Disaster Recovery Site Questionnaire

Notice to Members

Notice No. 284 07/29/2004


Introduction The New York Mercantile Exchange needs to gauge the level of participation it will expect during the upcoming October 9th disaster recovery drill. The questions listed below are designed to answer questions regarding member firm participation and help understand what preparation is required. The New York Mercantile Exchange maintains a back up trading facility and has developed comprehensive planning to activate this facility during an emergency. The Exchange has the ability to conduct open outcry as well as operate electronic trading venues from this facility. The New York Mercantile Exchange is asking all member firms to supply information regarding their plans if an event occurs that causes the loss of access to the Exchange building and/or its New York location. Please complete the questions below and return to: Eric Aldrich at bcp@nymex.com. Questions Your answers to the following questions will assist the Exchange in the event of an emergency situation that causes the loss of access to the Exchange trading floor and/or its New York location. a. Does your firm service customer accounts? b. Does your firm have a disaster recovery plan that will enable it to recover its systems? Please briefly describe your plan. c. Does your firm have a disaster recovery site in New York or Chicago? If so, what is the location (specific address not required)? d. Does your firm have a connection to the Exchange’s electronic trading platforms in another location that can handle your trading and bookkeeping needs e. Does your disaster recovery plan incorporate your firm’s (Exchange) member affiliates and customers with direct access? If your firm does not have the capability to resume trading, what is your plan for handling customer accounts during an emergency? Does your firm have a phone number or web site set up to give out information regarding the firm during an emergency situation? For clearing firms, will you have the capability to report large trader and open interest position data to the Exchange? For agents of regular firms, who will be available to handle the processing of receipts and shipping certificates for deliveries? Please designate whether your firm would like to receive a list of firms that are able to connect to an Exchange electronic trading platform (NYMEX ACCESS® or NYMEX ClearPortsm) and would be willing to provide execution facilities. In the event that an emergency situation causes the loss of the primary Exchange electronic trading platform, the Exchange will be prepared to recover electronic trading within 24 hours of the emergency. Does your recovery plan accommodate this time frame? How quickly can your systems be recovered? Would your firm be willing to provide execution services for other firms that are unable to access an Exchange electronic trading platform? Would your firm be willing to be placed on a contact list to be distributed to all participating member firms that are unable to connect to an Exchange electronic trading platform? Contact and Location Information It is essential that the Exchange have updated contact information for key people who can answer questions regarding the firm’s condition for trading. Therefore, we ask that you provide the following information. It is required that all information be provided for a minimum of two officers with bolded titles as well as all information for Operations Manager and Business Continuity/Disaster Recovery Manager. Alternate Site: If your firm has the capability to resume trading at another location or disaster recovery site, please provide: A contact person at the alternative location_____________________________________ A phone number at the alternative location_____________________________________ An e-mail address at the alternative location_____________________________________ A fax number at the alternative location_____________________________________ Chief Executive Officer: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________ President: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________ Chief Financial Officer: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________ Chief Operating Officer: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________ Managing Director: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________ Managing Member: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________ Compliance Officer: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Delivery Manager: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________ Back Office/Operations Manager: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________ Back Office/Operations Manager - BACKUP: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________ Manager of Business Continuity or Disaster Recovery Planning: Last Name_______________________________________ First Name_______________________________________ Office Phone_____________________________________ Home Phone_____________________________________ Cell Phone_______________________________________ Office Address____________________________________ ________________________________________________ ________________________________________________ Office e-mail address_______________________________ Home e-mail______________________________________

Should you have any questions or require any further information, please contact exchangeinfo@nymex.com