Prepared by: SCORES Project Team,SCORES Operational Manual Version 1.0 June, 2017 For the internal...

Copyright © 2013, Tech Mahindra. All rights reserved.

SCORES

Operational Manual

Version 1.0

June, 2017

For the internal use of Securities and Exchange Board of India and its authorized users

Prepared by:

SCORES Project Team, Tech Mahindra Ltd.

Table of Contents

1. ABOUT SCORES ............................................................................................................................. 2

2. SCOPE OF DOCUMENT .................................................................................................................. 3

3. OPERATIONAL REQUIRMENT ........................................................................................................ 3

4. OPERATIONAL GUIDE .................................................................................................................... 3

Company Confidential USER MANUAL

Confidential Version 1.50 of 28

1. ABOUT SCORES

SCORES is a web-enabled work flow based system for redress of Investor complaints by SEBI. It consists of four modules.

Investor Module Division Chief Dealing Officer Organizations (Entities) Admin Module



The usage of SCORES is purely role based wherein all the users will be assigned role based privileges based on the scope of their work

2. SCOPE OF DOCUMENT

This document is the operational manual of Office module of SCORES. It describes the functionality of the SCORES provided to the users of various roles. The following four roles have been discussed in this document.

Inward Section Division Chief Dealing Officer Organizations (Entities)

3. OPERATIONAL REQUIRMENT

The user of SCORES must have Internet enabled client machine to access SCORES and have basic working knowledge of Internet.

4. OPERATIONAL GUIDE

4.1 Inward Module

The role of Inward is to register the complaints and reminders received physically in SEBI. The following are the menu options available to the users of Inward Section. On providing the valid username and password, the following screen (homepage) appears before the user. The homepage displays the list of complaints uploaded on SCORES on a particular date. By default, it displays for the current date.

4.1.1 PG Portal Cases This option is used to allocate the grievances received through PGPORTAL. It displays the list of grievances indicating the registration number, name of complainant and the received date in SEBI.



On clicking the registration number of the grievance, the details of the case is available and prompts for the subsequent action in ‘Take Action’ tab. The subsequent actions can be either ‘Transfer to Division’ or ‘not pertaining to SEBI’. While the case is transferred to other division, the category along with other necessary details has to be assigned to it. If the case does not pertain to SEBI, the same may be returned to the Ministry/DARPG by selecting the option ‘Not Pertaining to SEBI’ by providing necessary remarks

4.1.2 Lodge Complaint This option is used to register the physical complaints received in various SEBI offices. The complaint registration form consists of the following two sections: Personal Details: - This section of the form relates to the personal information about the investor. The following are the details of various fields in the personal details section.

Complaint Details: - This section of the form pertains to the details of complaint by Investor. Initially the category of the complaint needs to be selected. Based upon the selected category, the relevant information like name of company needs to be provided. The appropriate option i.e. single or multiple, for file upload has to be selected. The option of single document has to be selected when there is one document related to multiple nature of complaint. The nature of complaint of maximum up to five, if applicable, has to be selected. For each selected nature complaint, complaint details in brief (up to 2000 characters) On successful submission of complaint, a unique registration number is generated. Its composition is like SEBIX/YY11/*******/$



In case of physical complaints i.e. registered by Inward section, it will P and if registered by the Investor online then it will be E.

X – It is either P or E. YY – It indicates the State Code of Location of Company/Residence of Investor. *- This is a seven digit running serial number. $ - It indicates of the part number of the complaint based upon the selected number of

nature of complaint.

4.1.3 Search Inward user can also search the status of complaint .He can search the complaint by two ways: 1. By Complaint

Registration No Address PAN Letter Date Complaint Against VIP Reference Investor Name /Complaint Lodged by State SEBI Inward No Email Address Old Complaint No

User can select the multiple options for the search 2. By reminder

Registration No SEBI Inward Number

4.1.4 Letters

Inward user can also generate the below letters. Each category has from date and to date and Select category option. On giving proper input below letters can be generated.

Acknowledge Letter(s) The acknowledgement letters to complainant/investor can be generated and printed for the selected category between the two specified dates for physical/electronic complaints.

Clarification Letter(s) The clarification letters seeking information/clarification from complainant/investor can be generated and printed between the two specified dates.

Forwarding Letter(s) to Listed Companies Forwarding letters to listed companies can be printed between the two specified dates for physical complaints only.

Forwarding Letter(s) to Stock Exchange/ Stock Broker/ Sub Broker



Forwarding letters to Stock Exchange/ Stock Broker/ Sub Broker can be printed between the two specified dates for physical complaints only.

Forwarding Letter(s) to Depository/ Depository Participants Forwarding letters to Depository/ Depository Participants can be printed between the two specified dates for physical complaints only.

Forwarding Letter(s) to Registered Intermediaries Forwarding letters to Registered Intermediaries like Bankers to an Issue, Credit Rating Agencies, Custodians of Securities, Debenture Trustees, Foreign Institutional Investors, Merchant Bankers, Mutual Funds, Portfolio Managers, Registrars to an Issue / Share Transfer Agent, Underwriters, Venture Capital Funds, KYC Registration Agency (KRA), Alternative Investment Funds (AIF), can be printed between the two specified dates for physical complaints only.

Final Reply Letter(s) Final Reply Letters to complainant/investor can be printed for the complaints in which the following reason for closure is selected –

Closed - Wound up / liquidated Closed - Sick Company Closed - Delisted Company Closed - Company referred for Merger Closed - Strike Off

4.1.5 Utilities

This menu option has the below sub menus.

Change Attachment

This option is used to replace the uploaded scanned document with the latest document. It will require the Complaint registration number.

Lodge Reminder

Inward can send the reminder only after 30 days from the complaint submitted date and this gets stored in SCORES database for intimation to the corresponding staff/user. SEBI staff handling the complaint will be intimated of receipt of reminder in his dashboard.

Add VIP Reference

Inward user can add the VIP reference to the Complaint. He can add the one VIP reference to a particular complaint .Some VIP reference are PM, CM etc.

Edit Profile

Inward desk user can also edit his/her information by this link. He can edit the all information apart from PANCARD details.

Entity Status

This allows the Inward to check the Entity Status of:

Collective Investment Schemes,

Listed Companies,

Other SEBI Registered Entities.



These data are retrieved from the corresponding tables in SCORES database

Lodge Reply to Clarification

This option allows the inward desk user to lodge reply received from Investor in case of Physical complaint. Inward desk user can upload supporting document during this process.

4.2 Organizations (Entities) The Organizations/entities are the complaint redressing units for SEBI. Their user accounts would be created by the OIAE, Mumbai. The Organizations/entities would process each complaint forwarded by SEBI and send back the action taken report for final closure of the case. On providing the valid username and password, the following screen (homepage) describing the up-to-date complaint status appears before the compliance officer.

The following information as Current Status is available on the main page.

Total Complaints Received Total Pending Complaints Total Resolved Complaints Total Complaints Withdrawn ATR Sent and Pending with SEBI New complaints (For Assessment) Clarification Sought by Higher Organization Action taken Reports Received Action taken Reports Sent Pending complaints (within our office) Pending complaints (with investor) Pending complaints (within subordinate organizations) Pending complaints (within subordinate organizations – ATR not received) Reminder/clarification received from Investor/ SEBI



Clarification Sought from subordinate organization Reply received from subordinate organization

The details can be fetched by clicking on the numbers displayed against each item. This information can also be fetched from the following menu items, available in the desk of compliance officer:

4.2.1 Complaints: On mouse over on this menu option, the following sub options will appear:

New Complaints Received:

This submenu item provides the list of new complaints due for initial assessment. The list of complaints are displayed in a tabular form displaying the registration number, VIP status, complainant name, complaint against, date of receipt (received date of the office) and sent by (lodged/forwarded by). The sorting of the tabulated data can be done by clicking on the column heads. By clicking on the registration number, complete details and action history of the complaint along with ‘Take Action’ tab will appear. The officer concerned can take one of the following decisions on the complaint:

1. Send Action Taken Report: Select this option to send action taken report to SEBI Office. The action taken report can be of the type like Final (Resolved or closed) and Interim. Necessary details should be provided in the report so as to enable SEBI to take final decision.

2. Examined At Our Level: Select this option if the complaint is to be redressed/resolved

within the office of the logged in entity. 3. Forward to <Entity>: Select this option to forward the complaint to subordinate

office/organization (if applicable) of the entity concerned. 4. Seek Clarification from Investor: Select this option if the logged in entity needs some

clarification from Investor in order to resolve the complaint. (This option is available Only for electronic complaints i.e. those complaints whose registration number starts with ‘SEBIE’)

Complaints Pending

This submenu provides the list of complaints pending within the Office of the logged in Officer. The list of pending complaints are displayed in a tabular form displaying the Registration number, VIP status, Complainant name, Complaint against, Pending with, ATR, Pending days. The list of Pending cases can be filtered by the following criteria.

All (default) Within our Office With Subordinate Organization With Investor With Subordinate Organization – ATR not received



If any ATR is received by SEBI, the ATR column displays a flag against the particular complaint. The pending days are displayed in three colors namely green for pendency of up to 10 days, yellow for pendency of 11-20 days and red for pendency of 21 or more days. The sorting of the tabulated data can be done by clicking on the column heads. By clicking on the registration number, complaint details and action history of the complaint along with ‘Take Action’ tab will appear and prompt for one of the following subsequent actions to be taken.

1. Send Action Taken Report: Same as Before

2. Seek Clarification from Investor: Same as Before

3. Seek Clarification from Subordinate Organization: This option will appear only when the complaint is forwarded to subordinate office/organization of the entity. Select this option if some clarification is required from that subordinate office/organization.

Complaints Resolved:

This submenu provides the list of resolved complaints which were forwarded to the entity concerned. By clicking on the registration number, complete details of the complaint along with action history will appear.

Action taken report This submenu provides the list of Action Taken Reports received from subordinate office and sent to higher organization of the entity concerned. By clicking on the registration number, complete details of the Action Taken Report will appear. This submenu option has the following two sub- options:

1. ATR Received

This is the default sub-option and will be available to those entities who have forwarded the complaints online to their subordinate offices through SCORES. It displays the action taken reports received from subordinate office/organization of the logged in entity. By clicking on registration number, complete details of action taken report will appear and prompt for the following subsequent actions to be taken:

a. Send New Action Taken Report: Same as before

b. Seek Clarification from Investor: Same as Before

c. Seek Clarification from Subordinate Organization: Same as Before

2. ATR Sent

This sub-option display the list of all action taken reports sent by logged in entity to higher office/concerned SEBI office for the pending complaints. This list can be filtered on the basis of the type of report sent i.e. final or interim report.

Rem/Clar/Reply



This has below sub options.

1. Reply Received (from subordinate organization):

This option provides the list of reply/replies received of the clarification sought from subordinate office/organization after receiving ATR from them. By clicking on the registration number, complete details of the reply received will appear and prompt for one of the following subsequent actions to be taken:

a. Send Action Taken Report: Same as before.

b. Seek Clarification from Investor: Same as before.

c. Seek Clarification from Subordinate Organization: Same as before.

4.2.2 Search:

The search option facilitates to track any complaint lodged/forwarded to the logged in user of SCORES. The search can be performed on the following search parameters: By Complaint

Registration No Address PAN Letter Date Complaint Against VIP Reference Investor Name /Complaint Lodged by State SEBI Inward No Email Address Old Complaint No

User can select the multiple options for the search 3. By reminder

Registration No SEBI Inward Number

The result provides the information in a tabular form having columns like registration number, VIP reference, complainant name/complaint lodged by, complaint against, category, complaint status and date of receipt.

4.2.3 Change Password The logged in user can change the password.

4.2.4 View Login Usage The Logged in user can see his/her login history.



4.2.5 Edit Profile

The user can change his/her profile information.

4.2.6 User Manual To view the user manual of SCORES.

4.2.7 Log out This option is for logout from SCORES.

4.3 Division Chief Division Chief is responsible for supervision (including assignment of complaint) & monitoring of complaints assigned to his division. Post-successful login of DC, he is shown a dashboard, which shows category wise count handled by him (As on login date). By clicking on the number shown against each category, the DC can drill down to complaint/s falling under that category. 4.3.1- Division Chief have following menu option to check complaints. 4.3.1.1 Dashboard




Total complaints Received

Total Resolved Complaints

Total Pending Complaints

Total Regulatory Action Initiated Complaints

Total Non-Actionable Complaints

Review(s) Received

New Complaints (For Assessment - Entity Login Available)

New Complaints (For Assessment - Entity Login not Available)

Action Taken Reports Received

Pending Complaints (Within Our Office)

Pending Complaints (With Investor)

Pending Complaints (With Subordinate Organizations)

Pending Complaints (With Subordinate Organizations – ATR not Received)

Reminder/Clarification received from investor/SEBI

Reply received from subordinate organization

Pending with DO for Initial Assessment 4.3.1.2 Complaints: Division Chief have following option under Complaints menu to check complaint details.

Lodge Reminder

New Complaints received

Return back Complaints

Complaint pending

Complaints Resolved

Action taken reports

Remi/Clari/Reply

Regulatory Action initiated complaints

Non actionable complaints

Monitor Dealing officer Desk



4.3.1.3 Letters: This option facilitates printing of letters to entity concerned.

4.3.1.4 Entity Status: This option allows the user to search CIS Scheme or a listed company & view its status. Please refer screenshot given below for reference.



4.3.1.5 Search: This option allows the User to Search for : 1- Complaints 2- Reminders

The below options are available for Complaint Search: 1. Registration No 2. Address 3. PAN 4. Letter Date 5. Complaint Against 6. VIP Reference 7. Investor Name/ Complaint Lodged by 8. State 9. SEBI Inward No 10. Email Address 11. Old Complaint No

The below options are available for Reminder Search: 1. Registration No 2. SEBI Inward No

4.3.1.6 Utilities: The below utilities are available to Division Chief.

Change Attachment

Add VIP References



Initiate Regulatory action

View General Instruction

Non Actionable Complaints module

Revoke Non Actionable Complaint module

4.3.1.7 User Manual: This link allows the user to view the User Manual of SCORES. 4.3.2 Division Chief Worklist: Division Chief (DC) can click on worklist option to see all assigned complaint with status.



Once Division Chief will click on worklist below screen will appear.

To act on the complaint, DC is required to click on the Registration Number. On Clicking the Registration Number, application will show the complaint details & Action History.



Action History screenshot is given below for reference. Action history is only visible to DC & DO who are acting on the said complaint along with the Admin.

“Take Action” link will also appear in the same screen.

Division Chief can get list of option based on category and complaint status to take action in Decision dropdown. DC can take any one of below actions: 1. Examined at our Level 2. Forward to Dealing Officer 3. Forward to Organization 4. Transfer to other Division 5. Seek Clarification from Investor 6. Send Interim Status to Investor 7. Internal Remarks 8. Case Dispose Of 9. Send Action Taken Report to Ministry 10. Returned Back complaints



Examined at our Level: This option is used if the complaint is to be examined within the division/section of officer concerned. Forward to Dealing Officer: This option is used for forwarding the complaint to DO (as per allocation of Alphabet). Normally this option will be needed for below categories of complaints: 1. Bankers to an Issue 2. Collective Investment Schemes 3. Custodian of Securities 4. Debenture Trustees 5. Foreign Institutional Investors 6. Refund/Allotment/Dividend/Transfer/Bonus/Rights/Redemption/Interest 7. Merchant Bankers 8. Prelisting / Offer Document (Shares) 9. Portfolio Managers 10. Registrars to Issue / Share Transfer Agent 11. Underwriters 12. Venture Capital Funds 13. Corporate Governance / Listing Conditions 14. Taker over/ Restructuring 15. Buy Back of Securities 16. Delisting of Securities 17. Others Forward to Organization: This option is used if the complaint is to be assigned to external entity against whom the complaint has been raised. The complaints related to the following categories are forwarded automatically to concerned entity: 1. Depository 2. Depository Participant (Forwarded to Depository ) 3. Stock Exchanges 4. Stock Broker (Forwarded to Concerned Stock Exchange) 5. Sub Brokers (Forwarded to Concerned Stock Exchange) Normally the DC may not be aware of the Stock Broker’s / Sub broker’s affiliation with particular stock exchange or DP’s affiliation with particular Depository. Therefore the DC will forward the complaint to one Stock Exchange (say BSE). If that exchange does not have jurisdiction over that Broker/Sub Broker, SE will close the complaint with proper reason (not listed with us). The DC will then forward this complaint to other stock exchange (NSE) which will then take action on the same. DC can forward complaint only to one organization at a time. Officer is allowed to change the name of company and then submit the complaint (in event the company mentioned by Investor is wrong). Transfer to other Division : This option is used if the DC is of the opinion that this complaint does not pertain to his division. The DC will need to provide: a. New Complaint Category b. Complaint Against c. Remarks



Seek Clarification from Investor: This option is used to seek clarification from Investor w.r.t complaint registered by him/her. For e-Complaints, where registration number starts with SEBIE, an email is sent to Investor on his registered email id. In case of Physical complaints, a “Clarification” letter is generated from Inward Desk which is sent to Investor’s address registered in SCORES. Send Interim Status to Investor: This option is only applicable for e-Complaint. The Division Chief can provide interim status to investor w.r.t. registered complaint. Division Chief can also upload a supporting document during this process. Officer can send Interim Status multiple times to Investor. This will get reflected in the Action History. Internal Remarks: This option is used to record internal remarks for future reference to the concerned Division Chief. A supporting document can also be provided by Division Chief. Internal Remarks are not displayed to the Investor & Organization. After complaint is “Disposed of” no remarks can be added. Case Dispose Of : This option is used to close registered complaint. Disposal Type & remarks need to be provided. DC can also upload supporting document (if required). Send Action Taken Report to Ministry: This option is applicable only for PGPORTAL Cases, of type “Taken Up”, and is used to send ATR directly to D/o Economic Affairs, M/o Finance. Returned Back complaints: This option provides list of complaints returned back by respective dealing officers. DC can click on the Registration number to view the complaint details and take action from one of below option: 1. No Action Required 2. Examine at our level 3. Not pertaining to this division 4. Forward to dealing Officer 5. Forward to Organization 6. Transfer to Other Division

4.4 Dealing Officer Dealing Officer Role is assigned to Officers of SEBI which deal with complaints pertaining to different divisions in SEBI. DO is responsible for processing of complaint/s pertaining to category assigned to them. Post successful login of DO, he is shown a dashboard which shows category wise count handled by him. By clicking on the number shown against each category, the DO can drill down to complaint/s falling under that category



4.4.1- Dealing Officer have following menu option to check complaints. 4.4.1.1 Dashboard


Total complaints Received

Total Resolved Complaints

Total Pending Complaints

Total Regulatory Action Initiated Complaints

Total Non-Actionable Complaints

Review(s) Received

New Complaints (For Assessment - Entity Login Available)

New Complaints (For Assessment - Entity Login not Available)

Action Taken Reports Received

Pending Complaints (Within Our Office)

Pending Complaints (With Investor)

Pending Complaints (With Subordinate Organizations)

Pending Complaints (With Subordinate Organizations – ATR not Received)

Reminder/Clarification received from investor/SEBI

Reply received from subordinate organization

Pending with DO for Initial Assessment 4.4.1.2 Complaints: Dealing Officer have following option under Complaints menu to check complaint details.

Lodge Reminder

New Complaints received

Return back Complaints

Complaint pending

Complaints Resolved

Action taken reports



Remi/Clari/Reply

Regulatory Action initiated complaints

Non actionable complaints

Monitor Dealing officer Desk

4.4.1.3 Letters: This option facilitates printing of letters to entity concerned.

4.4.1.4 Entity Status: This option allows the user to search CIS Scheme or a listed company & view its status. Please refer screenshot given below for reference.



4.4.1.5 Search: This option allows the User to Search for :

3- Complaints 4- Reminders

The below options are available for Complaint Search: 1. Registration No 2. Address 3. PAN 4. Letter Date 5. Complaint Against 6. VIP Reference 7. Investor Name/ Complaint Lodged by 8. State 9. SEBI Inward No 10. Email Address 11. Old Complaint No

The below options are available for Reminder Search: 1. Registration No 2. SEBI Inward No



4.4.1.6 Utilities: The below utilities are available to Dealing Officer.

Change Attachment

Add VIP References

Initiate Regulatory action

View General Instruction

Non Actionable Complaints module

Revoke Non Actionable Complaint module

4.4.1.7 User Manual: This link allows the user to view the User Manual of SCORES. 4.4.2 Dealing Officer Worklist: Dealing Officer (DO) can click on worklist option to see all assigned complaint with status. Once Dealing Officer will click on worklist below screen will appear.



To act on the complaint, DO is required to click on the Registration Number. On Clicking the Registration Number, application will show the complaint details & Action History.



Action History screenshot is given below for reference. Action history is only visible to DC & DO who are acting on the said complaint along with the Admin.

“Take Action” link will also appear in the same screen.

Dealing Officer (DO) can get list of option based on category and complaint status to take action in Decision dropdown. DO can take any one of below actions: 1. Examined at our Level 2. Not pertaining to this office 3. Transfer to other Division 4. Forward to Organization 5. Transfer to other Dealing Officer 6. Seek Clarification from Investor 7. Send Interim Status to Investor 8. Internal Remarks 9. Case Dispose Of 10. Send Action Taken Report to Ministry



Examined at our Level : This option is used if the complaint is to be examined within the division/section of officer concerned. Not pertaining to this office : This option is used if the complaint does not pertain to concerned division to which this DO is attached. The complaint will be returned back to concerned DC for re-direction to appropriate division. Transfer to other Division : This option is used if the DO is of the opinion that this complaint does not pertain to his division. The DO will need to provide: a. New Complaint Category b. Complaint Against c. Remarks It is assumed that DO will do due diligence before transferring the complaint to other division Forward to Organization: This option is used if the complaint is to be assigned to external entity against whom the complaint has been raised. The complaints related to the following categories are forwarded automatically to concerned entity: 1. Depository 2. Depository Participant (Forwarded to Depository ) 3. Stock Exchanges 4. Stock Broker (Forwarded to Concerned Stock Exchange) 5. Sub Brokers (Forwarded to Concerned Stock Exchange) Normally the DO may not be aware of the Stock Broker’s / Sub broker’s affiliation with particular stock exchange or DP’s affiliation with particular Depository. Therefore the DO will forward the complaint to one Stock Exchange (say BSE) . If that exchange does not have jurisdiction over that Broker/Sub Broker, SE will close the complaint with proper reason (not listed with us). The DO will then forward this complaint to other stock exchange (NSE) which will then take action on the same. DO can forward complaint to only one organization at a time. Transfer to other Dealing Officer : This option is used if complaint does not pertain or has been wrongly marked to officer concerned. The complaint would be transferred to another officer within the division. Normally this option will be needed for below categories of complaints: 1. Bankers to an Issue 2. Collective Investment Schemes 3. Custodian of Securities 4. Debenture Trustees 5. Foreign Institutional Investors 6. Refund/Allotment/Dividend/Transfer/Bonus/Rights/Redemption/Interest 7. Merchant Bankers 8. Prelisting / Offer Document (Shares) 9. Portfolio Managers 10. Registrars to Issue / Share Transfer Agent 11. Underwriters 12. Venture Capital Funds 13. Corporate Governance / Listing Conditions 14. Taker over/ Restructuring



15. Buy Back of Securities 16. Delisting of Securities 17. Others Seek Clarification from Investor : This option is used to seek clarification from Investor w.r.t complaint registered by him/her. For e-Complaints, where registration number starts with SEBIE, an email is sent to Investor on his registered email id. In case of Physical complaints, a “Clarification” letter is generated from Inward Desk which is sent to Investor’s address registered in SCORES. Send Interim Status to Investor : This option is only applicable for e-Complaint. The Dealing Officer can provide interim status to investor w.r.t. registered complaint. Dealing Officer can also upload a supporting document during this process. Officer can send Interim Status multiple times to Investor. This will get reflected in the Action History Internal Remarks : This option is used to record internal remarks for future reference to the concerned Dealing Officer. A supporting document can also be provided by Dealing Officer. Internal Remarks are not displayed to the Investor & Organization. After complaint is “Disposed of” no remarks can be added. Case Dispose Of : This option is used to close registered complaint. Disposal Type & remarks need to be provided. DO can also upload supporting document (if required). If document is being uploaded , DO will need to specify if the attachment should be visible to Investor or not. Send Action Taken Report to Ministry : This option is applicable only for PGPORTAL Cases, of “Taken Up” type, and is used to send ATR directly to D/o Economic Affairs, M/o Finance. Thanks

Prepared by: SCORES Project Team,SCORES Operational Manual Version 1.0 June, 2017 For the internal...

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