Client Disaster Recovery Testing 2011

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Client Disaster Recovery Testing 2011

Guidelines for Clients

Disaster recovery (DR) testing is a critical underpinning for any organization, helping to ensure resiliency arrangements are in place to continue business operations. Omgeo continues to implement best practices within our testing program including client connectivity to our services in the production environment. Accordingly, the following guidelines have been developed for clients to test the resiliency of their connectivity to Omgeo services. Guidelines include logistical and procedural steps needed to schedule and participate in a client disaster recovery test involving Omgeo.

Omgeo is currently working to expand our testing program including the capability to include client participation in our DR testing for services. We continue to carefully plan our strategy around client involvement within our DR testing and communicating to clients appropriately. An overview of our BCM program inclusive of our strategy, planning and testing approach is available in the BCM section of Omgeo.com. Enhancements to our BCM Program will be communicated to clients and the community through this site as well as Relationship and Account Management.

Testing Resiliency of Client Connectivity to Omgeo Services

Omgeo has scheduled dates throughout 2011 during which client resiliency arrangements can be tested. Clients may test one or more of these scenarios based on their connection method. Below please find testing opportunities to validate client connectivity to Omgeo services. Please note that most workstation clients connect via Thomson Reuters (TR), The Depository Trust & Clearing Corporation (DTCC) & the Internet.

TR Network Client (Primary Site) Client (Back-up Site) DTCC Network TNS Network Radianz Network Internet Network 1 Omgeo Services Production Environment Out of Region Alternate Primary 2 3 P R O V I D E R S P R O V I D E R S DTCC

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Testing Scenario 1

Client DR Testing - Network Connectivity

Clients connect to Omgeo services via DTCC and TR leased lines as well as Radianz, TNS and the Internet. While testing may be conducted for all connections, schedules and methods vary.

TR Network P R O V I D E R S TNS Network 1 Radianz Network Client (Primary Site) Client (Back-up Site) Internet Network DTCC Network

Connectivity Testing without Passing Trades TR Leased Line Connectivity Testing

 For clients with a TR leased line connection, network traffic routes from the client to TR’s managed network

operations center which then connects to Omgeo’s services. During this network test, the client connects to Omgeo services from their primary site. Omgeo works with TR to conduct testing with the disaster recovery procedure performed within the TR network cloud, testing the resiliency arrangements and passing the traffic to Omgeo’s data center and services. Testing takes place on Saturday beginning at 7am EST. Please see “Submitting Testing Request” below for details on participation.

Scheduled DR Test Dates  March 26th

 July 30th

 October 29th (please visit our web site or SIFMA’s in June for more information) Transaction Network Services (TNS), Radianz and Internet Connectivity Testing

 Clients connecting to Omgeo through TNS, Radianz or the Internet are requested to coordinate with the vendor providing those services to test their primary and back-up connections. Vendors may coordinate with Omgeo where necessary by contacting Omgeo BCM.

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Client DR Testing - Access to Omgeo Solutions

Omgeo services are hosted within the world-class data centers of DTCC and leverage DTCC’s systems management infrastructure. Omgeo has scheduled 12 dates throughout 2011 during which our production systems will be available for clients to conduct their own internal DR tests. Testing may include use of client backup sites, recovery facilities and backup communications capabilities in connecting to Omgeo’s production systems and passing trades. Clients may elect to fail over to their back up site and or to back up leased line circuits as part of this test, prior to connecting to Omgeo’s production systems and passing trades.

DTCC Omgeo Services Production Environment Client (Primary Site) Client (Back-up Site) 2 Circuit 1 Circuit 2

Connecting to Omgeo Services and Passing Trades Schedule

Testing schedules vary for Omgeo products. Please see applicable sections below.

Omgeo ALERTSM, Omgeo ConnectSM, Omgeo CrossCheckSM, Omgeo CTMSM, Omgeo MarketMatchSM, Omgeo OASYSSM, Omgeo OASYS GlobalSM, Omgeo ProtoCollSM and Omgeo Transaction ReportSM

 Testing will take place the 2nd Saturday of each month. Please see “Submitting Testing Request” below to select dates and times.

Scheduled DR Test Dates:

_January₈th _ August 13th  February 12th  September 10th  March 12th  October 8th  April 9th  November 12th  June 11th  December 10th  July 9th

Omgeo TradeSuiteSM (Omgeo TradeHubSM and Omgeo TradeMatchSM)

Disaster recovery testing for Omgeo TradeSuite is managed by the DTCC in coordination with Omgeo.  Testing will take place on Saturdays between 9am and Noon EST.

 Testing is conducted most weekends with a limited number of clients. Please see “Submitting Testing Request” below.

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Client DR Testing – Network Connectivity for DTCC Leased Line Clients

 DTCC tests primary connections frequently throughout the year, at minimum 6 times annually. Testing is transparent to the client. During these tests, clients with Point of Presence (POP) on the DTCC securely managed and reliable technology (SMART) network are rerouted within DTCC’s internal network from one network node to another, accessing the production environment at a different data center. Testing is also completed for clients with VPN capabilities. DTCC Client (Primary) DTCC Network 3

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POP Out of Region Alternate Primary Omgeo Services Production Environment Transparent to Clients. This test does not involve

any DR changes to client facilities.

 To test back-up connectivity, clients may participate in the DR test dates listed above in “Client DR Testing- Access to Omgeo services.” Successful participation in those tests will confirm the ability for clients to access Omgeo services from back-up connections.

 The SIFMA organization sponsors an industry business continuity test for clients interacting with Omgeo TradeSuite. During this exercise, participating firms will test their backup sites, recovery facilities and backup communications capabilities. Clients will connect from their DR sites to DTCC’s test environment. Participation may be requested by visiting the SIFMA web site one month before the test date. More information will be posted to the BCM section of Omgeo.com in August 2011 when the test date has been determined.

Submitting Testing Request for Scenarios 1 & 2

Clients may request testing services via the Client Center on omgeo.com.

 Selecting “Testing Services” produces a form which should be completed with as much detail as possible including requested date chosen from the schedules listed above.

 Testing requests must be provided at least 3 weeks prior to the testing date.

 To ensure proper support for a successful DR test, a maximum of 5 clients will be scheduled per testing weekend.  Once the testing date has been approved, a client support representative will contact participating clients to discuss

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Notice of Test Postponement

In the event a scheduled DR test must be postponed due to necessary maintenance, Omgeo will notify participating clients as soon as possible and work with clients to reschedule for a date outlined in the schedule above.

Support

Please send any questions or concerns regarding testing to your Relationship or Account Manager or email Omgeo Business Continuity Management.