Information Availability

1
Information Availability

• Brett Paulson
• Sr. VP and Chief Information Officer
• Board of Trade Clearing Corporation
• FIA November 7, 2002

2
Introduction

• Key Role of Board of Trade Clearing Corporation
  in IndustryRisk Mitigation
• Strategy For Information Availability Ensures
  Financial Integrity Under Disaster Scenarios
• Clearing Corporation Application Portfolio
• Web Based Trade Management
• Web-Based Back Office Transaction Management
• Paperless Clearing
• Deliveries
• ATOM/GAINS
• Market Information
• Clearing Corp Hosted Applications

3
Recoverability Inside and Out

• Disaster Recoverability is Architected into
  Clearing Corporation Systems Infrastructure
• Data Center Configuration Includes Primary and
  Hot Standby for Minimal Recovery Time
• Communication Infrastructure Connects Customers
  and Key Partners to Recovery Site
• Recovery Plan Tested Continuously to Ensure
  Viability
• Company Escalation Procedures Incorporate
  Disaster Problem Management

4
Data Center Configuration

• Primary Data Center
• Redundant Power Feeds From Power Company
• Primary Power Source Backed Up By UPS/Battery
• Redundant Chilling Systems (Electrical, Chilled
  Water)
• Primary and Dial-up Customer Communication Lines

• Recovery Data Center
• Hardened Disaster Resistant Data Center
  Facility
• Redundant Power Feeds From Power Company Plus UPS
  Batteries
• Backup Power Generators
• Redundant Chilling Systems
• Multiple Telco Vendor Connectivity
• Geographic Location Outside of Downtown
  Chicago

5
Recovery Features of System Architecture

• Production Data is Mirrored Instantaneously To
  Remote Site to Minimize Recovery Time
• Recovery of Systems is Accomplished Within 60
  Minutes
• Web Applications Seamlessly Transition to the
  Remote Data Center at Recovery Time
• Private Customer Network and Internet Service is
  Transitioned to Remote Data Center Within Minutes
  of Recovery
• Clearing Corporation Email is Hosted by Separate
  Service Provider in a Disaster-Resistant
  Data Center Outside of the Loop

6
Disaster Recovery Customer Support

• Office Space in Downtown Chicago is Maintained
  for Business Support
• Additional Office Space at Remote Recovery Site
  is Available for Technical and Business Support
• Primary and Backup Data Centers are Connected to
  Customers Via Private Network and Internet
• Clearing Corporation Supports Multiple Methods of
  Data Transfer for Customer Information (FTP, MQ,
  E-Mail, Diskette, Mag Tape)
• Upon Recovery, All Firm Reports and Data is
  Immediately Available via the Internet or Private
  Network

7
Technology

• IBM Mainframe Environment Mirrored Using XRC
  Software (440 Gigabytes of Data)
• Oracle Databases Copied to Remote Site Using
  Oracle Replication Server
• Solaris and Windows NT File Systems are Mirrored
  with Veritas On Network Attached Storage
• Processing Capacity Available for Recovery is
  Maintained in Lock Step with Production Capacity
  Needs

8
Recovery Testing

• Clearing Corporation Executes Approximately 8
  Recovery Tests Annually
• Average Recovery Time for Production Environment
  is 45 to 60 Minutes
• Customer Connectivity Tested Minimum 2 Times Per
  Year
• Recovery of Clearing Corporation-Hosted
  Applications Are Included in Recovery Tests

9
Concerns

• 9/11 Identified Risks Associated With a Potential
  Regional Disaster
• Recovery Plans Need to Account for the
  Unavailability of Key Staff Members
• Risks Associated With Cyber Terrorism
• Availability of Human Resources in Light of
  Possible Biological or Chemical Threats (e.g.,
  Small Pox, Anthrax)
• Compliance With Government White Papers Regarding
  Data Center Recovery Requirements