Relocation of CCMS Data Centre to Tseung Kwan O Data Centre (Phase Two) Market Rehearsal (MR) Information Package. for. HKCC & SEOCH Participants

Transcription

1 Relocation of CCMS Data Centre to Tseung Kwan O Data Centre (Phase Two) Market Rehearsal (MR) Information Package for HKCC & SEOCH Participants (15 December 2013) Issue Date: 26 November 2013

2 Table of Content 1. INTRODUCTION OBJECTIVE AND SCOPE OBJECTIVE SCOPE IMPORTANT NOTES TO CPS SCHEDULE AND ARRANGEMENT FOR MR OVERVIEW SCHEDULE AND TIMETABLE USER PROFILE AND PASSWORD REHEARSAL ENVIRONMENT TRANSACTIONS TO BE EXECUTED REPORT DOWNLOAD ARRANGEMENT UNDER TYPHOON / RAINSTORM SITUATION TYPHOON ARRANGEMENT RAINSTORM ARRANGEMENT COMMUNICATION CHANNELS HELP DESK... 8 APPENDIX A: MR2 Checklist (15 December 2013)... 9 APPENDIX B: Relocation of CCMS Data Centre to TKODC MR2 Confirmation Form APPENDIX C: Special Authorisation Form... 13

3 1. Introduction Following the successful completion of Phase One relocation of CCMS to Tseung Kwan O Data Centre (TKODC) on 3 November 2013, Phase Two relocation, i.e. promoting TKODC as CCMS primary data centre for production use, will take place in December To ensure a smooth relocation of the data centre of CCMS to TKODC, Hong Kong Exchanges and Clearing Limited (HKEx) will conduct the following activities for Phase Two: Market Rehearsal (MR2) on 15 December 2013 (Sunday) Post-relocation Connectivity Test (CT2) on 22 December 2013 (Sunday) It is mandatory for ALL HKCC and SEOCH Participants ( CPs ) to participate in the MR2 and CT2 to verify their readiness with the operation of TKODC. This Information Package is designed to assist CPs in planning and preparing for MR2. CPs should read this Information Package carefully and make all necessary preparation before participating in MR2. A copy of this document should also be passed to their IT support or system vendor to ensure the availability of proper technical support and operations resources before and during MR2. Detailed arrangement for CT2 is provided via a separate document. 1

4 2. Objective and Scope 2.1 Objective The main objective of MR2 is to ensure TKODC is fully operational for all CPs as CCMS primary data centre. MR2 will cover CCMS operations under normal situation with connection to CCMS primary data centre at TKODC as well as under contingency situation with connection to CCMS backup data centre. Upon successful completion of MR2, TKODC will be promoted as CCMS primary data centre on 21 December 2013 (Saturday). CT2 will be conducted for CPs to verify their CCMS connections to TKODC on 22 December 2013 (Sunday) after the completion of the relocation. 2.2 Scope The scopes and details of MR2 are listed as follows: MR2 MR2 will simulate the scenario where TKODC as CCMS primary data centre, then trigger a failover to the backup data centre. The following online sessions will be included during MR2: Session 1: Connectivity and Online Session to CCMS primary data centre CPs are required to verify their CCMS connection to the primary data centre at TKODC and be able to perform normal operations (such as online maintenance and download reports) and data verification before failover to the backup data centre Session 2 : Connectivity and Online Session to CCMS backup data centre CPs are required to verify their CCMS connection after failover to the backup data centre and be able to perform normal operations (such as online maintenance and download reports) and data verification. 2

5 3. Important Notes to CPs CPs should note the following arrangements for the preparation and execution of MR2: a) CPs should logon their CCMS Terminals, where applicable, at 8:30 a.m. promptly to start MR2 on 15 December 2013 (Sunday). b) CPs should use their production CCMS Terminals, where applicable in the MR. c) The staff of CPs who will participate in the MR must have experience in using CCMS in their daily business activities, and have the production smartcards and passwords for accessing to CCMS during the MR. Besides, CPs should ensure that the participating staff will be able to perform or access the required CCMS functions. The Delegated Administrators (DA) of CPs are encouraged NOT to change any user function access during MR as it will take time to take effect. d) The CCMS reports available in the MR are for reference only. CPs should not rely on such CCMS reports for production use. e) CPs are reminded to remove ALL their testing downloaded CCMS reports/data files used in the MR from their production CCMS Terminals to avoid any mis-usage during normal CCMS operations on next business day, i.e. 16 December f) If CPs would use their production Back Office System (BOS) to perform the MR, they should ensure that their production BOS data are properly backed up before MR. A data restore procedure should also be in place before the MR so that production data can be restored to their production BOS after the MR. CPs should discuss the issue with their in-house IT team or BOS vendor before the MR if such procedures are required. g) CPs who use BOS in the MR are reminded to do clean-up and make sure that their corresponding BOS used in the MR has been resumed to production image and ready for normal business activities on the next business day, i.e. 16 December h) CPs should also ensure network equipment is powered up and connected at all times before and after MR. i) CPs should refer to the Checklist in Appendix A and the Schedule and Timetable listed in Section 4.2 for the action items to be performed before, during and after the MR for preparation and execution. In order to achieve the objectives, it is imperative that CPs follow the MR checklist and rundowns. CPs should ensure their participating staff is familiar with the requirements and procedures prior to participating in the MR. 3

6 j) In addition, CPs are recommended to maintain a proper audit trail in respect of each transaction performed during the MR. A responsible officer or his/her designate of each participating CP is advised to be present during the MR to supervise the testing process and to be responsible for relaying any issues arising during the MR to HKEx. In any event, it is recommended that an internal briefing should be held by each CP prior to the MR to ensure that (1) staff involved fully understands all the requirements and procedures and (2) proper arrangements have been put in place by the CP to comply with the MR requirements. k) CPs should ensure that they have access to the s of the designated contact persons nominated in the Nomination Form for Co-ordinator of TKODC Relocation for CCMS 1 (TKODC Relocation Co-ordinator(s)) in order to receive emergency messages from HKEx during the MR. l) CPs are required to complete and return the MR2 - Confirmation Form as set forth in Appendix B to HKEx at or before 3:00 p.m. on 16 December 2013 (Monday). 1 Please refer to Nomination Form for Co-ordinator of TKODC Relocation for CCASS and CCMS available at HKEx website 4

7 4. Schedule and Arrangement for MR2 4.1 Overview MR2 will be conducted on 15 December 2013 (Sunday) to simulate CCMS failover from the primary data centre at TKODC to the backup data centre. 4.2 Schedule and Timetable During MR2, CPs should follow the schedule and timetable as follows: Execution Date: 15 December 2013 (Sunday) Logical Date: 15 December 2013 (Sunday) FROM TIME TO CCMS PROCESSING REMARKS 15 December 2013 (Sunday) CCMS Online Session [8:30 a.m. to 1:00 p.m.] Session 1 Connectivity, Functional and Data Verification of CCMS Primary Data Centre at TKODC 8:30 am 10:30 am Logon to CCMS by using the production smartcard and password via the hyperlink: CPs are recommended to perform the following: 1. Online enquiry and maintenance: - Enquire Collateral Account Balance - Add Pending Cash Collateral Deposit Order 2. Report retrieval: - Collateral Account Balance Report (CCMCA02) 3. Data verification: - Enquire Collateral Account Balance - verify the collateral account balance as of 13 Dec 2013 against the Collateral Account Balance Report (CCMCA02) dated 13 Dec 2013 CPs should ensure their designated accounts are available during the MR to receive messages from HKEx in case of any contingency situation Only online maintenance, including enquiry and report download are available NO batch processing will be available. NO payment instruction will be generated for cash deposit. CP can also try other enquiry transactions if they have completed the required transactions. 5

8 FROM 10:30 am TIME TO 11:30 am CCMS PROCESSING Simulates CCMS failover from primary data centre at TKODC to backup data centre REMARKS CPs should logout from CCMS Session 2 Connectivity, Functional and Data Verification of CCMS Backup Data Centre 11:30 am 1:00 pm Logon to CCMS by using the production smartcard and password via the hyperlink: CPs are recommended to perform the following: 1. Online enquiry and maintenance: - Enquire Collateral Account Balance - Add Pending Cash Collateral Deposit Order 2. Report retrieval: Only online maintenance, including enquiry and report download are available NO batch processing will be available. NO payment instruction will be generated for cash deposit. CP can also try other enquiry transactions if they have completed the required transactions. CCMS transactions performed during Session 1 will be available for enquiry during Session 2 - Collateral Account Balance Report (CCMCA02) 3. Data verification: - Enquire Deposit/Withdrawal Order - verify the pending cash collateral deposit order inputted during session 1 is available for enquiry 16 December 2013 (Monday) Submission of Confirmation Form Before 3:00 pm Complete and submit the duly signed Confirmation Form to HKEx via fax Refer to Appendix B for the Confirmation Form 4.3 User Profile and Password The CPs user profiles are based on the latest production image prior to the MR, i.e. 14 December 2013 (Saturday). During the MR, CPs DA are responsible for resetting user passwords in case any user s smartcard password is revoked. If password reset is performed during the MR, the users concerned should use the latest password (i.e., after password reset in the MR) for production use on the following business day, i.e. 16 December 2013 (Monday). 6

9 In case the DA s smartcard password is revoked during the MR, CP should request for re-set password by presenting the smartcard to HKEx in person. In case the CCMS Authorised Signatories of CP will not join the MR, CP can arrange the Authorised Signatories to grant authority to the MR co-ordinator, by signing the Special Authorisation Form (Appendix C), prior to the MR. In such case, the MR coordinator is authorised to sign the Smartcard User Password Reset Form for Market Rehearsal on the MR day. Please be reminded to submit both the Special Authorisation Form and the Smartcard User Password Reset Form for Market Rehearsal, together with the relevant smartcard(s) when requesting for the password reset. 4.4 Rehearsal Environment The MR will be conducted based on the production image as of the close of business of the Saturday immediately preceding the MR (i.e. 14 December 2013). When CPs logon CCMS during the MR, they will be simulating production operation on 15 December 2013 (Sunday). For testing purpose, 15 December 2013 will be set as a normal business day in CCMS. 4.5 Transactions to be Executed CCMS online session(s) will be organized in each MR as explained in section 4.2. CPs are required to perform certain CCMS transactions and logon in all online sessions. Please note that DCASS online session will not be available. 4.6 Report Download CPs can retrieve CCMS reports via Report Download function during the MR. Reports, as of 12, 13 and 14 December 2013, available during the MR are production reports. 7

10 5. Arrangement under Typhoon / Rainstorm Situation 5.1 Typhoon Arrangement If Typhoon Signal No. 8 is remained hoisted before 6:30 a.m. or the HK observatory pre-announced at or before 6:30 a.m. that Typhoon Signal No. 8 or above will be hoisted at or before 12:00 noon on 15 December 2013 (Sunday), MR2 will be cancelled. HKEx will notify CPs the revised schedule of MR2 at a later stage. If Typhoon Signal No. 8 is hoisted at or after 8:30 a.m., all MR activities will be terminated 15 minutes after the issuance of Typhoon Signal No. 8. CPs however may be requested to perform the network verification test after the retreat of typhoon. HKEx will notify CPs the time of verification test via and/or phone calls. 5.2 Rainstorm Arrangement If Black Rainstorm Warning is remained in effect before 6:30 a.m. on 15 December 2013 (Sunday), MR2 will be cancelled. If Black Rainstorm Warning is issued during MR2, MR2 will continue as normal. 6. Communication Channels During MR2, HKEx will communicate with CPs TKODC Relocation Co-ordinator(s) via and/or phone calls. In the event of cancellation or postponement of MR2 if any contingency happened two hours before MR2 starts (i.e. 6:30 a.m. on 15 December 2013), HKEx will inform CPs of the ad hoc arrangements via and/or phone calls. CPs should ensure that their TKODC Relocation Co-ordinator(s) would be reachable during the prescribed time and the relevant address and mobile phone number submitted to HKEx are accurate. 7. Help Desk For any queries during the preparation and execution of MR2, CPs can contact the following number for assistance: for general / technical enquiry 8

11 Appendix A APPENDIX A: MR2 Checklist (15 December 2013) ITEMS TO BE CHECKED (A) Before MR 1 Have you read and understood this Information Package? 2 Have you passed this document to your internal IT support team or system vendor and ensured that they would take follow-up action (if necessary)? 3 Should the TKODC Relocation Co-ordinator(s) be changed, have you submitted the updated contact details to HKEx? 4 Have you arranged access for your TKODC Relocation Co-ordinator(s) to receive HKEx s communication via before and during the MR? 5 Have you arranged the execution of the Special Authorisation Form (Appendix C) by the Authorised Signatories to grant authority to the MR co-ordinator as temporary Authorised Signatory to sign the Smartcard User Password Reset Form for Market Rehearsal (Appendix C) for password reset during the MR, in case they would not be present on MR day? 6 Have you ensured that the participating staff has access to CCMS functions to be tested in MR? 7 If you would use your BOS in MR, have you developed proper procedures to switch your BOS for testing purpose and had a data restore procedure in place to restore production data after the MR? (B) After MR 1 Have you cleaned up or removed the testing downloaded CCMS reports from the production CCMS Terminal after the MR? 2 Have you restored the BOS to production image and ensured they are ready for production use on the next business day, 16 December 2013? 3 Have you submitted the MR2 Confirmation Form (Appendix B) to HKEx before 3:00 pm, 16 December 2013 (Monday) upon completion of MR2? 9

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13 Appendix B APPENDIX B: Relocation of CCMS Data Centre to TKODC MR2 Confirmation Form To: Hong Kong Exchanges and Clearing Limited: (Fax No: / ) Date: Participant Information (Full Name of * HKCC / SEOCH / Both HKCC & SEOCH Participant) * Please delete where appropriate DCASS Customer Code Participating User (Name and Signature) Tel: CCMS Authorised Signatories (Name and Signature with Company Chop) S.V. CPs are requested to complete this form and fax it to HKEx by 3:00 pm on 16 December 2013 (Monday). The form should be completed by the individual who took part in the MR2 and reviewed by a responsible officer. Please tick as appropriate: 1. Did you encounter any problems when connecting to CCMS during Session 1, i.e., connecting to CCMS Primary Data Centre? Yes No If Yes, please provide details. 2. Did you encounter any problems when connecting to CCMS and performing CCMS functions during Session 2, i.e., Functional Verification with connection to CCMS Backup Data Centre? Yes No If Yes, please provide details. Thank you for completing the Confirmation Form.

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15 Appendix C APPENDIX C: Special Authorisation Form APPOINTMENT OF THE CO-ORDINATOR AS THE AUTHORISED SIGNATORY DURING THE MARKET REHEARSAL CPs who wish to delegate the power of re-setting smartcard user password to their MR co-ordinator during the Market Rehearsal (MR) on 15 December 2013 should sign this Authorisation Form prior to the MR. In case of need, the MR co-ordinator should complete and submit the Smartcard User Password Reset Form for MR together with the relevant smartcards in person to HKEx at the below address during the MR. Date: I/We hereby appoint the undersigned MR co-ordinator for my / our company as the authorised signatory for resetting the smartcard user password during the Market Rehearsal on 15 December 2013 Yours faithfully, For and on behalf of Authorised Signature(s) with Company Chop Part ID: Name: Title: Specimen Signature of the MR co-ordinator Name : Please submit the forms (both the Special Authorisation Form and Smartcard User Password Reset Form for Market Rehearsal) together with the smartcard(s) to : Cash Clearing Operations, Hong Kong Exchanges and Clearing Limited, 7/F, Infinitus Plaza, 199 Des Voeux Road Central, Hong Kong. Note: Hong Kong Exchanges and Clearing Limited will only accept the ORIGINAL copies of the Special Authorisation Form and Smartcard User Password Reset Form for Market Rehearsal.

16 Appendix C Smartcard User Password Reset Form for Market Rehearsal Date: I hereby request to reset the smartcard user password for the following Users during the Market Rehearsal on 15 December 2013 User Name User ID For and on behalf of Signed by the MR co-ordinator Part ID: Name: Title: Please submit the forms (both the Special Authorisation Form and Smartcard User Password Reset Form for Market Rehearsal) together with the smartcard(s) to : Cash Clearing Operations, Hong Kong Exchanges and Clearing Limited, 7/F, Infinitus Plaza, 199 Des Voeux Road Central, Hong Kong. Note: Hong Kong Exchanges and Clearing Limited will only accept the ORIGINAL copies of the Special Authorisation Form and Smartcard User Password Reset Form for Market Rehearsal.