ANNEXURE - I Back-office Interfaces I. Corporate Action Master Export Utility Input criteria The following two options would be available to extract this master information. 1. Full Export: In this case, the details of all CA Orders received in DPM System (till the time of export) would be exported in a Text file. 2. Incremental Export: In this case, the details of only those CA Orders which have been received after last incremental export date and time would be exported in a Text file. Selection Criteria for Incremental Export: Selection criteria for incremental export would be based on last export date and time. This selection criterion would be enabled only if user opts for incremental export. This field would be blank at first time of using the incremental export. Subsequently this field would display last export date and time by default. Search option will be provided to select the date and time from a list of last five date and time, when incremental exports were taken. In case user opts for a past date, then details of all corporate actions from that selected date and time till the current time of operation would be included in the export. e.g. If incremental export is taken at "2007-01-01 19:30:00", "2007-01-02 19:30:00", "2007-01-03 19:30:00" and "2007-01-04 19:30:00", the individual file would contain data as follows: Export Date and Time File Data 2007-01-01 19:30:00 Records that are created till "2007-01-01 19:30:00 2007-01-02 19:30:00 Records that are created between "2007-01-01 19:30:00 and 2007-01-02 19:30:00 2007-01-03 19:30:00 Records that are created between "2007-01-02 19:30:00 and 2007-01-03 19:30:00 2007-01-04 19:30:00 Records that are created between "2007-01-03 19:30:00 and 2007-01-04 19:30:00 If the file is re-exported for "2007-01-02 19:30:00" on 2007-01-04, then the out file would reflect all the orders that are executed and processed in DPM system between "2007-01-02 19:30:00" and current date and time. Output DP will be required to give an output filename to save the exported data. File Format The file would contain two types of records as follows: Header Record: This record would represent file header containing the file level information such as Type of Export (Full/ Incremental), last export date and time in case of Incremental type of export, file preparation date and time and total no of CA orders exported in the file.
This record type would be identified with code as "01". Data Type Size End Status Remarks Record Type Integer 2 2 M Header Record (01) DP Id Character 8 10 M DP s own DP Id Full/Incremental Flag Character 1 11 M F- Full, I - Incremental Incremental Reference Date/time (YYYYMMDDHHMMSS) Date Time Total number of Detail Records Date time 14 25 O Applicable only in case of Incremental. It is a system date from onwards incremental information extracted Date 8 33 M System Date(YYYYMMDD) Time 6 39 M System Time(HHMMSS) Integer 7 46 M Filler Character 2 48 O Default Spaces Detail Record: This record would contain the master information of Individual CA order exported in the file. This record type would be identified with the code as "02". Data Type Size End Status Remarks Record Type Integer 2 2 M Detail Record (02) Line Number Integer 7 9 M DM Order No Decimal 10 19 M IPO/Entitlement Indicator Character 1 20 M Credit Debit Indicator Character 1 21 M CA Status Integer 2 23 M "I" IPO "E" - Entitlement "C" Credit CA "D" Debit CA ISIN Character 12 35 M Filler Character 15 50 O Execution Date Date 8 58 M CA Character 35 93 M Filler Character 50 143 O Not In Use Field :
Sr.No Field Name DM Order No IPO/Entitlement Indicator Credit Debit Indicator CA Status Field This is the unique id provided by NSDL s central system for the individual Corporate Action order executed in Depository System. This field would indicate if this is IPO or Entitlement type of Corporate Action. The codes that would be used to identify the same are as follows: "I" IPO "E" - Entitlement This field would indicate if this is Credit or Debit type of Corporate Action. The codes that would be used to identify the same are as follows: "C" Credit "D" Debit This field would indicate the status of the Corporate Action Order. The status code that would be used in this field are as follows: Code 51 Closed Settled 54 Closed, Rejected ISIN Execution Date CA This field would give ISIN for which either Credit or Debit type of Corporate Action order is executed. This field would indicate the execution date of the Corporate Action Order. This field would provide the description of the Corporate Action Order set up by R and T agent. Impact on Application Security A new functional right for "CA export" would be added in the existing System Security Module. DP would be required to allocate "Execute" right of this function to the user to use this utility. Impact on GISMO Application A new option for Corporate Action Master Export would be added under the BackOffice menu. This option would be visible to only those Users having functional rights of CA Export. II. Incremental Signature Export Input criteria The following two options would be provided to extract Signature master information. 1. Full Export: This is the existing option which enables full signature export. In this case, the signature details of selected client account range are exported in Text files. One more facility is added in this option which would enable exclusion of inactive client accounts i.e. upon choosing this option, the signature details of only those accounts that are in Active, Suspended for All and Suspended for Debit client status would be exported. 2. Incremental Export: This a new option through which the signature details of client accounts satisfying following criteria would be exported in a Text file a. Client accounts which are registered / activated after last export date and time b. Signature and Signatory details of existing client accounts which have been modified after last export date and time.
Selection Criteria for Incremental Export: Selection criteria for incremental export would be based on last export date and time. The features of this option would be same as explained in "Incremental Export" of CA Master Export utility. DP can re-export previous incremental data by selecting appropriate last export date and time in the input field. However, it may be noted that the signature details of all the client accounts meeting selection criteria for the period of selected date and time till the current date and time would be reflected in the exported file. DPs may note that the last export date and time of first incremental export would be marked as current date and time on day of installation of this utility. The first incremental export, after installation of the utility, would provide the signatory and signature details which are added or modified after installation date and time. DPs are therefore requested to update their back office with the latest signature details of all existing client accounts before using the option of incremental export. Output DP will be required to give an output filename to save the exported data. DP will be required to select an output directory to save the exported signature details. The utility would generate the following three types of files in the chosen directory. a. ClientID.txt & ClientID.tif These files will be generated for every client account containing the signatory and the signature details respectively. In case of client registered without signature, only ClientID.txt file would be generated. The format of these files would be same as currently being generated by the existing signature export utility. b. Header.txt This would be new type of file generated by the export utility which would contain all the information regarding the particular export operation i.e. DP Id, the mode of export selected (Full/Incremental), Export date time, total number of client accounts exported in selected directory, client range selected (in case of full export) and "Exclude Inactive Client" flag value. This file would be created in same output folder. This file would be added in new version release for providing details of previous export date and time in case of incremental mode of export. DPs continuing with the existing mode of operation may ignore this file to avoid modifying their back office system. File Format a. ClientID.txt & ClientID.tif The file format of these files would be same as existing. b. Header.txt This file would contain single record giving the details of particular export operation. Data Type Size End Status Remarks DP Id Character 8 8 M DP s own DP ID Full/Incremental Flag Character 1 9 M F- Full, I Incremental Incremental Reference Date time 14 23 O Applicable only in case of Incremental.
Date/time (YYYYMMDDHHMMSS) Date Time Total number of Detail Records It is last incremental export date and time. Date 8 31 M System Date at which export is taken Time 6 37 M System Time at which export is taken Integer 9 46 M Total Number of Client accounts exported in output directory. Maximum can be 99,99,99,999 records. Applicable only in case of Full Export. Client ID From Integer 8 54 O This field would indicate the From Client ID chosen. Default all Zeros Applicable only in case of Full Export. Client ID To Integer 8 62 O This field would indicate the To Client ID chosen. Default all Zeros This flag would indicate if "Exclude Inactive Account" option is selected. Active / Inactive Indicator Flag Character 1 63 M A Inactive client accounts are excluded from output I - All client accounts irrespective of their status are included. Filler Character 85 148 O Not in use Default Spaces