Current Disaster Status: Normal (all infrastructure working)

 

As a fiduciary, Wellington Retirement Solutions, Inc. and Wellington Consulting Services, Inc. take seriously its obligation to protect client interests from being placed at risk as a result of its inability to provide advisory services due to a natural disaster or other events that may cause a prolonged business outage or interruption. We have developed a business continuity plan that is designed to ensure (i) protection of our employees; (ii) continuity and survival of WCS and WRS business including but not limited to protection of client records and firm property, (iii) management control of risks and exposures, (iv) preventative measures where appropriate and (v) long-term recovery of systems and infrastructure. The following are our status codes: NORMAL (All Wellington infrastructure operational), Scenario I, Scenario II, and Scenario III (See details below).

 
Scenario I:

Use of WCS home-office space is denied; Home office infrastructure intact; Scope of disaster is either at our home office building or throughout our home-office’s geographic region.

 

Description: Such a scenario would include a chemical spill, wide-spread evacuation due to a radiological incident or a pandemic such as the “bird flu”. The physical home-office space, network server, phone server, fax server and workstation PC’s are unaffected, however access to the physical workspace by Wellington personnel is denied.

 

Preparation: Key Wellington personnel, have been provided means to access and remotely control (including reboot) the key servers and workstation PC’s in Wellington’s physical home-office space from anywhere internet access is available. Such accessibility is enabled through a secure Virtual Private Network (VPN) connection as well as via software enabling secure remote control of these key host computers. Capabilities include the means to seamlessly forward phone calls to alternate external phone numbers. Such software and VPN setting are loaded on “flash drives” kept in the possession of these key personnel for easy transportation in the event of this category disaster. This protocol allows for the implementation of remote access technology even from “foreign” computers otherwise unable to make such a remote connection. Possession of a properly configured laptop or notebook computer is sufficient as well, but not necessary.

 

Implementation: Upon the declaration of such a disaster by an authorized party it is the responsibility of Wellington personnel to promptly locate themselves appropriately for the duration of the disaster. An “appropriate” location necessarily includes the ability to access the internet. Wellington personnel not previously provided with remote access technology will be so provided at that time by an authorized party according to the authorized party’s assessment of need.

Scenario II:

WCS home-office space partially or completely destroyed; Home-office infrastructure NOT intact; Scope of disaster is to our home-office building.

 

Description: Such a scenario would include a fire, plane crash or tornado. WCS’s network server, phone server, fax server and workstation PC’s are disabled or destroyed. “Local” software and data backups intact.

 

Preparation: WCS maintains “local” copies of mission-critical software and daily data backups which are stored off-site on both Amazon S3 (globally) as well as a satelite location in Florida and Annapolis, Maryland. Such backups allow for a more rapid restoration of data in the event of this type disaster.

 

Implementation: Upon the declaration of such a disaster by an authorized party one local “cold” site now maintained at the residences of both WCS co-founders, Peter Jones and Stephen Lynch, with high-speed internet access and wireless network connectivity would be brought “hot” to replace the destroyed space. This process would involve the immediate replacement, configuration and loading of local software and backup data on new network, voicemail and fax server(s). Phone service would be immediately transferred to this new site. Key WCS personnel would begin working from this new space while other WCS personnel would work remotely from this host site in the same manner as their remote access to WCS’s home-office space described in the Category I disaster above.

Scenario III:

WCS home-office space partially or completely destroyed; Home-office infrastructure NOT intact; Scope of disaster is throughout our home-office’s geographical region. “Local” software and data backups destroyed.

 

Description: Such a scenario would include a nuclear detonation, severe hurricane or severe earthquake. WCS’s network server, phone server, fax server and workstation PC’s are disabled or destroyed along with WCS’s “local” software and data backups.

 

Preparation: WCS maintains “remote” copies of mission-critical software and daily data backups in Delray Beach, Florida, and Amazon S3. Such backups would be provided to WCS personnel in Delray Beach, Florida to be used to establish a new “home-office” and infrastructure to support the remote hosting of other WCS personnel.

 

Implementation: Upon the declaration of such a disaster by an authorized party a remote “cold” site with high speed internet access now maintained in WCS’s office in Delray Beach, Florida would be brought “hot” to replace the destroyed space. This process would involve the immediate replacement, configuration and loading of remote software and backup data on new network, voicemail and fax server(s). Phone service would be immediately transferred to this new site. WCS personnel at this remote site would begin hosting all other WCS personnel who would begin working remotely from this host site in the same manner as their remote access to WCS’s home-office space described in the Category I disaster above.