I&RS TEACHING FIRMS – INTERNET
FTP
ONBOARDING
{Procedure}
EFFECTIVE DATE:
01/06/2012
DTCC Confidential (Yellow)
REVISION HISTORY
DATE
01/06/2012
SECTION BRIEF DESCRIPTION
All
Initial Document
DTCC Confidential (Yellow)
VERSION #
1.0
REQUESTED BY
Business and Technical Support
2
Table of Contents
SECTION 1.0 Executive Summary .................................................................................... 4
SECTION 2.0 Procedure .................................................................................................... 5
2.1 Firm Contact and Referral ....................................................................................... 5
2.2 Connectivity Implementation................................................................................... 5
2.3 CDTS Node and Application Workflow Request .................................................... 5
2.4 Connectivity and File Transfer Testing ................................................................... 5
2.5 (Optional) Host Key Verification ............................................................................ 6
2.6 File Transfer Completion ......................................................................................... 6
DTCC Confidential (Yellow)
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SECTION 1.0 Executive Summary
Owner: CC8747 – Service Activation
Legal and Regulatory Framework: N/A
Audience / Applicability: NSCC Relationship Managers
System or Platform Name: P003/UAT
Unique Document Retention Requirements: N/A
Revisions and Approvals:
Director, Business and Technical Support
Manager, Business and Technical Support
Team Lead, Business and Technical Support
Revision History: Created 01/06/2012 by G. Councill
Related Document(s): N/A
DTCC Data Control Classification: DTCC Confidential (Yellow)
Initial connectivity requests should come with the knowledge of a DTCC business
representative. Service Activation will explain options and guide the firm through
connectivity and testing requirements, completing application set ups before the
firm is considered “live”.
DTCC Confidential (Yellow)
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SECTION 2.0 Procedure
2.1
FIRM CONTACT AND REFERRAL
Initial contact with a firm can be either an email notification to Service
Activation by the DTCC Relationship Manager(RM), including a technical
contact, phone number and a request to contact the firm, or, an invitation
from the DTCC RM for Service Activation to join a conference call about
connectivity options. On any call, the RM should provide application details
and Service Activation will cover connectivity options and policies. The
internet is the expected medium for this application. Firms may use
FTPS(SSL) with dual authenticated certificates or SFTP(SSH) over the
internet.
2.2
CONNECTIVITY IMPLEMENTATION
An appropriate Firewall Update form will be emailed to the firm by Service
Activation. When returned and correctly filled out, Service Activation will
open a Service Activation Portal ticket and then a Firewall Update ticket
under it. A FTP RACF ID request will be added, if required. Normal
Firewall Updates should take 2 weeks to complete.
2.3
CDTS NODE AND APPLICATION WORKFLOW REQUEST
When the Firewall Update(s) (and FTP RACF ID) are complete, and a valid
FTP Access Coordinator form has been received from the firm, Service
Activation will obtain a CDTS Prod/UAT Node update to add the new
connectivity to CDTS. The Requesting DTCC RM should then submit a
Workflow Request specifying the DATATRAK sysids and AUTOROUTE
products the firm must be set up for, along with all other required
information on that form (firm name, tech contact, participant id, CDTS
node, etc.). This Workflow Request should include the name of the Service
Activation member working with the firm so it will be assigned to the same
person.
2.4
CONNECTIVITY AND FILE TRANSFER TESTING
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When both the firm and DTCC are ready, Service Activation will schedule a
call, or calls, to verify Prod and UAT connectivity as well as file transfer
capability.
2.5
(OPTIONAL) HOST KEY VERIFICATION
If the firm chooses SFTP(SSH), the firm’s host key will be downloaded
when DTCC successfully connects to push a file to the firm. The firm must
email a copy of that host key to DTCC so Service Activation can have it
verified against the host key downloaded over the internet.
2.6
FILE TRANSFER COMPLETION
When testing is successful on both Production and UAT, Service Activation
will complete the Workflow Request by forwarding all set ups, as discussed
with the firm, to “DATATRAK – Autoroute Updates”, based on DTCC policy
and the options chosen by the firm. The closing of the Workflow Request
will notify the RM of completion. At that time, the firm is live. Any further
calls from them should be placed to ESC or CSC.
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