typesWe will accept data in the following formats:• ElectronicDataInterchange(EDI)• SecureFileTransfer(SFT),or• Physicalmedia:KingstonUSBstick.

EDIIfyoudecidetouseEDI,youarealreadylikelytohaveaccesstotherequiredEDItechnologyinsupportofotherEDIexchanges,forexamplesubmissionofStateSecond Pension opt-out data into the National Insurance Services to Pension Industry(NISPI).

TheprimarytechnologyrequirementsareaccesstoaGXSInformationExchangeValueAddedNetwork(VAN)oraUKAdministrativeManagementDomain(ADMD),andanX.400MessageTransferAgentintegratedwithanEDIgateway.

Technical requirementsYou will need:

• SupportforEDIFACTsyntaxandtranslationto/fromPENFORmessagestandard–pleasenote,thismessageformatisnotdescribedinthistechnicalguide.ThePENFORmessagestandardisdescribedintheEDIguidewhichisavailablefromyourCustomerAccountManager

• Supportfor1988X.400messagerelayto/fromtheGXSInformationExchangeValueAddedNetworkVAN–DWPaddressc=gb/a=GXSX400/p=IEEUR/s=GBDWP/g=GBDWP001,or

• Asecure(minimumof128bit3DESencryption)connectionwithGXSInformationExchange.

Advantages of EDI• Itisalowcostoptionfororganisationswithprioraccesstotherequiredtechnology.

• NoadditionalsecurityservicesarerequiredforRESTRICTEDcontenttransfer.

• Itoffersfullyautomated,audited,end-to-endtransfer.

TheEDIgatewayrigorouslyvalidatestheformatandstructureofthedatasubmitted,thusgivingtheCPSproviderahighdegreeofconfidencethatafilesuccessfullytransmittedviaEDIwillbeacceptedassyntacticallycorrectbytheCPSsystem.Note:IfthereareanysyntaxerrorsinafilesubmittedbyEDIthenthewholefileisrejected.

Disadvantage of EDIEDIisexpensivefororganisationsthatdonotalreadyhavetherequiredtechnology.


Secure File Transfer (SFT)TheSecureFileTransfer(SFT)optionallowsyoutointerfacewithDWPviatheinternetbyusingtheSopra/Axwayproducts.YouwilluseaJavaappletonaPCdesktop to interface securely with a web server administered by the CPS Service DeliveryCentre(SDC).

EncryptionusingPGPDesktopProfessionalsoftwaremustbeaddedforadditionalsecurity.

Please note: There is also a technical guide supplement which is available from your Customer Account Manager.

Technical requirements• Youwillneedaninternet-enabledPCwithPGPDesktopProfessionalsoftwareloaded.

• TousetheXFBWorkstationJavaclientyouwillneedasuitableversionofJavaonyourPC.

Advantages of Secure File Transfer (SFT)• Transmissionissecure.

• ThegraphicWindows-likeinterfaceissimpletouse.

• TheXFBworkstationinterfaceprovidesyouwithhistoricalandstatusinformation.

• LittleconfigurationoftheworkstationisrequiredasthedownloadedJavaappletispreconfigured.

• Youcontroltheinitiationofthefiletransferprocess.

• Itrequireslessmanualinterventionthanphysicalmedia.

Disadvantages of Secure File Transfer (SFT)• Itrequiressomebodytologintoactionthe‘SEND’and‘RECEIVE’functions.

• Adjustmentsmaybeneededtocustomerfirewalls.(SeeSFT(SecureFileTransfer)supplement.)

Physical mediaTheonlyphysicalmediatypeweacceptisKingstonUSBstick.

Technical requirementsThe technical requirements for sending and receiving files are read and write capabilityfortheagreedmediatype,i.e.aPC/serverwiththeappropriateCD-writerdriveinstalled.

Advantages of physical mediaOnlystandardhardwareisrequired.

Disadvantages of physical media• Thereisatimedelaybetweensendingtherequestandreceivingthereply.

• Themediacanbedamagedorlostintransit.

• Theinterfacecannotbefullyautomated.


3 How to send and receive filesIntroductionThe rules for sending and receiving data between you and the CPS service vary according towhichmediatype(EDI,SecureFileTransfer(SFT)orphysicalmedia)youchoose.

Thissectiondescribestheprocessforeachtype,togetherwithanyconstraintsorencryptionrulesthatapply.

Request File nameTherearestrictrulesonthenamingoffiles,whichshouldbeintheformatillustratedinFigure2.

Pleasenotethatthisisonlyanexampleofthefile-namingconvention.

AA000000001234.FIL0003.000001.1.16_10_2001.14.25.10.txt

1 2 3 4 5 6 7

Field no. Description1 Contentsoforiginatingsystemfromfileheader(youruniqueprovider

referencenumber)

2 Filename(alwaysFIL0003)

3 Contentsofsequencenumberfromfileheader(seedescriptiononpage29)

4 Whichoneofthetwofiletransfermediatypeshasbeenused(seemediatypetableonpage9)

5 Date stamp

6 Time stamp

7 Fileextension(always.txt)

Figure 2 CPS Request File naming convention

Reply File nameAllReplyFileswillbereturnedaccordingtothefile-namingconventionshowninFigure3.

AA000000001234.FIL0005.000001.1.16_10_2001.14.25.10.txt

1 2 3 4 5 6 7

Field no. Description1 Contentsoforiginatingsystemfromfileheader(youruniqueprovider

referencenumber)

2 Filename(alwaysFIL0005)

3 Contentsofsequencenumberfromfileheader(seedescriptiononpage31)

4 Whichoneofthetwofiletransfermediatypeshasbeenused

5 Date stamp

6 Time stamp

7 Fileextension(always.txt)

Figure 3 CPS Reply File naming convention


Media type codesThemediacodesareasfollows.

Media type CodeEDI 1

SFT 2

KingstonUSBstick 3

EDI

File transfer processTheEDIinterfacewiththeCPSsystemwillutiliseEDIFACTsyntax(thePENFORmessage)carriedasthefirstIA5TextbodypartofanX.400message,usingtheP2InterpersonalMessagecontenttype.ThereisnosupportforX.435.

If your organisation has a direct secure connection with GXS Information Exchange,othersubmissionprotocolsmaybeavailable–thismustbediscussedwithyourCustomerAccountManager.

Onceyouhavesuccessfullycarriedoutend-to-endconnectivitytestingandhavegonethroughaformal‘conditionsofconnection’process,testandlivefilescanbesentandreceivedviaEDIasfollows.

Stage Description1 YoucreateaBulkRequestFilecontainingrecordsthatinclude(ata

minimum)themandatorydatarequiredforeachofyourmembers/employees.

2 YousubmittheBulkRequestFileinEDIFACTsyntaxtotheDWPe-BusinessGateway.

The regularity and maximum size of these submissions will be predeterminedaspartoftheapprovalprocess.

3 TheDWPe-BusinessGatewayautomaticallyconfirmsreceipt,validatesthesyntaxoftheBulkRequestFile,returnsappropriateacknowledgements,andthenpassestheBulkRequestFiletotheCPSsystemforprocessing.

4 TheCPSsystem:

• createsaBulkReplyFile,and

• sendsyouanotificationbyRoyalMailthataBulkReplyFilehasbeensenttoyou.

5 The CPS system returns the Bulk Reply File to the DWP e-Business GatewaywhereitistransformedintoEDIFACTsyntax(thePENFORmessage)andreturnedtoyouviatheIEVAN.

Pleasenote:YourCustomerAccountManagercanprovideyouwithanEDIguide.

Constraints on using EDIThefollowingconstraintapplies.

Thesizeoffilesbeingtransferredtoandfrompensionproviders/employersmeansthateithersegmentationorcompressionwillberequired.TheDWPpreferenceistoutiliseautomaticcompression.


Encryption of EDINoadditionalencryptionisrequiredforRESTRICTEDcontenttransferwhereconnectionisX.400-based.

Secure File Transfer (SFT)

File transfer processOnceyouhavecarriedoutend-to-endinteroperabilitytestingandhavegonethroughaformal‘conditionsofconnection’process,testandlivefilescanbesentandreceivedviaSFTasfollows.



ThefilemustbeencryptedusingPGPDesktopProfessional.

Afileextensionof.pgpwillbecreatedwhenusingPGP.Thismustbereturnedtotheoriginal.txtfileextensionbeforesendingthefile.

2 WhenyourCPSBulkRequestFileisreadytosend,youlogontotheCPSsecurewebserverviaaninternet-facingfirewall.ThelogonwillbeauthenticatedusingPublicKeyInfrastructure(PKI)security,includingtheuseofserver-sideX.509certification.

3 YourequestadownloadoftheXFBworkstationcomponentviayourwebserver.(Theworkstationcomponentisapre-configuredJavaappletthatwillactastheinitiator[client]fortheSFTtotheCPSsystem).

4 Youselectthe‘SEND’option,andtheCPSBulkRequestFileistransmittedto the XFB server on the secure web server from where it is forwarded to theCPSServiceDeliveryCentre(SDC).

5 The CPS system:

•generatesaCPSBulkReplyFileencryptedusingPGPDesktopProfessionalsoftware,and

•sendsyouanotificationbyRoyalMailthataBulkReplyFilehasbeenproduced.

6 The CPS Service Delivery Centre processes the CPS Bulk Reply File and forwardsittotheXFBserveronthesecurewebserver.

7 Youlogontothesecurewebserver,downloadtheXFBworkstationclientsoftwareandselectthe‘RECEIVE’optiontoretrievetheBulkReplyFile.

Pleasenote:YourCustomerAccountManagercanprovideyouwithaguidetoSFT.


Constraints on using Secure File Transfer (SFT)The following constraints apply:

• TheformatoftheCPSBulkRequestFilemustconformtothespecificationssetoutinSection6(CPSBulkRequestFile).ThenameofthefilemustalsoconformtoSection3,‘Requestfilename’.

• Thefilemustbesavedin.txtformatusingtheASCIIcharacterset.

• Youmustuseoneofthefollowingwebbrowsers:

-MSInternetExplorer4.0orhigher,or

-NetscapeNavigator/Communicator4.0orhigher.

• YourfirewallmustbeconfiguredtoallowJavadownloads.

• ThebrowsermustbeconfiguredtousetheJavarun-timeenvironmentrelease1.4.2_13orlater.

• ThefirewallmustbeconfiguredtoallowaccesstotheSecureFileTransferportontheDWPhost(seeSFTsupplement).

Encryption and compression of Secure File Transfer (SFT)Thefollowingruleapplies.

SecurityofdatafilesusingtheSecureFileTransfer(SFT)optionwillbeimplementedviaSSLversion3.0utilisingoneoftheRSA/3DES/MD5algorithmswithanencryptiondepthof128bytes.EncryptionusingPGPDesktopProfessionalSoftwaremustbeaddedforadditionalsecurity.

Sending and receiving files by physical mediaIfyouhavedecidedtouseKingstonUSBstickandhaveinformedusofyourchoice,filescanbesentandreceivedasfollows.




2 YousavetheBulkRequestFiletotheagreedphysicalmedialabelledwiththe following information:

• originatingorganisationname

• originatingsystem(i.e.theproviderreferencenumberthatwehavegivenyou)

• destinationsystem(‘PFS’)

• filesequencenumber(fromthefileheader)

• creationdateandtime

• detailedrecordcount(excludingheaderandfooter),and

• whetherthefileis‘live’or‘test’.

3 Yousendthefilebytrackandtracecourierserviceto:

CPSOperationsLiaison RoomM0048b Durham House Washington Tyne & Wear NE387RP.

4 OncewehavereceivedandprocessedtheBulkRequestFile,wewillcreateaBulkReplyFileandsaveittotheagreedmedia.

5 WesendyoutheBulkReplyFilebyRoyalMailtrackandtracedeliveryservice,togetherwithaReplyNotification.(SeeSection8Notifyingyouofourreply.)

CPS file generatorAtoolforcreatingaCPSrequestfileusingExcelandanExcelspreadsheetexampleisavailablefromyourCustomerAccountManager.

Constraints on using physical mediaThefilemustbesavedin.txtformatusingtheASCIIcharacterset.

Important: If you intend to deviate from the media type agreed in the RegistrationAgreementitisimportanttoletusknow.


4 Running the data testThe test processOncetheRegistrationAgreementbetweenyouandtheCPSservicehasbeencompleted,wewillaskyoutosendusasmallsampleofdummydatasothatwecancarryoutcompatibilitychecks.

Thisdatatestisavitalpartoftheregistrationprocess.Untilthetesthasbeencompletedsuccessfully,yourRegistrationAgreementwillnotberatifiedandwewillnotbeabletoprocessyourliveBulkRequestFile.

What is a data test?ThedatatestistheDepartmentforWorkandPensions(DWP)wayofmakingsure we can read and process your data and that you can read and process the returnedfilefromDWPpriortorunningthe‘live’file.Thisonlyhappensinthefirstyearofyoujoiningtheserviceanddoesnothavetoberepeatedinsubsequentyears.However,ifyoueverchangeyoursystemsorprocessesyoushouldconsiderrepeating the data test to ensure that you have not made inadvertent changes thatwillaffecttheCPSBulkRequestFilesthatyouproduce.Itisathree-stepprocess:

• Stepone:aconnectivitytest(thisappliesonlyifyouplantouseEDIorSecureFileTransfer(SFT)duringliveprocessing).

• Steptwo:checkbyDWPofincomingfiles.

• Stepthree:acheckbytheproviderthattheycanreadthereturnfile.

Step one: a connectivity testThe purpose of this test is to enable you to check that you have correctly configured your end of the electronic transfer mechanism so that you can send andreceivefilessuccessfully.

ConnectivitytestingforSFTteststhatyoucanlogintotheSFTserver,sendafiletoitandreceiveafilefromit.

ConnectivitytestingforEDIconsistsoftwostages:

• YouwillbeaskedtoconfigureyoursystemtopointataCPStestsystem,andthentosendafiletothisandreceiveafileinreturn.

• YouwillbeaskedtoconfigureyoursystemtopointattheCPSlivesystemsothatyoucancheckthatyoucanconnecttoit.

The procedure for carrying out the connectivity test will be discussed with you in detailbeforeyousigntheRegistrationAgreement.

Step two: a check by DWP of incoming filesYousendusaCPSTestBulkRequestFileholdingupto100RequestRecordswhich must contain dummy data.DWP’sITteamwillcheckthatthefilehasacorrectstructure(accuratefilename,header,recordlengths)andthatthedataisintherightformat.


Step three: a check by the provider that they can read the fileAreturnfilewillthenbeissuedtoyou.Thisgivesyou,theprovider,theopportunitytomakesurethatyoucanreadthereplyfileinformationandrejectioncodes,butwithdummyestimatesratherthanrealones.

You should use these in testing internal processes you have set up to handle the returnedstatements.

What should I include in my data test file?The test file should contain:

• aheader

• upto100dummyrecords,and

• atrailer.

ThespecificationforeachoftheseitemsisshowninSection6ofthisguide.Thedatatestfileshouldmirrorexactlytheformatandstructureofthelivefile.Pleasenote that all dummy National Insurance numbers should end only with the suffix A,B,C,Dorspace.

ThefileshouldbenamedinaccordancewiththestandardsinSection3‘Howtosendandreceivefiles’.

What do I need to do if problems occur during the data test?It is an essential part of the check that you correct the problems and resubmit the fileforfurthertesting.Animportantpointtorememberhereisthatthechangescompletedtoensurethedatatestissuccessfulmustalsobemadetothe‘live’fileotherwisethiswillfail.

CPS file generatorAtoolforcreatingaCPSrequestfileusingExcelandanExcelspreadsheetexampleisavailablefromyourCustomerAccountManager.ThisguidanceshouldbeusedonlyifyouareintendingtouseExcelduringliveprocessing.

How should I send in my test file if using physical media?ThetestfileshouldbesentontheKingstonUSBstick.Physicalmediafilesshouldbelabelled‘DATATEST’withyourprovidernameand14-digitproviderreferencenumber.Ifyouarenotsureofyourreferencenumber,itwillbenotedonthetopofyourRegistrationAgreement.Thiswillalsobeusedwhencreatingyourfilename/header.

If the agreed live media type is to be changed from one allowed media to another,afurthertestfileshouldbesubmittedwiththelatestmediatypeBEFORETHELIVEFILEISSUBMITTED.

Unlessthishappensthelivefilewillfailinitialvalidation.

When should I send in my test file?AtestwindowshouldalreadyhavebeenagreedwithyourCustomerAccountManager.ThiswillbeintheRegistrationAgreementintheCPSActivityPlan.Ifyouarenotsureofyourtestfiledatesorwishtoreschedule,pleasecontactyourCustomerAccountManager.

Phone: 0191 218 2201


5 Where to send your filesAddressesThe DWP address to which you should send your Bulk Request File depends on the transfermediumyouhavechosen.

Transfer medium DWP addressEDI TobeconfirmedwhenyousigntheRegistration

Agreement.

SecureFileTransfer(SFT) TobeconfirmedwhenyousigntheRegistrationAgreement.

KingstonUSBStick HP FLSP OfficeNorth DoxfordParkUnitC Camberwell Way Sunderland SR33XN.


6 CPS Bulk Request FileIntroductionThissectionexplainshowtheBulkRequestFilethatyousendtousisstructured.AnexamplefileisavailableonrequestfromyourCustomerAccountManager.

File structureThe file consists of one Header Record followed by one or more Detail Records and oneTrailerRecord,asshowninFigure4.

Figure 4 Structure of the CPS Bulk Request File

Request FileHeader Record

Request FileDetail

Records

Request FileTrailerRecord


Record formatAllrecordsontheBulkRequestFilemustbe384bytes(excludingtherecorddelimiter),fixedlength,ASCIItextwithstandardend-ofrecorddelimiters,i.e.carriagereturn+linefeed(CR+LF)onWindows-basedplatformsorlinefeed(LF)onUnix-basedplatforms.Thesedelimitersarethestandarddefaultsfortextfileson those platform types and therefore do not need to be explicitly added to the records.Nofielddelimitersarerequiredandnospecialorunprintablecharactersarepermitted.

Alltextfieldsmustbeleft-justifiedandspace-filled(fillers).

Numericfieldsmustberight-justifiedwithleadingzeros.

ThedataintheHeader,DetailandTrailerRecordsmustbepresentedintheformatsdescribedintherestofthissection.

Request File Header Record formatFigure5liststhefieldscontainedintheRequestFileHeaderRecord,togetherwiththeirvalidationrules.

Important:• AlldataitemsontheRequestFileHeaderRecordaremandatory.

• Afailureonanyfieldwillcausethewholefiletoberejected.


Figure 5 Format of the Request File Header Record

Field Field name Data Length Description/validationno. type

1 Filler Integer 9 Value=000000000

2 Filesequence Integer 6 SequencenumberfortheBulk number RequestFile. FirstLivefile=000001.Thereafter incrementedby1foreachfilesent.

3 Creationdate Date 8 Datestampinthe format:YYYYMMDD,where: Y=theyear M=themonth D=theday. Mustbeavaliddate.

4 Creationtime Time 6 Timestampbasedonthe24-hour clockandintheformat:HHMMSS, where: H=thehour M=theminute S=thesecond. Mustbeavalidtime.

5 Originating Alpha- 14 Providerreferencenumber,defined system numeric by the CPS service in the RegistrationAgreement.

6 Destination Alpha- 14 ‘PFS’followedbyspaces. system numeric

7 Filler Alpha- 327 Notused. Numeric


Request File Detail Record formatAseparateRequestFileDetailRecordisrequiredforeachpersonforwhomyouwantaStatePensionestimate.Figure6liststhefieldscontainedintherecordtogetherwiththeirvalidationrules.

Important:• AlldataitemsontheRequestFileDetailRecordaremandatoryexceptfor‘Reserved’(Field7),whichisoptional,and:

- Allowablecharactersinsurnameandforenamesarealpha(A–Z),apostrophe(’),fullstop(.),hyphen(-)andspace().Afullguidetosurname/forenamevalidation,withexamples,isgivenonpage37.

- AlphacharactersintheNINOandSexfieldsmustbeinuppercase.ThefirstcharacterofSurnameandForenamesmustbeinuppercase.

- Dateofbirthmustbeinputinthecorrectformat.

- If‘Reserved’(Field7)isnotpopulated,itshouldbespacefilled.

• Ifanyofthefieldsinaparticularrecordfailvalidation,itdoesnotmeanthatthewholefilewillberejected.However,wewillnotreturnanestimateforthatperson.(SeeSection7CPSBulkReplyFile,‘ReplyFileDetailRecordformat:statementstatus’(Field9)foralistofrejectionreasons.)

• IfthereareanyinvalidrecordsinanEDIfile,thenthewholefilewillberejectedattheEDIgateway.


Figure 6 Format of a Request File Detail Record


1 Request Integer 9 SequenceoftheDetailRecord sequence withintheCPSBulkRequestFile. number Firstrecord=000000001. Thereafter incremented by 1 for eachDetailRecord. This sequence number will never be morethan999999999.

2 National Alpha- 9 CustomerNationalInsurance Insurance numeric number.Formatis:AANNNNNNS, number where: A=alphacharacterA–Z N=numberbetween1and9 S=alphacharacterA–Dorspace.

3 Surname Alpha- 35 Customersurname(thefirst numeric characterofwhichmustbeA–Z) followed by sufficient spacestofill35characters.

4 Forenames Alpha- 70 Customerforenamesorinitials numeric separated by a single space and followed by sufficient spaces tofill70characters.Thefirst charactermustbeA–Z.

5 Dateofbirth Date 8 Dateofbirthinthe format:YYYYMMDD,where: Y=theyear M=themonth D=theday. Mustbeavalidandcorrectdate.

6 Sex Alpha 1 ‘M’or‘F’.

7 Reserved Alpha- 99 Forusebyyoutoholdthepolicy numeric number,schemeID,etc.,ifrequired. Unusedcharactersshouldbefilled withspaces.

8 Filler Alpha- 153 Notused. numeric


Request File Trailer Record formatFigure7liststhefieldscontainedintheRequestFileTrailerRecordtogetherwiththeirvalidationrules.

Important:• AlldataitemsontheRequestFileTrailerRecordaremandatory.

• Afailureonanyfieldwillcausethewholefiletoberejected.

Figure 7 Format of the Request File Trailer Record


1 Filler Integer 9 Value=999999999

2 Filesequence Integer 6 Sequencenumberforthefile. number FirstLivefile=000001.Thereafter incrementedby1foreachfilesent. Should be the same as in the RequestFileHeaderRecord.

3 Creationdate Date 8 Datestampintheformat: YYYYMMDD,where: Y=theyear M=themonth D=theday. Mustbeavaliddateandmatchthe creation date in the Request File HeaderRecord.

4 Creationtime Time 6 Timestampbasedonthe24-hour clockandintheformat:HHMMSS, where: H=thehour M=theminute S=thesecond. Mustbeavalidtimeandmatchthe creation time in the Request File HeaderRecord.

5 Recordcount Integer 9 CountoftheDetailRecordsinthe file(excludingtheheaderand trailer),withleadingzerosas requiredtofill9bytes.

6 Filler Alpha- 346 Notused. Numeric


7 CPS Bulk Reply FileIntroductionThis section describes the two types of Bulk Reply File that you might receive from us,andexplainshowtheyarestructured.AnexampleofthesefilesisavailableonrequestfromyourCustomerAccountManager.

Primary and follow-up filesInresponsetotheCPSBulkRequestFile,theCPSservicewillsendyouaBulkReplyFile.TherearetwotypesofBulkReplyFile:

• primary,and

• follow-up.

The Primary Bulk Reply File contains a Reply Detail Record corresponding to each RequestDetailRecordinyourBulkRequestFile.Itcontainsalltheoriginalrecords,whetherornottheCPSservicehassuccessfullyproducedanestimateforthem.

You will receive a Primary Bulk Reply File if the minimum tolerance of completed estimateshasbeenachievedbytheduedate.(ThiswillhavebeenagreedinyourRegistrationAgreement.)

Iftheminimumtolerancehasnotbeenachieved(asmightveryoccasionallyhappenafterasystemproblem),yourCustomerAccountManagerwilltelephoneyou to ask which of the following actions you would prefer us to take:

• returnthePrimaryBulkReplyFiletoyouimmediately,eventhoughitcontainssome incomplete statements

• returnthePrimaryBulkReplyFiletoyouimmediately,andsendthestragglerrecords to you in a follow-up file once the statement process has been completedforthem,or

• delayreturningthePrimaryBulkReplyFileuntilallthestatementshavebeencompleted,oranagreedextensionperiodhasexpired.

Advice on file openingItisassumedthatyouareusingaWindowsoperatingsystemoritsequivalent.The file can be opened in wordpad or notepad or an equivalent text editor and savedasatextfile(.txt).

Failed recordsThoserecordswithoutasuccessfulresultaregivenarejectioncodeindicatingthat they are either:

• nullreturns(becausetheycouldnotbegivenastatement),or

• notyetprocessed(statementstatuscode07).

Forafulllistofrejectioncodes,seeFigure11inthissection.

File structureThe CPS Bulk Reply File consists of one Header Record followed by one or more DetailRecordsandoneTrailerRecord,asshowninFigure8.

Pleasenote:Thestructureoftheprimaryfilesandthefollow-upfilesisthesame,withthetypeoffilebeingindicatedbyamarkerinField7oftheReplyFileHeaderRecord.


Figure 8 Structure of the CPS Bulk Reply File

Reply FileHeader Record

Reply FileDetail

Records

Reply FileTrailerRecord

Record formatAllrecordsontheBulkReplyFileare384bytes(excludingtherecorddelimiter),fixedlength,ASCIItextwithstandardend-ofrecorddelimiters,i.e.carriagereturn+linefeed(CR+LF)onWindows-basedplatformsorlinefeed(LF)onUnix-basedplatforms.Thesedelimitersarethestandarddefaultsfortextfilesonthoseplatformtypesandthereforedonotneedtobeexplicitlyaddedtotherecords.No field delimiters are required and no special or unprintable characters are permitted.

Alltextfieldsareleft-justifiedandspace-filled.

Numericfieldsareright-justifiedwithleadingzeros.

Thedataispresentedintheformatsdescribedasfollows.


Reply File Header Record formatFigure9liststhefieldscontainedintheReplyFileHeaderRecord.

Figure 9 Format of the Reply File Header Record


1 Filler Numeric 9 Value=000000000

2 Filesequence Numeric 6 Matchesthesequencenumberon number theBulkRequestFile.

3 Creationdate Numeric 8 Datestampinthe format:YYYYMMDD,where: Y=theyear M=themonth D=theday.

4 Creationtime Numeric 6 Timestampintheformat: HHMMSS,where: H=thehour M=theminute S=thesecond.

5 Originating Alpha- 14 ‘PFS’. system numeric

6 Destination Alpha- 14 Providerreferencenumber, system numeric defined in the Registration Agreement(seepage14,‘Request Filename’).

7 Replyfiletype Numeric 1 Numericcharacter.Optionsare: 0=primaryreplyfile 1=follow-upfile.

8 Filler Filler 326 Notused.


Reply File Detail Record formatFigure10liststhefieldscontainedintheReplyFileDetailRecord.

The first seven fields match the first seven fields on the input Request File Detail Record.Thesubsequentfieldssupplytheactualcalculatedstatement.

Ifthe‘Statementstatus’fieldisotherthan‘Successful’,thentheremainingfieldsontherecordwillbesettozero.

Important:• YouwillspecifyoneperiodicitypreferenceintheRegistrationAgreement.‘Periodicity’istheformatinwhichthefigureswillbeshown.Forexample,youmayrequestthatastatementbeshowninannualamounts.

• AlldataitemsontheReplyFileDetailRecordaremandatoryexceptfortheFields11and18.Field11willautomaticallybesettozero.Field18isunusedandwillbepopulatedwithzerosanddecimalpoints.

• Fields12to17containleadingzerosandadecimalpoint,forexample000024.56.

• Allowablecharactersinsurnameandforenamesarealpha(A–Z),apostrophe(’),fullstop(.),hyphen(-)andspace().

Figure 10 Format of the Reply File Detail Record


1 Reply Numeric 9 Sequencenumbermatchesthe sequence originalRequestDetailRecord. number

2 National Alpha- 9 Customer’sNationalInsurance Insurance numeric number.Matchestheoriginal number RequestDetailRecord. 3 Surname Alpha- 35 Customer’ssurname. numeric MatchestheoriginalRequestDetail Record.

4 Forenames Alpha- 70 Customer’sforenames. numeric MatchestheoriginalRequest DetailRecord.

5 Dateofbirth Date 8 Customer’sdateofbirth. MatchestheoriginalRequestDetail Record.

6 Sex Alpha- 1 Customer’ssex. numeric MatchestheoriginalRequestDetail Record.

7 Reserved Alpha- 99 Reserveddataforusebyyou. numeric MatchestheoriginalRequestDetail Record. Thismaycontainpolicynumbers, schemeIDs,etc.



8 StatePension Numeric 4 Ageinyearsandmonthsthat age retirementisdue.Displayedastwo separate fields: •Field1:ageinyears •Field2:numberofmonths. Forexample,6601is66yearsand1 month.

9 Statement Numeric 2 Codes(mostlyrejectioncodes)used status to indicate the status of the statement.Theoptionsare describedinFigure11.

10 Preferred Numeric 1 Preferredperiodicityatwhichthe periodicity datainFields12to17beloware expressed.(Thiswillbedefinedin theRegistrationAgreement.) The options are: 2=weekly 4=four-weekly 5=monthly 6=quarterly 7=annually

11 Filler Numeric 1 N/A-thisfieldwillbepopulatedwith a zero 12 Currenttotal Numeric, 9 TotalStatePensionentitlement entitlement in the expressed using the preferred format periodicity. (6).(2)

13 Currentbasic Numeric, 9 TotalcurrentbasicStatePension State Pension in the entitlement expressed using the format preferredperiodicity. (6).(2)

14 Current Numeric, 9 TotalcurrentadditionalState additional inthe Pensionentitlement,forexample State Pension format Pension Sharing State Pension (6).(2) onDivorce(PSOD)andgraduated pension,expressedusingthe preferredperiodicity.

15 Projectedtotal Numeric, 9 Nolongerused.Thefieldwillbeset entitlement inthe to000000.00 format (6).(2)



16 Projectedbasic Numeric, 9 Nolongerused.Thefieldwillbeset StatePension inthe to000000.00 format (6).(2)

17 Projected Numeric, 9 Nolongerused.Thefieldwillbeset additional inthe to000000.00 State Pension format (6).(2)

18 Filler Numeric, 91 Notused.

Statement status codesThestatementstatuscodes(giveninField9oftheDetailRecord)areshowninFigure11.

Figure 11 Statement status codes

Code Name Definition What you should do

00 Successful Therecordhasreceiveda Includeinformationwithin successfulstatement. theannualbenefitstatement.

01 Data Couldbeforvarious Adviseyourschememember/ unavailable reasons.Forexample, employeetocontactDWP thecontributionaccount (telephone0845 3000 168), isheldbytheIsleofMan whowillexplainthereason GovernmentOfficeandis forrejectionandoffera not automatically available State Pension statement foraCPS,ordatacannot instead. be retrieved from National InsuranceandPAYEService (NPS)(thislistisnot exhaustive).

02 Non-match Astatementhasnotbeen Adviseyourschememember/ processed because the employee to either personal details of the confirm their personal schememember/employee detailswithyouorwithDWP couldnotbetraced. (telephone0845 3000 168).

03 Overage Astatementhasnotbeen Adviseyourschememember/ processed because the employee that the actual relevantindividualiswithin (ratherthanestimated)State 4monthsand4daysof Pensionisintheprocessof StatePensionage. beingcalculated.Referthem toDWP(telephone 0845 3000 168)formore information if required and offer a State Pension statementinstead.



04 Unableto Couldbeforvariousreasons Adviseyourschememember/ process resulting from a failure by employee to contact DWP thesystemtoprocessthe (telephone0845 3000 168), request.Forexample,the whowillexplainthereason contributionaccountis forrejectionandofferaState corruptorcertaindetails Pensionstatementinstead. required to perform the rejectionStatePension statement calculation arenotpresent.

05 Unableto Therulesthatapplytothe Adviseyourschememember/ calculate calculation of a State employee to contact DWP Pensionstatementhave (telephone0845 3000 168), failed,forexample whowillexplainthereason thegraduatedretirement forrejectionandoffera benefit details are out of State Pension statement range,orcurrentpre-75 instead. qualifying years are out ofrange.

06 Dateof Astatementhasnotbeen DonotissueaCPS,butfollow death held processed because a your usual procedure for verified date of death is dealing with scheme heldfortheindividual members/employees concerned. reportedasdead.

07 Notyet Astatementforthisrecord OncetheReplyFilereturn processed hasnotbeenprocessedby datehasbeenreached,you theReplyFilereturndate, mayrequesttheimmediate but you have asked us to return of the file together sendyoutheBulkReply withalltherecords,even Fileanyway. thoughsomemaybe incomplete.Ifarecordhas notyetbeenprocessed,you can:

• waitforafollow-upfileshowing all the straggler records from the original BulkRequestFile.Eachrecord will show a revised rejectioncode,andyoushould take the appropriate action for that code as describedinthistable,or

• writeoffanyrecordsthat have not yet been processed,andadviseyourmember/employeetocontactDWP(telephone0845 3000 168)formoreinformation and offer a State Pension statement instead.



08 OverState Astatementhasnotbeen Adviseyourschememember/ Pension processed because the employee that they have age individual concerned is over reached State Pension age StatePensionage. andshouldnowcontactDWP (telephone0845 3000 168) formoreinformation.

Reply File Trailer Record format

Figure 12 Format of the Reply File Trailer Record


1 Filler Numeric 9 Value=999999999

2 Filesequence Numeric 6 Matchesthesequencenumberon number theBulkRequestFile.

3 Creationdate Numeric 8 Datestampintheformat: YYYYMMDD,where: Y=theyear M=themonth D=theday.

4 Creationtime Numeric 6 Timestampbasedonthe24-hour clockandintheformat:HHMMSS, where: H=thehour M=theminute S=thesecond.

5 Totalrecord Numeric 9 CountoftheDetailRecordsinthe count file(excludingtheheaderand trailer).

6 Totalvalid Numeric 9 Totalnumberofrecords statements containingvalidstatementresults.

7 Total‘nil Numeric 9 Totalnumberofrecordsrejected response’ by the CPS system for whatever reason.Thiscountexcludes statements not yet processed (statementstatuscode07). 8 Total Numeric 9 Totalnumberofrecords outstanding representing a statement not yet completed.IfthisisaPrimary ReplyFile,thisnumberwillequate to the number of records expected onthefollow-upfile(ifrequested).

9 Filler Filler 319 Notused.


8 Notifying you of our replyIntroductionThis section explains how we notify you that a Bulk Reply File has been sent to you.Italsocontainsexamplesofthenotificationdocumentused.

Purpose of the notification Thepurposeofthereplynotificationistoletyouknowthatthefilehasbeensent.

How we send the notification EverytimewesendyouaBulkReplyFilecontainingStatePensionStatementsforyourmembers/employees,wewillalsosendyouareplynotification.WhateverthemediumusedtosendtheReplyFile,thenotificationwillbedeliveredbyRoyalMail.

Ifthefileisbeingsentviaaphysicalmedium,thenotificationwillbethesamepacket.

Layout TheLayoutofthenotificationwillvaryaccordingtowhetherthefileisbeingsentelectronicallyorviaphysicalmedia.


Reply notification when medium is electronicFigure13showsanexampleofthereplynotificationthatwewillsendtoyoubyRoyalMailwhenaBulkReplyFilehasbeentransmittedtoyouelectronically.

Figure 13 Example of a reply notification for electronic media

COMBINED PENSION STATEMENTS

Notification of CPS Reply File Return

COMBINEDPENSIONSTATEMENTTEAM

PROVIDERCONTACTNAME DEPARTMENTFORWORKANDPENSIONS

PROVIDERTRADINGNAME TYNEVIEWPARK

PROVIDERADDRESSLINE1 BENTON

PROVIDERADDRESSLINE2 NEWCASTLEUPONTYNE

PROVIDERADDRESSLINE3 NE981BA

PROVIDERADDRESSLINE4

PROVIDERADDRESSLINE5 Date

PROVIDERPOSTCODE

ThisdocumentcontainsinformationregardingtheCPSReplyFile,whichhasbeenelectronicallytransmittedtoyouonthedateattheheadofthisnotification.

CPS provider name:

ID:

Date Bulk Request File received:

Bulk Request File media type:

Bulk Reply File type:

Number of requests on Bulk Request File:

Number of successfully processed outputs:

Number of outstanding outputs:

Numberofrejectionoutputs:

Total:

Date processing completed:

Date Bulk Reply File transmitted:

Ifyouhaveanyqueriesaboutthisnotification,pleasecontactyourCustomerAccountManageron0191 218 2201.


Reply notification when medium is physical

Figure14showsanexampleofthereplynotificationthatwewillsendtoyoubyRoyalMailwhenaBulkReplyFilehasbeentransmittedtoyouphysically.

Figure 14 Example of a reply notification for physical mediaCOMBINED PENSION STATEMENTS

Notification to accompany CPS Reply File

COMBINEDPENSIONSTATEMENTTEAM

PROVIDERCONTACTNAME DEPARTMENTFORWORKANDPENSIONS

PROVIDERTRADINGNAME TYNEVIEWPARK

PROVIDERADDRESSLINE1 BENTON

PROVIDERADDRESSLINE2 NEWCASTLEUPONTYNE

PROVIDERADDRESSLINE3 NE981BA

PROVIDERADDRESSLINE4

PROVIDERADDRESSLINE5 Date

PROVIDERPOSTCODE

This document contains information regarding the Combined Pension statement ReplyFile,whichaccompaniesthisnotification.Thisfilehasbeenreturnedtoyouonthedateattheheadofthisnotification.

CPS provider name:

ID:

Date Bulk Request File received:

Bulk Request File media type:

BulkReplyFiletype:Primary/Follow-up

Number of requests on Bulk Request File:

Number of successfully processed outputs:

Number of outstanding outputs:

Numberofrejectionoutputs:

Total:

Date processing completed:

Ifyouhaveanyqueriesaboutthisnotification,pleasecontactyourCustomerAccountManageron0191 218 2201.


9 Validation and exception handlingIntroductionThis section describes the validation checks that we carry out on your Bulk RequestFiles,andwhathappensifoneofthechecksfails.Thesectionalsoexplains what happens if we have not been able to process all the records by the agreedreplydate.

CPS Bulk Request Files

ValidationWhenwereceiveaBulkRequestFilefromyou,wevalidateittoensurethat:

• thefileisreadable

• thecustomerdetails(suchasdateofbirthandNationalInsurancenumber)arethe same as those recorded on the National Insurance Recording System

• thefileusestheagreedformatandcharacterset

• theproviderIDontheHeaderRecordmatchesacurrent,liveCPSprovider

• thefilehasthecorrectsequencenumberandhasarrivedwithintherangeofdatesagreedintheRegistrationAgreement,and

• thenumberofrecordscontainedinthefileiswithintheagreedlimits.

Exception handlingThe way we handle a failed validation depends on whether the failure relates to thecompleteBulkRequestFileortojustonerecordwithinit.

Bulk Request FilesIf a complete Bulk Request Filehasfailedvalidation(resultinginallrecordsbeingrejected),wewillaskyoutosendthewholefileagain.

Request File Detail RecordsIfasingleRequestFileDetailRecordfailsvalidation,thestatementstatusfieldintheReplyRecord(Field9)willindicatethereason.(SeeSection6CPSBulkRequestFile.)

Dependingonthecircumstances,wewilleithersendyouanullreturnorstatethatthefilehasnotyetbeenprocessedforagivenreason.


CPS Bulk Reply Files

Early and late return of statement repliesTheRegistrationAgreementwillhavedefinedthemaximumnumberofdaysallowedbetweenourreceivingyourBulkRequestFileandreturningourreply.

Ifwehaveprocessedallthestatementsinthefilebeforetheagreedreturndate,wewillsendthefilebackearly.

Ifallthestatementsarenotprocessedbytheagreedreturndate,yourCustomerAccountManagerwillaskwhetheryouwantusto:

• returnthePrimaryBulkReplyFiletoyouimmediately,eventhoughitcontainssome incomplete statements

• returnthePrimaryBulkReplyFiletoyouimmediately,andsendthestragglerrecords to you in a follow-up file once a completed statement has been producedforthem,or

• delayreturningthePrimaryBulkReplyFileuntilallthestatementshavebeenreceivedsuccessfully,oranagreedextensionperiodhasexpired.

Please note that if your request file is delayed, this may mean the late return of your reply file.


10 Data Protection RegistrationWhat is Data Protection Registration?AnyorganisationwithanITsystemthatholdsinformationaboutindividualsmustregisterthisfactwiththeDataProtectionRegistrar.

ThissectionexplainstheimplicationsofthiswhenyousignupforCPS.

What information should you register?You must inform the Registrar of the following details:

• thetypesofinformationyoureceiveandthedatasubjectstowhichtheyrelate

• howtheinformationwillbeused,oranychangestothatuse

• adescriptionofthepersonsororganisationstowhomthedatamaybedisclosed,and

• thenamesordescriptionsofanycountriesorterritoriesoutsidetheEuropeanEconomicArea(EEA)towhichthecontrollerofthedatatransfersorintendstotransferthedata.

How the Combined Pension Statement affects Data Protection RegistrationOnceyouhaveregisteredwithustoproduceCPSs,itwillbeyourresponsibilitytocheck your existing Data Protection Registration to see if it needs to be updated to includeStatePensionstatementinformation.

You can do this by contacting the Data Protection Registrar and discussing any amendments that need to be made before you send the first CPS Bulk Request Filetous.

Address of the Data Protection RegistrarThe Registrar’s address is as follows:The Information CommissionerWycliffe HouseWaterLaneWilmslowCheshireSK95AFTelephone: 01625 545745Email:[email protected] www.ico.gov.uk


11 CPS technical guide checklistFirst fileNo. Check Yes/No1 Have you successfully completed a data test?

2 IfyouareusingSecureFileTransferorEDI,haveyou successfully completed a connectivity test?

All filesNo. Check Yes/No1 Inthefileyouaregoingtosubmit,isthenumberof statementrequestsnomorethan10%morethanthe numberyouagreedwithyourCustomerAccountManager?

2 Areyousendingtherequestfilesoitarrivesonthedate agreedwithyourCustomerAccountManager?

3 Isthemediatypeyouareusingthesametypeyouspecified inyourRegistrationAgreement?

4 Isthefilenameinthecorrectformat? SeeSection3.

5 Is the sequence number correct? If this is the first live file you havesubmittedthenthesequencenumbermustbe000001, otherwise it must be 1 greater than the last file that you successfullysubmitted.

Note: If a file you submitted is rejected and you then resubmit the file, or submit a new file, it must have the same sequence number as the rejected file.6 Areallrecordsinthefile384bytesinlength(excludingthe recorddelimiter)?

Note: This includes the Header and Trailer Record.7 Isthedateofbirthinthecorrectformat?

8 Dothesurnameandforenamescontainonlyallowable characters,alpha(A–Z),apostrophe(’),fullstop(.),hyphen(-) andspace()?

9 Areallmandatoryfieldsinuppercasewhererequired –i.e.alphacharactersintheNINOandGenderfieldsmust be in uppercase and the first character of Surnames and Forenames must be in uppercase?


Validation rules for surnames and forenamesSurname and forenames fields supplied by CPS providers will be required to conformtothefollowingrulesifastatementrequestistoproceed.

1.Asurnamemustbepresent.

2.Theonlyallowablecharactersare:alphabetic(A–Z, a–z),apostrophe(’),fullstop(.),hyphen(-)andspace().

3.Thefirstcharactermustbealphabeticanduppercase(A–Z).4.Thelastcharactermustnotbepunctuation,i.e.notapostrophe(’),fullstop(.)

orhyphen(-).

5.Consecutivepunctuationcharactersarenotallowed,i.e.thefollowingcharacterstringsmustnotbepresent:(‘.),(.’),(‘-),(-’),(.-),(-.),(‘’),(..),(--).

6.Consecutivespacesarenotallowedunlesstheyaretrailingspacesusedtopadoutthefield.

7.Forsurnamesonly,spacesbeforeorafterpunctuationarenotallowed,i.e.thefollowingcharactersequencesmustnotbepresent:(‘),(.),(-),(’),(.),(-).

The following table provides examples of names that would fail one or more of theaboverules,andgivesanalternativethatwouldpass.

Failed name Rule violated Alternative valid nameDE_AGOSTINI 2 DEAGOSTINI

deBONO 3 DEBONO

-Harvey 3 Harvey

WILSON. 4 WILSON

O.’CONNOR 5 O’CONNORorOCONNOR

HARVEY--JONES 5 HARVEY-JONES

Creighton Ward 6 Creighton Ward

St.JOHN 7 ST.JOHNorSTJOHN (Surnameonly)

O’HARE 7 O’HareorOHare (Surnameonly)

WRIGHT-PHILLIPS 7 WRIGHT-PHILLIPS (Surnameonly)

D’ARTAGNAN 7 D’ARTAGNAN (Surnameonly– would pass as aforename)


File Header RecordNo. Check Yes/No1 Is the Header Record the first record in the file?

2 Dothefilesequencenumber,creationdate,creationtime and originating system match the details in the file name?

File Detail RecordsNo. Check Yes/No1 Arethesequencenumbersinascendingorder,without any gaps?

2 Dothesurnameandforenamescontainonlyallowable characters,alpha(A–Z,a-z),apostrophe(’),fullstop(.), hyphen(-)andspace()?

File Trailer RecordNo. Check Yes/No1 Is the Trailer Record the last record in the file?

2 Dothefilesequencenumber,creationdate,creationtime and originating system match the details in the file name and the File Header?

3 DoestherecordcountequalthenumberofDetailRecords inthefile(notincludingtheHeaderandTrailerRecord)?

Ifyouanswered‘No’toanyoftheabovequestions,pleasecontactyourCustomerAccountManageron0191 218 2201.


12 GlossaryThe following terms and abbreviations are used in this document:

Term Definition

CPS CombinedPensionStatement.

CPS Bulk Reply The file that we return to you containing the pension File statements you have requested in the CPS Bulk Request File. CPSBulkRequest AfilecontainingthepensionstatementsrequestedFileina RequestedFile CPSBulkRequestFilereceivedfromaPensionprovider.

DWP DepartmentforWorkandPensions.

EDI ElectronicDataInterchange.

SFT SecureFileTransfer.

Follow-upBulk ACPSBulkReplyFilecontainingstatementsrelatingtoanyReply File records that have been previously returned in the primary filewiththestatementstatussetatcode07‘Notyet processed’.

Pensionprovider Anorganisationthatprovidesanoccupationalpension,a stakeholderpensionorapersonalpension,orthatisan administratorortrusteeofapension.

Periodicity The frequency at which customer pension entitlement data isexpressedintheCPSBulkReplyFile.

PrimaryBulk ACPSBulkReplyFilecontainingresponsestoalltheReply File statement requests you have sent in a CPS Bulk Request File.Theresponsewillindicatewhetherastatementhas beensuccessfullyproduced,isstillawaitingproduction,or cannotbeproduced.

PSOD PensionSharingonDivorce.

SDC ServiceDeliveryCentre.

PB40 Combined Pension Statements

Previouscode:CPF3

© Crown copyrightISBN978-1-78153-032-0CPS3|v1.0(October2012)

Important information about this leaflet Thisleafletisonlyaguideanddoesnotcovereverycircumstance.We have done our best to make sure that the information in this leafletiscorrectasofOctober2012.Itispossiblethatsomeoftheinformationisoversimplified,ormaybecomeinaccurateover time,forexamplebecauseofchangestothelaw.

For more copies of this leaflet

Phone 0191 218 2201

MoreinformationfromDWPaboutbenefitsandpensions ispublishedonline.

For benefits information go to www.direct.gov.uk/benefits

For pensions information go to www.direct.gov.uk/pensions

We aim to provide a high quality of service to all our customers.Youcanfindoutmoreinourcustomercharter at www.direct.gov.uk/dwpcharter

combined pension statements - gov.uk · 4 combined pension statements 5 1 the file delivery process...

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