COSA Briefing by wuyunyi

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									Arising from the Ashes/Flood: COOP
Planning for Archives
Mr. Eric Kretz, Deputy Director
Continuity of Operations Division
National Continuity Programs Directorate
DHS/FEMA

August 13, 2009
FEMA National Continuity Programs
DHS/FEMA National Continuity Programs and Continuity
Planning:
    The Federal Emergency Management Agency is identified in National
     Security Presidential Directive-51 / Homeland Security Presidential
     Directive-20, as the lead agent for the Federal Executive Branch,
     responsible for implementing the nation’s continuity policy.
    Through the National Continuity Policy Implementation Plan, signed by
     the President in August 2007, the Continuity of Operations Division
     coordinates with Federal, State, territorial, tribal and local governments
     in an effort to enhance the nation’s continuity capabilities by providing
     guidance in the development and management of continuity plans to
     assist both Federal and non-Federal entities in their ability to perform
     essential functions during all-hazards and emergencies.
    Vital records are a critical component to a viable continuity plan and the
     nation’s overall continuity capabilities and support to the National
     Response Framework.


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National Response Framework (NRF)
The National Response Framework
(NRF) [or Framework] is a guide to
how the Nation conducts all-hazards
response.

    It is built upon scalable, flexible, and
     adaptable coordinating structures to
     align key roles and responsibilities
     across the Nation. It describes specific
     authorities and best practices for
     managing incidents that range from
     the serious but purely local, to large-
     scale terrorist attacks or catastrophic
     natural disasters.


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Continuity of Operations Plan
Governments at all levels have a responsibility to develop
detailed, robust, all-hazards response plans.

    These plans should have clearly defined leadership roles and
     responsibilities, and they should clearly articulate the decisions
     that need to be made, who will make them, and when.

    These plans should include both hazard-specific as well as
     comprehensive all-hazards plans that are tailored to each
     respective jurisdiction.
    They should be integrated, operational, and incorporate key
     private-sector and NGO elements and persons with disabilities.




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Federal Continuity Directive 1 (FCD 1)
 Annex I of FCD 1 addresses
  requirements for vital records
  programs to include the
  following key points for the
  Federal government:
    Create a vital records program
    Determine which records are
     vital to operations
    Assign responsibility for the
     identified vital records
    The vital records program must
     be included in Continuity Plans




                                       5
FCD 1 Vital Records (cont’d)
 Annex I of FCD 1 addresses requirements for vital records
  programs to include the following key points for the Federal
  government:
    Consider multiple redundant media
    Maintain a complete inventory of records, with a copy of this
     inventory maintained at an alternate site
    Identify physical risks at current locations and identify offsite
     storage requirements
    Lists of records recovery vendors/experts
    Include a vital records training program for all staff
    Annual testing of capabilities for protecting vital records and
     accessing them from alternate facilities




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Continuity Guidance Circular 1 (CGC 1)
 Annex I of CGC 1 addresses
  requirements for vital records
  programs that should include
  the following key points for the
  non-Federal Entities:
    Create a vital records program
    Determine which records are
     vital to operations
    Assign responsibility for the
     identified vital records
    The vital records program
     should be included in
     Continuity Plans


                                      7
CGC 1 Vital Records (cont’d)
 Annex I of CGC 1 addresses requirements for vital records
  programs that should include the following key points for the
  non-Federal Entities:
    Consider multiple redundant media
    Maintain a complete inventory of records, with a copy of this
     inventory maintained at an alternate site
    Identify physical risks at current locations and identify offsite
     storage requirements
    Lists of records recovery vendors/experts
    Include a vital records training program for all staff
    Annual testing of capabilities for protecting vital records and
     accessing them from alternate facilities



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Defining Vital Records
Vital records, sometimes called essential records, are the
   records necessary for the continuity of operations during and
   following a disaster. They are records an agency must have to
   maintain one or more of the following vital functions:

 Document the organization’s legal
  authorities, rights and responsibilities;

 Resume or maintain operations in a
  disaster or emergency situation;

 Document the rights of individuals
  (deeds, mortgages, court case files).


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Determining Vital Records
The essential functions of your organization will determine your vital
  records. Examples of vital records may include:

   Emergency/Continuity of Operations (COOP) plan
   Staff contact and assignment information such as names, addresses, and
    phone numbers
   Orders of succession and delegations of authority
   Policies and procedural and systems manuals
   List of credit card holders to purchase needed supplies
   Maps and building plans
   Employee records, including financial and pay records
   Social security and retirement records
   Customer records
   Title, deeds, and contracts
   Licenses and long-term permits




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Vital records should not make up more than 10%
of the total volume of records held by an
organization




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Vital Records Plan: A Critical
Component of a COOP Plan
 Include a Vital Records Plan
  in your organization’s COOP Plan.

 Each organization’s functional
  responsibilities and business
  needs are different.

 An organization must decide which
  records are vital and assign responsibility
  for their protection, storage, and upkeep
   to the appropriate staff.


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Protecting Vital Records
To reduce your vulnerability,
determine which records, files,
and materials are most important
in both your primary and alternate
facilities. Consider their vulnerability
to damage during different types of
disasters, and take steps to protect
them.




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FEMA Resources
 FEMA provides multiple online
  resources to include the
  document “Protecting your
  Business from Disasters”, which
  includes information on
  protecting records and inventory

 Other sources of information:
    Emergency Management
     Guide for Business &
     Industry, FEMA, 1996
    Separate Flood Insurance a
     Must, FEMA, 1996



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National Level Exercise 2010 (NLE 10)
 Full-scale exercise (FSE) date: May 17–21, 2010

 Participating venues
     National Capital Region (NCR): Headquarters elements of
      Federal departments and agencies (D/As)
     Select States and localities in FEMA Region IX; primary venues
      include Clark County, NV, and Los Angeles, California
     Potential international participants

 Scenario concept
     Will utilize National Planning Scenario #1: Improvised Nuclear
      Device



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Exercise Participation
 NCPIP requires that on an annual basis an integrated
  continuity training exercise is developed and incorporated into
  the National Exercise Program, and the results are reported to
  the National Continuity Coordinator (NCC)
    Federal Executive Branch D/As are required to participate in order to
     meet their annual exercise requirements

    Others are encouraged to participate:
          Federal D/As outside of NCR
          Judicial and Legislative Branches
          State, tribal, and local governments
          Private sector organizations

    NLE 10 offers a building block process into NLE 11 support to regional,
     State, tribal, and local continuity exercise planning.



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17
Regional Exercises
 All regional exercises have been developed with the FEBs
  and FEMA, supported by contractors.

 None of the exercises have been “one size-fits all”, but
  tailored to the specific needs of that particular FEB/FEA.

 The regional exercises have benefited from the synergy of
  using the same support team, and lessons learned have been
  implemented quickly.

 A database of regional exercise materials is under
  construction by the support team.



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Regional Exercises (cont’d)
Major exercises with FEMA and FEBs and FEAs during the
  past year:
   Rising Storm – New York, 60 agencies and more than 1,000 participants
   Sound Response – Seattle, 48 agencies and more than 500 participants
   Liberty Down ’09 – Philadelphia, more than 300 participants and included
    both a full-scale and table top exercise

   Other FEB/FEMA exercises include Portland, OR (OR-Quake 09), Newark,
    NJ (Operation Allied Resilience), San Juan, PR (San Juan Resilience), Las
    Vegas, NV (Cardinal Royale), Pittsburgh, PA (Steele Resolve 09).

   Upcoming regional exercises: Baltimore, MD (Charm Challenge09), Dallas-
    Ft Worth, TX (Touchdown Texas), St Louis, MO (Slice 10), Portland, OR
    (Without Warning 09)




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Continuity Training
   Courses are available for students at all levels, from those who are new to
    continuity to those who have been involved with continuity for years

   This training provides an opportunity for personnel to develop and enhance
    their continuity knowledge and helps prepare them to respond to events
    requiring continuity of operations activation

   Training is offered online and in classrooms and covers continuity
    awareness, exercise design, and planning, documentation, and alternate
    site preparedness and activities

   Train-the-Trainer courses are also offered

   www.training.fema.gov




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Continuity Courses
   IS 546: Continuity of Operations Awareness Course

   IS 547: Introduction to Continuity of Operations

   IS/G 139: Exercise Design Course (Continuity of Operations)

   B/E/L 548: Continuity Managers Train-the-Trainer Course

   B/E/L 550: Continuity Planners Train-the-Trainer Course

   B/E/L 551: Devolution Planning Train-the-Trainer Course

   B/E/L 156: Continuity of Operations Building Design for Homeland Security
    Train-the-Trainer Course

   For more information, contact Willie York at willie.york@dhs.gov




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Continuity of Excellence Series
 On April 16, 2008, the FEMA Administrator established the
  Continuity Excellence Series

 Level I, Professional Continuity Practitioner and Level II, Master
  Continuity Practitioner Programs

 These programs are designed to enhance excellence in the
  development and implementation of the Nation’s continuity
  programs




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 Professional Continuity Practitioner
Continuity Excellence Series – Level I:
       IS 546: COOP Awareness Course
       IS 547: Introduction to COOP
       IS 242 or equivalent E/L course: Effective Communication
       E/L 548: COOP Manager’s T-t-T Course or E/G/L 549: Continuity of Operations
        (COOP) Program Manager Course or University of Maryland Preparing the States
        Continuity Courses
       E/L 550: COOP Planner’s T-t-T Workshop
       IS 100: Intro to Incident Command System (ICS) or ICS 100: Introduction to Incident
        Command System (ICS) or ICS 200: Incident Command System (ICS) for Single
        Resources and Initial Action Incidents
       IS 230 or equivalent E/L course: Principles of Emergency Management
       IS 700.a: Intro to National Incident Management System (NIMS) or IS 700
       IS 800-B: A National Response Framework (NRF), An Introduction
       E 136 or IS 139: Exercise Development Course/Exercise Design Course/or COOP
        Exercise Design/Development T-t-T Course
       Complete attendance in continuity exercise Determined Accord
       ** NARA/CoSA Vital Records Training (optional, recommended)




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  Master Continuity Practitioner
Continuity Excellence Series – Level II:
     Applicants must attain a Continuity Excellence Series – Level I, Professional
      Continuity Practitioner
     IS 130: Exercise Evaluation and Improvement Planning or E132 (limited to EMI
      Resident MEPP candidates) or G130: Exercise Evaluation
     IS 240 or equivalent E/L course: Leadership and Influence
     E/L 551: Devolution Training
     E/L 156: Building Design for Homeland Security T-t-T Course for Continuity of
      Operations or E/L 155: Building Design for Homeland Security
     E/L 262: Instructional Delivery for Subject Matter Experts or G265: Instructional
      Delivery Skills (formerly G261: Instructional Presentation Skills)
     *** Instruct COOP Manager’s T-t-T Course
     *** Facilitate COOP Planner’s T-t-T Workshop
     *** Written Comprehensive Exam (150 questions) – Applicants are eligible to take the
      comprehensive exam once they have met all other Level II requirements




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Continuity Practitioner Certificates
   The FEMA Emergency Management Institute will issue all certificates

   Send certificate requests and supporting documentation (not originals) to
    Ellen Newlin at ellen.newlin@dhs.gov; fax: 301-447-1598

   Include your name, work address, work phone number, and e-mail with
    your request

   Expect to wait up to one month to receive your certificate

   Send questions or issues to our FEMA NCP training contact:
      Willie York: willie.york@dhs.gov; 202-646-4163




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FEMA HQ Points of Contact
   National Continuity of Operations Division:     Rex Wamsley, Director
                                                    (202) 646-2897
                                                    rex.wamsley@dhs.gov


                                                    Eric Kretz, Deputy Director
                                                    (202) 646-3754
                                                    eric.kretz@dhs.gov


   State, Territorial, Tribal, and Local Branch:   James Opaczewski, Chief
                                                    (202) 646-4128
                                                    james.opaczewski@dhs.gov


   Federal Branch:                                 Matthew Smith, Chief
                                                    (202) 646-3685
                                                    mattthew.smith@dhs.gov




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Regional Continuity Managers
FEMA Region I                      FEMA Region VI
Patrick W. Mooney                  Brad McDannald,
99 High Street, Room 510           800 N. Loop 288
Boston, MA 02110                   Denton, TX 76209
(617) 832-4798                     (940) 898-5131
Patrick.mooney@dhs.gov             BradR.mcdannald@dhs.gov
FEMA Region II                     FEMA Region VII
Russell Fox,                       David Teska,
26 Federal Plaza, Room 1337        9221 Ward Parkway, Suite 300
New York, NY 10278                 Kansas City, MO 64114
(212) 680-8504                     (816) 283-7082
Rusell.fox@dhs.gov                 David.teska@dhs.gov

FEMA Region III                    FEMA Region VIII
Mike Hajdak,                       Ken Hudson,
615 Chestnut Street, Sixth Floor   Denver Federal Center, Bldg 710, Room 231
Philadelphia, PA 19106             Denver, CO 80228,
(215) 931-5605                     (303) 235-4658
Micheal.hajdak@dhs.gov             Ken.hudson@dhs.gov

FEMA Region IV                     FEMA Region IX
Joseph Canoles,                    James Macaulay,
3003 Chamblee Tucker Road          1111 Broadway, Suite 1200
Atlanta, GA 30341                  Oakland, CA 94607,
(770) 220-5453                     (510) 627-7009
Joseph.canoles@dhs.gov             James.macaulay@dhs.gov

FEMA Region V                      FEMA Region X
Sean O’Leary,                      June Olson,
536 S. Clark Street, Sixth Floor   130 228th Street, S.W.
Chicago, IL 60605                  Bothell, WA 98021
(312) 408-5389                     (425) 482-3721
Sean.oleary@dhs.gov                June.uson@dhs.gov




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