I&RS Teaching Firms – Internet FTP

Onboarding

{Procedure}

Effective Date:

01/06/2012

Revision History

Date / Section / Brief description / Version # / Requested By
01/06/2012 / All / Initial Document / 1.0 / Business and Technical Support

Table of Contents

SECTION 1.0 Executive Summary

SECTION 2.0 Procedure

2.1Firm Contact and Referral

2.2Connectivity Implementation

2.3CDTS Node and Application Workflow Request

2.4Connectivity and File Transfer Testing

2.5(Optional) Host Key Verification

2.6File Transfer Completion

SECTION 1.0 Executive Summary

Owner: CC8747 – Service Activation

Legal and Regulatory Framework: N/A

Audience / Applicability: NSCCRelationship 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 01/06/2012by 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”.

SECTION 2.0 Procedure

2.1Firm 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 shouldprovide 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.

2.2Connectivity 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.

2.3CDTS 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.

2.4Connectivity and File Transfer Testing

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 connectsto 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.

2.6File 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.

DTCC Confidential (Yellow)1