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MEMORANDUM FOR THE RECORD

Type of event: Conference

Date: March 3, 2004
Special Access Issues: None
Prepared by: Emily Walker
Team Number: 8
Location: Morgan Stanley, 750 Seventh Ave, NY
Participants - Non-Commission: Members of the Contingency Planning Exchange
Participants - Commission: Emily Walker

The Contingency Planning Exchange, Inc. (CPE) is a forum

dedicated to providing an open exchange of information related to all
contingency and business continuity planning topics and, through
education and training, raising awareness of its members regarding
these issues.

The Contingency Planning Exchange, Inc. (CPE) is the most

successful organization of business continuity and contingency
planners in the world. The CPE continually provides unsurpassed
education and career growth to its members. Through quarterly
meeting, regional events, workshops, and exciting speakers covering
in depth the focus of current issues, the CPE provides the
professional resources to enhance its members careers and to
identify networking opportu nities.

Membership

Individual membership is open to contingency planning and business

recovery professionals from across all industries and sectors.
Representation comes from a broad cross-section of the largest
banks, legal and financial institutions; the pharmaceutical,
manufacturing, humanities, tourism and trade industries; government
entities, as well as many other disciplines. More Info

Agency Partnerships

Today the Contingency Planning Exchange, Inc. (CPE) is the largest

independent group of disaster recovery and business continuity
planners in the world. The CPE, although based in the New York City
area has members worldwide

Taken from CPE Web-site www.cpeworld.org 3/5/04

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Emily Walker had been invited to attend CPE meetings through-out the year and was
unable to attend any previous meetings, but was able to attend this meeting. The
description of the group is above. The importance to the Commission's work is through
the lens of the National Standards that we may propose which will include contingency
planning in its recommendations. Contingency planning on 9-11 for the companies in the
WTC was difficult. For those companies who had plans, some of the plans were unable
to be executed due to the proximity of the backup to the main site. Others really did not
have valid plans. At any rate, the need for such plans was highlighted by the reality of9-
11 and this group, the CPE, focuses on key issues related to this topic.

The meeting agenda is attached as well as two presentations that were available.

Highlights included the Views of James McMahon, Director of New York State Office of
Public Security. He spoke about working with the private sector to enhance security
among other things. He gave a picture of the organizational chart of the Governor's
office on Security and Counter-terrorism. He said the two key people are the Sr.
Advisors to the Governor on Counter-terrorism and the Sr. Advisor to the Governor on
Disaster Preparedness and Responsibility. There is a disaster preparation committee and
under it is SEMO and Ops and cyber security. This Office of Public Security has
developed the comprehensive New York State Emergency Plan, conducts the orange alert
deployments, works with task forces on special programs for the state, and holds the New
York State bi-weekly public sector coordination. They have divided the state into zones
and have coordinated methods for intelligence-sharing. They use local, state and federal
intelligence sources. They have a counter-terrorism network in New York to issue
advisories and alerts (also submitted to the private sector). Eventually they will be able
to receive information as well as provide it. They are connected to the Upstate New York
Regional Intelligence center and with HIDTA (New York and New Jersey). Their office
reaches out to all counties and they are members of the 10 state consortium of homeland
security. He spoke about the fact that critical infrastructure is a private sector concern,
but New York state is the 8th largest and it is bigger than Canada, Spain and Mexico. In
fact, he cited that there are 10.5 million cell phones in NYC alone. He said that they are
working with the Homeland Security ISACs and while they have 6 in New York state
today, they are working on developing 10 more. They are looking to expand the sharing
of intelligence with the private sector. He said that cyber threats have doubled in 2003
and that watch lists are not consolidated yet. He said that FOY A is a huge issue
preventing the private sector from sharing critical infrastructure information with the
Government. He spoke about the use of the "Citizen's Corp" in New York which brings
together local leaders, EMS, voluntary organizations and helps a community plan,
prepare, respond and mitigate in an "all hazards" arena.

Jonathon 1. Ezor, Director of Institute for Business Law and Technology, spoke about
legal exposure related to preparedness. He said that the three areas of exposure that
companies face are 1) network integrity; 2) information security; and
3)customer/employee privacy. He said that networks need to be kept closed because they

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are vulnerable to both accidental and malicious damage. In terms of information

security, he highlighted that information can be more valuable than inventory. He also
cited that some data may have legal requirements for protection and that there would be
legal liability if the data were revealed. He said that companies should check their
contracts and make sure that they are covered in order to avoid negligence. He said that
contracts must address various types of obligations and they may provide penalties for
failure to follow them. He said that all key decisionmakers in a company need to be
aware of the companies' disaster recovery abilities and recognize that an organization
may be liable for failing to protect itself. The easier the fix, the greater the liability if it
isn't done. It may be the basis for a lawsuit or part of broader claims. The standard of
care will depend on particular industry, clients, risk involved and costs.

Finally, the speaker was Thomas Fargione, the Deputy Director of the NY State
Emergency Management Office. He spoke on the Incident Command System: Knowing
it and Working with it. He said that all emergencies are local. State Emergency
Management is the next layer of response. NIIMS ICS was mandated by executive order
in New York on March 5, 1996. Basically, he gave the pitch for the use ofICS and how
it assists in all types of disasters.

Background:
Agenda
Presentation by Jonathan Ezor
Presentation by Thomas Fargione

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MEETING AGENDA Page 10f2

CONTINGENCY PLANNING EXCHANGE

551 Fifth Avenue, Suite 3025
New York, NY 10176
Ph. 212-983-8644· Fax 212-687-4016
www.cpeworld.org • headquarters@~eworld.org

QUARTERLY MEETING
Date: Wednesday, March 3,2004
Time: 12:30 - 4:45 p.m.
Host: Morgan Stanley
Place: 750 Seventh Avenue (between 49th & 50th Streets)
4th Floor Auditorium
New York, NY 10019

AGENDA

12:30 p.m. Member Registration and Vendor Exhibits

1 - 1:05 p.m. Welcome

EILEEN HILLOCK
Vice President, Morgan Stanley

1:05 - 1:15 p.m. Welcome

ROSEANN McSORLEY, Managing Director, Deutsche Bank
Chair, Contingency Planning Exchange, Inc.

1:15 - 2:15 p.m. Homeland Security and Your Company

MARK D. COHEN
Deputy Director and Chief Counsel, New York State Office of Public Security

2:15 - 3 p.m. Legal Exposures, Responsibility, and Liability

JONATHAN I. EZOR
Director, Institute for Business Law and Technology

3 - 3:30 p.m. Break (Vendor Displays and Refreshments)

3:30 - 4:30 p.m. The Incident Command System: Knowing It and Working With It
EDWARD F. JACOBY, JR., Director
THOMAS FARGIONE, Deputy Director
NYS Emergency Management Office

4:30 - 4:45 p.m. Closing Ceremonies and Raffle Drawings

httn//www .cpeworld.org/agendas/030304.htInl 3115/2004

MEETING AGENDA Page 2 of2

RSVP: Requested for planning purposes, 212-983-8644 or headquarters@cpeworld.org

BUILDING ENTRY: Photo identification is required for building entry.

COST: Members - Free

Nonmembers, $50 payable by cash, check, or credit card.

HANDOUTS: Handout materials are provided to attendees at the discretion of the presenter.

TRA VEL DIRECTIONS: Available at www.cpeworJd.org

AND FOR THE FEBRUARY 4, 2004, MEETING,

SPECIAL THANKS TO:
EMC Corporation for sponsoring the event
New York Life Insurance Company for providing the facility
- and-
All the participating vendors.

http://www.cpeworld.org/agendas/030304.html 3115/2004
 154.205 2. Frequency
164.055 and Resource
159.405
162.605 Use Planning
1. Communication
~ .. ~-----------.
Systems

3. Information
Transfer
Procedures
 Single Resources
Includes personnel and equipment

Task Forces
Combination
of single
resources
Strike Team
Combination of same kind
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Technical Specialists Command Staff

Planning Chief Logistics Chief

Incident Incident
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