1. 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

2. 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.

3. 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.

4. 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.

5. 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

6. 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

7. 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

8. 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

9. 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).

10. 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
The following actions can help an organization to determine vital records:
Conduct a Risk Assessment and an Impact Analysis to determine the most vulnerable records and how to protect them;
Identify records recovery experts and vendors to assist with recovery in the event of records damage;
Develop procedures to routinely update vital records to ensure that they always contain the most current information.

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

12. 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.
A vital records plan is your written guidance to follow in the event of an emergency. It should include:
Roles and responsibilities of the assigned staff;
Location of vital records and who can request the records;
Protection strategies that are in place for vital records and the cycling time frames;
Location of alternate work-site; and
Vital records master list consisting of complete inventory of vital records for the entire agency and a list of vital records for each office as well as their location.

13. 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.

14. 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

15. 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

16. 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.

18. 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.

19. 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)

20. 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
As continuity increases in visibility, NCP continues to try and meet the demand for more knowledge and information by developing new training.

21. 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
Currently, there are seven continuity courses being offered. This number will increase to nine once IS 522 and E/L 522 Continuity Planning Workshop for Pandemic Influenza are developed.
These courses are updated periodically to ensure that they reflect the most recent policies and directives so that continuity practitioners have the most current information.

22. 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
This professional certification program was developed to create a standard knowledge base for continuity practitioners. In addition, it was designed to help create a highly qualified corps of continuity professionals throughout the federal government, and among our partners at the State, local territorial, and tribal governments. To obtain either the Level I or II Certifications, candidates must complete a rigorous program consisting of both coursework and practical application.

23. 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)

24. 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

25. Continuity Practitioner Certificates
The FEMA Emergency Management Institute will issue all certificates
Send certificate requests and supporting documentation (not originals) to Ellen Newlin at fax:
Include your name, work address, work phone number, and 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:

26. FEMA HQ Points of Contact
National Continuity of Operations Division: Rex Wamsley, Director
(202)
Eric Kretz, Deputy Director
(202)
State, Territorial, Tribal, and Local Branch: James Opaczewski, Chief
(202)
Federal Branch: Matthew Smith, Chief
(202)

27. Regional Continuity Managers
FEMA Region I
Patrick W. Mooney
99 High Street, Room 510
Boston, MA 02110
(617)
FEMA Region VI
Brad McDannald,
800 N. Loop 288
Denton, TX 76209
(940)
FEMA Region II
Russell Fox,
26 Federal Plaza, Room 1337
New York, NY 10278
(212)
FEMA Region VII
David Teska,
9221 Ward Parkway, Suite 300
Kansas City, MO 64114
(816)
FEMA Region III
Mike Hajdak,
615 Chestnut Street, Sixth Floor
Philadelphia, PA 19106
(215)
FEMA Region VIII
Ken Hudson,
Denver Federal Center, Bldg 710, Room 231
Denver, CO 80228,
(303)
FEMA Region IV
Joseph Canoles,
3003 Chamblee Tucker Road
Atlanta, GA  30341
(770)
FEMA Region IX
James Macaulay,
1111 Broadway, Suite 1200
Oakland, CA ,
(510)
FEMA Region V
Sean O’Leary,
536 S. Clark Street, Sixth Floor
Chicago, IL 60605
(312)
FEMA Region X
June Olson,
th Street, S.W.
Bothell, WA  98021
(425)
Encourage individuals to contact Continuity Managers to learn more about FEMA continuity outreach efforts to State, territories, tribes and local governments.