ASBA

ALLAHABAD BANK
DRAFT

User Manual
For
Application Supported by Blocked Amount(ASBA)
Application

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CONTENTS

1. ASBA Login Screen

2. User Types in ASBA

3. IPO Management

4. Entry Posting and Authorization

5. BSE Processing

6. NSE Processing

7. RTA Processing

8. BaNCS Processing

9. Enquiries

10. Reports

11. User Management

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1. ASBA Login Screen :- Teller will login in ASBA application with his/her BaNCS
teller no. And for first time login default password is 1.

On first time login system will ask to change the password.

After changing password login again with new password and teller no.

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2. There are three types of users available in ASBA application :

a. Controlling Branch User (CB user) : This type of users will have the menu for
extracting various files needed for processing at BSE/NSE and RTA.CB user will
also have the menus available with it to upload response files received from
BSE/NSE or RTA to update the processing details of the entries in the ASBA
database. CB user will also enter all the details of the IPO and will activate any
particular IPO as and when needed. CB user can also generate a number of reports
according to various parameters. CB user can enquire records of any branch.

CB User Menu

b. Designated Branch User (DB user): This type of users will have the menu for data
entry required to post individual bid entries. Any entry posted by one DB user will be
authorised by another DB user with same or higher capability level via Maker-
Checker Process. On authorisation lien will be marked in customer’s account. DB
user can also generate branch level reports and can enquire entries of its branch.
c. Admin User: Admin user will be able to activate/deactivate new branches and users
and may reset password of any user.

User will get the menu items based on the type the user.

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DB User Menu

d. Admin User: Admin User will have the menu to add new CB and DB to the ASBA
application. He can also activate/deactivate any CB/DB. Admin will also have the
menu to reset password of any teller in ASBA application.

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3. IPO Management

a. Post New IPO: Screen for posting a new IPO Master. CB user (teller) will enter all
the details of the IPO like minimum and maximum price, minimum quantity, market
lot etc. including category (investors have been grouped in FII, MF, IC, FI, OTH, CO,
NOH, IND, EMP and SHA categories) wise validation if any. These master
information will be used for validation while posting investor’s (customer’s) bids.

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b. Activate an IPO: Any new IPO has to be activated by CB user in order to make
available for posting new entries for that IPO.

c. Modify an IPO: Any IPO can be modified as required, but after modification the IPO
has to be activated again. Modification screen is same as new IPO screen.

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d. Post New Scroll Message: CB user can also post new messages that will be available
to all users. This can be used for any kind of information related to any IPO or ASBA
application.

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4. Post New Entries (Bids): CB or DB Teller can post new entries (bids) for any
available IPO selecting from the dropdown. IPO details will be populated according to
master information posted by CB teller. Data validations are present as required. The
entries posted here will need to be authorised for further processing. Any investor may
apply for up-to three bids in one application form. Each bid will be shown as a separate
record.

5. Application number, Name of first applicant, PAN of first applicant, account number,
A/c Home branch, contact no, email id, category, depository, DP ID/Client ID, at least
one bid detail (out of bid1, bid2 and bid3) and lien amount are mandatory fields. Lien
amount will be maximum of all three bid amounts and is required to cross check the
lien amount for which authorization has been given by the applicant in the application
form. If “NSDL” is selected as depository, the DPID/Client will be in two part as
IN123456+12345678 and if CDSL is selected, the DPID/Client will be in one part as
1234567812345678. After entering complete information and transmitting bids,
reference number will be generated for each bid and will go to “ Pending” status for
authorisation. The entries posted by a teller may be authorised any other teller with
capability level 5 and above. Signature of the account holder may be viewed by
selecting account no. field and pressing F10.

For a given IPO only five application may be applied from a bank account.

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6. View Entries Processed by Branch : Entries once posted and before extraction by
CB user for uploading in exchange may be in any of the following status:
a. Pending: All the new entries posted for authorisation will be in “pending status and
will be available in this tab. The checker can view any entry and authorise or reject
by selecting clicking “Authorise” or “Reject” button. If authorised, lien will be
marked on the highest amount of all bids (up-to three) of an application and journal
number will be generated.
b. Authorised: All successfully authorised entries will be in “authorised” status and
will be available in this tab. Teller can view the authorised entries or delete entries
to unmark the lien present against the entries available under this tab if requested by
investor/customer.
c. Rejected: All the entries rejected by authoriser will be available in this tab may be
corrected and retransmitted for authorisation.
d. Application Timed-Out: If during processing (authorization) no response was
received from the back-end server and application timed out, so these entries will be
available in this tab. In this case lien in the account may or may not be marked. The
teller has to verify the account for lien status and re-transmit the entries either by
selecting “lien marked” flag as “yes” or “no” as the case may be. If “yes” is selected
journal number, lien date has to be given Old lien will be removed and lien will be
marked. If “no” is selected fresh new lien will be marked.
e. Failed: If lien marking is failed due to any reason the entries will be in this tab.
Fresh entries may be posted for that application number.
f. To Be Deleted: The entries which are marked for deletion after authorisation and
lien marking but before extraction, will be displayed in this tab. Checker may
authorised these entries for final deletion or reject to revert back to authorised
status. After authorisation these entries will be deleted and the lien marked will be
removed.
g. Deleted: The entries which have been deleted after successful lien marking i.e.
authorisation will be displayed in this tab.

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7. BSE Processing

a. Generate Extract File (only for Controlling Branch User) : CB user can extract
file to be uploaded in the BSE exchange using this menu. All the authorised entries
(successfully authorized at DB level) are extracted to the file as per the BSE format.
File can be extracted in Comma Separated format or Pipe separated as required.
Teller can download the same file using link given on the screen.

b. Upload Success File (only for Controlling Branch User): CB user may upload
the success file, by selecting and saving on server, received from the BSE, to update
the status of the entries as success.

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c. Upload Error File (only for Controlling Branch User): CB user may upload the
error file received from the BSE, to update the status of the entries as “bidding
failed in BSE”.

d. View Processed Entries: Entries Processed in BSE may be in any of the following
status:

i.Bidded : Bids which are bided successfully in BSE.

ii.Biding Failed in BSE : Bids which are rejected by BSE due to any error will be
displayed in this tab. The lien marked against these bids may be removed only if
there is no other bid in live status in exchange for that application number. If there
is any bid in this tab i.e. failed in exchange and any bid of the same application is in
live status(bidded, revision pending, deletion pending etc.) then first
delete/withdraw these bids and then remove lien. If required the application may be
re-entered in the system again.

iii.Pending after extraction : Bids for which file was extracted by but response has
not uploaded in the ASBA application. Entry details can be viewed by clicking on
any row.

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e. Revise Bid for BSE: Entries Revised or to be revised in BSE may be in any of the
following status:

i.Bided : Entries which are successfully bidded in BSE. Bid can be revised
selecting the row and clicking “Revise” button. To revise any bid teller ahs to just
check the checkbox against that bid and modify rate and quantity. After changing
rate and quantity put the highest amount of the bids in Lien Amount field.

ii.Revision Pending : If any bid is revised by maker then it has to be authorised by

the checker using this tab. In case of upper revision older lien will be removed
and new higher lien will be marked. In case of lower revision no financial change
will happen at this stage.

iii.Revision Authorised : Bids, the authorisation of which ahs been authorised will
be displayed in this tab. The details of the bids with new details may be viewed
may be viewed under this tab.

iv.Pending for lower Revision : If the old bid amount of revised bid was the highest
amount of three bids (lien amount) in the application and new bid amount of
revised bid is less than previous lien amount then after revision at exchange this
entry will come under this tab. The checker has to authorize again and after
authorization lien will be changed accordingly.

v.Revision Failed in Branch: In any case, if during revision

authorisation, old lien is removed successfully but new lien could
not be marked due to some error (insufficient amount may also
be the reason) then these will come under this tab and teller
can re-try to mark lien after verification of lien in B@ncs. The
teller can mark this entry for deletion in the exchange if the
balance is not available or lien marking not possible.

vi.Revision Failed in BSE : If revision was rejected by BSE then these

rejected entries will be displayed under this tab. Teller can re-try
for the bid revision or revision can be cancelled i.e. reverted
back to earlier detail. After cancellation the entry will go under
bided tab but lien will not be changed according to old bid. If lien
is to be changed to old lien amount fresh revision process may
be initiated.

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f. Delete Bid from BSE: Entries deleted or to be deleted in BSE may be in any of the
following status:

i.Bided : Entries which are successfully bidded in BSE. Bid can be deleted by
selecting the row and clicking “Withdraw” button. The bids will be marked for
deletion.
ii.Pending for Deletion : If any bid is marked for deletion by maker then it will be
displayed in this tab and has to be authorised by the checker. But no financial
change will happen at this stage.

iii.Deletion Authorized : After authorisation of deleted bids by the checker these

authorised bids will be displayed in this tab.

iv.Pending for lien unmarking : After the deletion request successfully accepted by
BSE the bids will come under this tab. At this stage checker has to re-authorize the
entries to unmark lien.

v.Deleted from BSE : After successful lien unmarking the deleted bids will be
displayed under this tab.

vi.Deletion Failed in Branch : If during lien unmarking authorisation old

lien is removed but new lien could not be marked due to some
error. Then such failed entries will come under this tab and teller

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can re-try to mark lien or application can be marked for deletion

from the exchange.

vii.Deletion Failed in BSE : If deletion was rejected by BSE then rejected entries will
come under this tab. Teller can re-try for the bid deletion or deletion can be
cancelled. After cancellation the entry will go under bided tab.

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8. NSE Processing

a. Generate Extract File (only for Controlling Branch User) : CB user can extract
file to be uploaded in the NSE exchange using this menu. All the authorised entries
(successfully authorised at DB level) are extracted to the file as per the NSE format.
File can be extracted in Comma Separated format or Pipe separated as required.
Teller can download the same file using link given on the screen. Teller has to
select which type of file is to be extracted from the select file type dropdown. Three
types of file can be extracted.
i.Entry File : For the fresh entries
ii.Revision File : To revise already bided entries in the exchange.
iii.Withdrawal File : To delete bided entries from the exchange

b. Upload Success File(only for Controlling Branch User) : CB user may upload
the success file, by selecting and saving on server, received from the NSE, to update
the status of the entries as success. CB user has the option to select a proper
response file (input success file for fresh entries, revision success for present on his
system and then that file can be saved on the server, and hence can be uploaded to
the ASBA application. The teller has to select proper success file type from the
SELECT FILE TYPE DROPDOWN.

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c. Upload Error File (only for Controlling Branch User) : CB user may upload the
error file received from the NSE, to update the status of the entries as “bidding
failed in NSE”. CB user has the option to select a proper response file (input error
file, revision error file and withdrawal error file) present on his system and then that
file can be saved on the server, and hence can be uploaded to the ASBA application.
The teller has to select proper error file type from the SELECT FILE TYPE
DROPDOWN .

d. View Processed Entries: Entries Processed in NSE may be in any of the following
status:

i.Bidded : Bids which are bided successfully in NSE.

a. Biding Failed in NSE : Bids which are rejected by NSE due to any error will
be displayed in this tab. The lien marked against these bids may be removed
only if there is no other bid in live status in exchange for that application
number. If there is any bid in this tab i.e. failed in exchange and any bid of the
same application is in live status(bidded, revision pending, deletion pending
etc.) then first delete/withdraw these bids and then remove lien. If required the
application may be re-entered in the system again.

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ii.Pending after extraction : Bids for which file was extracted by but response has
not uploaded in the ASBA application. Entry details can be viewed by clicking on
any row.

g. Revise Bid for NSE: Entries Revised or to be revised in NSE may be in any of the
following status:

i.Bided : Entries which are successfully bidded in NSE. Bid can be revised
selecting the row and clicking “Revise” button. To revise any bid teller ahs to just
check the checkbox against that bid and modify rate and quantity. After changing
rate and quantity put the highest amount of the bids in Lien Amount field.

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ii.Revision Pending : If any bid is revised by maker then it has to be authorised by

the checker using this tab. In case of upper revision older lien will be removed
and new higher lien will be marked. In case of lower revision no financial change
will happen at this stage.

iii.Revision Authorised : Bids, the authorisation of which ahs been authorised will
be displayed in this tab. The details of the bids with new details may be viewed
may be viewed under this tab.

iv.Pending for lower Revision : If the old bid amount of revised bid was the highest
amount of three bids (lien amount) in the application and new bid amount of
revised bid is less than previous lien amount then after revision at exchange this
entry will come under this tab. The checker has to authorize again and after
authorization lien will be changed accordingly.

v.Revision Failed in Branch: In any case, if during revision

authorisation, old lien is removed successfully but new lien could
not be marked due to some error (insufficient amount may also
be the reason) then these will come under this tab and teller
can re-try to mark lien after verification of lien in B@ncs. The
teller can mark this entry for deletion in the exchange if the
balance is not available or lien marking not possible.

vi.Revision Failed in NSE : If revision was rejected by NSE then these

rejected entries will be displayed under this tab. Teller can re-try
for the bid revision or revision can be cancelled i.e. reverted
back to earlier detail. After cancellation the entry will go under
bided tab but lien will not be changed according to old bid. If lien
is to be changed to old lien amount fresh revision process may
be initiated.

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h. Delete Bid from NSE: Entries deleted or to be deleted in NSE may be in any of
the following status:

i.Bided: Entries which are successfully bidded in NSE. Bid can be deleted by
selecting the row and clicking “Withdraw” button. The bids will be marked for
deletion.
ii.Pending for Deletion : If any bid is marked for deletion by maker then it will be
displayed in this tab and has to be authorised by the checker. But no financial
change will happen at this stage.

iii.Deletion Authorized : After authorisation of deleted bids by the checker these

authorised bids will be displayed in this tab.

iv.Pending for lien unmarking : After the deletion request successfully accepted by
NSE the bids will come under this tab. At this stage checker has to re-authorize the
entries to unmark lien.

v.Deleted from NSE : After successful lien unmarking the deleted bids will be
displayed under this tab.

vi.Deletion Failed in Branch : If during lien unmarking authorisation old

lien is removed but new lien could not be marked due to some
error. Then such failed entries will come under this tab and teller
can re-try to mark lien or application can be marked for deletion
from the exchange.

vii.Deletion Failed in NSE : If deletion was rejected by NSE then rejected entries will
come under this tab. Teller can re-try for the bid deletion or deletion can be
cancelled. After cancellation the entry will go under bided tab.

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9. Re-Extraction for BSE/NSE (only for Controlling Branch User):

a. Initiate Re-Extraction of File: If due to any problem a file was not uploaded in the
exchange, then the same entries can be re-extracted for another exchange as per that
exchange’s format. Re-Extraction of file is through maker checker process. Here
maker will initiate re-extraction request and name of the file will be generated. Re-
extraction will be possible only for fresh entries i.e. no response file has been
uploaded from exchange for these entries.

b. Authorize Re-Extraction of File: In this menu checker will authorise re-extraction

of file by selecting file name from the dropdown for the selected IPO.

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10. RTA Processing:

a. Generate Extract File(only for Controlling Branch User): CB user can extract
file to be sent to RTA using this menu. All the successfully bided entries will be
extracted to the file as per the RTA format. User can download the same file using
link given on the screen.

b. Upload Response File(only for Controlling Branch User): CB user will upload
the success file received from the RTA, so that the status of the allotment may be
updated. CB user has the option to select a proper response file present on his
system and then that file can be saved on the server, and hence can be uploaded to
the ASBA application.

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c. View Processed Entries: All the processed entries are available under following
tabs depending on their current status.

i.Pending After Extraction : Extracted but no response from RTA uploaded.

ii.Allotted: Processed by RTA and the response file was uploaded for the same in
ASBA application. Number of shares allotted will be displayed.

iii.Closed Bids : In case of multiple bids against one application the bids other than
the bid on which the RTA has allocated shares will be closed and come under this
tab.

11. BaNCS Processing(only for Controlling Branch User) :

a. Generate LUT File: CB user can extract file to be uploaded in the BaNCS
application for lien unmarking and transfer of amount to be remitted to RTA using
this menu. All the successfully allotted entries and entries in which lien is to be
unmarked will be extracted to the file as per the Lien Un-Marking and Transfer
(LUT) format. user may download the same file using link given on the screen.

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12. CB Level and DB level Enquiry : Different enquiries as under for open as well as
closed IPOs will be available to CB and DB users both. CB user may enquire any
branch entries by giving branch code and DB user may enquire entries of his own
branch only.

a. Processed By Branch: User can view entries of any IPO selecting Scrip Id on this
screen. These are the entries which haven’t been processed in exchange.

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b. Processed By Exchange : User can view entries which has been processed in
NSE/BSE. But for that CB has to select exchange type from the dropdown.

c. Revised in Exchange : CB user can view entries of any branch in various stages of
revision by giving branch no. and exchange type.

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d. Deleted from exchange : User can view entries deleted by giving Exchange type.

e. Processed by RTA : User can view any entries processed by RTA by giving.

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f. LUT processed entries : User can view entries processed for LUT.

g. Enquire by Account No. : User can enquire for any account number. It will give
all the entries in the given time period.

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h. Enquiry by Application No. : User can enquire by application no.

13. Reports

i. Daily Progressive Report: This report will give all the entries with their current
status till date.

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j. Ad-hoc Report (only for Controlling Branch User): Status wise report of all
entries in intermediate status

k. Final Allocation Report : Details of the entries after allocation by RTA.

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l. Daily Collection Report(only for Controlling Branch User): Daily collection

report for RTA with total bid quantity and total amount blocked of every DB.

m. Final Certificate for RTA(only for Controlling Branch User): Final certificate
for the RTA to be sent at the closure of IPO.

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14. User Management

a. User Reset : An officer can reset password of any other teller of his branch and the
default password is 1.

b. Change Password : Teller can change his password using this screen.

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