Naupa Ii Form – Fill Out and Use This PDF

NAUPA II STANDARD

ELECTRONIC FILE FORMAT

June 2011

Controller John Chiang

California State Controller’s Office

Page 2

TABLE OF CONTENTS

Contact Information		3
Introduction		4
Record Type Descriptions		5
Multiple Holder Reports		6
CD/Diskette Physical Requirements		6
CD/Diskette Submission Requirements		7
Test CD/Diskette Development		7
Test CD/Diskette Review		8
Production CD/Diskette Development and Labeling		8
Production CD/Diskette Review		8
Field Definitions/Specifications		9
HOLDER Record - Field Definitions/Specifications		9
PROPERTY Record - Field Definitions/Specifications		14
PROPADD Record - Field Definitions/Specifications		23
SECURITIES Record - Field Definitions/Specifications		26
TANGIBLE Record - Field Definitions/Specifications		27
SUMINFO Record - Field Definitions/Specifications		28
Appendix		32
1.	NAUPA Codes	33
2.	Tangible Type Codes	.39
3.	Holder Record Format	41
4.	Property Record Format	44
5.	Additional Owner Record Format	47
6.	Securities Information Record Format	49
7.	Tangible Record Format	50
8.	Summary Record Format	51
9.	State Codes	52
10.	Links to Country Codes, NAICS Codes	53

NAUPA II Standard Electronic File Format	John Chiang ·California State Controller

	Record Type Descriptions		Page 6

“R” or required — you must supply the information if you know it, i.e., the infor- mation is usually required by law or regulation. If you cannot supply the information, you must space fill character fields (type class C) and zero fill numeric fields (type class N).

“O” or optional — the information is desired and may be used if supplied. If you opt to not supply information, you must space fill character fields (type class C) and zero fill numeric fields (type class N).

Multiple Holder Reports

Because the PROPERTY, PROPADD, SECURITY, TANGIBLE and SUMINFO records do not contain fields to link them with a certain holder record, using a single file for mul- tiple holder reports requires some special handling. If multiple holder reports are put on a single medium, holders MUST follow the instructions below.

Multiple Holder Reports may be included in a single diskette using one of the following options:

Option 1 - Each Holder Report is located in a separate file in the root directory. The file begins with a HOLDER record, and ends with a SUMINFO record. Only one HOLD- ER and one SUMINFO record exist in the file.

Option 2 - All Holder Reports are in the same file in the root directory. The HOLDER record must be the first record in the file, and the SUMINFO record must be the last record in each Holder Report. All PROPERTY, PROPADD, SECURITY, and TANGI- BLE records located between the HOLDER and SUMINFO records will be assumed to belong to that HOLDER record. The HOLDER record for the second HOLDER Report should be the first record after the SUMINFO record for the previous Holder Report. The same criteria will hold true for subsequent Holder Reports.

CD/Diskette Physical Requirements

All diskettes must meet the following requirements.

The diskette must be a standard high-density, 3.5-inch, 1.44 MB diskette.

The record format is a fixed record length (625-byte) ASCII file.

The data on the CD must be recorded in an uncondensed or non-compressed format.

NAUPA II Standard Electronic File Format	John Chiang ·California State Controller

	Record Type Descriptions		Page 7

All CDs must meet the following requirements.

CDs must be CD-R formatted.

The record format is a fixed record length (625-byte) ASCII file.

The data on the CD must be recorded in an uncondensed or non-compressed for- mat.

CD/Diskette Submission Requirements

After the report has been developed using the File/Record Format Requirements it must be copied to a file (one or more reports may be copied to a single file).

Test CD/Diskette Development

It is recommended that first time filers or when there are new system changes that the holder first prepare a test CD or diskette, using sample data that represents property types typically reported. The test file should be sent to the SCO prior to the report due date to allow enough time for review, return to the holder, and correction by the holder of any er- rors.

Select no more than 1,000 accounts, representing the diversity of property types typical to the organization’s unclaimed property report.

Verify that all elements of the format requirements, as defined in this guide, are met.

Label the CD or diskette TEST FOR (HOLDER NAME) and send it to the State Controller’s Office at the address below:

Mailing Address:

Office of State Controller John Chiang

Unclaimed Property Division

P.O. Box 942850

Sacramento, California 94250-5873

For courier delivery services, use the following street address:

Office of State Controller John Chiang

Unclaimed Property Division

10600 White Rock Road, Suite 141

Rancho Cordova, CA 95670

NAUPA II Standard Electronic File Format	John Chiang ·California State Controller

Field Definitions/Specifications Page 9

Field Definitions/Specifications

HOLDER Record - Field Definitions/Specifications

There will always be at least one HOLDER record with each report. The information in the HOLD- ER record relates to the institution reporting the property. All subsequent PROPERTY, PROPADD, SECURITY, TANGIBLE, and SUMINFO records are attributed to this holder's report.

1.TR-CODE

This field must contain "1" to denote that the record is a HOLDER record.

2.HOLDER-TAXID

Federal employer identification number – Enter the nine-digit tax ID number as- signed to you by the federal government. If you are not familiar with your tax ID number, contact your payroll, accounting, or tax department. Do not include any hy- phens in the federal employer identification number.

3.HOLDER-TAXID-EXT

If any other departments or branches of your organization file unclaimed property reports using the same tax ID number listed on your report, please contact the state to receive a FEIN suffix Number. The suffix will be used to direct questions to the correct reporting department/branch. If your business files only one report, the de- fault is ―0001‖. For safe deposit boxes, reporting branch number is mandatory.

4.HOLDER-RPT-YEAR

Enter the four-digit year for which the property is being reported (i.e. 2007).

5.HOLDER-RPT-TYPE

(a)Holder Notice Report

This field must be populated with ―A‖ to denote that this is a Notice Report, meaning no money or property is being remitted at this time.

(b)Holder Remit Report

This field should be populated with ―R‖ to denote that this is a Remit Report, i.e. money and/or property are being remitted at this time.

(c) Test Report

This field should be populated with ―T‖ to denote that this is a test file. By indi- cating that this is a test file, the data should not be considered an actual report. This permits the submission of files to be tested by the SCO before submitting an advertising report. Only use this option if submitting a test report.

NAUPA II Standard Electronic File Format	John Chiang ·California State Controller

Field Definitions/Specifications Page 10

6.HOLDER-RPT-NUMBER

If this is the first report filed by the holder for the report year, this should be ―01.‖ If the holder (under the same tax identification number and extension) files multiple re- ports during the year, this number should be increased by 1 for each additional re- port.

7.HOLDER-RPT-FORMAT

The only accepted value is ―R‖ for Revised NAUPA format. No other values are ac- ceptable.

8.HOLDER-SIC-CODE

This is the four-digit Standard Industrial Classification code that indicates the primary business activity of the reporting company.

9.HOLDER-INCORPORATED-STATE

Enter the two-character postal abbreviation of the state in which the company is in- corporated. Savings and loan associations, banks, and credit unions should enter the state in which they were chartered. Please see the appendix for the appropriate NAUPA state code.

10.HOLDER-INCORPORATED-DATE HOLDER-INC-DATE-CCYY (four-digit year) HOLDER-INC-DATE-MM (two-digit month) HOLDER-INC-DATE-DD (two-digit day)

Enter the date on which the company was incorporated or licensed to do business. Savings and loan associations, banks, and credit unions should enter the date their organization was chartered. "CC" equals the century, and "YY" equals the year, "MM" equals the numerical month, "DD" equals the day.

11.HOLDER-NAME

Enter the name of the company or institution for which you are reporting. Punctua- tion (periods, commas, apostrophes, etc.) should never be used under any circum- stances. If the name of the company starts with the word "the," place "the" at the end. For example: "The Smith Company" should read "Smith Company The." Do not abbreviate the first word of the company name, e.g., American vs. Amer, National vs. Natl. Also, do not use numeric values in the holder name field unless absolutely necessary. The word "first" should never be abbreviated as "1st." Exceptions can be made when a number is part of a company logo or registered trademark, such as

A1 Inc or 84 Lumber. Company names containing initials should have spaces be- tween them, e.g., J J Reynolds vs. JJ Reynolds.

NAUPA II Standard Electronic File Format	John Chiang ·California State Controller