The Registrar & Transfer Agents will have their own dedicated I.T. set up (for DPM SHR operations) installed in their office. This set-up shall be connected to the Depository system situated at National Securities Depository Limited, Central System (Head Office of NSDL), using appropriate telecommunication links. The hardware, software & telecommunication equipment of this setup should be in accordance with NSDL Specification. The Registrar & Transfer Agent should ensure continuous electronic means of communication (connectivity) with NSDL as required under Regulation 56 of SEBI (Depositories & Participants) Regulations, 1996 and Clause 8 of the Tripartite Agreement signed with NSDL.
The minimum I.T. set up required for a Registrar & Transfer Agents would comprise of a Client Machine, Download Machine and networking hardware. The Registrar & Transfer Agents may configure additional CPU, memory, disks and nodes based on the volume of business envisaged.
The document "Sizing Guidelines for Registrar & Transfer Agents" is provided to help the Registrar & Transfer Agent arrive at an appropriate configuration and the document "Overview of points to be followed for hardware, software installation & connectivity with NSDL" enlists the steps to be followed by Registrar and Transfer Agent to establish their DPM SHR setup.
The specifications of the I.T. setup required by a Registrar & Transfer Agent are as follows
| Description | Hardware | Software |
| Client Machine | Pentium IV / Xeon, with CPU Speed of 3.0 GHz or higher | MS Windows XP Professional (License to be procured by the Registrar & Transfer Agents)with SP2 or 3 |
| 2 GB RAM (Minimum 1GB) Minimum 2 USB Ports & 1 fast serial ports | Anti-Virus Software for MS Windows XP Professional (License to be procured by Registrar & Transfer Agents) | |
| Any Colour monitor / Keyboard/ Mouse | Internet explorer version 7.0 | |
| Ethernet Card CD/DVD ROM drive | Zip-it-Fast, Zip Central,7 –Zip (Free vers ion) Java software version 6.0 | |
| Download Machine | Pentium IV / Xeon, with CPU Speed of 3.0 GHz or higher | MS Windows XP Professional (License to be procured by the Registrar & Transfer Agents)with SP2 or 3 |
| 1 GB RAM (Minimum 512 MB) Minimum 2 USB Ports & 1 fast serial ports | Anti-Virus Software for MS Windows XP Profesional (License to be procured by Registrar & Transfer Agents) Internet explorer version 7.0 Java software version 6.0 | |
| Any Colour monitor / Keyboard/ Mouse | File Download Agent Software (Provided by NSDL) | |
| Ethernet Card CD/DVD ROM drive | Zip-it-Fast, Zip Central,7 –Zip (Free version) | |
| Router | With 2 Ethernet Port,1 Serial Port Note :if MPLS link on Serial Port then V.35 Cable is used | Router IOS-Advance Security IOS or higher (Cisco) |
| Modem & Telephone Line | Dial up modem/ADSL Router with broadband connection and Telephone line with STD Facility | |
| UPS | Appropriate Capacity with Maintenance Free Batteries, With Minimum 30 Minutes Backup Time For Connecting Above Mentioned Equipments (Considering 2 Client,1 Router and 1 Switch Load) | Nil |
| Printers | Laser Jet Printer | Respective Printer Drivers |
| DeskJet Printer | Respective Printer Drivers | |
| LAN Switch | Required for connecting Client machine, Download machine & Router (Dedicated for NSDL setup) | Nil |
Note: Client machine & Download Machine can be combined into single setup Security Devices - NSDL provides E-token as an additional security device to be used by the Registrar & Transfer Agents for carrying out their depository operations. E-token is an external Security device which is connected to the NSDL Client Machine which consists of Digital Signature certificate imported on the same.
Hardware and System Software
The Registrar & Transfer Agents are free to procure any of model meeting minimum configurations specified by NSDL of any of the hardware brand certified by Microsoft Operating System from any vendor.
Registrar & Transfer Agents are free to negotiate any better deals from the vendors. It is advisable that the Registrar & Transfer Agent negotiates the terms of support so as to get support as per NSDL business hours.
Desktop Client Machine
Registrar & Transfer Agents are requested to ensure that the make and model of the Desktop client machine to be used for the NSDL operations is certified by Microsoft Operating System
Printer
- DeskJet Printer Any Model
- LaserJet Printer Any Model
Note : Printer procured by R & T Agent must be Windows XP Professional operating system compatible.
Router
- Cisco Series Router 1800,1900 with Advanced Security IOS
Dial up Modem: (Specifically when used as A Sync Modem).
- Any make and model of Dial up Modem
- Registrar & Transfer Agents choosing only PPP (Dial) mode of configuration may choose any appropriate Async Modem, however they will be able to connect only through their server serial port and not through their Router in case of primary link failure).
*If the Registrar & Transfer Agent is already having Broadband modem then there is no need to procure Dial up modem for NSDL fallback Connectivity.
UPS
- UPS with appropriate capacity and backup time of 30 Minutes
Support /Performance/Warranty
Following parameters must be considered for performance/support
| Warranty | Typically 3 Years Comprehensive On-Site Replacement Warranty for Client PCs. Typically 1 Year Comprehensive On-Site Replacement Warranty For Router, Modem & Printer |
| Support Availability | On 3 Shift, 7 Days basis (with 'Support Plan') for at-least 5 Years |
| For All Equipment | Minimum Up Time 98% |
| Response Time | Ranges from 2 hours to 24 hours depending on location & hour of call. |
| Max. Down Time | Ranges from 4 hours to 48 hours depending on location & hour of call. |
| Performance Parameter | It is advisable that performance of vendor is measured on quarterly basis with respect to above-mentioned parameters. |
| Equipment Performance | It is advisable that a performance bank guarantee is included as a part of the terms & conditions of the Purchase Order, as a measure of safety due to the round the clock operations requirement. In case vendor does not agree on performance bank guarantee then extension of warranty for equipment (for which vendor fails to provide support as per the above recommendations) must be included in the Purchase Order. |
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