Project outline

Executive Summary
 Overview
 Background
 Objectives
 Proposed Strategy
Scope
 Included in Scope
 Excluded from Scope
 Constraints
 Impact of Proposed Changes
Analysis
 Feasibility Study/Preliminary Study
 The ‘as-is’ system description
 The ‘to-be’ system description
 Platform/Technology Used
 Requirements specifications
Design
 Functional Specification
 Logical design
 Detailed physical design
 Design Documentation
Implementation
 Coding
 User Acceptance Tests
 Training
 Documentation
 Parallel run
  Go live
Review
 Benefits Management
 Scope for further work

Risk Analysis
(A risk is something that could impact the success or failure of a project. Good project
management involves a constant reassessment of risk.)
For each risk, document:
 Likelihood
 Cost
 Strategy: Strategies include
 Avoid: Do something to eliminate the risk.
 Mitigate: Do something to reduce damage if risk materializes.
 Transfer: Pass the risk up or out to another entity.
 Accept: Do nothing about the risk. Accept the consequences.
Technological Risks
(This subsection specifies new technology issues that could affect the project.)
Skills Risks
(This subsection specifies the risk of not getting staff with the required expertise for the
project.)
Political Risks
(This subsection identifies political forces that could derail or affect the project.)
Business Risks
(This subsection describes the business implications if the project is canceled.)
Requirements Risks
(This subsection describes the risk that you have not correctly described the
requirements.
List areas whose requirements were most likely to be incorrectly captured.)
Other Risks

Business Case
(Describe the business rationale for this project. This section may contain estimates on
cost/benefit, return on investment (ROI), payback [length of time for the project to pay
for itself], market share benefits, and so on. Quantify each cost or benefit so that business
objectives may be measured after implementation.)

Actors
Workers
(List and describe stakeholders who act within the business in carrying out business use
cases.)

Department/ Position General Impact of Project

Business Actors
(List and describe external parties, such as customers and partners, who interact with the
business.)

Actor General Impact of Project

Other Systems
(List computer systems potentially impacted by this project.) Include any system that will
be linked to the proposed system.

System General Impact of Project

Role Map
(The role map describes the roles played by actors [users and external systems] that
interact with the IT system.)

User Requirements

[Describes requirements for automated processes covered by the project from a user
perspective.]

Nonfunctional Requirements
(Describe across-the-board requirements not covered in the use-case documentation.
Details follow.)
Performance Requirements
(Describe requirements relating to the system’s speed.)
Stress Requirements
(This subsection of performance requirements describes the degree of simultaneous
activity that the system must be able to support. For example, “The system must be able
to support 2,000 users accessing financial records simultaneously.”)
Response-Time Requirements
(This subsection of performance requirements describes the maximum allowable wait
time from the moment the user submits a request until the system comes back with a
response.)
Throughput Requirements
(This subsection of performance requirements describes the number of transactions per
unit of time that the system must be able to process.)
Usability Requirements
(Describe quantitatively the level of usability required. For example, “A novice operator,
given two hours of training, must be able to complete the following functions without
assistance” Also, refer to any usability standards and guidelines that must be adhered to.)
Security Requirements
(Describe security requirements relating to virus protection, firewalls, the functions and
data accessible by each user group, and so on.)
Volume and Storage Requirements
(Describe the maximum volume [for example, the number of accounts] that the system
must be able to support, as well as random access memory [RAM] and disk restrictions.)

Configuration Requirements
(Describe the hardware and operating systems that must be supported.)
Compatibility Requirements
(Describe compatibility requirements with respect to the existing system and external
systems
with which the system under design must interact.)
Reliability Requirements
(Describe the level of fault-tolerance required by the system.)
Backup/Recovery Requirements
(Describe the backup and recovery facilities required.)
Training Requirements
(Describe the level of training required and clearly state which organizations will be
required to develop and deliver training programs.)
Business Rules
(List business rules that must be complied with throughout the system. For example, a
flight reservation system might have a rule that the baggage weight on an aircraft must
never exceed a given maximum. If an external rules engine is being used, this section
should refer the reader to the location of these rules.)

What is an RTA : -
Share investors do a number of transactions on any given day. They may buy, sell or
switch units. They could request for a bank address change or an address change. Each
such request is a transaction by itself. Companies have to maintain records of each such
transaction.
A listed company may not want to invest in these processes nor would have the skilled
expertise to handle these huge transactions on a professional basis.
Hence, they would want to outsource this work to an agency which can handle these
requests from investors on a regular basis. Registrar and Transfer agents (R&T agents)
help them in this. An R&T agent maintains these records on behalf of the company,
through its offices across the country.
An R&T agent also provides technology-based services like online transaction or
account statement facilities. It acts as single-window system for investors. An R&T agent
also helps investors with information on various corporate actions like details on new
fund offers, dividend distributions or even maturity dates of investments. This
information is also available with the fund houses, but an R&T Agent is a one-stop shop
for all the information. Investors can get information about his various investments into
different schemes of different fund house at a single place.

Introduction

The as is system review :

RTA acts as an interface between the company that issues shares and the shareholdrrs of
the company

Master database files

File structure

Logic

Important files :

Folio master .. Contents???

Header

Inward master
Detail
Transaction

Systems control
Q.> After reception of DRF , what are the processes to be followed ?
A .> Download master files from NSDL
Import files and upload in back office ( FILES ---- in , out , pending request ,
reconciliation )
BenPos ??
Validation in back office :
1. Folio ---- back end validation and verification
2. Details to be retrieved when the user enters folio number----name, status, holdings,
Flags ---- folio level….certificate level,,,,

Why DRN is required ?

For fetching details like ---- DRN no.
Client id
No. of shares
DP id
Request date
Certificates: are imported from Certificate master

Signature verification --- based on folio number.. We can display the images

All these above mentioned criteria are required for confirming or rejecting the
certificate:
After confirming create batch file for NSDL ….format should be in line with the NSDL
file format
Should contain details like ----batch number, date

After this Transaction master file upload ---- Very important

Details --- folio number , to folio, from folio, type of transaction

After this .. go for reports ---- confirmation report, rejection report, transaction statement
FOLIO LEVEL BLOCKING … CERTIFICATE LEVEL BLOCKING ??????
We should not modify the contents of the file received from NSDL , if the audit
committee finds it, it ll be a penalty

 Transfer Processing
 Transmission / Name Deletion
 Sub-division / Consolidation
 Issue of Duplicate Certificates.
 Dividend Processing & Reconciliation
 Noting of Change of Address / PoA / Nomination / Mandates
 Correspondence with Investors / Regulatory Authorities
 Bulk Mailing.