Sheltered Harbor - How it Works

Data Vault

Institutions back up critical customer account data each night in the Sheltered Harbor standard format, either managing their own vault or using a participating service provider. The data vault is encrypted, unchangeable, and completely separated from the institution’s infrastructure, including all backups.

Data Vaulting 030619

Sheltered Harbor Resiliency Plan

Institutions prepare the business and technical processes and key decision arrangements to be activated in the case of a Sheltered Harbor event; where all other options to restore critical systems - including backups - have failed.

They also designate a restoration partner so that if the Sheltered Harbor Resiliency Plan is activated, the partner can restore critical customer data as quickly as possible.

Certification

Certification is a critical component of the Sheltered Harbor initiative. Participants adopt a robust set of prescribed safeguards and controls, which are independently audited for compliance with the Sheltered Harbor standard.

Upon completing the requirements for Data Vaulting, the institution will be awarded a Sheltered Harbor certification and an accompanying seal, communicating that their customer account data is protected.

Seal Silver DP

Implementation Journey

Implementation Journey 2 110718

Assets	Fee	Join Sheltered Harbor
Assets	Fee	Onlne		Download
<$100MM	$250		OR
>$100M	$500		OR
>$500M	$1,000		OR
>$1B	$2,500		OR
>$5B	$5,000		OR
>$10B	$10,000		OR
>$50B	$25,000		OR
>$250B	$50,000		OR

Client Assets*		Clearing Clients	Fee	Join Sheltered Harbor
Client Assets*		Clearing Clients	Fee	Online		Download
<$100MM	and	<1 (self clearer)	$2,500		OR
<$10B	and	<50	$5000		OR
<$10B	and	50 - 100	$10,000		OR
$10B - $200B	and	<20	$10,000		OR
$10B - $200B	and	>20	$25,000		OR
>$200B	or	>100	$25,000		OR

AUM or Plan Assets	Fee	Join Sheltered Harbor
AUM or Plan Assets	Fee	Online		Download
<$20B	$1,000		OR
$5B - $20B	$2,500		OR
$20B - $50B	$15,000		OR
$50B - $200B	$25,000		OR
> $200B	$50,000		OR

Advanced Software Products Group (ASPG) Inc.	Brand Ambassador
Lisa Hamilton	Executive VP Sales	239-649-1548 x2031	This email address is being protected from spambots. You need JavaScript enabled to view it.
Capgemini	Advisory
Rob Jepson	Senior Manager, Cybersecurity Center of Execellence	720-480-4538	This email address is being protected from spambots. You need JavaScript enabled to view it.
Cobalt Iron	Solution Provider
Andy T. Hurt	Chief Marketing Officer	720-891-0053	This email address is being protected from spambots. You need JavaScript enabled to view it.
Cobalt Iron Compass® for Sheltered Harbor will protect consumer account data via SaaS delivery for on-premises or cloud deployment options.
Cohesity	Brand Ambassador
Lina Parness	Marketplace Alliances Manager		This email address is being protected from spambots. You need JavaScript enabled to view it.
Cyber Risk Institute	Brand Ambassador
Josh Magri	President & CEO		This email address is being protected from spambots. You need JavaScript enabled to view it.
The Cyber Risk Institute (CRI) is a not-for-profit coalition of financial institutions and trade associations. We're working to protect the global economy by enhancing cybersecurity and resiliency through standardization.
Dell Technologies	ENDORSED Solution Provider
Jim Shook	Director, Cybersecurity & Compliance	678-230.0525	This email address is being protected from spambots. You need JavaScript enabled to view it.
Learn how Dell Technologies can help your U.S. financial institution expedite Sheltered Harbor “Data Protected” Certification with “Dell EMC PowerProtect Cyber Recovery for Sheltered Harbor”, the first turnkey data vaulting solution to receive endorsement for meeting all of the requirements of the Sheltered Harbor standard
Grant Thornton	Assurance - Qualified Assessor
Vincent Concialdi	Partner	312-602-8731	This email address is being protected from spambots. You need JavaScript enabled to view it.
Learn how Grant Thornton can help your U.S. financial institution with independent attestation services for Sheltered Harbor Certification and annual recertification.
Mainline Information Systems	Brand Ambassador
Chris Dedham	Solutions Architect	703-608-0330	This email address is being protected from spambots. You need JavaScript enabled to view it.
PwC	Advisory
Shawn Lonergan, Ph.D.	Principal - Cyber, Risk & Regualtory	917-683-9049	This email address is being protected from spambots. You need JavaScript enabled to view it.
PwC	Assurance - Qualified Assessor
Jeff Trent	Partner	646-471-7343	This email address is being protected from spambots. You need JavaScript enabled to view it.
RSM	Assurance
Melissa Harp	Principal	612-376-9871	This email address is being protected from spambots. You need JavaScript enabled to view it.
John Huyette	Principal	215-648-3181	This email address is being protected from spambots. You need JavaScript enabled to view it.
Veritas Technologies LLC	Solution Provider
Liji Kuruvilla	Sr. Principal Product Manager, NBU Product Management	407-417-5523	This email address is being protected from spambots. You need JavaScript enabled to view it.
Elias AbuGhazaleh	Director, Product Management	321-578-1979	This email address is being protected from spambots. You need JavaScript enabled to view it.
Veritas Technologies, a leader in multi-cloud data management, has joined the Sheltered Harbor Alliance Partner Program as a solution provider. This reinforces Veritas’ commitment to ensuring that critical customer data in the financial sector remains protected from cyber threats, including ransomware.
21st Century Software Technologies, Inc.	Brand Ambassador
Eddy Cilliendo	Vice President of Business Development	919-703-9098	This email address is being protected from spambots. You need JavaScript enabled to view it.

Cobalt Iron	Solution Provider
Andy T. Hurt	Chief Marketing Officer	720-891-0053	This email address is being protected from spambots. You need JavaScript enabled to view it.
Cobalt Iron Compass® for Sheltered Harbor will protect consumer account data via SaaS delivery for on-premises or cloud deployment options.

Dell Technologies		ENDORSED Solution Provider
Jim Shook	Director, Cybersecurity & Compliance	678-230-0525	This email address is being protected from spambots. You need JavaScript enabled to view it.
Learn how Dell Technologies can help your U.S. financial institution expedite Sheltered Harbor “Data Protected” Certification with “Dell EMC PowerProtect Cyber Recovery for Sheltered Harbor”, the first turnkey data vaulting solution to receive endorsement for meeting all of the requirements of the Sheltered Harbor standard

FIS		ENDORSED Solution Provider
Scott Yoshimura	Senior Director, Product Management	602-337-3347	This email address is being protected from spambots. You need JavaScript enabled to view it.
Learn how FIS, a global leader in fintech and the first service provider officially certified with an endorsed solution and service for Sheltered Harbor Data Protection, can streamline and expedite your Sheltered Harbor Certification with FIS Data Restore.

Veritas Technologies LLC	Solution Provider
Liji Kuruvilla	Sr. Principal Product Manager, NBU Product Management	407-417-5523	This email address is being protected from spambots. You need JavaScript enabled to view it.
Elias AbuGhazaleh	Director, Product Management	321-578-1979	This email address is being protected from spambots. You need JavaScript enabled to view it.
Veritas Technologies, a leader in multi-cloud data management, has joined the Sheltered Harbor Alliance Partner Program as a solution provider. This reinforces Veritas’ commitment to ensuring that critical customer data in the financial sector remains protected from cyber threats, including ransomware.

Data Vault

Sheltered Harbor Resiliency Plan

Certification

Implementation Journey

Annual Fee Assessment Schedule for Banks and Credit Unions

Assets

Fee

Join Sheltered Harbor

Onlne

Download

Annual Fee Assessment Schedule for Securities Firms

Client
Assets*

Clearing
Clients

Fee

Join Sheltered Harbor

Online

Download

Annual Fee Schedule for Asset Managers, Transfer Agents, Insurers, Hedge Funds, Custodians, Private Equity and other Financial Recordkeepers

AUM or Plan Assets

Fee

Join Sheltered Harbor

Online

Download