NYMEX BC/DR Bridge info: We will be using the FIA conference call this year.
Customer Service 516-355-7770***Third Party Services: [email protected]
UPDATED INFORMATION AS OF 20080916
Disaster Recovery (DR) / Business Continuity (BC)
Test Plan for Exchange/FIA Test Exercise
TEST DATE: Saturday October 25, 2008
Table of Contents
1. Important Information ......................................................................................................... 1
2. Pre-Test Planning................................................................................................................. 2
TEST STEP 2.1. Pre-Test Step 1 - Technical Conference Call; Firm Q&A .................... 2
TEST STEP 2.2. Pre-Test Step 2 - Connectivity Certification or “Ping Test” ................ 3
3. On Test Date (October 25, 2008) ........................................................................................ 3
TEST STEP 3.1. - Disaster Recovery Failover; Per NYMEX Standard Failover
Procedures
3
TEST STEP 3.2. - Connect for Test (On October 25th) .................................................... 3
TEST STEP 3.3. - Trade Entry—Globex ......................................................................... 4
TEST STEP 3.4. - Trade Entry—NYMEX Venues ......................................................... 4
TEST STEP 3.5. – Connectivity—API’s ......................................................................... 4
TEST STEP 3.6. - Clearing .............................................................................................. 4
TEST STEP 3.7. - Upload Files to NYMEX DR SFTP Server ........................................ 5
TEST STEP 3.8. - Download Files from NYMEX DR SFTP Server .............................. 5
TEST STEP 3.9. - Report Download................................................................................ 5
TEST STEP 3.10. – Confirmation, Transmission of Files: to and from SFTP; from CM
Download
5
TEST STEP 3.11. FINAL - End of Test ........................................................................... 6
4. Test Summary: Estimated Timeline .................................................................................... 7
5. Files Summary ..................................................................................................................... 7
6. Test Certification Form (must be completed and returned to test administrator)................ 8
1. Important Information
NYMEX Information Services staff will support this FIA Industry-wide Disaster Recovery
test exercise from the Emergency Operations Center (EOC) at its backup site. Contact with the
test management team will be through the FIA test conference call bridge. This is a change from
past NYMEX participation in that this year we will use the single conference bridge call—the
FIA number—to manage any issues. Our responsiveness should not change, only the number
will be different. To join, dial the number provided by the FIA for management of this test
emergency event. The FIA conference call bridge will be open throughout the test and will be
used to guide firms through the test, pass special test instructions or information to firms, or for
firms to raise issues or notify the NYMEX IT staff of problems. Someone from each firm must
monitor this conference call throughout the duration of the test.
The DR test date is October 25th 2008; the trade date will be October 27th 2008.
The participating firms are encouraged to contact NYMEX Business Continuity at:
[email protected], Eric Aldrich at [email protected], or call 212-299-2947 if they
have any questions prior to the test date regarding test registration, test requirements, or test
procedures.
1
NYMEX BC/DR Bridge info: We will be using the FIA conference call this year.
Customer Service 516-355-7770***Third Party Services: [email protected]
We will conduct file transfers using servers, which utilize the secure file transfer protocol or
“SFTP”. Your IT departments should already be aware and familiar with this system, if not, then
Third Party Services or Network Engineering can answer any questions you have. When your
company initially set up IP connectivity with NYMEX, you were provided with the primary and
backup IP addresses necessary to connect to both the primary and secondary NYMEX SFTP
servers.
Some firms do not maintain their own direct SFTP connection to the NYMEX disaster
recovery system and will utilize an existing service bureau connection such as Rolfe and Nolan
or Sungard. You must ensure that your service bureau of choice has pre-tested its connectivity
with NYMEX per the paragraph that follows under the heading Pre-Test Step 2 - (Connectivity
Certification or “Ping Test”).
If your firm maintains a direct SFTP connection to the NYMEX you must “ping test” with
NYMEX. If your firm uses the services of a service bureau, you must ensure that the service
bureau has taken the necessary steps to test their connectivity with the NYMEX by ping testing.
The ping testing is used to assure that the setup of this connection has been performed correctly
to both primary and backup sites and further lessens the chance of a simple connectivity
configuration issue adversely affecting ability to test with us on the DR test date.
Several file types will be used on the October 25th DR test date. Depending on the firm’s
functional relationship (trading, clearing) with NYMEX, each firm may need to transmit or
receive different files. The PCS and Large Trader files that the firms will upload during the test
may be the same files used the previous Friday (October 24, 2008). There will be no processing
of the files, so the firms may reuse Friday’s file. No changes need to be made to these two files
before they are transmitted. See the table: Files Summary for addition information.
NYMEX will process the test trades entered during the test, in both electronic trading
venues and open outcry trade management systems. The Daily Guarantor (CPM601), Gross
PCS by Position Account (CPM520), Final Matched Trades (NYMEXFMT), and Position Pay
Collect (NYMEXPOS) reports will be generated from the test trades and all four will be made
available on the CM Download website. The Final Matched Trades and Position Pay Collect
data files will also be available via the SFTP connection, to the firms that would normally use
this connection to collect these files.
Emergency contact information during the test:
BCP/Nymex Test Admin
FIA conference bridge
[email protected]
Customer Service
516-355-7770
[email protected]
Third Party Services
FIA conference bridge
[email protected]
2. Pre-Test Planning
TEST STEP 2.1.
Firm Q&A
Pre-Test Step 1 - Technical Conference Call;
Test Phase Objective: Ensure all technical questions are answered by NYMEX IT and Clearing
staff.
 Date: Tuesday, September 23, 2008
2
NYMEX BC/DR Bridge info: We will be using the FIA conference call this year.
Customer Service 516-355-7770***Third Party Services: [email protected]
 Time: 1PM EDT
 Conference Call Number: 888-481-3032 and enter participant code 77677667
followed by the # (pound) sign.
TEST STEP 2.2.
“Ping Test”
Pre-Test Step 2 - Connectivity Certification or
Test Phase Objective: Connect to NYMEX DR SFTP Server using IP protocol. Ensure that any
service bureau your company uses for this function has completed this test.
 This is scheduled to occur on the Saturdays of September 27th and October 18th.
Please coordinate your testing with NYMEX Third Party Services at
[email protected]. Please do not wait for the second scheduled
Saturday to test, discover, and resolve issues.
 NYMEX will activate its DR site and DR trading and reporting file and data transfer
systems. To successfully complete this portion of the test, firms will be required to
verify their ability to successfully connect to the backup SFTP server using the
alternate DR IP addresses already provided to your company’s IT staff in
configuration documents.
 Log on to the disaster recovery SFTP server at the backup facility and conduct a
connectivity test. This will consist of doing a directory listing and downloading any
available file from your directory.
 The test will take place from 9:00AM to 12:00PM on both ping test Saturdays.
 If you experience any problems please contact the NYMEX Third Party Services via
their email address: [email protected]. Problems will only be
resolved through Third Party Services. Required changes will be queued for a
maintenance window. You may re-ping test at any time using the backup IP addresses
in the configuration document or wait for the following 10/18/2008 ping test date.
 The trading system will not be available for order entry, simulated trading, or to send
confirmations to firms. The industry-wide DR test on October 25, 2008 will include
this capability.
3. On Test Date (October 25, 2008)
TEST STEP 3.1.
- Disaster Recovery Failover; Per NYMEX
Standard Failover Procedures
Test Phase Objective: NYMEX will failover supporting systems per its standard DR failover
procedures.
 Firms will be notified of NYMEX test readiness via the FIA conference call bridge at
9:00AM EDT.
TEST STEP 3.2.
- Connect for Test (On October 25th)
Saturday October 25th at 9:00 AM EDT – Call and log in to the FIA conference call bridge.
Test Objective: Check ability to connect to front-end trade entry and trade management systems
for both NYMEX and Globex platforms, the CM Download site, and the DR SFTP connections
if your company uses this type of connectivity.
 All participants shall establish connectivity to the NYMEX BC/DR site using the
normal production URLs used for connecting to our electronic, trade management, and
clearing systems. In addition, firms will be required to connect to the appropriate file
transfer system; either the SFTP (utilizing the alternate IP address for the NYMEX DR
3
NYMEX BC/DR Bridge info: We will be using the FIA conference call this year.
Customer Service 516-355-7770***Third Party Services: [email protected]
SFTP server) connection or the CM Download site. Verify connectivity with trade
management system through ISV provided software or through a native NYMEX
graphical user interface. Firms may move through the available screens, or request
any available information from the software interface. However, do not enter trades or
data.
 Log onto the Globex platform with your front-end software of choice. Globex
markets will be in a pre-opening state from 8:00AM EDT to 9:00AM EDT. Verify
your ability to connect by sending and then cancelling one test order into the market
for a NYMEX product.
 NYMEX will confirm completion of this step with participants and notify firms to
proceed to the next step via the conference call set up for test management.
TEST STEP 3.3.
- Trade Entry—Globex
Test Phase Objective: Entering trades into Globex Electronic trading platform: 9:00AM EDT.
 Please send at least one bid and one offer at the settlement (unchanged) price for any
NYMEX products on the Globex platform. Record your system activity for checking
against the test clearing files. It is preferred that you enter between five and ten orders
into the system.
 NYMEX will confirm completion of this step with the firms and at the appropriate
time will then notify the firms to proceed to the next step via the conference call set up
for test management.
TEST STEP 3.4.
- Trade Entry—NYMEX Venues
Test Phase Objective: Entering trades into NYMEX electronic trading hours venues (ETH) and
Regular Trading Hours (RTH) platforms.
 NYMEX staff will enter trades for REGISTERED (via the FIA web site) firms in CPC,
and CPTMS for Heating Oil, Unleaded Gasoline, and Natural Gas products. Trade
dates will be modified to reflect the required test trade date (October 27, 2008).
 Firms should log in to CPC, CPT, CPTMS systems and enter orders and use trade
management functions. Important: Record your system activity for checking against
the test clearing files.
 NYMEX will confirm completion of this step and notify firms to proceed to the next
step via the conference call set up for test management.
TEST STEP 3.5.
– Connectivity—API’s
Test Phase Objective: View or Submit data to NYMEX via the available API’s.
 Firms should connect to API’s, view or send and cancel a test trade. Record your
system activity for checking against the test clearing files.
 List of API’s to available to connect to:
o NYMEX Cleared Trades (UTB) API
o NYMEX ClearPort ® Clearing (CPC) API
o NYMEX ClearPort ® TMS ALLOCATION API
 NYMEX will confirm completion of this step and notify firms to proceed to the next
step via the conference call set up for test management.
TEST STEP 3.6.
- Clearing
 Test Phase Objective: Nymex will complete a Clearing cycle for electronic and open
outcry test trades.
4
NYMEX BC/DR Bridge info: We will be using the FIA conference call this year.
Customer Service 516-355-7770***Third Party Services: [email protected]
 NYMEX staff will run and complete a clearing cycle to produce two reports and two
data files. The following files will be generated and provided for firms to download:
Daily Guarantor Recap (CPM601), Gross PCS Listing By Position Account
(CPM520), Position Pay Collect (NYMEXPOS), and Final Matched Trades
(NYMEXFMT).
 NYMEX will confirm completion of this step and notify firms to proceed to the next
step via the conference call set up for test management.
TEST STEP 3.7.
- Upload Files to NYMEX DR SFTP Server
Test Phase Objective: Connect and upload data to SFTP server.
 All participant firms will upload the previous (Friday October 24, 2008) day’s Large
Trader and PCS files to the NYMEX BC/DR SFTP server. There need be no
processing on the firm’s part to create the files, nor will there be any processing on the
files received by NYMEX from the firms.
 NYMEX will confirm successful transmission of files and the completion of this step
and will notify firms to proceed to the next step via the conference call set up for test
management.
TEST STEP 3.8.
- Download Files from NYMEX DR SFTP Server
Test Phase Objective: Download data files from the NYMEX DR SFTP server.
 Participants will download files from NYMEX DR SFTP server. Participating firms
will provide confirmation over the conference call bridge that the firm has
successfully downloaded files.
 As noted above, the Position Pay Collect (NYMEXPOS) and Final Matched Trades
(NYMEXFMT) will also be available at the CM Download website.
 NYMEX will confirm completion of this step and notify firms to proceed to the next
step via the conference call set up for test management.
TEST STEP 3.9.
- Report Download
Test Phase Objective: Download reports from CM Download website.
 Participants will download Daily Guarantor Recap (CPM601), Gross PCS Listing By
Position Account (CPM520) from the CM Download web site. Participants will give
confirmation over the conference call bridge when they have successfully downloaded
the report.
 As previously noted, the Position Pay Collect (NYMEXPOS), and Final Matched
Trades (NYMEXFMT)will also be available during this stage of the DR test.
 NYMEX will confirm completion of this step and notify firms to proceed to the next
step via the conference call set up for test management.
TEST STEP 3.10. – Confirmation, Transmission of Files: to and
from SFTP; from CM Download
Test Phase Objective: Confirm firms have uploaded PCS and Large Trader files to NYMEX.
Also confirm that firms have downloaded Position Pay Collect (NYMEXPOS), and Final
Matched Trades (NYMEXFMT) files from the backup NYMEX DR SFTP server.
 Firms will verbally confirm with NYMEX test administrator, over the conference call
bridge, the successful upload of the PCS and Large Trader data files sent to the
NYMEX DR SFTP server from firms.
5
NYMEX BC/DR Bridge info: We will be using the FIA conference call this year.
Customer Service 516-355-7770***Third Party Services: [email protected]
 Firms will confirm to NYMEX the successful download of Position Pay Collect
(NYMEXPOS), and Final Matched Trades (NYMEXFMT), and the Daily Guarantor
Recap (CPM601), Gross PCS Listing By Position Account (CPM520).
 NYMEX will confirm completion of this step and notify firms to proceed to the next
step via the conference call set up for test management.
TEST STEP 3.11.
FINAL - End of Test
Test Phase Objective: Gracefully end the test.
 Announce “End of Test” to DR test participants. NYMEX shall cut off access to DR
site and systems from participants and restore systems back to production readiness.
Firms are reminded to reset their back office and order routing system to production
readiness. The firms will be notified via email that NYMEX has completed its
failback to production readiness. All firms must confirm connectivity to the
production systems. It is suggested that firms connect earlier than normal for the
market open on Sunday night to allow time for correcting any issues that may occur.
6
NYMEX BC/DR Bridge info: We will be using the FIA conference call this year.
Customer Service 516-355-7770***Third Party Services: [email protected]
4. Test Summary: Estimated Timeline
Date/Time (All Times EDT)
October 25th, 2008; by 9:00AM
Eastern
October 25th, 2008; 9:00AM – 9:30
AM
Test
NYMEX Completes
Failover and
Firm Connectivity
October 25th, 2008; 9:00AM 10:30AM
October 25th, 2008; 9:30AM 10:30AM
October 25th, 2008; 9:30AM –
10:30AM
Trade Entry: Globex
October 25th, 2008; 10:30AM –
12:30PM
Clearing Cycle
October 25th, 2008; 12:30AM 1:30PM
Data Upload
October 25th, 2008; 12:30PM –
1:30PM
Data Download
October 25th, 2008; 12:30PM –
1:30PM
Report Download
October 25th, 2008; 12:30PM –
1:30PM
Confirm Data Upload
October 257th, 2008; 12:30PM –
1:30PM
October 25th, 2008; 12:30PM –
1:30PM
Confirm Data Download
October 25th, 2008; 3:00PM
End Test Session
Trade Entry: NYMEX
Platforms
Connectivity API’s
Confirm File Download
Test Summary
NYMEX ready to begin; Firms join
conference call
Participants connect to BC/DR SFTP
servers and applications. DO NOT
ENTER TRADES YET.
Enter trades in the Globex using chosen
ISV front end.
NYMEX enters trades into, CPC, TMS.
Firms enter trades.
Firms confirm connectivity to any NYMEX
API’s that they use. Firms enter
information into systems using API’s
Execute clearing cycle producing Daily
Guarantor Recap (CPM601), Gross PCS
Listing By Position Account (CPM520),
Position Pay Collect (NYMEXPOS), and
Final Matched Trades (NYMEXFMT).
Participants upload Large Trader and
PCS files to NYMEX BC/DR SFTP
server.
Participants download via SFTP Position
Pay Collect (NYMEXPOS), and Final
Matched Trades (NYMEXFMT).
Participants download Daily Guarantor
Recap (CPM601), Gross PCS Listing By
Position Account (CPM520) from CM
Download page.
NYMEX staff will provide confirmation
over the conference call upon receiving
Large trader and PCS files.
Firms will confirm receipt of SFTP data
via email sent to [email protected].
Firms will confirm receipt of CM
Download files via email sent to
[email protected].
Connectivity cut off, system restoration
process begins. Confirmation of post test
production connectivity.
5. Files Summary
File Name
PCS
Large Trader
Daily Guarantor Recap
(CPM601)
Gross PCS Listing by Position
Account (CPM520)
Position Pay Collect data file
(NYMEXPOS)
Final Matched Trades data file
(NYMEXFMT)
Version
Previous Day
Previous Day
Processed from test data,
Action
Upload via SFTP
Upload via SFTP
Download from CM Download
Processed from test data
Download from CM Download
Processed from test data
Download from CM Download,
or from SFTP
Download from CM Download,
or from SFTP
Processed from test data
7
NYMEX BC/DR Bridge info: We will be using the FIA conference call this year.
Customer Service 516-355-7770***Third Party Services: [email protected]
6. Test Certification Form (must be completed and returned
to test administrator)
All firms must summarize issues and successful completion of the above checkpoints.
Complete all sections of the form that follows. This will be the only official method for
recording any testing successes or issues and communicating them with the New York
Mercantile Exchange. The forms should be emailed back to [email protected]. If the form
is not returned within one week of the October 25th disaster recovery test, then a default form
with “success” in each section will be recorded as your test results. This is the only format that
will be accepted. Thank you for your cooperation in providing this helpful information and
thank you for participating in the fifth annual Industry-wide disaster recovery test.
To simplify the reporting process, follow these steps.
1. In MS Word, highlight the table by clicking on the table icon in the upper left corner
that appears when you place the cursor anywhere over the table.
2. Cut and paste the table into either an HTML formatted email or an RTF formatted
email.
3. Fill out “comment” section.
4. Address and send to [email protected].
OR
1. Rename the completed file and save it.
2. Click on the email icon in the MS Word toolbar.
3. Delete all information except for the comment table.
4. Fill out the “comment” section.
5. Address and send the email to [email protected].
Step
2.1
2.2
3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
3.9
3.10
3.11
Step Description
Pre-test Step 1
Pre-test Step 2
Nymex Failover
Initial Connect
Trade Entry-Globex
Trade Entry-NYMEX
Trade Entry-API’s
Clearing
File Upload
File Download
Report Download
Confirmation
End of test
Step Goal
Technical Conference Call
Connectivity Certification
NYMEX fails over in timely manner
Connect to electronic systems
Able to enter trades in Globex
Able to enter trades in NYMEX
Able to enter trades via API’s
NYMEX Clears files correctly
Upload files to SFTP server
Download files from SFTP server
Download reports from CM Download
All test sections completed?
Successful failback to production
Firm primary or backup site used for
the test?
8
Step Participant Comment Success/Issues
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments:
Firm Success/Incomplete, Comments: