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Futures Industry Disaster Recovery Test Briefings September 16, 2010 “DR VII” Prepared and Moderated by John Rapa, CBCP Tellefsen and Company, L.L.C . AGENDA. Introduction and Welcome Testing Goals and Objectives Review of Testing Protocol Member Firm Readiness Discussion
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Futures IndustryDisaster Recovery Test BriefingsSeptember 16, 2010“DR VII”Prepared and Moderated byJohn Rapa, CBCPTellefsen and Company, L.L.C.
Our Panelists Today:
Who is eligible to Participate?
Can I test connectivity to DR prior to October 23rd?
How will the exchange be handling trades submitted on 10/23?
There will not be any Open Outcry testing
All communications to CME Group from the firms should be through the GCC (312.456.2391) or CME Group’s Clearing Support Team (312.207.2525).
Clearing reports will not be produced on the day of the test. They will be available to firms that wish to see them during the week following the test.
Ping testing dates are on Saturdays 9/18 and 10/2.
Will use GLOBEX via remote data center
Firms must register via the FIA website
Questions may be directed to CME Group’s Business Continuity Team – [email protected]
Members should call the GLOBEX Control Center at (312) 456-2391 to report any trading problems encountered throughout the test
Trades will be processed through to the appropriate clearing organization.
Verify firm connectivity:
All GLOBEX Markets will be open at approximately 7:30 AM EDT.
Any trades done prior to the start of the test will not be captured
October 22ndor October 23rd are valid order entry dates.
All fills will be sent back to the Firms with the trade date of October 22nd.
Firms can send a test order in any market they wish.
Order entry via test script as follows:
Enter bids as customer and offers as house at the settlement price in the market you choose
Enter about 10 trades
Firms may use any market they want. Firms should send orders in on ‘Floor Only Contracts, like the SPH1 that will be listed on GLOBEX for the test
Firms may receive crossed trades and/or trades with other counterparties
Trade reporting to firms’ back office systems:
Should be verified and then deleted.
Change FTP IP address to CME’s remote site IP address to connect to CME FTP server via RDC:
Using Friday’s data, FTP the PCS and Large Trader reports
CME staff will verify receipt and then delete them
CME will transmit Thursday’s Trade Register and SPAN files
Firms will verify receipt of these files and delete them
Connect to RDC URL and enter a block trade for:
5000 EDH @9900.0
CME staff will verify receipt of the block trades and then delete them
CME staff will submit a series of OTC trades via ClearPort
Contact CME Clearing Support (CCS) team at (312) 207-2525 to obtain CME Production IP address, RDC IP address or RDC URL address
Switch back to CME production site IP address at test conclusion
Finally, firms should contact the GCC at (312) 456-2391 to recap the test results.
The ICE Exchange will be available from the Disaster Recovery site in Atlanta for front end trading application testing
Markets will enter a pre-open state by 12:00 AM EDT and open at 9:00 AM EDT on Saturday 10/23:
ICE Futures US Sugar11
ICE Futures US Russell 2000
ICE Futures Europe WTI
ICE Futures Canada Canola
Note: All OTC and NGX markets will be open and running in production mode throughout the testing
ALL TRADES IN OTC MARKETS WILL BE HONORED
No test trading in any OTC markets permitted during FIA test
Futures markets listed above will remain open until 12:00 PM EDT on 10/23
Non-trading applications will be available during testing
All ICE web reporting (deal reports, position reports, etc) accurate based on test trading activity
ICE Block will be available during testing
All existing customers with valid trading IDs are welcome to participate; registration is not required
Valid user ID and production password will be used for login
Ping Test Overview and Connection Summary:
Atlanta DR site will be available to test login on Saturday, 10/02 from 9:00 AM EDT – 12:00 PM EDT
All futures markets will be closed and only system login will be tested:
OTC markets will be open for production trading – no test trades permitted
Review the connection guidelines for the disaster recovery site:
No network, DNS, or IP changes will be required to connect to the DR site during the ping test or the FIA DR Test
All connection types will be available for ping and DR tests:
Connections to DR will be available by 12:00 AM EDT on the day of the test
Testing Administration and Support:
All participants MUST clean up all backend system data after testing
No futures trades performed during testing hours will be valid.
All OTC and NGX markets are open and all trades are live – NO TEST TRADING IN OTC MARKET
The ICE Helpdesk will be available from 8:00 AM EDT through 1:00 PM EDT at the main phone number listed on the ICE website
At the end of the DR testing period, all futures trade data will be deleted from the ICE Exchange and databases and no record of the day’s transactions will persist
All ICE Futures US trades will be submitted to the ICE Clear US backup site
All ICE Futures Canada trade submission to the KCBOT backup site being evaluated
ICE Futures Europe and OTC cleared trades will not be submitted to ICE Clear Europe.
Firms must register via the FIA website
Trade date will be Saturday, October 23rd
Clearing members will use production URLs for the following clearing applications:
- AFTS - ECS
- PTMS/ACT - eReports (Crystal)
TIPS uses a different DR URL and hostname – see the documentation distributed to clearing members prior to the test
MQ changes will be completed prior to the start of the test.
Clearing members must verify connection to online clearing applications, using production URL’s.
- AFTS - TIPS
- PTMS/ACT - ECS
- MQ - eReports
ICE Clear US applications will be available at 8:00 AM EDT on Saturday, October 23rd
BCP/DR support staff will be available up to and including test day. Please direct any questions to [email protected]
ICE will make a conference bridge available to clearing members on test day. Details will be distributed to registered CM participants prior to the test day.
Beginning at 1:00 pm EDT ICE will revert all trading and clearing applications, including MQ channels, back to production.
An advisory will be sent to test participants and announced on the ICE and FIA bridge call.
Clearing members are strongly encouraged to confirm their reconnection to production at the conclusion of the testing.
Test Cases – Test Day
- Clearing members will use the post trade management systems (PTMS/ACT and TIPS) to accept test trades passed through to clearing by the ETS and option trades loaded by the exchange.
Clearing Members will login to ECS and eReports to verify connectivity
Test Files & Messages
FIXML trade messages will be sent to CMs via MQ
CMs will access AFTS to deliver and receive files (production files from Friday, October 22nd)
PCS and Large Trader
Match off files
Clearing Reports (latest instance only eReports and AFTS)
SPAN file (available through AFTS and CME web site)
CM’s are required to complete and submit the checklist of results.
AFTS (https://euafts.theice.com and SFTP)
Crystal Reports (https://euclearingreports.theice.com)
- Crystal Reports
Gerard Kopera(Director of Operations) 646/867-2537,
Gino DiCarlo (Principal Network Engineer) 646/867-2533
OCC will test from their DR site
Pre-testing will take place on October 2nd.
In order to test from your DR/alternate site, OCC requires the following mandatory information:
Identify if you will be testing from DR or Production for the pre-test; the main test
Confirm all connectivity method(s) that apply (e.g., FTP+ Pull/Push, NDM, MQ)
Provide test day contacts for each of the connectivity methods selected above
Provide IP addresses of your DR location (per service/host)
DR Node (NDM and FTP+ Push testers) with login ID and password
Port Number (NDM, FTP+ Push, and MQ testers)
Identify any MQ configuration changes from your production environment
Provide the dataset name you will use for testing outbound (from OCC) transmissions
Do you send inbound transmissions directly to OCC?
If Yes: Dataset name you plan to send to test Inbound (to OCC) transmission (if applicable). Please use a production dataset name with a trailing “.test”.
If No: No action required.
Test scripts will be issued to all registered participants
All IP addresses and TCP Ports for the OCC will remain the same as they are in production for this test
Firms can receive outgoing file transmissions from the OCC. OCC will provide test files as .txt output files.
Firms can submit incoming file transmissions to the OCC (only if your firm transmits files to OCC in production).
When all testing is complete, email your confirmation to [email protected]
ENCORE will be available for testing, but is not a requirement to successfully test with OCC
Should you have any questions prior to or on the scheduled test day, feel free to contact your Member Services Representative at (800) 621-6072 option 2.